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http://2007.runescape.wikia.com/wiki/Shantay | Shantay | Old School RuneScape Wiki | Fandom | Shantay
Shantay
Shantay
Release date
Members only?
Race
Quest NPC?
Location
Sells items?
Gender
Notable features
Examination
Examine
| Shantay | Old School RuneScape Wiki | Fandom
Shantay
RSC RS
Shantay
Release date
14 April 2003 ( Update)
Members only?
No
Race
Human
Quest NPC?
No
Location
Shantay Pass
Sells items?
Yes
Gender
Male
Notable features
Controls the Shantay Pass
Examination
Examine
He's in control of the Shantay pass.
Shantay is a non-player character who runs the Shantay Pass. He owns the Shantay Pass Shop, and sells Shantay passes. Shantay also provides some information about desert survival, as the effects of the desert heat starts taking its toll south of Shantay Pass, which can be useful for new players going into the desert.
If a player declares being an outlaw, Shantay will call upon his guards to have the player arrested and demands the player pay a fine of 5 coins. If the player pays, he or she will be released. If the player refuses twice, Shantay will then transport the player to be locked in Port Sarim "High-security" jail.
The player can escape by picking the lock of the cell, regardless of their Thieving Level or their f2p or p2p status, but it is easier at higher levels. It should be noted that picking the lock of the cell door, like the cell used in Monkey Madness I, does not give the player Thieving experience upon success. The player is also able to teleport out if they have the runes, or can use Lumbridge Home Teleport. There was a period of time this appeared to be impossible as Shantay only has an Examine option, but this has since been rectified through a hidden update.
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Shantay can also drop a scrumpled paper which holds a recipe for Ugthanki kebabs .
Item
Price
Item
Price
Item
Price
Item
Price
Waterskin (4)
30
Waterskin (0)
15
Jug of water
1
Bowl of water
4
Bucket of water
6
Knife
6
Desert shirt
40
Desert robe
40
Desert boots
20
Feather
6
Hammer
1
Bucket
2
Bowl
4
Jug
1
Shantay pass
5
Rope
18
Note that the shop does not buy back Shantay passes but does buy bronze bars.
Retrieved from " https://oldschoolrunescape.fandom.com/wiki/Shantay?oldid=7779834 "
Categories:
Non-player characters
Community content is available under CC-BY-SA unless otherwise noted. | msmarco_doc_00_8938160 |
http://2007.runescape.wikia.com/wiki/Slayer | Slayer | Old School RuneScape Wiki | Fandom |
Slayer
Also known as
Release date
Members only?
Players with 99
Players with 200M XP
Contents
Introduction
Slayer masters
Turael
Requires: None
Krystilia
Requires: None
Mazchna
Vannaka
Chaeldar
Nieve
Duradel
Slayer equipment
Slayer monsters
Slayer-exclusive monsters
Different Slayer Monsters:
Where to slay monsters
Boss slayer
Slayer Partners
Slayer reward points
Beginner training
Quests
Essential
Recommended
Skills
Items
Essential
Recommended
Strategy
Equipment and set-up
Advanced training
Quests
Essential
Recommended
Skills
Items
Essential:
Recommended:
Strategy
Equipment and attack-styles
Maximum slayer/slayer obsessive
Quests
Skills
Items
Essential:
Ideal gear
Blocks
Task strategies
Temporary boosts
Quests rewarding Slayer experience
Skill choice
References
See also
| Slayer | Old School RuneScape Wiki | Fandom
RS
This article is about the Slayer skill. For information on training Slayer, see Slayer training.
Slayer
Also known as
Slay
Release date
26 January 2005 ( Update)
Members only?
Yes
Players with 99
35,314
as of 20 April 2019
Players with 200M XP
28
as of 20 April 2019
Slayer is a skill that allows players to kill monsters that may otherwise be immune to damage. Players must visit a Slayer master, who will assign them a task to kill certain monsters based on the player's Combat level. Slayer experience is roughly equal to a slain monster's Hitpoints, and is awarded each time the player kills an assigned monster.
Many players primarily train Combat by completing Slayer tasks, as Combat experience is still given as normal while fighting Slayer monsters. Slayer is a very profitable skill to train, as high levelled slayer monsters such as slayer bosses have a multitude of both rare and valuable drops.
As of 12 December 2013, players can earn Slayer points by completing assigned tasks.
Slayer level-up music ( link )
The first music that can be played when levelled up.
Slayer level-up music ( link )
The second music that can be played when levelled up.
Contents
1
Introduction
2
Slayer masters
2.1
Turael
2.2
Krystilia
2.3
Mazchna
2.4
Vannaka
2.5
Chaeldar
2.6
Nieve
2.7
Duradel
3
Slayer equipment
4
Slayer monsters
4.1
Slayer-exclusive monsters
4.2
Where to slay monsters
5
Boss slayer
6
Slayer Partners
7
Slayer reward points
8
Beginner training
8.1
Quests
8.2
Skills
8.3
Items
8.4
Strategy
8.5
Equipment and set-up
9
Advanced training
9.1
Quests
9.2
Skills
9.3
Items
9.4
Strategy
9.5
Equipment and attack-styles
10
Maximum slayer/slayer obsessive
10.1
Quests
10.2
Skills
10.3
Items
10.4
Ideal gear
10.5
Blocks
11
Task strategies
12
Temporary boosts
13
Quests rewarding Slayer experience
13.1
Skill choice
14
References
15
See also
Introduction
To receive a Slayer task, players must visit one of seven Slayer masters throughout RuneScape. All but two Slayer masters have a Combat level requirement, and the final Slayer master also has a Slayer level requirement. The tasks assigned are generally appropriate for the Combat level of the player, assuming he or she uses the highest level master available. Players may be assigned normal monsters to kill, or they may be assigned monsters that require the use of Slayer-specific items to deal damage or Slayer-specific armour to prevent stat reduction.
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The Slayer equipment necessary to kill slayer monsters can be purchased from any slayer master. When you get your task, you can ask the master for advice on killing the assigned monsters, and they will tell you if special equipment is required. If no special equipment is necessary, they will give you other tips or advice such as if the monster is weak to poison or Magic .
One of the things the masters sell is an enchanted gem. Once you start training (this involves some begging from your chosen master), you get one for free. Afterwards, you can buy them for 1 coin each. These allow you to contact your Slayer master, ask for tips, ask who the monster is and where it is located, and most importantly, see how many monsters you still have to kill before completing the task. The gems cannot be used to get a new assignment; for that, you must see a master in person. An alternative to the gem is a Combat bracelet, which will update the player every 10 kills while worn.
Players who have unlocked the Lunar Spells can also use the NPC Contact spell in order to receive a new assignment from a Slayer master of their choosing. The Slayer gems automatically put you through to the Slayer master who will be best for training you; this may not be the one who gave you the assignment. It is advised to use the master the Slayer gems contact you to.
Players may also partner up with another player to receive the same slayer task by right-clicking an enchanted gem, slayer ring, or slayer helmet and selecting the "Partner" option. Players will only be given a slayer assignment that they have unlocked, have the slayer and combat level to complete and do not have blocked. If one partner meets these criteria and the other doesn't, only the one who meets them will receive the slayer task. Players can dismiss their partner by using the above items to do so.
The masters vary in the level of difficulty of their assignments; several of them require certain combat levels before you may get assignments from them. If you go to a Slayer master that is too hard for you, Turael in Burthorpe may consider giving you an easier assignment if the task is something that he doesn't normally assign. For example, if Duradel assigns you Desert lizards, then Turael cannot change your task, as he too assigns desert lizards. All slayer masters can assign the same monsters as the masters below them; however, as their difficulty increases, there is a substantially higher chance of getting a more difficult monster. The masters are shown on the map with a yellow skull icon .
Note: Skipping assignments through Turael is not a recommended choice, as it's better to gain Slayer points from doing tasks in a row and spending it on blocking or skipping your current task without breaking your task streak, as Slayer points also allow you to buy useful items and perks.
Slayer masters
A handful of Slayer masters dot the map; each master gives assignments oriented towards a general range of Combat levels .
Turael
The location of Turael.
Southeast Burthorpe - Games necklace teleport or Hot-air balloon
Requires: None
Turael 's assignments are simple, small, and easy to find. These assignments are excellent for the slayer with a low combat level, but his assignments yield such low experience that most players find him unsatisfactory. However, Turael is willing to replace an assignment given by another Slayer master with an easier one, if the task to be replaced wouldn't normally be given by him (for example, he will replace a player's Black demon task but not a Crawling Hand task). This ability results in more players using his services than normally would.
Krystilia
The location of Krystilia.
Edgeville - Amulet of glory teleport
Requires: None
Krystilia 's assignments are monsters found within the Wilderness. Only monsters slain within the Wilderness count towards her tasks. She will assign players any task on her list without regard to the player's Combat level. Monsters killed during her tasks have the ability to drop slayer enchantments and tier 1 mysterious emblems to compensate for this.
Assignments from her have a separate task completion counter to standard assignments, so players will have to complete five of her slayer assignments to begin earning slayer reward points .
Mazchna
The location of Mazchna.
Northeast Canifis on the bridge - Ectophial, Fairy ring CKS or Kharyll Teleport (can be via house)
Requires: Combat level 20, Priest in Peril
Mazchna gives fairly easy assignments too, but sometimes he may give a very small amount of more difficult monsters. Mazchna also has the habit of giving assignments which can be completed very close to him, making it convenient to get new assignments once completed.
Vannaka
The location of Vannaka.
Edgeville Dungeon, east of the Wilderness gate - Padewwa Teleport or Amulet of glory
Requires: Combat level 40
Vannaka is one of the most popular Slayer masters. His assignments are usually suitable for slayers with medium and even high combat skills. He can also be found on Tutorial Island, where he is the Melee and Ranged combat teacher.
Chaeldar
The location of Chaeldar.
Zanaris Fairy Queen 's court - Fairy Ring hub
Requires: Combat level 70 and Lost City
Chaeldar will only give assignments to players over a combat level of 70. She gives out the third toughest Slayer assignments. It is recommended that a player over a combat level of 70 should use Chaeldar as their Slayer master.
She is infamous for sometimes handing out dangerous tasks, such as bronze dragons .
Nieve
The location of Nieve.
Tree Gnome Stronghold, near the magic trees and the southern bank.
Requires: Combat level 85
Nieve is the second most difficult slayer master. Her assignments are the same as Duradel's, except she doesn't assign waterfiends, but turoths instead (along with the number of monsters assigned per task).
If players have completed Monkey Madness II, she is replaced by her little cousin, Steve .
Duradel
The location of Duradel.
Shilo Village, top floor of the Fishing store - Fairy ring CKR, Gnome glider, Karamja gloves 3 or the Shilo Village cart system
Requires: Combat level 100 and Slayer level 50
Duradel is the most difficult Slayer master. His assignments are generally high-levelled monsters, both in combat and slayer levels. He also assigns waterfiends .
Slayer equipment
Main article: Slayer equipment
Slayer equipment
Item
Buy
Sell
Enchanted gem
1
Can't sell
Mirror shield
5000
3000
Leaf-bladed spear
21,000
Can't sell
Broad arrows
60
Can't sell
Bag of salt
10
Rock hammer
500
Facemask
200
Earmuffs
200
120
Nose peg
200
120
Slayer's staff
21,000
Spiny helmet
650
Fishing explosive
60
Ice cooler
1
Slayer gloves
200
Can't sell
Unlit bug lantern
130
78
Insulated boots
200
120
Fungicide spray
300
Fungicide
10
Witchwood icon
900
Slayer bell
150
Slayer monsters
Slayer-exclusive monsters
Main article: Slayer monsters
Some monsters can only be killed once players have reached a certain level in Slayer. Not all of them require special equipment.
Different Slayer Monsters:
Slayer Level
Monster Name
Combat Level (s)
Superior Variant
Slayer XP
Slayer Equipment
Notable Drops
Location
5
Crawling Hand
8/12
Yes
16/19
None
Various Canifis gloves
Canifis Slayer Tower
7
Cave bug
6
No
5
None
Various Herblore drops
Lumbridge Swamp Caves
10
Cave crawler
23
Yes
22
None
Bronze boots
Fremennik Slayer Dungeon
15
Banshee
23
Yes
22
Earmuffs
Black/red Mystic gloves, various herbs, noted pure essence
Canifis Slayer Tower
17
Cave slime
23
No
25
None
Iron boots
Lumbridge Swamp Caves
20
Rockslug
29
Yes
27
Bag of salt
White/gold Mystic gloves
Fremennik Slayer Dungeon and Lumbridge Swamp Caves
22
Desert Lizards
12/24/42
No
15/25/40
Ice cooler
White/gold Mystic gloves
South of the Uzer and east across the river from Pollnivneach
25
Cockatrice
37
Yes
37
Mirror shield
White/gold Mystic boots
Fremennik Slayer Dungeon
30
Pyrefiend
43
Yes
45
None
Steel boots
Fremennik Slayer Dungeon
32
Mogre
60
No
48
Fishing Explosive
Mudskipper flippers / hat
Mudskipper Point
33
Harpie bug swarm
46
No
25
Bug lantern
Steel boots
Northern most beach of Karamja
35
Wall beast
49
No
105
Spiny helmet
White/gold Mystic hat
Lumbridge Swamp Caves
37
Killerwatt
55
No
51
Insulated boots
Fire battlestaffs (value of 9500 gp)
Killerwatt plane
39
Molanisk
51
No
52
Slayer bell
Mole claws
Dorgesh-Kaan South Dungeon
40
Basilisk
61
Yes
75
Mirror shield
White/gold Mystic hat
Fremennik Slayer Dungeon
40
Terror dog
100/101
No
85/89
None
Granite helmet
Tarn's Lair
42
Fever spider
49
No
40
Slayer gloves
Kwuarm herbs
Braindeath Island, in the basement of the Pirates' Brewery
45
Infernal mage
68
Yes
60
None
Black/red Mystic boots and hats
Canifis Slayer Tower
47
Brine rat
70
No
50
None
Brine sabre
Brine Rat Cavern
50
Bloodveld
76
Yes
120
None
Black boots
Canifis Slayer Tower
52
Jelly
78
Yes
75
None
Rune full helm
Fremennik Slayer Dungeon
55
Turoth
83/85/87/89
No
76/77/79/81
Leaf-bladed spear / Broad arrows / Slayer staff / Leaf-bladed sword / Leaf-bladed battleaxe
White/gold Mystic robe bottom, Leaf-bladed sword
Fremennik Slayer Dungeon
57
Mutated zygomite
74/86
No
65/75
Fungicide spray
-
Zanaris
58
Cave horror
80
Yes
55
Witchwood icon
Black mask
Mos Le'Harmless Caves
60
Aberrant spectre
96
Yes
90
Nosepeg
Black/red Mystic robe bottom
Canifis Slayer Tower
63
Spiritual ranger
122/118/115/127
No
106
None
-
God Wars Dungeon
65
Dust devil
93
Yes
105
Facemask
Dragon chainbody (very rare)
Smoke Dungeon west of Pollnivneach
66
Fossil Island Wyverns
139/147/152
No
205
Elemental shield, Mind shield, Dragonfire shield, or Ancient wyvern shield
Granite longsword, Granite boots, Wyvern visage
Wyvern Cave
68
Spiritual warrior
125/115/134/123
No
98-134
None
-
God Wars Dungeon
70
Kurask
106
Yes
97
Leaf-bladed spear / Broad arrows / Slayer staff / Leaf-bladed sword / Leaf-bladed battleaxe
White/gold Mystic robe top, Leaf-bladed sword, Leaf-bladed battleaxe
Fremennik Slayer Dungeon
72
Skeletal Wyvern
140
No
210
Elemental shield or Dragonfire shield
Granite platelegs, Dragon platelegs, Dragon plateskirt, Draconic Visage (very rare)
Asgarnian Ice Caves
75
Gargoyle
111
Yes
105
Rock hammer
Black/red Mystic robe top, Adamant boots, Granite maul
Canifis Slayer Tower
77
Brutal black dragon
318
No
315/346.5
None
Draconic Visage
Catacombs of Kourend
80
Nechryael
115
Yes
105
None
Rune boots
Canifis Slayer Tower
82
Ancient wyvern
227
No
300/315
Elemental shield or Dragonfire shield
Granite boots, Granite longsword, Wyvern visage
Wyvern Cave
83
Spiritual mage
120/121/123
No
85/75/106/86
None
Dragon boots
God Wars Dungeon
85
Abyssal demon
124
Yes
150
None
Abyssal whip, Abyssal dagger (very rare)
Canifis Slayer Tower
87
Cave kraken
127
No
125
None
Trident of the seas, Kraken tentacle (very rare)
Kraken Cove
87
Kraken boss
291
No
255
None
Trident of the seas (full), Kraken tentacle
Kraken Cove
90
Dark beast
180
Yes
220
None
Dark bow
Mourner Tunnels
91
Cerberus
318
No
690
None
Primordial crystal, Eternal crystal, Pegasian crystal, Smouldering stone
Cerberus's Lair
93
Smoke devil
160
Yes
185
Face mask
Occult necklace, Dragon chainbody
Smoke Devil Dungeon
93
Thermonuclear smoke devil
301
No
240
Face mask
Occult necklace, Dragon chainbody, Smoke battlestaff
Smoke Devil Dungeon
Where to slay monsters
Monster
Slayer level
Location
Essential item (s)
Slayer master (s)
Aberrant spectres
60
Stronghold Slayer Cave, Slayer Tower
Nose peg / Slayer helm (must-have) Salve amulet (optional, gives +20% Attack and Strength vs. the undead, but does not stack with Slayer helm)
3, 4, 5, 6
Abyssal demons
85
Slayer Tower, Catacombs of Kourend, Abyssal Area
Good gear and weapon. Rune armour and a Dragon scimitar or Abyssal whip
5, 6
Ankous
1
4th level of Stronghold of Security, Catacombs of Kourend
Salve amulet is helpful, but not required.
3, 5
Banshees
15
Slayer Tower
Earmuffs / Slayer helmet, Salve amulet
1, 2, 3, 4, 5
Basilisks
40
Fremennik Slayer Dungeon
Mirror shield
3, 4, 5
Bats
1
Keep Le Faye, Silvarea, Morytania
None
1, 2
Bears
1
Near Ardougne mines, low-to-mid-level Wilderness ( watch for PK'ers )
None
1, 2
Birds
1
Lumbridge or Falador chicken coops, Undead farm
None
1
Black demons
1
Taverley Dungeon, Edgeville Dungeon, Brimhaven Dungeon, Chasm of Fire, Catacombs of Kourend
Good gear and/or Protect from Melee with a Dwarf multicannon and several prayer potions, Darklight, Holy water
4, 5, 6
Black dragons
1
Taverley Dungeon, Lava Maze, Evil Chicken's Lair, Catacombs of Kourend ( Brutal Black Dragons )
Anti-dragon shield, Dragonfire shield or Antifire potion and a good Stab ( Abyssal whip or Dragon scimitar works too!) or Ranged weapon
5, 6
Bloodvelds
50
Stronghold Slayer Cave, Slayer Tower
Dragonhide armour and a decent weapon
3, 4, 5, 6
Blue dragons
1
Taverley Dungeon, Ogre Enclave, Heroes' Guild
Anti-dragon shield, Dragonfire shield or Antifire potion and a good Stab ( Abyssal whip or Dragon scimitar works too) or Ranged weapon
4, 5
Brine rats
47
Brine Rat Cavern
None
3, 4
Bronze dragons
1
Brimhaven Dungeon, Catacombs of Kourend
Anti-dragon shield, Dragonfire shield or Antifire potion and a good Stab ( Abyssal whip or Dragon scimitar works too!), or Fire Bolt or better
4
Catablepon
1
3rd level of Stronghold of Security
None
2
Cave bugs
7
Lumbridge Swamp Caves, Dorgesh-Kaan South Dungeon
None
1
Cave krakens
87
Kraken Cove
Magic weapon preferred, as Ranged hits are heavily reduced. Melee weapons cannot be used as they surface above water.
5, 6
Cave crawlers
10
Fremennik Slayer Dungeon, Lumbridge Swamp Caves, Dorgesh-Kaan South Dungeon
Antipoison, Slash attacks or Bone weapons
2, 4
Cave horrors
58
Mos Le'Harmless Caves
Witchwood icon, Light source
3, 4, 5, 6
Cave slimes
17
Lumbridge Swamp Caves, Dorgesh-Kaan South Dungeon
Antipoison
1, 2, 3
Cockatrices
25
Fremennik Slayer Dungeon
Mirror shield
2, 3
Cows
1
Crafting Guild, Lumbridge, Falador or Undead farms
None
1
Crawling Hands
5
Slayer Tower
Salve amulet (optional)
1, 2, 4
Crocodiles
1
Near Elid, southern shore of Kharidian Desert
None
3
Cyclopes
1
2nd floor of Warriors' Guild, Ardougne Zoo
None
2
Dagannoths
1
Lighthouse, Waterbirth Island
Cannon (optional to drastically speed up kills)
4, 5
Dark beasts
90
Temple of Light dungeon, Catacombs of Kourend
Good armour and weapon
6
Desert Lizards
22
Kharidian Desert
Ice cooler
1, 2, 3, 4
Dogs
1
Ardougne, McGrubor's Wood, Black Arm Gang hideout in Brimhaven, Brimhaven Dungeon
None
1, 2
Dust devils
65
Smoke Dungeon, Catacombs of Kourend
Face mask or Slayer helmet
3, 4, 5, 6
Dwarfs
1
Ice Mountain, Mining Guild, Keldagrim, Dwarven Mine, beneath White Wolf Mountain (the underground path unlocked after doing Fishing Contest ), south of Yanille
None
1
Earth warriors
1
Edgeville Dungeon
None
3, 4
Elves
1
Lletya, Elf Camp
None
4, 5
Fever spiders
42
Braindeath Island (brewery basement)
Slayer gloves
4
Fire giants
1
Stronghold Slayer Cave, Brimhaven Dungeon, Deep Wilderness Dungeon, Smoke Dungeon, Waterfall Dungeon
None
3, 4, 5, 6
Flesh Crawlers
1
2nd level of Stronghold of Security
None
2
Gargoyles
75
Slayer Tower
Rock hammer
4, 5, 6
Ghosts
1
Varrock Sewers, Draynor Manor, Melzar's Maze, 4th level of Stronghold of Security, Taverley Dungeon, West Ardougne (graveyard), Scorpius Shrine, Lair of Tarn Razorlor, Death altar, Haunted Mine, Forgotten Cemetery
Salve amulet
1, 2
Ghouls
1
West of Canifis
None
2, 3
Goblins
1
Goblin Village, Port Sarim, around the Digsite, 1st level of Stronghold of Security, Underground Pass, Goblin Cave, Coal Trucks, inside holes in Myreque Hideout in Mort Myre, the cave near Observatory, Coal Trucks, east of Gunnarsgrunn
None
1
Goraks
1
Fairy ring code DIR
None
6
Greater demons
1
Chasm of Fire, Entrana Dungeon, Brimhaven Dungeon, Ogre Enclave, Demonic Ruins, center Lava Maze Dungeon
None
4, 5
Green dragons
1
North of Goblin Village in level 13 Wilderness, between the Ruins and Graveyard of Shadows in level 24 Wilderness, west of the Bone Yard, between the Lava Maze and Hobgoblin Mine
Anti-dragon shield, Dragonfire shield or Antifire potion and a good Stab ( Abyssal whip or Dragon scimitar works too!) or Ranged weapon
3
Harpie Bug Swarms
33
East of Jogre Dungeon in Karamja
Bug lantern
3, 4
Hellhounds
1
Stronghold Slayer Cave, Taverley Dungeon, east of the Deserted Keep, Witchaven Shrine Dungeon
None
3, 4, 5, 6
Hill Giants
1
Edgeville Dungeon, Gnome Stronghold, north of the Observatory, Taverley Dungeon, Gnome Maze, northeast of Chaos Temple in Wilderness, Lava Maze, Deep Wilderness Dungeon
None
2, 3
Hobgoblins
1
Asgarnian Ice Dungeon, Crandor, Hobgoblin Peninsula near Crafting Guild, Edgeville Dungeon, near Karamja Hunter area, north of Outpost, north of Rellekka, Tree Gnome Village dungeon, Waterbirth Island, Hobgoblin Mine, Witchaven Dungeon
None
2, 3
Icefiends
1
Ice Mountain
None
1
Ice giants
1
Asgarnian Ice Caves, Frozen Waste Plateau, White Wolf Mountain
None
3
Ice warriors
1
White Wolf Mountain, Frozen Waste Plateau, Asgarnian Ice Caves
None
2, 3
Infernal Mages
45
Slayer tower
Ranged armour
2, 3, 4
Iron dragons
1
Brimhaven Dungeon, Catacombs of Kourend
Anti-dragon shield, Dragonfire shield or Antifire potion and a good Stab ( Abyssal whip or Dragon scimitar works too!), or Fire Bolt or better
4, 5, 6
Jellies
52
Fremennik Slayer Dungeon
Magic -resistant armour
3, 4, 6
Jungle horrors
1
Mos Le'Harmless
None
3, 4, 6
Kalphites
1
Kalphite Lair, Kalphite Cave
Keris dagger, Antipoison, Rope
2, 3, 4, 5, 6
Killerwatts
37
Killerwatt plane
Insulated boots, non-metallic armour
3
Kurasks
70
Fremennik Slayer Dungeon
Leaf-bladed sword, Leaf-bladed battleaxe, Leaf-bladed spear, Magic Dart, Broad arrows, or Broad bolts
4, 5, 6
Lesser demons
1
Wizards' Tower, Crandor and Karamja Dungeon, Melzar's Maze, Chasm of Fire, near Demonic Ruins, Lava Maze, Catacombs of Kourend
None
3, 4
Mithril dragons
1
Ancient Cavern
Anti-dragon shield, Dragonfire shield or Antifire potion, Barrows equipment and a good Stab ( Abyssal whip or Dragon scimitar works too!)
6
Minotaurs
1
1st level of Stronghold of Security
None
1
Mogres
32
Mudskipper Point
Fishing explosives
2, 3
Molanisks
39
Dorgesh-Kaan South Dungeon
Slayer bell
3, 4
Monkeys
1
Ape Atoll, Karamja, Mos Le'Harmless, Ardougne Zoo
None
1
Moss giants
1
Brimhaven Dungeon, Crandor Isle, west of Fishing Guild, Moss Giant Island, Wilderness, Varrock Sewers, Pirates' Cove, Glarial's Tomb
None
3
Nechryaels
80
Slayer Tower
None
5, 6
Ogres
1
Gu'Tanoth, west of Yanille, south of Castle Wars, south of Gu'Tanoth, Toban's Island, Chaos Druid Tower dungeon, Clock Tower basement, Witchaven dungeon, Underground Pass, Combat Training Camp via completing Biohazard
None
3
Otherworldly beings
1
Zanaris
None
3
Pyrefiends
30
Fremennik Slayer Dungeon, Smoke Dungeon
Magic -resistant armour
2, 3, 4
Rats
1
Varrock Sewers, Lumbridge Swamp
None
N/A
Red dragons
1
Brimhaven Dungeon
Anti-dragon shield, Dragonfire shield or Antifire potion and a good Stab ( Abyssal whip or Dragon scimitar works too!) or Ranged weapon
N/A
Rockslugs
20
Fremennik Slayer Dungeon, Lumbridge Swamp Caves, Dorgesh-Kaan South Dungeon
Bag of salt
2, 3, 4
Scabarites
1
The dungeon under Sophanem, the dungeon east of the Agility pyramid via doing Contact!
Keris, Slash
5, 6
Scorpions
1
Al-Kharid Mine, Dwarven Mines, Ardougne Zoo Scorpion Pit, 3rd level of Stronghold of Security, Varrock Sewers, Wilderness, above Karamja Volcano
None
1
Sea snakes
1
Miscellania & Etceteria Dungeon
Antipoison
3
Shades
1
Mort'ton, Shade Catacombs, Temple Trekking
Salve amulet, Gadderhammer or Ranged
3
Shadow warriors
1
Legends' Guild basement
None
3, 4
Skeletal Wyverns
72
Asgarnian Ice Dungeon
Elemental shield, Mind shield, or Dragonfire shield and Crush
4, 5, 6
Spiritual mage
83
God Wars Dungeon
None
4, 5, 6
Spiritual ranger
63
God Wars Dungeon
None
4, 5, 6
Spiritual warrior
67
God Wars Dungeon
None
4, 5, 6
Skeletons
1
Wizards' Tower, Edgeville Dungeon, Draynor Sewers, Karamja Volcano, Ogre Enclave, Southern Wilderness Mine, 4th level of Stronghold of Security, Taverley Dungeon, Temple of Ikov, Varrock Sewers, Waterfall Dungeon, Wilderness, Wilderness Agility Course, Barrows, Melzar's Maze, Ape Atoll Dungeon, Underground Pass
Salve amulet
1, 2
Spiders
1
Melzar's Maze, Sorceress 's house, Lumbridge castle basement, behind Lumbridge Castle, 3rd level of Stronghold of Security, Ape Atoll temple, Ogre Enclave, Wilderness, Karamja, Underground Pass
Antipoison (only if fighting the poisonous variants)
1
Steel dragons
1
Brimhaven Dungeon, Catacombs of Kourend
Anti-dragon shield, Dragonfire shield or Antifire potion and a good Stab ( Abyssal whip or Dragon scimitar works too!), or Fire Bolt or better
4, 5, 6
Suqahs
1
Lunar Isle
None ( Seal of passage is recommended for communicating with Moon Clan people though.)
5, 6
Terror Dogs
40
Lair of Tarn Razorlor
None
3
Trolls
1
Mountain trolls: Trollheim, tunnel outside Keldagrim, Death Plateau; Ice trolls: icy islands north of the Fremennik Isles, ice path north of Trollheim
None
3, 4, 5
Turoths
55
Fremennik Slayer Dungeon
Leaf-bladed sword, Leaf-bladed spear, Leaf-bladed battleaxe, Magic Dart, Broad arrows, or Broad bolts
3, 4, 5
Vampyres
1
Haunted Woods, near Abandoned Mine
Holy symbol
2, 3
Vyrewatch
31
The woods east of Burgh de Rott, Meiyerditch
Rod of ivandis
4, 6
Wall beasts
35
Lumbridge Swamp Caves
Spiny helmet or Slayer helmet
2, 3
Waterfiends
1
Ancient Cavern, Kraken Cove
Crush attacks
6
Werewolves
1
Canifis
None
3
Wolves
1
1st level of Stronghold of Security, White Wolf Mountain, Feldip Hills
None
1, 2
Zombies
1
Tree Gnome Village dungeon, Entrana Dungeon, Edgeville Dungeon, Graveyard of Shadows, 2nd level of Stronghold of Security, Varrock Sewers, Draynor Sewers, Wizards' Guild basement, Lair of Tarn Razorlor
Salve amulet
1, 2
Zygomites
57
Zanaris
Fungicide spray
4, 5, 6
Boss slayer
Players who have unlocked the Like a boss ability via spending 200 slayer reward points can have Nieve / Steve, Duradel or Krystilia ( Wilderness only) assign them boss monsters in addition to the tasks they already assign. Slayer masters will check the requirements needed to access the boss; for example, if the player doesn't have 85 Slayer, they won't offer them an Abyssal Sire task. They will allow the player to decide the amount of bosses they wish to kill for that task, ranging from 3-35 per task.
Completing this type of assignment will always grant 5,000 slayer experience after the task is complete. The following bosses can be assigned:
• Kree'arra
• Commander Zilyana
• General Graardor
• Vorkath
• K'ril Tsutsaroth
• Dagannoth Rex
• Dagannoth Prime
• Dagannoth Supreme
• Giant Mole
• Kalphite Queen
• King Black Dragon
• Callisto
• Venenatis
• Vet'ion
• Chaos Elemental
• Chaos Fanatic
• Crazy archaeologist
• Scorpia
• Barrows
• Zulrah
• Kraken
• Thermonuclear smoke devil
• Cerberus
• Abyssal Sire
• Grotesque Guardians
Slayer Partners
The Slayer partner interface.
Slayer Partners were introduced to Old School RuneScape on 7 May 2015, which allows two players to work together on a Slayer assignment after inviting your partner to be your slayer partner by using an enchanted gem, slayer ring or slayer helmet on them.
However, there are a few restrictions to prevent players being given tasks that they should not get. You will only be given a slayer assignment that you have unlocked, have the slayer and combat level to complete and do not have blocked. If these criteria are not met then your partner will receive the task but you will not. You will be notified if this happens.
Players can dismiss their slayer partner at any time by using an enchanted gem, slayer ring or slayer helm to open up the interface.
Slayer reward points
Main article: Slayer reward point
On 12 December 2013, slayer reward points were released. Slayer reward points may be earned after having completed 5 tasks in a row without having a task changed by Turael. However, players may cancel a task by spending 30 points.
The rewards that can be bought with these points include unlocking new monsters as a Slayer task, a Slayer ring, the ability to combine all Slayer headgear into one item, the Slayer helmet, and even the ability to prevent players from being assigned a specific task forever.
Since getting good tasks worth keeping isn't guaranteed, it is suggested that players get their first four kills on the Slayer master Mazchna, and then get any other kills from there on higher masters like Duradel.
After getting 5 or more tasks in a row, Slayer masters will hand out points when players finish their tasks. The number of points varies as the difficulty of the Slayer master increases.
Every 10th, 50th, 100th, 250th, and 1,000th task, a special bonus is given to the player's slayer reward points, the bonuses also differ in points to each Slayer master. Whenever a task is done the player will be notified on what number task it is, and the total amount of points they have. This can help players plan to what slayer master they prefer to go next, to maximise the number of slayer reward points in the shortest amount of time.
Master
Location
Points given per completed Task
Points per 10th
Points per 50th
Points per 100th
Points per 250th
Points per 1,000th
Turael
Burthorpe opposite the pub to the east
N/A
N/A
N/A
N/A
N/A
N/A
Mazchna
Northeast of Canifis
2
5
15
50
70
100
Vannaka
Northeast area of Edgeville Dungeon
4
20
60
100
140
200
Chaeldar
Throne room in Zanaris
10
50
150
250
350
500
Nieve / Steve
At the Tree Gnome Stronghold, south-west of the Spirit tree
12
60
180
300
420
600
Duradel
On the roof of the Fishing store in Shilo Village
15
75
225
375
525
750
Krystilia
Jailhouse northeast of Edgeville bank
25
125
375
625
875
1,250
After earning enough points, players will be able to buy rewards with earned points. (See main article for more details)
The Slayer helmet combines the stat boosting qualities of the Black mask with the protective slayer headgear facemask, nosepeg, earmuffs, and Spiny helmet, with the defence bonuses of a rune full helm; making it the best melee helmet option for slayers. This allows for monsters like aberrant spectres and dust devils to be killed while having the bonuses of the 15% attack and strength increase. Players can also imbue their slayer helmets via the Nightmare Zone. This gives all the bonuses of the slayer helmet, while boosting ranged and magic by 15% as well. The Slayer helmet's effects do not stack with a salve amulet or salve amulet (e) for a bonus on undead creatures such as aberrant spectres. The Slayer helmet has a better bonus so it is recommended just to wear the Slayer helmet and an amulet of your choice (unless you have yet to unlock the ability to create the helmet and use the nose peg for example; then a salve amulet is recommended).
Beginner training
Note: This beginner's training guide assumes that you either are a low-level player or a player who cannot afford Guthan's. This guide assumes that you have the best equipment you can afford. Upon completion of the Varrock quiz from level 1 Slayer, you can get to level 9 with the 1000 XP it offers. Completion of the Wanted! quest can award you 5000 Slayer XP, which can level your Slayer from 1 to 20 (if you never started Slayer yet), as there is no Slayer requirement to do the quest.
Quests
Essential
The following quests are essential to do, mainly because they give access to either more Slayer monsters or make slaying easier. Some of these may be taken out, depending on your Combat level .
Cabin Fever - Access to Mos Le'Harmless to fight Jungle and Cave horrors.
Death to the Dorgeshuun - Access to Molanisks.
Desert Treasure - Access to Dust devils and Ancient Magicks for getting around.
Dwarf Cannon - Allows use of Dwarf multicannon.
Ernest the Chicken - Access to Killerwatts.
A Fairy Tale Part II - Access to fairy ring teleportation system and Goraks.
Ghosts Ahoy - Ectophial, which gives a quick teleport to the Slayer Tower.
Horror from the Deep - Access to Dagannoths and Prayer books.
Lost City - Access to Chaeldar.
Lunar Diplomacy - Access to Suqahs.
Mourning's Ends Part I - Tiny elf crystal allows you fast access to elves and bears.
Olaf's Quest - Access to Brine rats.
Rum Deal - Access to Fever spiders.
Shilo Village - Access to Duradel.
Recommended
These quests are recommended as they only make slaying easier. Like the essential quests, some of these may be taken out if you have a low combat level.
Dragon Slayer - Access to Melzar's Maze 's ghosts.
Dream Mentor - Access to level 96 Spell Book Swap and efficient use of Lunars for Slayer.
Elemental Workshop I - Allowed to use Elemental shield, required against Skeletal Wyverns.
Enakhra's Lament - Camulet allows easy access to switching between Ancient and Regular Magic.
The Fremennik Trials - You make the Enchanted lyre which gives you a faster route to the Fremennik Slayer Dungeon.
Garden of Tranquility - Ring of charos (a) allows you cheap travel and lets you enchant lyres for a raw bass.
The Grand Tree - Access to Gnome gliders.
The Lost Tribe - Quicker access to Lumbridge Swamp Caves for Cave bugs, Cave slime, and Wall beasts. Also unlocks quick route to Juna from Tears of Guthix.
One Small Favour - Steel key ring makes finding your keys without hassle.
Roving Elves - Needed for Mourning's Ends Part I, but specifically allows you access to the Crystal bow.
Rune Mysteries quest and Enter the Abyss miniquest - Quick access to Nature altar outside of which has many monkeys to kill.
Tears of Guthix - Free experience once a week if Slayer is your lowest skill.
Watchtower - Fast access to Blue dragons and caged Greater demons.
Skills
These skills are aimed at lower levels. Higher levels, please see the skill chart on the Advanced Training section.
Skill
Required
Recommended
Attack
40
50+
Strength
40
50+
Defence
40
50+
Magic
55
67 for the NPC contact Lunar spell, 96 for the Spell Book Swap Lunar spell (assuming that you have completed Lunar Diplomacy )
Ranged
50
70 for full black dragonhide
Agility
-
81 for all Slayer related shortcuts, 78 with Agility potion, 76 with summer pie
Prayer
43
70 for power-slaying with Piety
Fishing / Cooking
-
76/80 for sharks, higher if possible. You also use cooking to make Slayer's Respite and Wild Pie.
Herblore
-
72 so you can make your own ranging potions .
Farming
-
79 so you can grow your own dwarf weed .
Construction
-
55 so you can repair barrows armour in your house (assuming you have barrows armour to repair)
Items
Essential
Plenty of food such as lobster, swordfish, and/or monkfish. You can use sharks, although monkfish is highly suggested, being easy to purchase and healing a significant 16 Hitpoints.
Combat potions to kill monsters faster
Full rune or better
Full blue dragonhide or better
Amulet of glory for stats and teleports. Multiple may be needed if you cannot access the Heroes' Guild.
Games necklaces for a quick teleport to Turael.
At least a rune scimitar. A dragon scimitar would be better, as expected. An Abyssal whip would be even better, assuming you have the money and stats.
A lot of teleport runes. Since you don't have Guthan's equipment to heal you, you'll have to bank on a lot of trips. You can use one-click teleports as well, such as the Ectophial or the Tiny elf crystal.
Recommended
Dwarf multicannon - It makes tasks significantly easier and faster, although a lot more expensive.
300-400 Prayer potions
Black mask - Charges aren't necessary. The Black mask will greatly help you in slaying, as it gives a 15% increase to Strength and Attack during your task.
Amulet of fury, if it can be afforded.
Any melee barrows set - This is assuming that you can afford Torag's, but cannot afford Guthan's.
Fighter torso
Dragon defender, if you have the proper levels to gain entrance to the Warriors' Guild.
Crystal bow with recharge cost down to 180k. This is assuming that you have completed Roving Elves.
Holy book (Saradomin book)
Bones to Peaches, obtained from the Mage Training Arena
Full Initiate or Proselyte for their Prayer boost.
Strategy
Since you do not have Guthan's to heal, your priority will be to kill as many of your assigned monsters as possible before having to bank for food. There are a few ways you can kill more monsters per trip.
Use the Dwarf multicannon when necessary. Do not use it in single-combat areas where there are no safespots and the monsters are spaced out. You should save your cannonballs for tasks that are in multi-combat areas, such as Kalphite and Dagannoth. You cannot use your cannon in the Slayer Tower nor in the Fremennik Slayer Dungeon.
Use Vannaka under Edgeville. If you feel that you are up to it and have completed Lost City, you can try Chaeldar. If you're a high level without Guthan's, you can try Duradel, but expect a lot more bank runs during your tasks.
To easily reach Vannaka, use your Amulet of glory to teleport to Edgeville. The dungeon where he is located is easily reachable from there.
Accept the tasks that are given to you, unless you feel that you can't do it. In that case, change tasks.
Equipment and set-up
Generally, you'll be using Melee for a lot of your tasks. This chart will give you a general idea for what to wear. Any cape and gloves may be used. It is suggested to wear an Obsidian cape and any Metal gloves from Recipe for Disaster .
Attack style
Monster examples
Basic Equipment set
Advanced equipment set
Melee attack
Gargoyles, Trolls, etc.
Rune platebody, Rune platelegs, Berserker helm, Amulet of glory, Rune kiteshield, Rune boots, melee weapon
Torag's platebody and Torag's platelegs, along with higher level equipment (Amulet of fury, Fighter torso, etc.)
Magic-based melee attack
Banshees, Pyrefiends, Cave horrors, etc.
Blue dragonhide body and chaps, Amulet of glory, melee weapon, Holy book or elemental shield, Elemental helm, snakeskin or ranger boots
Substitute blue dragonhide for black dragonhide. Wear a black mask.
Magic attack
Aberrant spectres
Same as Magic-based melee attack
-
Ranged attack
Dagannoths
Same as Melee attack
Same as melee attack
Dragon
Green, Blue, Red, Black
You can melee Green Dragons using just rune plate and legs. Range Blue Dragons using a magic shortbow.
You can use a Crystal bow or knives. You can also melee blue dragons.
Dragon
Bronze, Iron, Steel
You should change these tasks if you are a lower level. For higher levels, you should wear your best prayer boosting gear and melee them while using prayer. You can also mage or range them using Antifire potions/Anti-dragon shield and standing more than one square away, effectively acting as a safespot.
-
Your inventory should include the Slayer gem and a teleport to the closest bank. It is recommended to bring a few alching runes as well as bones to peaches runes. You should then fill the rest of your inventory with food, leaving 2 to 4 spaces open for drops.
Advanced training
Note: This advanced training guide assumes that you are an above average player with decent skills, have plenty of cash (or the ability to make plenty of cash), and don't mind training Slayer with little profit.
Quests
Essential
The following quests are essential to do, mainly because they give access to either more slayer monsters or make slaying easier.
Cabin Fever - Access to Mos Le'Harmless to fight Jungle and Cave horrors.
Death to the Dorgeshuun - Access to Molanisks.
Desert Treasure - Access to Dust devils, and Ancient Magicks for getting around.
Dwarf Cannon - Allows use of Dwarf multicannon.
Ernest the Chicken - Access to Killerwatts.
A Fairy Tale Part II - Access to fairy ring teleportation system and Goraks.
Ghosts Ahoy - Ectophial, which gives a quick teleport to the Slayer Tower.
Horror from the Deep - Access to Dagannoths and Prayer books.
Lost City - Access to Chaeldar.
Lunar Diplomacy - Access to Suqahs.
Mourning's Ends Part I - Tiny elf crystal allows you fast access to elves and bears.
Olaf's Quest - Access to Brine rats.
Rum Deal - Access to Fever spiders.
Shilo Village - Access to Duradel.
Recommended
These quests are recommended as they only make slaying easier.
Dragon Slayer - Access to Melzar's Maze 's ghosts.
Dream Mentor - Access to level 96 Spell Book Swap and efficient use of Lunars for Slayer.
Elemental Workshop - Allowed to use Elemental shield, required against Skeletal Wyverns.
Enakhra's Lament - Camulet allows easy access to switching between Ancient and regular magic.
The Fremennik Trials - You make the Enchanted lyre which gives you a faster route to the Fremennik Slayer Dungeon.
Garden of Tranquility - Ring of charos (a) allows you cheap travel and lets you enchant lyres for a raw bass.
The Grand Tree - Access to Gnome gliders.
The Lost Tribe - Quicker access to Lumbridge Swamp Caves for Cave bugs, Cave slime, and Wall beasts. Also unlocks quick route to Juna from Tears of Guthix.
One Small Favour - Steel key ring makes finding your keys without hassle.
Roving Elves - Needed for Mourning's Ends Part I, but specifically allows you access to the Crystal bow. Essential when ranging Abyssal demons.
Rune Mysteries and Enter the Abyss - Quick access to Nature altar outside of which has many monkeys to kill.
Tears of Guthix - Free experience once a week if Slayer is your lowest skill.
Watchtower - Fast access to Blue dragons and caged Greater demons.
The Slug Menace - Access to Proselyte armour
Skills
Skill
Required
Recommended
Attack
70
80+
Strength
70
80+
Defence
70
80+
Magic
55
67 for the NPC contact Lunar spell, 96 for the Spell Book Swap Lunar spell
Ranged
-
70 for full black dragonhide
Agility
-
81 for all Slayer related shortcuts, 78 with Agility potion
Prayer
43
70 for power-slaying with Piety
Fishing / Cooking
-
76/80 for sharks, higher if possible. You also use cooking to make Slayer's Respite and Wild Pie.
Herblore
-
72 so you can make your own ranging potions .
Farming
-
79 so you can grow your own dwarf weed .
Construction
-
55 so you can repair barrows armour in your house.
Items
Essential:
Full Guthan's
Dramen staff or Lunar staff
Plenty of Amulets of glory
Plenty of Games necklaces
Super sets 1
Ranging potions
Plenty of good food, at least lobsters or better. Suggested: Monkfish, because they're easy to fish or buy, and sharks for the hard tasks.
Dwarf multicannon and plenty of cannonballs or the money to buy lots of them. Cannonballs will be your most major expense whilst training Slayer. You will use about 300,000 cannonballs getting 99 Slayer.
300-400 Prayer potions
Full Proselyte
Full rune or better
Full black d'hide armour (or the best you can wear)
A good Melee weapon such as an Abyssal whip, or a Dragon scimitar for those with less money.
Plenty of starting cash (at least 1 million is suggested)
Black mask (charges aren't necessary)
1: It is possible to substitute super defence with Excalibur which has a +8 Defence boost as its special.
Recommended:
Dharok's if you have prayer potions to burn
Fighter torso
Amulet of fury
Fire cape
Clue hunting apparatus - spade, anti-poison potions, and food
Energy potions or Super energy potions
Crystal bow with recharge cost at 180k. May be substituted with a Dark bow, if you have the cash for arrows and the bow itself.
Item merchants that will take drops off your hands cheaply and quickly to resell.
Bones to Peaches spell
Saradomin book
Barrows gloves, available after completing Recipe for Disaster
Dragon defender
A Ring of wealth is entirely optional, but if you are only training slayer for the drops, then it is highly suggested that you wear one. Using a Berserker ring or a Warrior ring is a lot better for those who are slaying to level.
Strategy
Ideally, you want to get to your set task, and stay there until the task is complete. If you wish to break-even (or better) whilst training Slayer, complete any clue scrolls that are dropped. It is recommended that you use High Level Alchemy on most of the dropped items, alching anything above a steel battleaxe. Generally, you get as many nature runes as you need whilst training Slayer for you to be able to alch comfortably.
Use a Dwarf multicannon on every task where it reasonable to do so. This means that not only multi-combat area monsters should be targeted, but if there is a safe spot, you can also set up a cannon there, and only leave the safe spot to refill the cannon whilst it's doing its work. Examples of monsters that may be cannoned that aren't in a multi-combat area are Hellhounds and Fire giants .
Cannons cannot be used in the Slayer Tower nor in the Slayer Dungeon.
It is not recommended make your own cannonballs, as they give low Smithing experience and very slow to make.
Use Chaeldar in Zanaris. Once you hit 50 Slayer and 100 Combat, you can use Duradel in Shilo Village, although it is recommended that you do not use Duradel until you hit 70 Slayer, as then he can assign some of the better tasks to you, such as Dust devils and Jellies.
Having Lunar spells set may be a reasonable strategy if you don't mind not alching some of the drops and are able to complete a task in one go. You should have plenty of bank space to alch drops later, and plenty of teleport tablets. It allows you to contact the Slayer masters without having to visit them in person.
To get a new task, glory teleport to Edgeville, go east across the river with your dramen or lunar staff to the fairy ring, and run north to Chaeldar.
You should use potions frequently ( Super sets, Ranging potions) whilst training Slayer.
Slayer Tower tasks - Bank at Edgeville as necessary, then use the fairy ring code CKS to get there.
Slayer Dungeon tasks - Bank at Edgeville as necessary, use fairy ring code AJR to get there, use a Super energy potion when your tasks is deep in the dungeon, unless you have 78+ Agility for the shortcut.
In general, accept the task you're given, except in the cases noted below.
Always take some cash to the Slayer master (100k recommended), so you can buy any necessary items.
For the highly advanced players: If you really want to spend a lot of money on it, then you could do the following:
Have Lunar spells set, use NPC Contact, and only do cannon tasks, changing all ones where you can't.
Using prayer potions and Dharok's would be extremely fast experience too, but expensive.
Hire fellow players that you can kill-steal from. In theory, you could get a significant amount of Slayer XP if other players reduce monsters of your task to a small amount of Hitpoints, then run away so you can get the kill - you only get half the Slayer experience when doing this, but this is offset by the speed that the experience is gained.
Equipment and attack-styles
Your choice of equipment should be based on the monster's attack style. By keeping the customary "sets" that you will need together in the bank, it will speed up moving from one task to the next. This may involve buying 2 sets of the required items, which can be expensive. For the vast majority of players, Melee is the best option for most tasks, though there are a few notable exceptions.
Attack style
Monster examples
Basic Equipment set
Advanced equipment set
Melee attack
Gargoyles, Trolls, etc.
Rune plate, rune legs, rune defender, black mask, whip, barrows gloves, cape of achievement or obsidian cape, rune boots
Guthan's for healing, Torags legs/plate for when you don't need to heal and fire cape.
Magic-based melee attack
Banshees, Pyrefiends, Cave horrors, etc.
Black dragonhide body and chaps, whip, saradomin book or rune defender, black mask, barrows gloves, snakeskin or ranger boots
If you have high health and magic, you could try to use full Guthan's to heal.
Magic attack
Aberrant spectres
Same as Magic-based melee attack
Full proselyte, saradomin sword or abyssal whip and defender, slayer helmet, half or full inventory of prayer pots.
Ranged attack
Dagannoths
Full rune, whip
-
Dragon
green,blue,red,black
Range, crystal bow or knives recommended
-
Dragon
bronze,iron,steel
Mage, wearing full splitbark or better, and Magic dart or better spell to kill, whilst using antifire potions and a dragonfire shield.
Barrows armour or full bandos, slayer helmet, zamorakian hasta, dragonfire shield with antifire potions and a few rows of prayer pots.
Maximum slayer/slayer obsessive
Note: This may require new account. High level items and lots of money.
Quests
Cabin Fever - Access to Mos Le'Harmless to fight Jungle and Cave horrors.
Death to the Dorgeshuun - Access to Molanisks.
A Fairy Tale Part II - Access to Fairy Ring teleportation system and Goraks.
Olaf's Quest - Access to Brine rats.
Rum Deal - Access to Fever spiders.
Skippy and the Mogres - Access to Mogres.
Rag and Bone Man - Access to Mogres.
Skills
Skill
Required
Recommended
Attack
60
75+
Strength
60
70+
Defence
40
85+
Hitpoints
60
70 Access to Zamorak's Fortress
Magic
61
67 for the NPC contact Lunar spell, 96 for the Spell Book Swap Lunar spell
Ranged
-
70 for full black dragonhide
Agility
-
81 for all Slayer related shortcuts, 78 with Agility potion
Prayer
43
70 for power-slaying with Piety
Farming
-
99 for three extra spirit trees
Construction
-
55 so you can repair barrows armour in your house.
Crafting
75
After purchasing the ability to do so from any slayer master for 300 points, players can craft slayer rings which have the ability to teleport the user to multiple popular slayer locations.
Other skills
-
High enough for Quest requiments
Items
Essential:
Guthan's equipment
Dramen staff or Lunar staff
Plenty of Amulets of glory
Plenty of Games necklaces
Plenty of Slayer rings
Runes
Super sets 1
Ranging potions
Plenty of good food and potions
Dwarf multicannon and plenty of cannonballs or the money to buy lots of them. Cannonballs will be your most major expense whilst training Slayer. You will use about 300,000 cannonballs getting 99 Slayer.
Prayer potions
Initiate armour or Proselyte armour
Rune armour or better
Full Black dragonhide armour
Abyssal whip, Zamorakian hasta, Dragonfire shield
Plenty of starting coins and items, such as cannonballs
Black mask / Slayer helm
Ideal gear
Max Strength bonus gear
Max Stab attack bonus gear
Max Slash attack bonus gear
Max Range attack bonus gear
Max Magic attack bonus gear
Max Prayer bonus gear
Such as:
Salve amulet (e)
Amulet of fury
Fire cape
Saradomin godsword
Armadyl crossbow
Odium ward
Abyssal whip
Zamorakian hasta
Dragonfire shield
Rune defender
Berserker ring (i) (and other Fremennik rings imbued)
Slayer helm (i)
Proselyte armour
Barrows armour
Bandos armour (chestplate and tassets)
Dwarf multicannon and cannonballs
Blocks
A player can block up to 5 different slayer tasks from being assigned by spending Slayer points. Players will be able to block a 6th monster as a reward for completing the Lumbridge & Draynor Elite Diary. Below are some commonly blocked tasks.
Turoth
Dragons
Banshees
Desert Lizards
Goraks
Pyrefiends
Waterfiends
Jungle horrors
Black demons
Task strategies
Monster
Alch runes?
Strategy
Bronze dragons
-
Change them, as their drops do not make up for the cost.
Iron dragons
yes
Change them if you do not have at least 80 in all combat stats. If you do have 80 in all combat stats, wear full Proselyte and use Protect from Melee while meleeing them. Antifire potions will help. You can also mage them using Slayer Dart or Fire Bolt with the Chaos gauntlets, while using Antifire potions to take no damage. This course of action is best if your mage is above 80.
Steel dragons
yes
Change them if you do not have at least 90 in all combat stats. Use the same strategy as with iron dragons.
Aberrant spectres
yes
Wear a nosepeg and full black dragonhide, use melee and the protect from magic prayer if you don't care too much about individual herb drops and want the task over quickly. Another option is simply to change them.
Shadow warriors
no
Melee
Pyrefiends
natures only
Magic-based melee attack, use full black dragonhide/whip or range if you are a lower level.
Basilisks
fires only
Mirror shield, melee, Bones to Peaches is an option.
Trolls
yes
Trollheim, cannon is an option. Wear full rune and use melee. There is a cannon spot on Death Plateau, just behind one of the houses. Placing it in the correct location means you get to hit two Troll generals as well, without ever being hit yourself, meanwhile using range. Just bear in mind this is not overly quick, and can be expensive.
Jellies
yes
Quicker to take second shortcut than go round to get to them. Uses a magic-based melee attack. Wear full black dragonhide and use melee.
Dagannoths
no
Go to lighthouse, use cannon, wear melee armour and use melee, but you'll spend most of your time filling the cannon rather than fighting, so bring range and super defence potions if needed. Fast slayer exp. You will lose money on this task (cannonballs), but growing the herb seed drops may mitigate the loss somewhat.
Dust devils
yes
Melee, good task if you have a Slayer helmet on. If you do not own one, it can be a somewhat annoying task. Bones to Peaches is a very good helper on dust devils, unless you plan on using prayer or helm switching with guthan's.
Gargoyles
no
Guthan's strongly recommended because they hit hard, you'll need a nosepeg to get there faster using shortcut, and you'll need a rock hammer. There is also one safespot if you wish to range them.
Wall beasts
no
Need spiny helm, melee
Cave horrors
fires only
Wear full black dragonhide/melee. Fairly tough to do in a single sitting, so guthan's should be an option. Requires a witchwood icon to melee them. They can be ranged from a safespot.
Hellhounds
no
Go to Taverley Dungeon, put cannon on upper floor, and it will hit the ones below. Preferably use full black and range the nearest one, there's plenty of hiding spots even on the upper floor. Level 3 clues may pay for the cost of the cannonballs if you're lucky.
Blue dragons
no
Range them. Blue dragons are worthwhile spending some time over, because they're a good money making/extra experience trip. Killing the dragons in Gu'Tanoth is recommended because they're less busy than the ones in the Taverley Dungeon, ranging them with a crystal bow is fairly fast and the hides more than pay for the recharge of the bow, and you get excellent Prayer experience from them. Having your house in Yanille can speed up banking/return trips significantly.
Jungle horrors
no
Change them, as they are tough and slow experience. Their drops are also poor.
Kurasks
yes
Changing recommended. If you want to fight them, ranging is recommended using broad arrows, there are 2 safe ranging spots there, and broad arrows are at least as fast as the leaf-bladed sword, especially when potted. The only downside is that this trip will cost you around 100k in broad arrows, but you'll make this back in clues/rune long drops/mystic bottom drops. If you use broad-tipped bolts, you won't have too much of a problem with them.
Kalphites
yes
Melee, use cannon on the warriors in the cave where the potato cacti are found. You will lose money on this task (cannonballs), but pick up some potato cacti before you leave as these are worth significant amounts and are in relatively high demand from players training herblore. You could also range or halberd the guardians outside of the Kalphite Queen 's lair, as they give better loot and more experience, but are more difficult to kill.
Fire giants
natures only
Go to waterfall area and set up cannon in main room, hide by the door and just watch the cannon do its work. Fast slayer experience. Almost certain money loss on this task, but you may get some rune scimitar drops to mitigate it, and if you're *extremely*lucky, a dragon medium helmet .
Elves
yes
If your combat is reasonably high or you need teleport crystals, do them (use melee), otherwise they should be changed. Best option is in Lletya because there is an altar and a bank close to the spawns for the elves. They have reasonable drops, but their defence is notably high, so this will be slow experience, unless you can deal significant damage with a cannon and/or dharoks.
Turoths
yes
Changing recommended. If you wish to fight them, use a Leaf-bladed sword. It is possible to range them using broad arrows, as there are 2 safespots you can utilise. Bones to Peaches is an option if you do decide to do them. Broad-tipped bolts are a better option instead of broad arrows.
Cockatrices
no
use mirror shield/melee
Bloodvelds
yes
magic-based melee attack, so use full black dragonhide/melee. Bones to Peaches an option. They don't have particularly good drops, but they're good experience as they have a high number of hitpoints, lowish defence, and don't hit particularly hard. Also, they can be ranged from behind the chair in the northeast corner of the larger room.
Werewolves
no (bank is close)
Either melee or range them.
Zygomites
no
They're only given out in low numbers, but they're worth doing because they're fairly close to Chaeldar. Use full black dragonhide and melee them. Need fungicide spray/reloads.
Nechryael
no
Use melee. The annoying death spawns can be avoided simply by running to the other side of the room or running around with the death spawn behind or on the side of the nechryael. You can use guthan's to heal on the spawns, and even use guthan's to heal on someone else's spawn if necessary. Remember a nosepeg or Slayer helmet if you go through the shortcut past the Aberrant spectres .
Black demons
yes
Hide in one of the safe spots in the Taverley Dungeon and use a cannon whilst ranging the nearest demon. This is tough to carry out as black demons hit extremely hard - taking a couple of prayer potions helps as well as some good food. You will lose a lot of money on this task if you're using a cannon. Their Rune chainbody drops may decrease the money lost from cannoning.
Another option if you have completed Monkey Madness II: killing Demonic gorillas, at over 400 Slayer xp each and drops such as the Heavy frame and Zenyte shard, are well worth the extra time it takes to kill them.
Temporary boosts
A Slayer's respite will boost Slayer by 2. This can be brewed using the Cooking skill.
A mature Slayer's respite will boost Slayer by 4. This can also be brewed using the Cooking skill.
A Wild pie will boost Slayer by 5.
A Black mask and a Slayer helmet will boost both Attack and Strength by ~16.67% (7/6) while fighting monsters that have been assigned to you by a Slayer master. The masks have a number of charges, represented by a number behind them from 10 to 1. When you still have a charges, you will sometimes have your opponent's Defence decreased. Each time this effect takes place, you lose one charge. When black masks lose all their charges, they have no number. There is no known way to recharge them, but the charges are not required.
A Black mask (i) or a Slayer helmet (i) will boost Attack, Strength by ~16.67% (1/6) and Magic accuracy, magic damage, and Ranged damage and accuracy by 15%.
Salve amulet (e) and Salve amulet (ei) is useful when fighting any undead monster ( Aberrant spectres, Banshees, Shades, etc.) The bonuses do not stack with the effect of a Black mask or Slayer helmet; however, they DO stack with the Void Knight Equipment .
The Salve amulet is a reward from the Haunted Mine quest. You can enchant it (make it a Salve amulet (e)) by defeating Tarn Razorlor and using the book on the amulet. Black masks are available by fighting Cave horrors in a cave on Mos Le'Harmless. When meleeing Cave horrors, a Witchwood icon is required.
Quests rewarding Slayer experience
Main article: Quest experience rewards
Quest
Experience
reward
Slayer req.
Other requirements
Natural history quiz
( miniquest)
1,000
-
-
Recipe for Disaster
( Dwarf subquest)
1,000
-
-
Animal Magnetism
1,000
18
19 , 30 , 35
The General's Shadow
( miniquest)
2,000
-
-
Royal Trouble
5,000
40
40
Wanted!
5,000
-
32
Lair of Tarn Razorlor
( miniquest)
5,000
40
-
Monkey Madness II
25,000
69
70 , 60 , 55 , 55
Total
45,000
Skill choice
Upon completing any of the following quests, players may choose to allocate experience to Slayer. These rewards usually come in the form of items, such as lamps or books, and are independent of any experience rewards directly received for completing the quest.
Quest
Experience
reward
Skills available
Skill requirements
Client of Kourend
500 twice
Any
-
Fairytale II - Cure a Queen
2,500
Any skill above 30
49 , 57
A Tail of Two Cats
2,500 twice
Any skill above 30
-
The Great Brain Robbery
5,000
Any skill above 30
16 , 30 , 50
King's Ransom
5,000
Any skill above 50
65
Darkness of Hallowvale
2,000 three times
Any skill above 30
5 , 20 , 22 , 32 , 33 , 40
Curse of the Empty Lord
( miniquest)
10,000
Any skill above 50
Some players will need 31
One Small Favour
10,000 twice
Any skill above 30
36 , 25 , 18 , 30
Recipe for Disaster
( The final battle)
20,000
Any skill above 50
175 , 48 , 50 , 53 , 53 , 25 , 59 , 40 , 50 , 40 , 40 , 10 , 10 , 36
Total
74,500
References
↑ Jagex. Mod Ash's Twitter account. 18 January 2016. Mod Ash: "7/6."
See also
Slayer monsters
v • d • e
Skills
Support
Agility • Slayer • Thieving
Gathering
Woodcutting • Mining • Fishing • Hunter • Farming
Combat
Attack • Strength • Hitpoints • Defence • Magic • Ranged • Prayer
Artisan
Firemaking • Fletching • Cooking • Smithing • Runecrafting • Crafting • Herblore • Construction
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http://2007.runescape.wikia.com/wiki/Slayer_master | Slayer master | Old School RuneScape Wiki | Fandom | Slayer master
Slayer master
Slayer Masters
Turael
Krystilia
Mazchna
Vannaka
Chaeldar
Nieve/Steve
Duradel
| Slayer master | Old School RuneScape Wiki | Fandom
Slayer master
RS
This article is about the NPCs that give slayer assignments. For the term for a player with level 99 Slayer, see Slayer cape.
Slayer Masters are masters of the Slayer skill. They can assign you a certain number of monsters to kill in order to raise your Slayer level. Each Slayer Master requires a certain Slayer and combat level in order to be assigned monsters. Players will also receive Slayer reward points upon completing tasks after completing five tasks (except Turael).
All slayer masters sell useful items. The store article is at Slayer equipment .
Slayer Masters
Slayer Master
Combat level required
Turael
None
Krystilia
None
Mazchna
20
Vannaka
40
Chaeldar
70
Nieve / Steve
85
Duradel
100 and level 50 Slayer
↑ After the events of Monkey Madness II, Steve replaces Nieve as the slayer master in the Tree Gnome Stronghold. Information on Steve as a slayer master can be found below.
Turael
The location of Turael.
Turael gives the easiest tasks and is ideal for lower level players. They have no minimum combat or Slayer level requirements before players may receive assignments.
He is located in a small house south of the general store in Burthorpe. The quickest ways to reach them are to use:
A Games necklace to the Burthorpe Games Room, down the stairs and run east.
A Combat bracelet to teleport to the Warriors' Guild and run east.
If a player of any level receives an assignment they do not wish to do, Turael may consider giving players an easier assignment if they talk to him. However, this only works if the assignment is something that he doesn't assign. For example, if Chaeldar assigns a player Desert Lizards, then the Burthorpe slayer master cannot change their task, as he too assigns Desert Lizards. However, if the number given is far greater than Turael would normally give, it is possible to change your task. For example, if Duradel assigns 140+ Kalphite, then Turael will change this, as he would not assign that many to kill. In this case, Turael will give a new assignment, which could be a new creature to slay or fewer of the same creature. Note that it is impossible for a player to get Turael to reassign a task that he gave out.
Slayer points
Completion of a task assigned by Turael will not grant any slayer points, in fact, if it was a task replacing one from another master, it will reset all the tasks you did before. So, if you're on the 48th task and take a replacement one from Turael, all progress will be reset to 0.
Krystilia
The location of Krystilia.
Krystilia 's tasks come with a risk: tasks assigned by her must be done within the Wilderness. She has no minimum combat or Slayer level requirements, and can be found by the jailhouse in Edgeville, north-east of the bank.
Assignments from her have a separate task completion counter to standard assignments, so players will have to complete five of her slayer assignments to begin earning slayer reward points.
Slayer points
Completion of a task assigned by Krystilia grants:
25 points per task
125 for every 10th
375 for every 50th
625 for every 100th
875 for every 250th
1,250 for every 1,000th
Mazchna
The location of Mazchna.
Mazchna is the second easiest Slayer Master. The minimum combat level requirement to be assigned tasks from him is 20.
Mazchna is located northeast of Canifis. The fastest ways to reach him are to use:
Using the Kharyrll portal from your POH.
Using Fairy ring code CKS, arriving west of Canifis.
Using an Ectophial to arrive at the Ectofuntus and run west.
Use the charter ship to Port Phasmatys
Slayer points
Completion of a task assigned by Mazchna grants:
2 slayer points per normal task
5 for every 10th
15 for every 50th
50 for every 100th
70 for every 250th
100 for every 1,000th
Vannaka
The location of Vannaka.
Vannaka is a mid-level Slayer Master. The minimum combat level requirement to be assigned tasks from Vannaka is 40.
He is located in the Edgeville Dungeon, east of the Wilderness gate. The fastest ways to reach him are to use:
An Amulet of glory teleport to Edgeville, north of the dungeon entrance.
Fairy ring code DKR, arriving east of Edgeville.
Using the Paddewwa Teleport, teleporting you inside of the dungeon.
Slayer points
Completion of a task assigned by Vannaka grants:
4 slayer points per normal task
20 for every 10th
60 for every 50th
100 points per 100th task
140 points per 250th task
200 points per 1,000th task
Chaeldar
The location of Chaeldar.
Chaeldar is a hard Slayer Master. To be assigned monsters from her, you must have completed Lost City and have a minimum combat level of 70.
She is located in Zanaris. The fastest way to reach her is to use a Fairy ring to go to Zanaris. Otherwise, one can reach her by entering the shed in the Lumbridge Swamp whilst wielding a Dramen staff or Lunar staff .
Slayer points
Completion of a task assigned by Chaeldar grants:
10 slayer points per normal task
50 for every 10th
150 for every 50th
250 points per 100th task
350 points per 250th task
500 points per 1,000th task
Nieve/Steve
The location of Nieve.
Nieve is the second hardest Slayer Master. The minimum combat level requirement to be assigned tasks from Nieve is 85. After the events of Monkey Madness II, Steve replaces Nieve as the slayer master.
She is located in the Tree Gnome Stronghold, near the yew trees and the southern bank. The fastest way to reach her is to use:
A Slayer ring teleport to the Stronghold Slayer Cave.
A ring of dueling teleport to Castle Wars, and then the Balloon Transport System to the Grand Tree.
A Spirit tree to the Tree Gnome Stronghold and run south-west.
A Gnome Glider to the Grand Tree and run south-west after leaving the grand tree.
Slayer points
Completion of a task assigned by Nieve grants:
12 (15) slayer points per normal task
60 (75) for every 10th
180 (225) for every 50th
300 (375) for every 100th
420 (525) for every 250th
600 (750) for every 1,000th
↑ 1.0 1.1 1.2 1.3 1.4 1.5 After completing the Elite Western Provinces Diary, players will have an increased number of points received per task, equivalent to that of Duradel.
Duradel
The location of Duradel.
Duradel is the hardest Slayer Master. To be assigned tasks from Duradel, players must have a Slayer level of at least 50, and a combat level of at least 100. Also, to be able to enter Shilo Village, where Duradel resides, players must have completed the Shilo Village quest.
He is located on the platform bridging the river at the fishing shop in Shilo Village. Although Duradel is usually north of the river (or sometimes on the bridge), he cannot be accessed from north of the river. Instead, enter the fishing shop south of the river, climb the ladder there, and cross the bridge to get to him.
The fastest ways to reach Shilo Village are to use:
Karamja gloves 4 to teleport directly to Duradel.
Karamja gloves 3 to teleport to the Shilo Village mine.
The Shilo Village cart system to Shilo Village from the north end of Brimhaven.
Fairy ring code CKR, arriving west of Shilo Village.
Teleport to Ardougne, pay fare from the docks south-east of the east bank, and ride cart from Karamja docks to Shilo Village.
Alternatively, players can use the Lunar spell NPC Contact to receive a new task from Duradel without having to travel to Shilo Village.
Slayer points
Completion of a task assigned by Duradel grants:
15 slayer points per normal task
75 for every 10th
225 for every 50th
375 for every 100th
525 for every 250th
750 for every 1,000th
v • d • e
Slayer masters
Turael • Krystilia • Mazchna (20) • Vannaka (40) • Chaeldar (70) • Nieve (85) / Steve (85) • Duradel (100)
(XX) Combat level requirement
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Slayer masters
Non-player characters
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Slayer reward point
Slayer reward points
Also known as?
Release date
Members only?
Approximate value
Obtaining points
Assignments
Rewards
Unlock
Extend
Buy
Tasks
| Slayer reward point | Old School RuneScape Wiki | Fandom
Slayer reward point
RS
Slayer reward points
Also known as?
Slayer points
Release date
12 December 2013 ( Update)
Members only?
Yes
Approximate value
Unknown
Slayer reward points is a reward system that awards points after every completed task, and bonus points are awarded after every 10th, 50th, 100th, 250th and 1000th completed task. The only Slayer Master that does not award points for completed tasks is Turael. The higher level the Slayer Master, the more points are received. Slayer reward points can be traded in to any Slayer Master for various rewards.
Players can cancel or block tasks at the cost of slayer reward points.
In order to obtain all the rewards and blocks at least once, a total of 9580 points are required. To obtain this number of points approximately 461 sequential tasks are required using a base of 15 points, not including the Slayer Helmet recolours will drastically reduce it to around 270.
Obtaining points
The only way of obtaining Slayer points is by completing Slayer assignments. Slayer points will only be rewarded after completing the first five tasks.
Assignments
If attempting to gain points quickly, players are advised to use Mazchna for the first nine Slayer tasks and then any Slayer Master that gives decent tasks for the player's combat level .
Bonus points are gained at regular intervals, giving a certain amount more than the Slayer Master's regular points. Players are recommended to use the Slayer Master having the highest requirements they meet once they approach the final task, due to the large increase in Slayer points given:
5x points every 10th task
15x points every 50th task
25x points every 100th task
35x points every 250th task
50x points every 1,000th task
Slayer Master
Points per task
Points per 10 th
Points per 50 th
Points per 100 th
Points per 250 th
Points per 1,000 th
Notes
Turael
0
0
0
0
0
0
Changing a task with Turael resets the task count to zero, and therefore makes the player need to do another four tasks to start receiving points again. Completing tasks set by him contributes to the four needed to start gaining points. Players should not use this Slayer Master, especially if nearing the 10 th or 50 th task.
Mazchna
2
5
15
50
70
100
Mazchna's tasks are easy and fast, therefore he should be used to complete the first four tasks and quickly begin earning points.
Warning: Even though the first 4 tasks do not give Slayer points, they count as 4 of the first 10 for higher amounts of reward points.
Vannaka
4
20
60
100
140
200
An advantage of using Vannaka over Mazchna is that Vannaka gives more experience per task. However, Vannaka's tasks will take longer.
Chaeldar
10
50
150
250
350
500
Players who find that they can complete Vannaka's tasks quickly and proficiently may decide to switch to Chaeldar, for better experience and more Slayer points, despite taking longer to complete, as it can accumulate to more experience and points over a period of time.
Nieve / Steve
12
(15)
60
(75)
180
(225)
300
(375)
420
(525)
600
(750)
Nieve's tasks are very similar to Duradel's - the main difference is that fewer monsters are set by Nieve. Nieve is not recommended for the first four tasks, as her tasks can be time-consuming. Nieve is best used by players who lack the combat and/or Slayer level to use Duradel.
Duradel
15
75
225
375
525
750
Duradel is not recommended for the first four tasks, as his tasks are long and relatively difficult. However, they are highly recommended for all tasks after, due to the comparatively high amount of points received upon completing his tasks.
Krystilia
25
125
375
625
875
1,250
Krystilia's tasks offer the most points, but her tasks can only be completed by killing monsters found within the Wilderness .
Assignments from her have a separate task completion counter to standard assignments.
↑ 1.0 1.1 1.2 1.3 1.4 1.5 Completion of the Elite Western Provinces Diary increases the slayer reward points to match those of Duradel.
Rewards
Unlock
Unlock
Points cost
Notes
Gargoyle smasher
120
Gargoyles are automatically dealt the finishing blow if the player has a Rock hammer in their inventory.
Slug salter
80
Rock slugs are automatically dealt the finishing blow if the player has a Bag of salt in their inventory.
Reptile freezer
90
Desert lizards are automatically dealt the finishing blow if the player has an Ice cooler in their inventory.
'Shroom sprayer
110
Mutated zygomites are automatically dealt the finishing blow if the player has Fungicide spray & Fungicide .
Broader fletching
300
Learn to fletch Broad arrows (level 52 Fletching ), Broad bolts (level 55 Fletching ), and Amethyst broad bolts (level 76 Fletching ).
Malevolent masquerade
400
Learn to assemble a Slayer helmet, which requires level 55 Crafting .
Ring bling
300
Learn to craft a Slayer ring, which requires level 75 Crafting .
Seeing red
50
Duradel and Nieve will be able to assign you Red dragons as your task.
I hope you mith me
80
Duradel and Nieve will be able to assign you Mithril dragons as your task.
Watch the birdie
80
Duradel, Nieve and Chaeldar will be able to assign you Aviansies as your task.
Hot stuff
100
Duradel, Nieve and Chaeldar will be able to assign TzHaar as your task. You may also be offered a chance to slay TzTok-Jad .
Reptile got ripped
75
Duradel, Nieve, and Chaeldar will be able to assign Lizardmen as your task.
Like a boss
200
Duradel and Nieve will be able to assign boss monsters as your task, excluding the Corporeal Beast .
Bigger and Badder
150
Increase the risk against certain slayer monsters with the chance of a superior version spawning whilst on a slayer task.
King black bonnet
1,000
Learn how to combine a KBD head with your slayer helm to colour it black .
Kalphite khat
1,000
Learn how to combine a Kalphite Queen head with your slayer helm to colour it green .
Unholy helmet
1,000
Learn how to combine an Abyssal Demon head with your slayer helm to colour it red .
Dark Mantle
1,000
Learn how to combine a Dark Claw with your slayer helm to colour it purple .
Undead Head
1,000
Learn how to combine Vorkath's head with your slayer helm to colour it turquoise .
Duly noted
200
Mithril dragons drop mithril bars in banknote form while killed on assignment.
Stop the Wyvern
500
Stops you getting Fossil Island Wyvern tasks, without counting towards your blocked task limit.
Double Trouble
500
Slaying Dusk and Dawn now counts for two kills towards your task rather than one.
Extend
Unlock
Points cost
Notes
Need more darkness
100
Amount of dark beasts assigned is increased to 100-149.
Ankou very much
100
Amount of ankous assigned is increased to 91-149.
Suq-a-nother one
100
Amount of suqahs assigned is increased to 185-250.
Fire & Darkness
50
Amount of black dragons assigned is increased to 40-60.
Pedal to the metals
100
Amount of bronze, iron and steel dragons assigned is increased to 30-50, 60-100 and 40-60, respectively.
I really mith you
120
Amount of Mithril dragons assigned is increased to 20-40.
Ada'mind some more
100
Amount of Adamant dragons assigned is increased to 20-30.
RUUUUUNE
100
Amount of Rune dragons assigned is increased to 30-60.
Spiritual fervour
100
Amount of Spiritual mages assigned is increased to 181-250.
Birds of a Feather
100
Amount of aviansies assigned is increased to 130-250.
Greater challenge
100
Amount of Greater demons assigned is increased to 150-200.
It's dark in here
100
Amount of Black demons assigned is increased to 200-250.
Bleed me dry
75
Amount of Bloodvelds assigned is increased to 200-250.
Smell ya later
100
Amount of Aberrant spectres assigned is increased to 200-250.
Horrorific
100
Amount of Cave horrors assigned is increased to 200-250.
To dust you shall return
100
Amount of Dust devils assigned is increased to 200-250.
Wyver-nother one
100
Amount of Skeletal Wyverns assigned is increased to 50-70.
Get smashed
100
Amount of Gargoyles assigned is increased to 200-250.
Nechs please
100
Amount of Nechryaels assigned is increased to 200-250.
Augment my abbies
100
Amount of Abyssal demons assigned is increased to 200-250.
Krack on
100
Amount of Cave krakens assigned is increased to 150-200.
Get scabaright on it
50
Amount of Scabarites assigned is increased to 130-170.
Wyver-nother two
100
Amount of Fossil Island wyverns assigned is increased to 55-75.
Buy
Item
Points cost
Notes
Slayer ring
75
An equippable ring that provides all the functions of an Enchanted gem, and provides 8 charges for teleporting to useful Slayer sites .
Broad bolts
35
250 broad bolts. These are bolts that can damage Turoths and Kurasks. Level 55 Slayer and 61 Ranged, and a Rune crossbow, Dragon crossbow, or Armadyl crossbow is required to fire these bolts.
Broad arrows
35
250 broad arrows. These are arrows that can damage Turoths and Kurasks. Level 55 Slayer and 50 Ranged, and a Magic shortbow / longbow or better, are required to fire these arrows.
Herb sack
750
Stores up to 30 of each type of grimy herb (for a total of 420 herbs).
Level 58 Herblore is required.
Rune pouch
1,250
Stores 16,000 of three types of runes .
Tasks
Action
Points cost
Notes
Skip task
30
Skips the player's current assignment without penalties.
Block task
100
Skips the player's current assignment without penalties and permanently removes the assignment from the player's list of possible assignments - the player will not be assigned that monster again, unless they cancel the block. There is a maximum limit of 6 types of assignments that can be blocked on one account - one for every 50 quest points a player has up to 250 quest points for the first 5 blocks, and the 6th block requires completion of the Elite Lumbridge & Draynor Diary, which requires a Quest point cape .
Note: Cancelling the removal of monsters allows the monster to be assigned again, but does not refund points spent removing the monster.
v • d • e
Currencies
Tradeable
Coins • Archery tickets • Numulites • Platinum tokens • Survival tokens • Trading sticks
Untradeable
Agility arena tickets • Blood money • Castle wars tickets • Ecto-tokens • Frog tokens • Golden nuggets • Glistening tears • Marks of grace • Mermaid's tears • Paramaya tickets • Pieces of eight • Reward token • Tokkul • Unidentified minerals • Warrior guild tokens
Virtual
Bounty Hunter points • Honour points • Nightmare Zone reward points • Pizazz points • Slayer reward points • Void Knight commendation points
v • d • e
Slayer equipment
Equipment from Slayer Masters
Broad arrows • Earmuffs • Facemask • Insulated boots • Leaf-bladed spear • Nose peg • Mirror shield • Slayer gloves • Slayer's staff • Spiny helmet • Lit bug lantern • Witchwood icon
Items from Slayer Masters
Bag of salt • Enchanted gem • Fishing explosive • Fungicide spray • Fungicide • Rock hammer • Rock thrownhammer • Ice cooler • Slayer bell • Broad arrowheads • Unfinished broad bolts • Broad arrowhead pack • Unfinished broad bolt pack
Purchased with Slayer reward points
Slayer ring ( eternal) • Broad bolts • Herb sack • Slayer helmet ( imbued) • Black slayer helmet ( imbued) • Green slayer helmet ( imbued) • Red slayer helmet ( imbued) • Purple slayer helmet ( imbued) • Turquoise slayer helmet ( imbued)
Others
Black mask ( imbued) • Leaf-bladed sword • Leaf-bladed battleaxe • Slayer's staff (e) | msmarco_doc_00_9012131 |
http://2007.runescape.wikia.com/wiki/Steel_Dragon | Steel dragon | Old School RuneScape Wiki | Fandom | Steel dragon
Steel dragon
Steel dragon
Release date
Members?
Combat level
Always drops
Examine
Combat info
Hitpoints
Aggressive
Poisonous
Max hit
Weakness
Attack Styles
Slayer info
Slayer level
Slayer XP
Category
Assigned by
Combat stats
Aggressive stats
Defensive stats
Other Bonuses
Immunities
Attack speed
Contents
Locations
Drops
100%
Weapons/Armour
Runes/Ammunition
Other
Tertiary drops
Gem drop table
References
| Steel dragon | Old School RuneScape Wiki | Fandom
Steel dragon
RS
This article has a strategy guide here.
All information on mechanics and strategy will be on this page.
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Normal Catacombs of Kourend
Steel dragon
Release date
17 January 2005 ( Update)
Members?
Yes
Combat level
246
Always drops
Dragon bones, 5 Steel bars
Examine
Its scales seem to be made of steel.
Combat info
Hitpoints
210
Aggressive
Yes
Poisonous
No
Max hit
22 (Melee), 50+ (Dragonfire)
Weakness
Stab, Magic, dragon hunter crossbow
Attack Styles
Melee (slash), Dragonfire (long-ranged)
Slayer info
Slayer level
1
Slayer XP
220.5
Category
Steel dragon
Assigned by
Combat stats
215
215
215
100
1
Aggressive stats
+0
+0
+0
+0
+0
Defensive stats
+50
+70
+70
+30
+90
Other Bonuses
?
?
+0
+0%
Immunities
Not immune
Not immune
Attack speed
Steel dragon
Release date
9 June 2016 ( Update)
Members?
Yes
Combat level
274
Always drops
Dragon bones, 5 Steel bars
Examine
Its scales seem to be made of steel.
Combat info
Hitpoints
250
Aggressive
Yes
Poisonous
No
Max hit
24 (Melee), 50+ (Dragonfire)
Weakness
Stab, Magic, dragon hunter crossbow
Attack Styles
Melee (slash), Dragonfire (long-ranged)
Slayer info
Slayer level
1
Slayer XP
262.5
Category
Steel dragon
Assigned by
Combat stats
235
235
235
130
1
Aggressive stats
+0
+0
+0
+0
+0
Defensive stats
+50
+70
+70
+30
+90
Other Bonuses
?
?
+0
+0%
Immunities
Not immune
Not immune
Attack speed
Steel dragons are powerful dragons found in the Brimhaven Dungeon and the Catacombs of Kourend. Steel dragons are the fourth strongest of the six kinds of metallic dragons, behind mithril dragons, adamant dragons and rune dragons. They have a chance of dropping the draconic visage, which is the motivation of many steel dragon killers. Like their fellow metallic brethren, steel dragons can use long-range dragonfire in addition to using melee. The steel dragon boasts a higher max hit and accuracy compared to the iron dragon, although it is far weaker than a mithril dragon.
When given a task of steel dragons for Slayer, they can be an extremely hard and long task for unprepared players. The cheapest way for players to kill them are using bolt spells with chaos gauntlets to increase damage. Players can also use a slayer's staff (e) and Magic Dart. Alternatively, players can use ranged with an imbued slayer helmet to cover up lost accuracy against the dragon's high ranged defence. Higher levelled players can use the Zamorakian hasta or trident of the seas / swamp to kill steel dragons.
They drop rune items frequently and have an increased chance of dropping dragon platelegs and dragon plateskirts over their weaker metal counterparts (being the iron and bronze dragons ). However, the runite limbs, axes and maces generate quite a nice sum of coins when high-alched to conserve inventory space.
Players can pick up the steel bars they drop to make profit, as they drop 5 at a time. However, this is unviable because players will need to bank after 4-5 kills which can hamper kill rates. Even with the completion of the Elite Karamja Diary, which notes their steel bars, it is somewhat impractical as they are surrounded by many iron dragons.
If they are fought without complete dragonfire protection, it is recommended to stay in melee range and use Protect from Melee, to reduce the amount of dragonfire damage taken.
Contents
1
Locations
2
Drops
2.1
100%
2.2
Weapons/Armour
2.3
Runes/Ammunition
2.4
Other
2.5
Tertiary drops
2.6
Gem drop table
3
References
Locations
Brimhaven Dungeon (13 spawns)
4 spawns in the main area of the dungeon, with an additional 9 spawns in a task-only area
Catacombs of Kourend (2 spawns)
Drops
100%
Item
Quantity
Rarity
GE market price
Dragon bones
1
Always
2,713
Steel bar
5
Always
2,365
Weapons/Armour
Item
Quantity
Rarity
GE market price
Rune mace
1
Common
8,238
Adamant kiteshield
1
Uncommon
2,950
Rune knife
5–7
Uncommon
1,565–2,191
Rune axe
1
Rare
7,181
Rune full helm
1
Rare
20,588
Dragon plateskirt
1
Rare (1/512)
161,137
Dragon platelegs
1
Rare (1/512)
161,162
Runes/Ammunition
Item
Quantity
Rarity
GE market price
Blood rune
15; 20
Common
5,505–7,340
Rune javelin
2–7
Common
350–1,225
Dragon javelin heads
12
Uncommon
11,448
Runite bolts
2–12
Uncommon
806–4,836
Rune dart (p)
9–12
Uncommon
9,882–13,176
Soul rune
5
Uncommon
730
Other
Item
Quantity
Rarity
GE market price
Runite limbs
1
Common
9,428
Super attack (3)
1
Common
109
Coins
470; 650
Uncommon
Not sold
Curry
1–2
Uncommon
974–1,948
Runite bar
1
Uncommon
12,368
Super defence (2)
1
Uncommon
287
Super strength (1)
1
Uncommon
376
Gem drop table
1
Uncommon (1/32)
Not sold
Clue scroll (hard)
1
Uncommon (1/64)
Not sold
Tertiary drops
These items are dropped alongside the other items listed above.
Item
Quantity
Rarity
GE market price
Ancient shard
1
Rare (1/166.66)
Not sold
Dark totem base
1
Rare (1/290)
Not sold
Dark totem middle
1
Rare (1/290)
Not sold
Dark totem top
1
Rare (1/290)
Not sold
Clue scroll (elite)
1
Rare (1/500)
Not sold
Draconic visage
1
Very rare (1/10,000)
4,940,340
Gem drop table
In addition to the drops above, this monster has a 1/32 chance to access the gem drop table .
Show/hide gem drop table
Item
Quantity
Rarity
GE market price
Uncut sapphire
1
Rare
(1/128; 1/96)
455
Uncut emerald
1
Rare
(1/256; 1/192)
679
Uncut ruby
1
Rare
(1/512; 1/384)
1,249
Chaos talisman
1
Very rare
(1/1,365.33; 1/1,024)
505
Uncut diamond
1
Very rare
(1/2,048; 1/1,536)
2,627
Rune javelin
5
Very rare
(1/4,096; 1/3,072)
875
Loop half of key
1
Very rare
(1/4,096; 1/3,072)
10,307
Tooth half of key
1
Very rare
(1/4,096; 1/3,072)
10,840
Rune spear
1
Very rare
(1/65,536; 1/5,760)
11,933
Shield left half
1
Very rare
(1/131,072; 1/11,520)
65,697
Dragon spear
1
Very rare
(1/174,762.67; 1/15,360)
37,226
↑ 1.00 1.01 1.02 1.03 1.04 1.05 1.06 1.07 1.08 1.09 1.10 The drop rate is increased when wearing a Ring of wealth.
References
↑ 1.0 1.1 The drop rate is 1/512 for a specific legging, or 1/256 for any leggings.
↑ Only dropped after completion of Monkey Madness II.
↑ 3.0 3.1 3.2 3.3 Only dropped by those found within the Catacombs of Kourend.
v • d • e
Dragons and dragon-like races
Chromatic dragons
Green ( baby) ( brutal) • Blue ( baby) ( brutal) • Red ( baby) ( brutal) • Black ( baby) ( brutal)
Metal dragons
Bronze • Iron • Steel • Mithril • Adamant • Rune
Slayer monsters
Long-tailed Wyvern • Spitting Wyvern • Taloned Wyvern • Skeletal Wyvern • Brutal black • Ancient Wyvern
Other
Lava • Reanimated • Revenant
Bosses
Elvarg • King Black Dragon • Vorkath • Galvek
NPCs
Mr. Mordaut • K'klik
Dragonkin
Dragonkin (A Tail of Two Cats) • Dragonkin (Dragon Slayer II) • Zorgoth | msmarco_doc_00_9024513 |
http://2007.runescape.wikia.com/wiki/Steel_kiteshield | Steel kiteshield | Old School RuneScape Wiki | Fandom | Steel kiteshield
Steel kiteshield
Steel kiteshield
Release date
Members only
High Alchemy
Low Alchemy
Destroy
Store price
Exchange price
Buy limit
Weight
Drop Rate
Drops From
Examine
Monster drop
| Steel kiteshield | Old School RuneScape Wiki | Fandom
Steel kiteshield
Steel kiteshield
Detailed
RSC RS
Release date
4 January 2001 ( Update)
Members only
No
High Alchemy
510 coins
Low Alchemy
340 coins
Destroy
Drop
Store price
807 coins
( Seddu)
Exchange price
265
265
coins ( info)
Buy limit
125
Weight
5 kg
Drop Rate
Unknown
Drops From
Unknown
Examine
A large metal shield.
Loading...
The steel kiteshield is the fourth-best smithable kiteshield, requiring 5 Defence to wield. A player with 42 Smithing can make the shield by using three steel bars on an anvil while carrying a hammer, granting 112.5 Smithing experience. It can be purchased at Seddu's Adventurer's Store in Nardah.
Cassie's Shield Shop in Falador, however, usually has none in stock.
Monster drop
Moss giant
Dagannoth supreme
Dagannoth prime
Dagannoth rex
v • d • e
Kiteshield
Standard
Bronze • Iron • Steel • Black • White • Mithril • Adamant • Rune • Dragon
Treasure Trails
3rd age
Trimmed
Bronze • Iron • Steel • Black • Mithril • Adamant • Rune
Gold-trimmed
Bronze • Iron • Steel • Black • Mithril • Adamant • Rune • Gilded • Dragon
God
Guthix • Saradomin • Zamorak • Armadyl • Ancient • Bandos
Heraldic
Black
H1 • H2 • H3 • H4 • H5
Adamant
H1 • H2 • H3 • H4 • H5
Rune
H1 • H2 • H3 • H4 • H5
Other
Corrupted • Heraldic (Construction) • Runefest • Training • Wooden
Castle Wars
Red • White • Gold
Falador Diary
2 • 3 • 4
v • d • e
Steel equipment
Melee weapons
Dagger • Axe • Mace • Claws • Sword • Longsword • Scimitar • Spear • Warhammer • Battleaxe • Two-hander • Halberd • Hasta • Pickaxe
Ranged weapons/ammo
Crossbow • Bolts • Arrows • Brutal arrows • Throwing axe • Throwing knife • Javelin • Darts • Cannonball
Armour
Medium helm • Full helm (t) (g) • Chainbody • Platebody (t) (g) • Gloves • Square shield • Kiteshield (t) (g) • Platelegs (t) (g) • Plateskirt (t) (g) • Boots • Defender
Other
Bar • Nails • Arrowtips • Javelin heads • Dart tips • Unfinished bolts • Broken axe • Broken pickaxe | msmarco_doc_00_9032433 |
http://2007.runescape.wikia.com/wiki/Strength_potion | Strength potion | Old School RuneScape Wiki | Fandom | Strength potion
Strength potion
Strength potion
Release date
Members only
High Alchemy
Low Alchemy
Destroy
Store price
Exchange price
Weight
Drop Rate
Drops From
Examine
Price per dose
Creating
| Strength potion | Old School RuneScape Wiki | Fandom
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in:
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Strength potion
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Strength potion
Detailed
RSC RS
Release date
5 February 2001 ( Update)
Members only
No
High Alchemy
1-4 doses: 5, 6, 7, 8 coin
Low Alchemy
1-4 doses: 3, 4, 5, 6 coin
Destroy
Drop
Store price
15 coins
( Warrior Guild Potion Shop)
Exchange price
4 dose:
214 coins
3 dose:
155 coins
2 dose:
106 coins
1 dose:
57 coins
Weight
Unknown
Drop Rate
Unknown
Drops From
Unknown
Examine
x dose (s) of Strength potion.
Strength potion (2), Strength potion (3), Strength potion (4)
Loading...
Strength potions can be made by a member with 12 Herblore by mixing tarromin and limpwurt root in a vial of water, giving 50 Herblore experience .
A 4-dose Strength potion can also be obtained from the Apothecary in Varrock for 5 coins if you bring him a limpwurt root and red spiders' eggs. You don't need any Herblore level for this. Thus this is the only potion besides Energy potions (and now antipoision) that non-members can obtain. It is a requirement of the Medium Varrock Diary to have the Apothecary make you a Strength potion.
Strength potions temporarily raise your strength level by 10% + 3. They used to be the only potion available to non-members, until Energy potions became available for non-members. If you add roe to a 2-dose potion it will become a 2-dose strength mix which heals 3 Hitpoints, adding caviar instead will not increase the health gain to 6 Hitpoints.
Members whose Attack and Strength levels add up to 130 or more can enter the Warriors' Guild and buy Strength potions from the Warrior Guild Potion Shop for 15 coins.
Level
Boost
1-9
3
10-19
4
20-29
5
30-39
6
40-49
7
50-59
8
60-69
9
70-79
10
80-89
11
90-99
12
Price per dose
Item
Price per dose
Strength potion (1)
57
Strength potion (2)
53
Strength potion (3)
52
Strength potion (4)
54
Creating
Strength potion (3)
Value
-
50 XP
360
7
-
Requirements
Herblore level
12
Materials
Tarromin potion (unf)
1
Limpwurt root
1
v • d • e
Potions
Unfinished potions
Coconut milk • Guam • Rogue's purse • Marrentill • Tarromin • Ash • Harralander • Guthix balance • Ranarr • Toadflax • Magic essence • Irit • Ardrigal • Snakeweed • Avantoe • Kwuarm • Snapdragon • Cadantine • Cadantine blood • Lantadyme • Antipoison+ • Dwarf weed • Weapon poison+ • Torstol • Antipoison++ • Weapon poison++ • Rejuvenation
Combat potions
Attack ( mix) • Strength ( mix) • Defence ( mix) • Magic ( mix) • Ranging ( mix) • Combat ( mix) • Super attack ( mix) • Super strength ( mix) • Magic essence ( mix) • Super defence ( mix) • Super combat • Bastion • Battlemage • Antifire ( mix) • Extended antifire ( mix) • Zamorak brew ( mix) • Saradomin brew • Super antifire ( mix) • Extended super antifire ( mix) • Super ranging • Super magic • Overload • Absorption
Recovery potions
Stat restore ( mix) • Energy ( mix) • Prayer ( mix) • Super energy ( mix) • Super restore ( mix) • Sanfew serum • Stamina ( mix)
Cures and antipoisons
Relicym's balm ( mix) • Antipoison ( mix) • Superantipoison ( mix) • Antidote+ ( mix) • Antidote++ • Sanfew serum • Anti-venom • Anti-venom+
Skill potions
Agility ( mix) • Fishing ( mix) • Hunter ( mix)
Weapon poisons
Weapon poison • Weapon poison (+) • Weapon poison (++)
Others
Potion • Blamish oil • Blood potion (unf) • Bravery • Strange • Magic ogre ( incorrect) ( correct) (unf) • Cadava • Compost • Growth • Guthix balance • Guthix rest • Murky • Potion (unf) • Sealegs • Shrink-me-quick • Troll • Olive oil • Sacred oil • Serum 207 • Serum 208 • Spectral • Rejuvenation • Revitalisation • Voice
Retrieved from " https://oldschoolrunescape.fandom.com/wiki/Strength_potion?oldid=9050065 "
Categories:
Items
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Community content is available under CC-BY-SA unless otherwise noted. | msmarco_doc_00_9035334 |
http://2007.runescape.wikia.com/wiki/Tarromin | Tarromin | Old School RuneScape Wiki | Fandom | Tarromin
Tarromin
Tarromin
Release date
Members only
High Alchemy
Low Alchemy
Destroy
Store price
Exchange price
Weight
Drop Rate
Drops From
Examine
Uses
| Tarromin | Old School RuneScape Wiki | Fandom
Tarromin
Tarromin
Detailed
RSC RS
Release date
27 February 2002 ( Update)
Members only
Yes
High Alchemy
6 coins
Low Alchemy
4 coins
Destroy
Drop
Store price
Not sold
Exchange price
153
153
coins ( info)
Weight
Unknown
Drop Rate
Unknown
Drops From
Unknown
Examine
A fresh herb.
Loading...
Tarromin is the third lowest level herb. It can be cleaned at level 11 Herblore, and it is used for making strength potions , serum 207, shrink-me-quick and tarromin tar. It can be grown with the Farming skill with a level of 19, by planting a tarromin seed in a herb patch .
Uses
Potion/item
Level
Second
Ingredient
XP
Effect/usage
Strength potion
12
Limpwurt root
50
Boosts the player's Strength level by 3-12 (3 + 10% of their Strength level, rounded down).
Serum 207
15
Ashes
50
A temporary cure to the afflicted villagers of Mort'ton .
Tarromin tar
39
15 swamp tar
55
Used as bait to lure red salamanders. Used as ammunition.
v • d • e
Herbs
Normal herbs
Grimy
Guam leaf • Marrentill • Tarromin • Harralander • Ranarr weed • Toadflax • Irit leaf • Avantoe • Kwuarm • Snapdragon • Cadantine • Lantadyme • Dwarf weed • Torstol
Clean
Guam leaf • Marrentill • Tarromin • Harralander • Ranarr weed • Toadflax • Irit leaf • Avantoe • Kwuarm • Snapdragon • Cadantine • Lantadyme • Dwarf weed • Torstol
Special herbs
Grimy herbs
Ardrigal • Rogue's purse • Sito foil • Snake weed • Volencia moss
Clean herbs
Ardrigal • Rogue's purse • Sito foil • Snake weed • Volencia moss
Other
Bruma herb • Doogle leaves • Goutweed • Mysterious herb
Chambers of Xeric
Grimy
Golpar • Buchu leaf • Noxifer
Clean
Golpar • Buchu leaf • Noxifer
Retrieved from " https://oldschoolrunescape.fandom.com/wiki/Tarromin?oldid=8691013 " | msmarco_doc_00_9041277 |
http://2007.runescape.wikia.com/wiki/Temple | Temple | Old School RuneScape Wiki | Fandom |
Temple
See also
| Temple | Old School RuneScape Wiki | Fandom
in:
Disambiguation
Temple
RSC RS
Edit
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RSC RS
Temple can refer to:
Paterdomus, also known as the Temple of Saradomin, which is labelled "Temple" on the world map
The Temple of Mort'ton, which is in the Shades of Mort'ton quest and subsequent minigame, Shades of Mort'ton (minigame)
Temple of Ikov, a members-only quest
Temple of Ikov (dungeon), a dungeon in Hemenster
The Temple of Light from Mourning's End Part II quest; the Death altar is on the western bottom floor
Temple Trekking minigame
Temple Knights of Saradomin from the Recruitment Drive and Wanted! quests
Temple of Marimbo on Ape Atoll
Goblin Temple in the Goblin Cave
See also
Chaos Temple
Church
Chapel
This is a disambiguation page used to distinguish between articles with similar names.
If an internal link led you here, you may wish to change the link to point directly to the intended article.
Retrieved from " https://oldschoolrunescape.fandom.com/wiki/Temple?oldid=8691873 "
Categories:
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Community content is available under CC-BY-SA unless otherwise noted. | msmarco_doc_00_9043654 |
http://2007.runescape.wikia.com/wiki/Thread | Thread | Old School RuneScape Wiki | Fandom | Thread
Thread
Thread
Release date
Members only
High Alchemy
Low Alchemy
Destroy
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Exchange price
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Weight
Drop Rate
Drops From
Examine
Stores stocking thread
Dropping monsters
| Thread | Old School RuneScape Wiki | Fandom
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Falador
Fremennik
Kandarin
Karamja
Achievements, contd.
Kourend & Kebos
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in:
Items with GE modules, Items, Free-to-play items, Crafting items
Thread
RSC RS
View source
History
Talk (0)
Share
RSC RS
Thread
Detailed
Release date
23 June 2001 ( Update)
Members only
No
High Alchemy
2 coins
Low Alchemy
1 coin
Destroy
Drop
Store price
2 coins
Exchange price
8
8
coins ( info)
Buy limit
7,000
Weight
Unknown
Drop Rate
Unknown
Drops From
Unknown
Examine
Use with a needle to make clothes.
Loading...
Thread is used along with a needle to make armour out of leather, dragon leather and cured yak-hide. Each thread spool has 4-5 uses before it is consumed. A "use" means an action performed, not number of leathers used (i.e. making vambraces, which use 1 hide each, consumes thread at the same rate as making chaps, which use 2 hides each). There is a spawn point in the kitchen of the Jolly Boar Inn, located north-east of Varrock .
Stores stocking thread
Al Kharid, Dommik's Crafting Store (100)
Rimmington, Rommik's Crafty Supplies (100)
Canifis, Fidelio's General Store (50) (members only)
Keldagrim, Carefree Crafting Stall (100) (members only)
Sophanem, Jamila's Craft Stall (100) (members only)
Ape Atoll, Hamab's Crafting Emporium (100) (members only)
Neitiznot, Neitiznot Supplies (10) (members only)
Piscatoris Fishing Colony, Arnold's Eclectic Supplies (15) (members only)
Dropping monsters
Monster
Combat level
Quantity
Rarity
Jelly
78
10
2;
Common
Greater demon
92
10
2;
Common
Tyras guard
110
10
2;
Common
Baby impling
N/A (Hunter)
1
3;
Uncommon
Retrieved from " https://oldschoolrunescape.fandom.com/wiki/Thread?oldid=8214650 "
Categories:
Items with GE modules
Items
Free-to-play items
Crafting items
Community content is available under CC-BY-SA unless otherwise noted. | msmarco_doc_00_9044992 |
http://2007.runescape.wikia.com/wiki/Turael | Turael | Old School RuneScape Wiki | Fandom | Turael
Turael
Turael
Release date
Members only?
Race
Quest NPC?
Location
Sells items?
Gender
Notable features
Examination
Examine
Assignments
| Turael | Old School RuneScape Wiki | Fandom
Turael
RS
Turael
Release date
26 January 2005 ( Update)
Members only?
Yes
Race
Human
Quest NPC?
Animal Magnetism
Location
Burthorpe
Sells items?
Slayer Shop
Gender
Male
Notable features
One of the seven current Slayer masters.
Examination
Examine
He looks dangerous!
Turael is the lowest level Slayer master. He resides in Burthorpe. The easiest way to reach him is to teleport to Burthorpe Games Room using a Games necklace; then, leave the Games Room and walk east to Turael's house, just south of the general store.
Unlike other Slayer masters, there is no Slayer or Combat level requirement to receive Slayer assignments from him. Additionally, Turael will offer to change a slayer assignment from another master into a less difficult one. He will only do this once per assignment, and only if the first assignment is not one that he would ordinarily give. WARNING: This ends your task streak.
Assignments
Note that some monsters only come in one level variety, have no alternatives, and/or the variations in levels are too insignificant to be listed. Also, some monsters may have too many varieties to be listed, only a sample of these are given.
Monster
Amount
Low-level alternative (s)
Slayer experience per monster
High-level alternative (s)
Slayer experience per monster
Task weight
Banshees
15-50
Banshee
22
Twisted Banshee
22
8
Bats
15-50
Bat
8
Giant bat
32
7
Birds
15-50
Chicken
3
Mounted terrorbird, Terrorbird, Rooster
28, 34, 7
6
Bears
15-50
Grizzly bear cub, Bear cub
25
Grizzly bear, Callisto
27, 30, 35
7
Cave bugs
10-20
Cave bug (level 6)
5
Cave bug (level 96)
93
8
Cave crawlers
15-50
Cave Crawler
22
None
-
8
Cave slime
10-20
Cave Slime
25
None
-
8
Cows
15-50
Cow calf
6
None
8
8
Crawling Hands
15-50
Crawling Hand
16, 19
None
-
8
Desert Lizards
15-50
Small Lizard (level 12)
15
Lizard (level 42), Desert Lizard (level 24)
25, 40
8
Dogs
15-50
Jackal
27
Guard dog, Wild dog
49, 62
7
Dwarves
15-50
Dwarf
16
Dwarf gang member, Chaos Dwarf
44, 61
7
Ghosts
15-50
Ghost
25
Tortured soul
51
7
Goblins
15-50
Goblin
5
Cave goblin guards
-
7
Icefiends
15-50
Icefiend
15
Icefiend (level 17)
20
8
Kalphites
15-50
Kalphite worker
40
Kalphite soldier, Kalphite guardian, Kalphite Queen
85, 141, 333
6
Minotaurs
10-20
Minotaur (level 12)
15
Minotaur (level 27)
22
7
Monkeys
15-50
Karamjan Monkey
6
Monkey Guard, Monkey Archer, Zombie monkey
130, 50, 60
6
Rats
15-50
Rat, Giant rat, Dungeon rat
2, 6, 12
Brine rat
70
7
Scorpions
15-50
Scorpion
17
King Scorpion, Poison Scorpion, Pit Scorpion, Scorpia
30, 23, 32, 260
7
Skeletons
15-50
Skeleton
17
Skeleton mage, Skeletons in the Stronghold of Security and Ancient Cavern, Vet'ion
???, 79, ???, ???
7
Spiders
15-50
Spider, Giant spider
2, 5
Shadow spider, Giant crypt spider, Venenatis
55, 80
6
Wolves
15-50
White wolf
34
Big Wolf
74
7
Zombies
15-50
Zombie
13
Random event Zombie, Undead one
1, 59
7
v • d • e
Slayer masters
Turael • Krystilia • Mazchna (20) • Vannaka (40) • Chaeldar (70) • Nieve (85) / Steve (85) • Duradel (100)
(XX) Combat level requirement
v • d • e
Animal Magnetism
NPCs
Ava • Alice • Old crone • Alice's husband • Cow31337Killer • Sneaky undead fowl • Witch • Turael
Items
Crone-made amulet • Undead chicken • Selected iron • Bar magnet • Blessed axe • Undead twigs • Research notes • Translated notes • Polished buttons • A pattern • A container
Rewards
Ava's attractor • Ava's accumulator • Ava's assembler
Locations
Alice's farm • Draynor Manor • Rimmington mining site
Related
Quick Guide
Retrieved from " https://oldschoolrunescape.fandom.com/wiki/Turael?oldid=8691055 " | msmarco_doc_00_9048360 |
http://2007.runescape.wikia.com/wiki/Yew_logs | Yew logs | Old School RuneScape Wiki | Fandom | Yew logs
Yew logs
Yew logs
Release date
Members only
High Alchemy
Low Alchemy
Destroy
Store price
Exchange price
Buy limit
Weight
Drop Rate
Drops From
Examine
Experience from logs
Dropping monsters
Yew logs and the economy
| Yew logs | Old School RuneScape Wiki | Fandom
Yew logs
Yew logs
Detailed
RSC RS
Release date
25 March 2002 ( Update)
Members only
No
High Alchemy
96 coins
Low Alchemy
64 coins
Destroy
Drop
Store price
Not sold
Exchange price
249
249
coins ( info)
Buy limit
12,000
Weight
2 kg
Drop Rate
Unknown
Drops From
Unknown
Examine
Logs cut from a yew tree.
Loading...
Yew logs are logs obtained from cutting yew trees, which require at least level 60 Woodcutting for players to cut. They give 175 experience when cut with an axe. Players can burn these logs with the Firemaking skill at level 60. They give 202.5 experience when burned.
Yew logs can also be made into bows, stock, and arrow shafts using the Fletching skill. When the log is cut into a Yew longbow (u) at level 70, it yields 75 experience. Cutting a Yew shortbow (u) at level 65, will give 67.5 experience. Stringing the unstrung bows will give the same experience as for cutting them.
One full inventory of yew logs gives exactly 4,900 Woodcutting experience. Yew tree locations are relatively few and scattered and also tend to be very crowded. Players would need to cut 72,919 yew logs to go from 60 to 99 Woodcutting. However, yew logs are obtained at a slow pace from 60 to 74. Yew logs are obtained at a decent rate starting from level 75 Woodcutting.
Yew logs can also be used to travel to Castle Wars on the Balloon transport system, costing 10 logs on the initial trip, and 1 log for every trip following that.
Experience from logs
Each log gives 175 Woodcutting experience when cut (Woodcutting level 60 required). When wearing the full Lumberjack outfit, each log gives 179.5 experience when cut.
Lighting a log gives 202.5 Firemaking experience (Firemaking level 60 required).
Making an unstrung yew shortbow gives 67.5 Fletching experience and 67.5 additional experience when adding bow string (Fletching level 65 required).
Making an unstrung yew longbow gives 75 Fletching experience and 75 additional experience when adding bow string (Fletching level 70 required).
Making a full yew stock gives 50 Fletching experience (Fletching level 69 required).
Making a yew shield requires two logs and gives 150 Fletching experience, or 75 experience per log (Fletching level 72 required).
Dropping monsters
Monster
Combat level
Quantity
Rarity
King Black Dragon
276
150 (noted)
2;
Common
Skeleton brute
132
1
2;
Common
Skeleton warlord
132
1
2;
Common
Zulrah
725
35 (noted)
2;
Common
Giant Mole
230
100 (noted)
2;
Common (5/64)
Angry barbarian spirit
166
1
3;
Uncommon
Ferocious barbarian spirit
166
3
3;
Uncommon
Skeleton hero
149
1
3;
Uncommon
Skeleton thug
132
1
3;
Uncommon
Vampyre Juvinate
54; 59; 64; 90; 119
5
3;
Uncommon
Yew logs and the economy
Yew logs are usually in high demand from players who are trying to train Fletching. The value of yew logs is mainly driven by the High Alchemy value of Yew longbow ( 768 Coins ), which will pay almost completely for the yew log and the Nature rune needed to alchemize them. These logs are also currently the highest level of logs available to Free-to-play players and as such, cutting them can be a good way to make money as a free-to-play player.
Many players consider yew logs to be the best way to make money with Woodcutting. Although magic logs are worth more per log, they are much slower to obtain than yew logs. At 99 Woodcutting, a player can look to easily gain over 400 yew logs per hour.
v • d • e
Logs
Regular logs
Logs • Achey • Oak • Willow • Teak • Maple • Mahogany • Arctic pine • Yew • Magic • Redwood
Pyre logs
Wood • Oak • Willow • Teak • Arctic • Maple • Mahogany • Yew • Magic • Redwood
Coloured logs
Blue • Green • Purple • Red • White
Other logs
Bark • Dream • Juniper • Logs and kindling • Split • Windswept • Scrapey tree • Bruma • Deadwood
v • d • e
Fletching items
Strings
Bow string • Sinew • Crossbow string
Logs
Regular • Oak • Willow • Maple • Achey • Yew • Magic • Redwood
Unstrung bows
Unstrong shortbows
Regular • Oak • Willow • Maple • Yew • Magic
Unstrung longbows
Regular • Oak • Willow • Maple • Yew • Magic
Wooden shields
Oak • Willow • Maple • Yew • Magic • Redwood
Arrows
Arrow shaft • Feather • Headless arrow • Bronze arrowtips • Iron arrowtips • Steel arrowtips • Mithril arrowtips • Broad arrowheads • Adamant arrowtips • Rune arrowtips • Amethyst arrowtips • Dragon arrowtips
Javelins
Javelin shaft • Bronze javelin heads • Iron javelin heads • Steel javelin heads • Mithril javelin heads • Adamant javelin heads • Rune javelin heads • Amethyst javelin heads • Dragon javelin heads
Ballistae
Ballista limbs • Ballista spring • Light frame • Heavy frame • Monkey tail • Incomplete light ballista • Incomplete heavy ballista • Unstrung light ballista • Unstrung heavy ballista
Ogre bows
Ogre arrow shaft • Flighted ogre arrow • Wolfbone arrowtips • Unstrung comp bow
Crossbow stock
Wooden • Oak • Willow • Teak • Maple • Mahogany • Yew • Magic
Crossbow limbs
Bronze • Blurite • Iron • Steel • Mithril • Adamantite • Runite • Dragon
Unstrung crossbows
Bronze • Blurite • Iron • Steel • Mithril • Adamant • Runite • Dragon
Unfinished bolts
Bronze • Blurite • Silver • Iron • Steel • Mithril • Broad • Adamant • Runite • Dragon
Bolt tips
Opal • Jade • Pearl • Red topaz • Sapphire • Emerald • Ruby • Diamond • Amethyst • Dragonstone • Onyx
Dart tips
Bronze • Iron • Steel • Mithril • Adamant • Rune • Dragon | msmarco_doc_00_9052663 |
http://2007rshelp.com/cities.php?id=24 | Edgeville - City Guides - Old School RuneScape Help |
» Runescape City Guides » Edgeville
Introduction
| Edgeville - City Guides - Old School RuneScape Help
Runescape City Guides
» Runescape City Guides » Edgeville
Introduction
This city is usually used as start point of PK trips or wars. Non-members often come here to cut yews as well. The wilderness, just north of Edgeville, is home to the Mage of Zamorak, who teleports you to The Abyss, where you can fight Abyssal creatures. You can also go through dimensional rifts, to Runecrafting altars.
- Bank
- Cooking range
- Dungeon
- General store
- Mining site
- Rare trees
- Transport
- Water source
NPC's and Shops
NPC's
Banker: Stores your RuneScape items.
Doris: Evil Dave's mother, used in the Recipe for Disaster quest.
Evil Dave: Used in the Recipe for Disaster.
Hari: Instructs you in the art of canoeing.
Hell-rat: Catch 7 of these to turn your cat into a hell cat. See the Pet Care Guide for more information.
Mage of Zamorak: Owns the runes store, and teleports you to The Abyss
Oziach: Sells the Rune platebody
Richard: Owns the Wilderness cape store, north of the general store (Stocks capes: 6, 16, 26, 36, 46).
Shop Keeper/Assistant: Runs the Edgeville General Store
Vannaka: Found in Edgeville Dungeon, just past the wilderness entrance. He's a slayer master.
Black Demon (Level-172)
Chaos Druid (Level-13)
Chronozon (Level-139)
Deadly Red Spider (Level-34)
Earth Warrior (Level-51)
Giant Rat (Level-3)
Giant Spider (Level-2)
Guard (Level-21)
Hill Giant (Level-28)
Hobgoblin (Level-28)
Hobgoblin (Level-42)
Man (Level-2)
Poison Spider (Level-64)
Rat (Level-1)
Skeleton (Level-21)
Skeleton (Level-22)
Skeleton (Level-25)
Skeleton (Level-45)
Thug (Level-10)
Zombie (Level-18)
Zombie (Level-24)
Black bear (level-19)
Shops
Edgeville General Store
Talk to: Shopkeeper or Shop assistant
Pot: 1gp
Jug: 1gp
Shears: 1gp
Bucket: 2gp
Bowl: 5gp
Cake tin: 13gp
Tinderbox: 1gp
Chisel: 1gp
Hammer: 1gp
Newcomer map: 1gp
Security book: 2gp
Battle Runes
Talk to: Mage of Zamorak
Fire rune: 4gp
Water rune: 4gp
Air rune: 4gp
Earth rune: 4gp
Mind rune: 11gp
Chaos rune: 160gp
Death rune: 246gp
Blood rune: 616gp
Richard's Wilderness Cape Shop
Talk to: Richard
Wilderness Cape: 50gp
Vannaka's Slayer Equipment
Talk to: Vannaka
Enchanted Gem: 1gp
Mirror Shield: 5000gp
Leaf-Bladed Spear: 31,000gp
Broad Arrows: 60gp
Bag of Salt: 60gp
Rock Hammer: 500gp
Facemask: 200gp
Earmuffs: 200gp
Nose Peg: 200gp
Slayer's Staff: 21,000gp
Spiny Helmet: 650gp
Fishing Explosive: 60gp
Ice Cooler: 1gp
Slayer Gloves: 200gp
Harpie Bug Lantern: 130gp
Insulated Boots: 200gp
Fungicide Spray: 300gp
Fungicide: 10gp
Witchwood icon: 900gp
Slayer bell: 150gp
Special Attractions
Edgeville Dungeon
The Edgeville Dungeon offers many training opportunities for all levels of players. Members also have a wilderness section to train in and player kill in. There is also a shortcut through this dungeon to the depths of the Varrock Sewers.
Monastery
The Monastery ( Prayer Guild) can be found west of Edgeville. To be eligible to enter the upstairs floor of the prayer guild, level 31 prayer is required. For further information, view the Prayer Guild guide.
The Abyss
The entrance to The Abyss is found just north of Edgeville, in around level 4-6 wilderness, by the end of the River Lum. To be able to enter, you must do a task for the Mage of Zamorak (who asks you to speak with him in Varrock south-east initially). After you have completed his task, you are able to right-click the Mage of Zamorak, and choose the 'Teleport' option. Inside The Abyss are Abyssal creatures, and access to inter-dimensional rifts, that take you to their respective Runecrafting altars. In the center, the Dark Mage can repair your pouches that may get damaged whilst Runecrafting, or you can ask for another book.
Teleporting
There are three options you can utilize to teleport to Edgeville; all being members only. The first option is by rubbing a charged glory amulet, and choosing the 'Edgeville' option. The second option is by using the Ancient Magicks Paddewwa Teleport, which takes you inside Edgeville dungeon. The third option is by using the Spirit trees and running the short distance west.
Canoes
Canoes are a new transportation style for members. One can canoe from Edgeville all the way down the Lum river to Lumbridge, or with the Waka canoe, they can canoe into level 35 wilderness. Check out the Getting Around guide to learn more about how to use canoes and where you can land them.
Fairy Ring
As well as being able to access the town with the Canoe System and Amulet of Glory teleports, players can also travel to Edgeville with the Fairy Rings, by using the code: D-K-R. To access the Fairy Rings you must have completed A Fairy Tale Part II quest.
Miscellaneous Information
Music
Alone
Barbarianism
Forever
Scape Cave
Shops
Speak to: Oziach
Rune platebody (2): 84,500gp
Dragonhide body (2): 10,140gp
Speak to: Shopkeeper
Pot (5): 1gp
Jug (2): 1gp
Shears (2): 1gp
Bucket (3): 2gp
Bowl (2): 5gp
Cake tin (2): 13gp
Tinderbox (2): 1gp
Chisel (2): 1gp
Hammer (5): 1gp
Newcomer map (5): 1gp
Security book (5): 2gp
Speak to: Mage of Zamorak
Death rune (500): 180gp
Chaos rune (500): 90gp
Fire rune (1000): 4gp
Water rune (1000): 4gp
Earth rune (1000): 4gp
Mind rune (1000): 3gp
Air rune (1000): 4gp
Blood rune (500): 400gp
Speak to: Vannaka
Enchanted gem (50): 1gp
Mirror shield (50): 5,000gp
Leaf-bladed spear (50): 31,000gp
Broad arrows (50000): 60gp
Bag of salt (5000): 12gp
Rock hammer (50): 500gp
Facemask (50): 200gp
Earmuffs (50): 200gp
Nose peg (50): 200gp
Slayer's staff (50): 21,000gp
Spiny helmet (50): 650gp
Fishing explosive (5000): 60gp
Ice cooler (5000): 1gp
Slayer gloves (50): 200gp
Fungicide spray (10) (50): 300gp
Fungicide (5000): 10gp
Insulated boots (50): 200gp
Witchwood icon (50): 900gp
Slayer bell (50): 150gp
Inhabitants
Abyssal guardian (level-59)
Examine: It seems to have eyes in the back of its head...
Notes: All size pouches are dropped even if you don't have the required Runecrafting level.
Abyssal leech (level-41)
Examine: A blood-drinking denizen of the abyss.
Notes: All size pouches are dropped even if you don't have the required Runecrafting level. These are the best of the abyssal creatures to train on to obtain pouches as there are small areas with just these leeches.
Abyssal walker (level-81)
Examine: Apparently walks the abyss.
Notes: All size pouches are dropped even if you don't have the required Runecrafting level.
Bandit (level-22)
Examine: A wilderness outlaw.
Notes: You can make plain, meat, or anchovy pizzas in the bandit camp, as the required ingredients are available there.
Black demon (level-172)
Examine: A big, scary, jet-black demon.
Notes: Meleeing demons with Silverlight or Darklight will take the effect of meleeing them with a Rune longsword.
Black Heather (level-34)
Examine: Has a fearsome scowl.
Notes: One of the inhabitants of the wilderness bandit camp.
Chaos druid (level-13)
Examine: A crazy, evil druid.
Notes: Chaos Druids are the best way for members to obtain herbs. They cast bind on their victims, which reduces your attack, rather than binding you in place.
Chronozon (level-170)
Examine: Chronozon the blood demon.
Notes: Watch out for Black demons, Player killers and Poison spiders. Bring an anti-poison to be safe.
Dark warrior (level-8)
Examine: A warrior touched by chaos.
Notes: None.
Deadly red spider (level-34)
Examine: I think this spider has been genetically modified.
Notes: Deadly red spiders are often found guarding their eggs, which are used in Herblore.
Donny the Lad (level-34)
Examine: Has a fearsome posture.
Notes: One of the inhabitants of the wilderness bandit camp.
Earth warrior (level-51)
Examine: A strange inhuman elemental warrior.
Notes: You will be open to PKers while training here. Don't bring anything too expensive, and be aware of the people around you. They give 54 Slayer XP per kill. According to Mazchna and Vannaka, the Canafis slayer master, blunt weapons are the weapon of choice to kill these.
Ghost (level-19)
Examine: Eeek! A ghost!
Notes: None.
Giant rat (level-3)
Examine: Overgrown vermin.
Notes: None.
Guard (level-21)
Examine: He tries to keep order around here. His bizarre uniform isn't helping.
Notes: None.
Guard bandit (level-22)
Examine: Bandit Camp guard.
Notes: These will attack you as you try and enter their camp.
Hill giant (level-28)
Examine: A very large foe.
Notes: These are a good source of big bones, perfect for Prayer training.
Hobgoblin (level-28)
Examine: An ugly, smelly creature.
Notes: Note: They are only temporarily aggressive.
Hobgoblin (level-42)
Examine: An ugly, smelly creature, with a spear.
Notes: None.
Monk (level-5)
Examine: An Ardougne Monk.
Notes: They can heal your hitpoints a little if you speak to them.
Monk (level-5)
Examine: A holy man.
Notes: They can heal your hitpoints a little if you speak to them.
Moss giant (level-42)
Examine: His beard seems to have a life of its own.
Notes: Moss giants and rock crabs are the only monsters to drop spinach rolls.
Poison spider (level-64)
Examine: I think this spider has been genetically modified.
Notes: These can damage up to six poison.
Skeleton (level-21)
Examine: Could do with gaining a few pounds.
Notes: None
Skeleton (level-22)
Examine: Could do with gaining a few pounds.
Notes: None.
Skeleton (level-25)
Examine: Could do with gaining a few pounds.
Notes: None.
Skeleton (level-45)
Examine: Could do with gaining a few pounds.
Notes: None.
Speedy Keith (level-34)
Examine: Nice hair.
Notes: One of the inhabitants of the wilderness bandit camp.
Thug (level-10)
Examine: Low on brains, high on aggresion.
Notes: None.
Zombie (level-18)
Examine: Dead man walking.
Notes: None.
Zombie (level-24)
Examine: The walking dead.
Notes: The Varrock sewers bunch have a respawn of mind and body runes are nearby.
Author: Crazy200
<-- Go Back | Top -- ^
Stuck on something? Want some more tips? Ask on our forums. | msmarco_doc_00_9059268 |
http://2007rshelp.com/cities.php?id=27 | Tree Gnome Stronghold - City Guides - Old School RuneScape Help |
Runescape City Guides
» OSRS RuneScape City Guides » Tree Gnome Stronghold
Introduction
| Tree Gnome Stronghold - City Guides - Old School RuneScape Help
Runescape City Guides
» OSRS RuneScape City Guides » Tree Gnome Stronghold
Introduction
The Tree Gnome Stronghold is one of the largest cities in RuneScape. It has many different training spots; from agility, to woodcutting, to fletching, you can find it all here. To gain access, you have to help Femi load a cart, and then the guards will let you in. This stronghold is also home to one of the four fruit tree patches in RuneScape.
- Agility training
- Bank
- Clothes shop
- Cooking range
- Cookery shop
- Dungeon
- Farming spot
- Fishing spot
- Food shop
- Mini game
- Pub or bar
- Quest start
- Rare trees
- Shortcut
- Spinning wheel
- Sword shop
- Transport
-
NPC's and Shops
NPC's
Aluft Gianne snr.: A fine gnome chef.
Anita: Glough's girlfriend.
Barman: Serves you Blurberry's Cocktails.
Bolongo: Farmer who watches your fruit tree patch
Blurberry: Owns the cocktail bar.
Charlie: Prisoner on the top floor of the Grand Tree.
Cheerleader: Leads the crowd at the gnome ball field.
Cute Creature: Pets of the gnomes, involved in The Eyes Of Glouphrie quest.
Daero: New head of the Gnome Tree Guard after Glough leaves.
Dalila: Gnome restaurant customer.
Femi: Have to help her load a cart to get in the stronghold.
Gianne jnr.: Son of restaurant owner Aluft Gianne, runs then Gnome Restaurant minigame.
Glough: Corrupt head of the Gnome Tree Guard in The Grand Tree quest.
Gnome baller: A professional gnome ball player.
Gnome referee: Referees the Gnomeball pitch.
Gnome trainer: Guides you through the Agility Course.
Gnome waiter: Sells you battas, crunchies, and other gnomish food.
Gnome winger: A professional gnome ball player.
Gulluck: Sells a variety of weapons.
Heckel Funch: Sells you miscellaneous drinks, and fruits.
Hudo: Sells you standard groceries.
King Narnode Shareen: A royal gnome. Speak to him to begin the The Grand Tree and Monkey Madness quest.
Meegle: Looks after the terrorbirds.
Perrdur: Gnome restaurant customer.
Prissy Scilla: Watches over the tree plot
Sarble: Tends toads and worms in the swamp.
Sprang: Gnome Restaurant delivery employee.
Timble: Gnome Restaurant delivery employee.
Tool Leprechaun: used to hold tool for Farming.
Trainer Nacklepen: Trains the tortoises for combat.
Rometti: Sells you fine gnome apparel.
Duck (level-1)
Giant Rat (Level-3)
Gnome (Level-1)
Gnome child (Level-1)
Gnome guard (Level-23)
Gnome troop (Level-1)
Gnome woman (Level-1)
Mounted terrorbird gnome (Level 31)
Rat (Level-1)
Terrorbird (Level 28)
Tortoise (level-79)
Tortoise (level-79): Also has three gnome warriors on top.
Shops
Blurberry Bar
Talk to: Barman
Premade blurb' sp: 30gp
Premade choc s'dy: 30gp
Premade dr' dragon: 30gp
Premade fr' blast: 30gp
Premade p' punch: 30gp
Premade sgg: 30gp
Premade wiz blz'd: 30gp
Funch's Fine Groceries
Talk to: Heckel Funch
Brandy: 5gp
Gin: 5gp
Vodka: 5gp
Whisky: 5gp
Pineapple: 1gp
Equa leaves: 2gp
Orange: 2gp
Lemon: 2gp
Lime: 2gp
Dwellberries: 4gp
Cocktail shaker: 2gp
Chocolate bar: 10gp
Chocolate dust: 2gp
Pot of cream: 2gp
Bucket of milk: 6gp
Knife: 6gp
Cocktail glass: 1gp
Fine Fashions
Talk to: Rometti
Robe bottoms: 180gp
Hat: 160gp
Robe top: 180gp
Boots: 200gp
Note: The above clothing comes in: pink, light green, dodger blue, light yellow, and light blue
Gianne's Restaurant
Talk to: Gnome Waiter
Premade veg batta: 120gp
Premade w'm batta: 120gp
Premade t'd batta: 120gp
Premade fr't batta: 120gp
Premade c+t batta: 120gp
Premade worm hole: 150gp
Premade ttl: 160gp
Premade veg ball: 150gp
Premade choc bomb: 160gp
Premade w'm crunch: 85gp
Premade t'd crunch: 85gp
Premade ch crunch: 85gp
Premade s'y crunch: 85gp
Grand Tree Groceries
Talk to: Hudo
Gianne dough: 2gp
Equa leaves: 2gp
Pot of flour: 10gp
Gnome spice: 2gp
Onion: 3gp
Potato: 1gp
Cabbage: 1gp
Tomato: 4gp
Cheese: 4gp
Spider on stick: 50gp
Spider on shaft: 40gp
Lime: 2gp
Orange: 2gp
Lemon: 2gp
Pineapple: 1gp
Dwellberries: 4gp
Cocktail shaker: 2gp
Chocolate bar: 10gp
Chocolate dust: 2gp
Pot of cream: 2gp
Bucket of milk: 6gp
Knife: 6gp
Gianne's cook book: 2gp
Gulluck and Sons
Talk to: Gulluck
Bronze arrow: 1gp
Bolt: 3gp
Pearl bolt: 110gp
Shortbow: 50gp
Longbow: 80gp
Crossbow: 70gp
Bronze arrowtips: 1gp
Iron arrowtips: 2gp
Steel arrowtips: 6gp
Mithril arrowtips: 16gp
Steel axe: 200gp
Iron axe: 56gp
Iron battleaxe: 182gp
Steel battleaxe: 650gp
Mithril battleaxe: 1,690gp
Bronze 2h sword: 80gp
Steel 2h sword: 1,000gp
Iron 2h sword: 280gp
Black 2h sword: 1,920gp
Mithril 2h sword: 2,600gp
Adamant 2h sword: 6,400gp
Special Attractions
Agility Training Area
This stronghold is home to a beginners' agility training area. Up to level 32 there aren't any other courses to train at, so you're stuck here. (With the exception of the Brimhaven agility dungeon) For more detailed information, see the Agility Skill guide.
Gnome Restaurant Mini game
Speak to Gianne jnr. and you can begin this time based mini game with rewards such as teleports to the gnomes and special clothing, for more information read our, Gnome Restaurant guide.
Fletching/Crafting
With the flax to pick, and the spinning wheels, this is one of the scarce few locations to make bowstring. It is fairly simple to pick the flax, spin it, and bank it quickly. With the yew trees here, you can string, and cut your yew longs in the same place.
Woodcutting
With the abundance of yew trees, and a rare magic tree, the Stronghold is a woodcutter's haven. The magic tree's proximity to a bank makes it easy to cut your logs, then bank them fast. You will find many players cutting logs around the stronghold.
Mining
After you complete The Grand Tree quest, you can go under the Grand Tree, go north, push a branch aside, and find an underground mining site. It contains the basic ores, tin, copper, coal, a bit of mithril, and couple adamant.
Farming
There are 2 farming plots inside the Stronghold. One is a fruit tree patch just north of the agility course. The second patch is a regular tree patch just south-west of the southern bank.
Gnomeball
Gnomeball is a mini-game you can play to win your very own Gnomeball, and some small agility experience. Basically, you throw a ball (given to you by the referee) to gnome wingers a few times, and then throw it at the goal. After it goes in five times, you can talk to the ref for a Gnomeball you can take with you. Every goal you make gives you agility exp. The first goal gives 4xp, the second 5xp, the third 6xp, the fourth 7xp, and the final goal gives 30xp. This comes to a total of 52xp for a full game of Gnomeball.
Spirit Trees and Gnome Gliders
Spirit Trees and Gnome Gliders are two of the main ways to get around RuneScape. Both based in the Stronghold, they can teleport you and fly you to locations all around the world. After you complete The Grand Tree quest, King Narnode will give you access to the Spirit Trees and the Gnome Gliders.
Spirit Trees: The tree which is directly north of the entrance can teleport you to any of its brothers around the RuneScape world. Talk to it to be teleported to one of these locations:
Tree Gnome Village
Forest north of Varrock
North of the Gnome-Khazard Battlefield (just south of Ardougne)
Also, you need to know that all teleportation is taken through the larger Spirit Trees at the Tree Gnome Village or the Gnome Stronghold, unless you have completed The Path Of Glouphrie quest.
Gnome Gliders:
Go to the top floor of the Grand Tree to find a Gnome Pilot, and his Glider. He can fly you to even more locations than the Spirit Trees. You can fly to these places:
Grand Tree (Ta Quir Priw, [you're here now])
White Wolf Mountains (Sindarpos)
Digsite (Lemanto Andra)
Al-Kharid (Kar-Hewo)
Karamja Island (Gandius)
-When you go here during the quest, it will be a crash landing at a different location then after the quest.
Feldip Hills (Lemantolly Undri)
-Usable after One Small Favor quest is completed.
Like the Spirit Trees, all flights must come to or from the Grand Tree. From this hub, you can then go to your desired location.
Quests
The Eyes of Glouphrie: Talk to Brimstail in his cave in the western portion of the Tree Gnome Stronghold.
The Grand Tree: Talk to the King, Narnode Shareen.
Monkey Madness: Speak to King Narnode Shareen
Miscellaneous Information
Music
Gnomeball
Gnome King
Gnome Village
Gnome Village 2
Narnode's Theme
Neverland
Waterfall
Inhabitants
Gnome (level-1)
Examine: It's a gnome.
Notes: None.
Hill giant (level-28)
Examine: A very large foe.
Notes: These are a good source of big bones, perfect for Prayer training.
Author: Artemis
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http://2007rshelp.com/cities.php?id=8 | Isafdar and Lletya - City Guides - Old School RuneScape Help |
Runescape City Guides
» OSRS RuneScape City Guides » Isafdar and Lletya
Introduction
| Isafdar and Lletya - City Guides - Old School RuneScape Help
Runescape City Guides
» OSRS RuneScape City Guides » Isafdar and Lletya
Introduction
Lletya is the first Elf-based metropolis in RuneScape. This small Elven village is currently the only available Tirannwn teleport. Isafdar is home to the Tyras Guard, and Lord Iorwerth's Elven troops. Isafdar is one of the few locations where white berries spawn; two level three clues can be dug up by the small lakes here as well; and a swamp of poison waste obscures the southern part of the region. Lletya also contains a training area for 85+ thieves. Tirannwn's scenery is picturesque, and calm. Enjoy it while you're there.
- Altar
- Archery shop
- Bank
- Clothes shop
- Cooking range
- Fishing spot
- Food shop
- Furnace
- General store
- Loom
- Mining site
- Quest start
- Rare trees
- Shortcut
- Spinning wheel
- Transport
- Water source
NPC's and Shops
NPC's
Arianwyn: Speak with during the Mourning's Ends Part I quest to find out about the mourners.
Dalldav: Runs the Lletya Archery store.
Elf City Guard: Guards the gates to Prifddinas.
Elf Tracker: Speak to the Elf tracker to be able to go through dense forest.
Eluned: A beautiful, friendly, young female elf with a kind heart. Speak with her to start the Roving Elves, and the Mourning's Ends Part I quest.
Eudav: Owns the Lletya General store.
Gethin: Owns the Lletya Food store on the second floor of the village.
Islwyn: A grumpy, old elf who dislikes humans and his companion. Speak with to start the Roving Elves quest.
Lord Iorwerth: Leader of the Elf camp; he is found east of the tent with the loom in it.
Tyras Guard: This chubby man guards the catapult.
General Hining: This person guards the Tyras king.
Oronwen: The Lletya Seamstress.
Quartermaster: Owns the general store in the Tyras camp.
Deadly Red Spider (level-34)
Dire Wolves (level-88)
Elf Warrior (level-90)
Elf Warrior (level-108)
Rabbit (level-2)
Shops
Quartermaster's Stores
Talk to: Quartermaster
Pot: 1gp
Jug: 1gp
Shears: 2gp
Tinderbox: 1gp
Bread: 2gp
Bronze halberd: 104gp
Iron halberd: 364gp
Steel halberd: 1,300gp
Black halberd: 2,496gp
Mithril halberd: 3,380gp
Adamant halberd: 8,320gp
Rune halberd: 83,200gp
Dragon halberd: 325,000gp
Lletya General Store
Talk to: Eudav
Pot: 1gp
Jug: 1gp
Shears: 1gp
Bucket: 2gp
Tinderbox: 1gp
Chisel: 1gp
Hammer: 1gp
Spade: 3gp
Knife: 7gp
Trader Stan's Trading Post
Talk to: Charter Crewmember
Pot: 2gp
Jug: 2gp
Shears: 2gp
Bucket: 5gp
Bowl: 10gp
Cake tin: 25gp
Tinderbox: 2gp
Chisel: 2gp
Hammer: 2gp
Newcomer map: 2gp
Security book: 5gp
Rope: 45gp
Knife: 15gp
Pineapple: 5gp
Banana: 5gp
Orange: 5gp
Bucket of slime: 2gp
Glassblowing pipe: 5gp
Bucket of sand: 5gp
Seaweed: 5gp
Soda ash: 5gp
Lobster pot: 50gp
Fishing rod: 12gp
Swamp paste: 75gp
Tyras helm: 1375gp
Raw rabbit: 50gp
Eye patch: 5gp
Lletya Seamstress
Talk to: Oronwen
Thread: 1gp
Needle: 1gp
Ball of wool: 2gp
Red dye: 6gp
Yellow dye: 6gp
Blue dye: 6gp
Orange dye: 6gp
Green dye: 6gp
Purple dye: 6gp
Lletya Archery Shop
Talk to: Dalldav
Iron arrow: 3gp
Steel arrow: 15gp
Mithril arrow: 41gp
Adamant arrow: 104gp
Rune arrow: 520gp
Bolts: 3gp
Oak shortbow: 130gp
Oak longbow: 208gp
Crossbow: 91gp
Willow shortbow: 260gp
Willow longbow: 416gp
Lletya food store
Talk to: Gethin
Bread: 15gp
Lobster: 195gp
Jug of Wine: 1gp
Cheese: 5gp
Cake: 65gp
Special Attractions
Mines
The limestone mine in Isafdar is primarily for the Regicide Quest. It's also a great place to collect limestone for Construction.
There is another mine, near a "pass sticks" trap, which is located east of the Elf tracker. There are four adamant rocks here.
Tyras Camp
The Tyras camp is located west of the Elf tracker, in Isafdar. The camp contains a small furnace which you put the limestone in to get quicklime. Here, you can also buy halberds from the Quartermaster's store. The level 110 Tyras Guard, are also good range training if you can find a suitable position.
Elf Camp
The Elf camp is located north of the Elf tracker. The camp contains two everlasting fires, a loom for spinning your balls of wool into a fuse, as well as quite a few fishing spots. There are three shark and big net fishing spots, located north-west of the camp. There are also three fly-fishing spots, located south-east of the camp. Further east of the Elf Camp, is the entrance to Prifddinas, which is currently inaccessible, and continuing east, is another fishing spot, and the limestone mine. Within the Elf camp, are level 108, and 90 Elf Warriors. The level 108's use a crystal pike to attack, and hit a maximum of 10, whilst the level 90's use range, and also hit a maximum of 10.
How to Get to Lletya
To first gain access to Lletya, you must have started the Mourning's Ends Part I quest. Speak with Eluned, who will tell you of Arianwyn's crisis; she will ask you to help her. Upon agreeing to help Arianwyn, you will be teleported into Lletya, another elf-run village. Once you arrive in Lletya, Eluned will give you a teleport crystal, which she can recharge after it's been used. These crystals are also dropped by the elves that live in the village, so stock up on a few, and take them to Eluned (either by the magic trees, or by the lake near the Tyras camp) to recharge them. It costs 750gp for the first recharge.
These teleport crystals are especially useful in the collection of whiteberries that spawn near Isafdar. The spawn rate is very fast (~5 seconds), so one full load doesn't take long - just teleport to Lletya and bank there once you're full; and repeat.
Magic Trees
East of the Elf tracker, and south of the adamant mine is a set of three magic trees ( Picture ).
Arandar Pass
Arandar pass is located east of Tirannwn. This is the easy way in and out of the Tirannwn region, rather than going through The Underground Pass. The passage leads to the big gates, which are only accessible upon completion of the Regicide Quest.
Poison Waste
South of Isafdar, is a massive area of poison waste. This is primarily used during the Regicide quest to fill your barrel with tar. Future expansion of this area is probable.
Charter Ships
Certain ships at ports throughout RuneScape now have the ability to charter you to a number of locations. The sailers also stock certain items that they've picked up along their travels throughout RuneScape that you are able to buy. The Tyras camp charter ship departs to Brimhaven (8,000gp), Catherby (8,000gp), Karamja (8,000gp), Mos Le Harmless (2,000gp), Port Khazard (3,200gp), Port Phasmatys (8,000gp), Port Sarim (8,000gp), Shipyard (8,000gp). To halve the cost of these charter ships, wear a ring of charos (a)
Quests
Mourning's Ends Part I: Part five of the Plague City series. Speak with Eluned to begin the quest.
Mourning's Ends Part II: Part six of the Plague City series. Speak to Arianwyn to start the quest.
Roving Elves: A sequel to the Waterfall quest, Islwyn and Eluned ask that you to retrieve the consecration stone from their grandmother's, Glarial's, tomb.
Miscellaneous Information
Music
Breeze
Crystal Cave
Crystal Castle
Crystal Sword
Elven Mist
Everywhere
Far Away
Forest
Lost Soul
Meridian
Overpass
Well of Voyage
Woodland
Author: Ben_Goten78
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http://2007rshelp.com/dungeonmaps.php?id=40 | Taverley Dungeon - Runescape Dungeon Maps - Old School RuneScape Help |
» Runescape Dungeon Maps » Taverley Dungeon | Taverley Dungeon - Runescape Dungeon Maps - Old School RuneScape Help
Runescape Dungeon Maps
» Runescape Dungeon Maps » Taverley Dungeon
The Taverley Dungeon entrance is just south of the small town of Taverley in Asgarnia. Climbing down the ladder will lead you to the middle of this enormous dungeon where you will meet a number of skeletons.
The first part of this dungeon, up to the lesser demons and chaos dwarves, can be easily accessed without disturbance. If you would like to venture deeper into this dungeon to the high leveled monsters, you will have to obtain a 'dusty key'. To get it, kill the jailer in the southern portion of the dungeon and then talk to Velrak the Explorer. In return for freeing him, he will give you the dusty key which opens the door near the lesser demons. This will give you access to the rest of the dungeon. There is also a dusty key spawn near the lava eel fishing areas.
There are four quests which utilize this dungeon. In the Druidic Ritual quest you will need to dip meats in the cauldron of thunder. In the Heroes Quest the lava eels near the blue dragons need to be caught. Finally, there is a scorpion near the poisonous spiders which is used in the Scorpion Catcher quest. In the Wanted! quest you are supposed to check up with Lord Daquarius.
Also by the lava eel fishing spots is a dusty key respawn so if you decide to drop yours, you can make your way out of the dungeon again with it.
In addition to all the monsters you can kill and quest related tasks, there are 2 obelisks which you can enchant orbs for battlestaffs at. Down by the black dragons is the fire obliesk, and up the ladder by the black dragons is the water obelisk. See the Magic guide for more information on enchanting orbs. Across the water from the obelisk, is a crossbow tree for those who wish to quickly travel to Catherby.
Click Image to Enlarge
Baby Blue Dragon (Level 48)
Black Demon (Level 172)
Black Dragon (Level 227)
Black Knight (Level 33)
Blue Dragon (Level 111)
Chaos Druid (Level 13)
Chaos Dwarf (Level 48)
Ghost (Level 19)
Giant Bat (Level 27)
Hell Hound (Level 122)
Hill Giant (Level 28)
Jailer (Level 47)
Lesser Demon (Level 82)
Lord Daquarius
Magic Axe (Level 42)
Monk of Zamorak (Level 45)
Poison Scorpion (Level 20)
Poison Spider (Level 64)
Skeleton (Level 22 and 25)
Mapped By: Laws0074
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http://2007rshelp.com/misc.php?id=16 | Brimhaven Dungeon - Runescape Miscellaneous Guides - Old School RuneScape Help |
» Runescape Miscellaneous Guides » Brimhaven Dungeon | Brimhaven Dungeon - Runescape Miscellaneous Guides - Old School RuneScape Help
Runescape Miscellaneous Guides
» Runescape Miscellaneous Guides » Brimhaven Dungeon
Table of Contents
1.0 - Introduction
2.0 - Location
3.0 - Monsters
4.0 - Tactics
4.1 - Melee
4.2 - Magic
4.3 - Range
5.0 - FAQ
1.0 - Introduction
The Brimhaven dungeon is located just south-west of Brimhaven, and is packed with heaps of combat training areas. A preview of the monsters found in the dungeon are; Wild dogs, Moss giants, Fire giants, Greater demons, Baby red dragons, Red dragons, Bronze dragons, Iron dragons, and Steel dragons. Saniboch, the poor bloke, stands guard over the entrance, and demands that you pay 875gp to enter. Level 15 Agility, is required to make your way through the dungeon.
The metal dragons (steel, iron, and bronze) are very powerful, each holding the ability to crush you, or even burn you into the ground, and as such, require a great deal of skill and internal fortitude to kill effectively.
To begin with, you need any type of hatchet and at least 935gp. The money is for the boat ride to and from Brimhaven, and to pay Saniboch, while the hatchet is used to chop the vines within the dungeon. The need for armour, weapons, food, and potions, vary from level to level, and are dependant on what NPC you intend to train on.
With the update of the Brimhaven dungeon came the next part in the dragon armour series: Dragon platelegs. Soon after came the next part of dragon armour; the Dragon plateskirt. Metal dragons also drop these.
Dragon Platelegs
Dragon Plateskirt
Defence Bonus
Stab: +68
Magic: -4
Slash: +68
Crush: +65
Range: +64
2.0 - Location
As said before the new Karamja dungeon can be found south-west of Brimhaven, near a tribal camp.
The most efficient way to arrive at Saniboch, is either to catch the boat from Ardougne to Brimhaven, or use a Glory amulet to teleport to N. Karamja. Tribesmen can poison, so, if you are below level 64, do not forget to bring an anti poison potion, or try very hard to avoid them. Speak to Saniboch, and pay him 875gp ( Picture ).
Brimhaven dungeon ,.::;' full map
3.0 - Monsters
Inside the Brimhaven dungeon, there are nine types of creatures, all found in order of difficulty. Wild dogs roam the entire dungeon, with the exception of the Steel and Iron dragon lair. Below is a thorough listing of the creatures, their training efficiency, and strategies on how to kill them.
Entering the dungeon for the first time, you will be in a big area. Walk south and you will be at some vines. Chop through them with your hatchet, and proceed onwards, via direction of the map below.
Key:
Green: Moss giants (level 42), dead end.
Blue: Both the blue passageways will take you further into the dungeon.
The southern-most one goes on to Fire giants, Black demons, Steel dragons, Iron dragons, and Bronze dragons.
The western path goes to Moss giants, Greater demons, and Fire giants.
Bronze dragon
Combat:
131
Hitpoints:
130
Race:
Dragon
Members:
Yes
Quest:
None
Nature:
Aggressive
Attack Style:
Melee, magic and range
Examine:
Its scales seem to be made of bronze.
Where Found:
Brimhaven dungeon, east of the Black demons
Drops:
Dragon bones, Bronze bar (5), Clue scroll (level-3), Adamant javelin (30), Death runes (25), Rune knives (2), rune longsword, Soul runes (3), Adamant bar (1), Adamant darts (p) (16), Law runes (10), Fire runes (50), Adamant bar, Swordfish (2), uncut Gems, Half keys, Shield left half, Adamant platebody, Dragon platelegs, Dragon plateskirt, Dragon Medium.
Tactic:
Bronze dragons aren't too bad to train on. You can attain approximately 31,200 combat XP, 10,374 hit points XP and 4,320 prayer XP per hour, killing one per minute.
Notes:
Bronze dragons have a strong fire-breath and melee abilities. They are able to hit up to 20 with melee, and even higher with their magic-based firebreath. Despite this, protect from magic isn't 100% effective against their breath.
Iron dragon
Combat:
189
Hitpoints:
173
Race:
Dragon
Members:
Yes
Quest:
None
Nature:
Aggressive
Attack Style:
Melee; Ranged
Examine:
Its scales seem to be made of iron.
Where Found:
Brimhaven Dungeon
Drops:
Adamant Two Handed Sword, Adamant Hatchet, Adamant Battleaxe, Adamant Kiteshield, Adamant Square Shield, Adamant Bar (2), Clue Scroll [Level-3], Coins (270), Curry (2), Death Rune (15), Nature Rune (67), Law Rune (10-45), Soul (3), Blood Rune (10-30), Dragon dagger, Dragon med helmet, Dragon Platelegs, Dragon Plateskirt, Dragon Spear, Dragon Stone, Half of Key, Mithril darts (5), Rune Axe, Rune battleaxe, Rune darts (9), Rune darts [p] (9), Rune Javelins (4), Rune knife (2-7), Rune medium helmet, Rune square shield, Runite Bar, Dragon shield left half, Super Attack potion, Super Strength Potion, Adamant Bolts, Gems (Sapphire-Diamond), Dragon Bones (100%)
Tactic:
Melee or Mage
Notes:
Anti Fire Breath potions and shield are a must.
Steel dragon
Combat:
246
Hitpoints:
220
Race:
Dragon
Members:
Yes
Quest:
None
Nature:
Aggressive
Attack Style:
Melee, magic and range
Examine:
Its scales seem to be made of steel.
Where Found:
Brimhaven dungeon, south of the Black demons
Drops:
Dragon bones, Steel bars (5), Coins (30-3,000), Super attack potion (3x dose), Super defence potion (2x dose), Super strength potion (1x dose), Adamant kiteshield, Clue scroll (level-3), Rune javelin (7), Rune darts (8), Rune darts (p) (12), Rune knives (7), Blood runes (20), Rune full helm, Soul runes (5), Runite bar, Runite crossbow limbs, Rune mace, Rune platebody, Rune sq shield, Rune kiteshield, uncut Gems, Half keys, Shield left half, Dragon spear, Dragon platelegs, Dragon plateskirt, Dragon Medium Helmet.
Tactic:
These are far too powerful to be effective training. It's better to try and kill the iron dragons for dragon platelegs and plateskirt, unless you're over level 110.
Notes:
Steel dragons have a strong fire-breath and melee abilities. They are able to hit up to 20 with melee, and even higher with their magic-based firebreath. Despite this, protect from magic isn't 100% effective against their breath.
Name
Combat level
Hitpoints
Location in Dungeon
Moss Giant
42
60
From entrance: South-west, and west passageway
From entrance: North passageway
Wild Dogs
63
63
Everywhere except for the Steel and Iron Dragons' lair
Baby Red Dragon
65
68
North of the black demons and steel/iron dragons. South-west of the bronze dragons
Fire Giant
86
113
From entrance: Take the west path, up the stairs, and head north.
From entrance: Take south-west path over stepping stones, southern passage, to wild dogs and fire giants
Greater Demon
92
91
From entrance: Take the western path, up the stairs are the Greater Demons
Red Dragon
152
145
North of the black demons andiron/steel dragons.
From entrance: South path over lava, southern path, east, southeast, through the vines, and over the log.
Black Demon
172
165
North of the Steel/Iron dragons, south of red dragons (through pipe), east of Fire giants
For those who wish to train range or mage on the Fire giants or Red dragons, the image below shows safe spots.
4.0 - Tactics
This section describes a tactic for each form of combat: melee, magic and ranged. It delineates what levels you should have, what items you should bring, and how to effectively slaughter the dragon of your choice. Ultimately, it's better to use an Ectophial to teleport out, as it means one less space, and that you don't have to swap to your magic window to teleport out in an emergency. If you haven't done the Ghosts Ahoy quest, or don't have an Ectophial, just take a set of Ardougne teleport runes, and remove one piece of food or a potion.
4.1 - Melee
Requirements:
Level 55+ Prayer
Level 75+ Attack
Level 80+ Strength
Level 75+ Hit points
Average hit of 20
Anti-dragon shield
Monk robes
Optional: Warrior helm
Alternative: Rune or dragon armour
Dragon longsword, abyssal whip or dragon battleaxe
Holy symbol
Alternative: Amulet of glory
Ring of wealth
God cape, Cape of legends or Obsidian cape
Metal gloves and boots
What to bring:
1,000gp
Woodcut axe
Ectophial
6x Prayer restore potions (4-dose)
Optional: 1x Super attack and strength potion (4-dose)
8x Anti-firebreath potions (4-dose)
9x Lobsters, Swordfish or Sharks
Tactic:
Using melee to fight metal dragons can be quite rewarding if you can defeat them successfully and efficiently. You may end up spending upwards of 500,000gp on items to battle these beasts, but eventually you should receive something worthwhile such as dragon platelegs.
To begin, simply make sure your dragonfire shield is equipped, that you have full prayer points, and that you can teleport out if necessary. Once you've checked these three things, make your way to a part of the metal dragons lair and hide there until one appears for you. Prior to attacking, drink a dose of anti-firebreath potion, and turn on protect from melee. Once you've done this, go ahead and attack. Make sure that you continue to watch your prayer draining, and replenish it when it goes below 10 points or so. Also watch out for the message that tells you when your anti-firebreath potion has run out.
4.2 - Magic
Requirements:
Level 75+ Magic
Anti-dragon shield
Mystic robes, boots and gloves
Alternative: Chaos gauntlets instead of mystic gloves
Elemental battlestaff
Amulet of glory
Ring of wealth
God cape, Cape of legends or Obsidian cape
What to bring:
1,000gp
Woodcut axe
Ectophial
3,000-5,000 chaos runes
12,000-20,000 fire runes
20-50 nature runes
12x Anti-firebreath potions (4-dose)
8x Lobsters, Swordfish or Sharks
Chaos gauntlets (optional)
Tactic:
To begin with, stand in one of the small inset areas that can be found around the border of the cave. You will find that a dragon will not wait for you to get ready, and instead will give you a blast of its firebreath. Therefore, make sure that you're prepared with your spell auto-cast set. Also, just before attacking, or just after a battle commences, drink a dose of anti-firebreath potion. It is also advisable that you make sure you have the 'Auto-Retalliate' option enabled.
If you're comfortably hidden from the dragons melee range, you should never be hit while the anti-firebreath potion is still in effect. When the time comes that the dragon is hitting you, just drink another dose of your potion.
You should be likely to receive a dragon drop for around every 3,000 bolt spells fired. Sometimes you may not get one, and sometimes you may get more than one; it's the luck of the draw. You should also receive about 20,000-30,000 magic experience per 1,000 bolt spells fired, however this all depends on your magic level, and how lucky you are. Also, you should end up only having to use about 12 doses of anti-firebreath potion per 1,000 bolt spells cast.
4.3 - Range
Requirements:
Level 70+ Ranged
Full black d'hide and archers helm
Optional: Robin hood hat & ranger boots
Anti-dragon shield
Iron darts or throwing knives
Amulet of glory
Ring of wealth
God cape, Cape of legends or Obsidian cape
What to bring:
1,000gp
Woodcut axe
Ectophial
Telekinetic grab runes
5x Ranged potions (4-dose)
2x Prayer restore potions (4-dose)
8x Anti-firebreath potions (4-dose)
9x Lobsters, Swordfish or Sharks
Tactic:
Set yourself up in a corner of the area where the metal dragon you are fighting cannot attack you with melee. Drink a dose of your ranger potion and anti-firebreath potion, then attack the nearest dragon, without moving from your position.
Upon killing the dragon, use telekinetic grab to collect your spared darts or throwing knives, and any worthwhile rewards that you have space for. It is not advised to venture from your safe spot, or you might find yourself dead.
5.0 - FAQ
Q. How long can you stay?
A: How long you can stay depends on whether or not you use melee, mage or range. With melee, you can usually stay a couple of hours, or about 25-45 dragons. With magic, around 4,000 chaos runes should see you going for at least 4 hours.
Q. Can you make the money you spent on supplies back?
A: Generally, yes, although it really depends how lucky you are. There is definitely the potential to make far greater amounts of money off the metal dragon's drops. It may not seem like you're making money at first, but if you stay there for a few days you might. It can take anywhere from 100-400 dragons to be able to get a dragon drop, but it more than often is worth it for the experience, even if you don't make much profit off a dragon drop.
Q. Does a ring of wealth help?
A: Yes it does, as dragon and rune items, along with various other drops, are considered to be rare items. The ring of wealth increases your chance at obtaining one of these items by 20%.
Q. How long can an Anti-firebreath potion last?
A: On average each dose of anti-firebreath potion lasts approximately 5-6 minutes.
Q. Which dragon would yield the highest drop per rune ratio?
A: As with everything else in RuneScape, the higher level the monster, the greater the chance at getting its rare drop. Steel dragons will use a lot more of your runes, but do give better drops. Although, iron dragons are very close behind, and yet require much less runes to kill.
Q. Should I bring runes to cast high alchemy?
A: It's up to you, but it is a good idea to bring some along. There are a number of drops, such as rune maces, that you will not want to keep, nor drop either. Taking nature runes allows you to high alch your useless items, leaving space for more important things.
Q. Can I use a cannon?
A: Yes, but you should be very careful not to die with it set out and beware that the dragons fiery breath can break it causing you to need to go get a replacement.
Extra credits: Dark, Jeff, Zbart99
Author: Ben_Goten78
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http://2007rshelp.com/misc.php?id=3 | Pet Care Guide - OSRS RuneScape Miscellaneous Guides - Old School RuneScape Help |
OSRS RuneScape Miscellaneous Guides
» OSRS RuneScape Miscellaneous Guides » Pet Care Guide
| Pet Care Guide - OSRS RuneScape Miscellaneous Guides - Old School RuneScape Help
OSRS RuneScape Miscellaneous Guides
» OSRS RuneScape Miscellaneous Guides » Pet Care Guide
Table of Contents
1.0 - Introduction
2.0 - How to Get a Kitten
3.0 - Taking Care of Your Kitten
4.0 - Cat Growth Stages
5.0 - Rat Chasing
6.0 - Interesting Information on Kitten Care
7.0 - Pet Fish
8.0 - Pet Rock
9.0 - FAQ
1.0 - Introduction
One of the things players can do in RuneScape is raise pets. Some of these pets have rewards to be gained by raising them, while others are just for fun. There currently are 2 types of pets in RuneScape: Cats and Fish. There are many stages of cats you can obtain, while the fish don't really have stages of specific growth yet.
2.0 - How to Get a Kitten
To get your first kitten you must do Gertrude's Cat quest. After you do the quest, Gertrude will give you a kitten. If you lose this kitten, you can go to Gertrude and she will sell you one for 100gp.
Many people think there is no point in raising a Kitten, and they think it is just a waste of time. However, there are a couple of reasons why you would want a Kitten/Cat/Overgrown Cat.
Once your Kitten grows up into a Cat, you can trade it in for Death Runes, and those you can sell for a reasonable amount of money. Kitten and Cats can also be fun to raise if you are bored, and have nothing better to do. You can also train non-combat skills while you raise a Kitten, and once it grows up trade it in for Death Runes. Keep in mind that kittens/cats are necessary for some quests as well.
3.0 - Taking Care of Your Kitten
You must remember to care for your kitten when you have a Kitten. If you do not do one of these you may just lose your Kitten, and you will have to go back to Gertrude to buy another one.
Feeding Your Kitten
You will obviously have to feed your Kitten once in awhile. However, what does your kitten eat? Your Kitten will eat many kinds of fish. Your Kitten will eat the following:
Raw Sardines
Seasoned Sardines
Raw Anchovies
Raw Shrimp
Raw Trout
Cooked Trout
Raw Salmon
Raw Tuna
Cooked Tuna
Raw Lobster (maybe too expensive to feed your cat)
Cooked Lobster (inpracticle, yet again)
Bucket of Milk
To get a Seasoned Sardine, you will have to make it. To make it you have to buy or fish a Raw Sardine then you must find a Doogle Leaves. Once you have them both use your Doogle Leaves on the Raw Sardine. You can find Doogle Leaves behind Gertrude's House
You should feed your Kitten when you get a message, "I think its hungry," and if you do not, later you will get a message saying, "I think it's really hungry!" If you do get the message, "I think it's really hungry!" you should feed it right away, or it might run away.
Give your Kitten Attention
It is good to give your kitten attention once in awhile. You do not have to but it is a good idea to give it some once in awhile. If you do not, your cat will wander off and look for some attention. Do not worry though your kitten will return in your inventory. However, ALWAYS leave at least one inventory space open when taking care of your cat, because if your kitten decided to wander off looking for attention, and you do not have an inventory space open, your pet will not return to you!
You can give your kitten attention by stroking it, or you can give him/her a ball of wool. You can get a ball of wool by getting some wool from a sheep, and then you have to spin it into a ball of wool at a spinning wheel.
Sometimes you will get a message saying, "I think it wants some attention." You will get this message when your kitten wants attention from you, no one else. If you do get this message, you should stroke it or give it a ball of wool to play with. If you do not do this, your kitten will run away, and you will have to buy a new one from Gertrude.
Strategies for Raising Your Kitten
Instead of just standing there or walking around with your Kitten or Cat, why not get some training in? Take your kitten and 3 - 4 fish, you can go train firemaking, woodcutting, fletching, smithing, smelting, magic, etc. Whenever you get the "I think it's hungry" message, feed it, and do not forget to give it some attention once in awhile. If you do not it will just wander off looking for some but it will come back.
You can also fish for swordfish and tuna with your kitten. Whenever you get the message telling you it is hungry you can feed it a Raw Tuna, and when your inventory is full except for one space, you can go and bank your fish and keep on doing this till your Kitten has grown up.
ALWAYS leave at least one inventory space open though when training, so if your Kitten/Cat does wander off looking for attention, you can get your Kitten back. If you do not leave an inventory space open, and your Kitten does wander off you may just lose your kitten forever, and you will have to buy a new one from Gertrude.
Note- You can see if you Kitten likes you buy examining it when you have picked it up
4.0 - Cat Growth Stages
After taking care of your Kitten, it will grow up to a strong beautiful Cat. After several hours of walking around with your Cat, it will grow up into an Overgrown Cat.
Kitten to Cat - To get your Kitten to grow up into a Cat you will need to spend hours taking care of your Kitten. Feed it when it says it is hungry. It is not a bad idea to stoke, or let your Kitten Play with a Ball of Wool sometimes. After your hours of taking care of your Kitten, it will grow up into a Cat. Once your Kitten does grow up you will get this message:
Cat to Overgrown Cat - To get your Cat to grow up into an Overgrown Cat is easy. You do not need to feed your cat, just give it attention once in awhile. You just have to give your Cat attention. To get your Cat to grow into an Overgrown Cat just walk around with your Cat and it will grow into an Overgrown Cat, eventually.
Picture
Name
How to Obtain
Kitten
Buy a kitten from Gertrude located just west of Varrock.
Cat
Feed your kitten when it says it is hungry and give it attention occasionally, and when it asks for attention.
Overgrown Cat
Let your cat walk around with you for several hours, you do not need to feed it, but giving it attention at times is appreciated by the cat
Wiley Cat
You must have completed the Rat Catchers quest to unlock this stage. Talk to Felkrash in the Port Sarim Rat pits and she will train your Overgrown Cat into a Wiley Cat. Wiley cats can catch rats better than a regular cat.
Lazy Cat
You must have completed the Rat Catchers quest to unlock this stage. The Lazy Cat appears if you do not train your Wiley Cat and just let it follow you around.
Hellcat
You must have started the Evil Dave sub-quest of the Recipe for Disaster quest to unlock this stage. Have your kitten/cat kill 7 Hellrats in the basement of Evil Dave's house in Edgeville. To change it back to it's regular cat stage, feed it milk or talk to Evil Dave's mother.
5.0 - Rat Chasing
You can get your kitten to chase rats. Many people may think chasing rats is a waste of time and pointless. Well, there is a reason for you to get your kitten to chase rats.
After your kitten catches 100 rats, you can take your Cat to Gertrude and she will be amazed; she'll give you a Cat Training Medal as a reward.
Strategies for Rat Chasing
A good place to catch rats is in the Varrock Sewers; there are many rats down there. Do not start catching rats until you have a Cat. With a Kitten, it just takes too long to catch 100 rats. Once you get a Cat it is much faster; a Cat can get up to 10 rats in a row.
When rat-catching you will be attacked by level 1 rats. The best thing to do is to turn auto-retaliate off, so you don't kill them all. Although they will not harm you, they can be very annoying.
6.0 - Interesting Information
Once you get a Cat or Overgrown Cat, you can go to West Ardougne and there is a Civilian there that you can trade your Cat or Overgrown Cat for 100 Death Runes. The Civilians are located on the path to The Underground Pass.
Once in awhile your kitten/Cat will disappear. Do not worry it has only gone off to adventure around RuneScape, and do some training.
ALWAYS leave one space open in your inventory, because if your kitten does wander off, and there is not an inventory space open your kitten will not have room to appear in your inventory and you will lose your kitten.
While your kitten is in your inventory or bank, it will not get hungry or need attention, and the growing progress is paused.
You can speak to your cat if you have a Amulet of Catspeak acquired from the Icthlarin's Little Helper quest.
You cannot take your cat into minigames such as Barbarian Assault, Castle Wars and Pest Control.
7.0 - Pet Fish
Pet fish are a fairly boring pet, though they do have some cool visual's associated with them. You can have them do tricks and can speak to them.
Getting a Pet Fish
The first thing you need to do when you want a pet fish is to obtain a fishbowl. To do this you can craft one out of glass with level 42 crafting. Next you need to use the fishbowl on a water source to fill it with water so the fish has a home to move about in, then add a piece of seaweed so the fish has a comfort zone to 'hide' in.
After you've created a home for your fish, the next step is to catch the fish. Go speak to Harry in the Fishing Shop in Catherby to buy a tiny net for 10gp. Then use the tiny net on the fishing spots in the shop. You will be able to catch one of 3 types of pet fish. You can only have 1 fish per fishbowl, so if you want all 3 types of fish, you will need to prepare several fishbowls.
Types of Fish
Picture
Name
Information
Bluefish
Bluefish are the most common fish to catch from the aquarium.
Greenfish
Greenfish are fairly common to catch from the aquarium.
Spinefish
Spinefish are the most uncommon fish to catch out of the aquarium.
Feeding your Fish
Once you've gotten yourself a pet fish, the next thing you need to do is feed it. There are a few ways you can obtain fish food for your pet fish.
Collect Fish Food out of Draynor Manor
Make Fish Food
Use a guam leaf and piece of seaweed with a pestle and mortar
Use the ground guam leaf and ground seaweed with an empty box (Speak to Harry in the Fishing Shop to get)
What Your Fish Can Do
There are 3 things that you can do with your fish. You can talk to it, you can play with it, and you can use it on a pet cat for a funny reaction.
When you right click on your fishbowl, you can select the option to talk which then shows you holding your fishbowl and some chat appears in the chat box of what you are saying.
Also when you right click, you can choose to 'play' with your fish which is basically you tossing the bowl up and the fish jumps out of the bowl for a second.
If you 'use' your fishbowl with your pet cat, you can get a funny reaction from the fish.
If you grow tired of your fish, the only thing you can do with it is drop the bowl. Fishbowls are un-tradable and there is no way to empty your fishbowl. So say your last goodbye to your fish and shatter the bowl allowing your fish to move onto the great netherworld.
8.0 - Pet Rock
To get a pet rock you must have completed The Fremennik Trials quest. Speak to Askeladden, the young Fremenik outside the beer hall. He will happily supply you with the fun packed pet that is a rock for free.
Interacting With Your Pet Rock
You surprisingly can do a lot of activities with a rock, the first being able to wield the object as a weapon - it is pretty useless however. The pet rock can also be interacted with, this includes the options: to talk with it (the rock will not reply but you do get a humorous message to read), to stroke, to fetch (acts as a sort of emote), and to stay, which the rock is very good at.
9.0 - FAQ
What does the Cat Training Medal do?
The Cat Training Medal does not do anything except look cool and prove you've killed 100 rats with your cat.
Author: Dark Tyger
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http://2007rshelp.com/monsters.php | OSRS RuneScape Monster Database - Old School RuneScape Help |
» OSRS RuneScape Monsters and NPC Database | OSRS RuneScape Monster Database - Old School RuneScape Help
» OSRS RuneScape Monsters and NPC Database
This massive database contains tonnes of information and tips on Runescape's monsters and other NPCs (Non Playing Characters).
» Combat levels, HP and max hits
» Which quest a monster was created for
» Top drop and other drop lists
» Tactics and recommendations for training
» A javascript tool to calculate your approx. XP per hour
» ... and loads more!
Browsing 12 of 942 Monsters (s)
Search
Name Locations Drops Attack Style Quest Race Notes
for
Page 1 of 1
Combat: 1 - 25 | 26 - 50 | 51 - 80 | 81+
Submit Missing NPC
Picture
Name
Members
Combat
HP
Location
Aberrant spectre
Yes
96
90
Slayer Tower, north of Canifis
Dagannoth
Yes
92
120
Lighthouse, north of Barbarian Agility Course
Dagannoth
Yes
90
97
Waterbirth island dungeon
Dagannoth
Yes
88
85
Waterbirth island dungeon
Greater demon
No
92
87
Demonic ruins (2), level 44 Wilderness northeast of Varrock; Entrana d...
Kalphite queen
Yes
333
267
Kalphite dungeon, southwest of Shantay pass, Al Kharid.
King black dragon
Yes
276
242
Lava maze, level 41 wilderness.
Lesser demon
No
82
79
Karamja Volcano; Crandor Isle; Wizards' Tower, top floor; Melzar's Maz...
Mithril dragon
Yes
304
250
Ancient Cavern, upper floor
Turoth
Yes
83
74
Slayer Dungeon, east of Fremennik
TzTok-Jad
Yes
702
250
Fight Caves, TzHaar
Werewolf
Yes
88
100
Canifis
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http://2007rshelp.com/monsters.php?id=616 | Steel dragon - Runescape Monster Database - Old School RuneScape Help |
» Runescape Monster Database » | Steel dragon - Runescape Monster Database - Old School RuneScape Help
Runescape Monster Database
» Runescape Monster Database »
Steel dragon
Combat:
246
Hitpoints:
220
Race:
Dragon
Members:
Yes
Quest:
No
Nature:
Aggressive
Attack Style:
Melee
Examine:
Its scales seem to be made of steel.
Kills per min:
Average Combat XP per hour:
Average HP XP per hour:
Where Found:
Brimhaven dungeon, south of the Black demons
Drops:
Dragon bones (100%), Steel bar (5, 100%), Coins (30-3000), Super attack potion (3), Super defence potion (2), Super strength potion (1), Adamant kiteshield, Rune javelin (7), Rune darts (8), Rune darts (p) (12), Rune knife (7), rune arrows (42) Rune limbs, Blood runes (15,20), Soul runes (5), uncut Gems, Half of a key, Law runes, Rune bolts (3,6,7), Cut dragonstone, Runite bolts (2-8), Curry (1-2)
Top Drops:
Clue scroll (level-3-4), Rune full helm, Runite bar, Rune mace, Rune platebody, Dragon med helm, Rune sq shield, Rune kiteshield, Shield left half, Dragon spear, Dragon platelegs, Dragon plateskirt, Draconic visage, Rune battleaxe
Tactic:
These are far too powerful to be effective training. It's better to try and kill the Iron dragons for Dragon platelegs and plateskirt, unless you're over level 110. For in-depth tactics on slaying metal dragons, see our Brimhaven Dungeon guide.
Notes:
Always remember to bring your anti-dragon shield. Steel dragons have a strong fire-breath and melee abilities. They are able to hit up to 20 with melee, and even higher with their magic-based fire-breath. Despite this, protect from magic is not 100% effective against their breath, however an Antifire potion will protect you from the fire-breath for 6 minutes and 5 seconds.
Credits:
Ben_Goten78; Five Aces; Blenders
Last Modified:
Thursday May 19th, 2016
Search
Name Locations Drops Attack Style Quest Race Notes
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http://2007rshelp.com/skills.php?id=10 | Runecrafting - OSRS RuneScape Skill Guides - Old School RuneScape Help |
» Runescape Skill Guides » Runecrafting | Runecrafting - OSRS RuneScape Skill Guides - Old School RuneScape Help
Old-School RuneScape Skill Guides
» Runescape Skill Guides » Runecrafting
Table of Contents
1.0 - Introduction
2.0 - Basics
2.1 - Pouches
3.0 - Levels, Talismans and Altars
3.1 - Level Requirements
3.2 - Combination Runes
3.3 - Talismans
3.4 - Tiaras
3.5 - Altar Information
4.0 - Tips and Techniques
4.1 - Tips
4.2 - Techniques
4.3 - Maximizing Time and Profit for non-members
5.0 - The Abyss
6.0 - Quests For Experience
7.0 - Frequently Asked Questions
1.0 - Introduction
Runecrafting is a free to play skill. It was released along with the completed version of RuneScape. Since then, a lot of players have taken the arduous task of binding their runes. A few prefer to buy them from magic stores or attain them from monsters. Runecrafting allows players to craft the runes as long as you have the correct level and equipment to craft them - bind the power of the ancient runes with rune essence, which is mined within special locations around RuneScape that only certain magical beings can allow entrance to.
The only requirement for the Runecrafting skill is to complete the Rune Mysteries Quest. This quest begins on the second floor of Lumbridge Castle, by speaking with Duke Horacio.
2.0 - Basics
Runecrafting is a long process; however the idea is quite unique. The first step is mining the rune essence needed in order to craft runes. The only place to get this rune essence is the rune essence mines which are only accessible through the powerful wizards of RuneScape. So to get to the rune essence mines you must talk to one of the following magicians.
Sedridor - Basement of the Wizards Tower
Aubury - Varrock Rune shop [Closest to bank - F2P]
Wizard Cromperty - East Ardougne
Wizard Distentor - The Head of the Magic Guild [Closest to bank - Members]
Brimstail - The Hollowed Rock in the south-west part of Tree Gnome Stronghold.
After arriving at the Rune Essence, find a mining spot and click "Mine". There are two types of Rune Essence. All free players will get normal essence which can only be used to craft mind, body, air, water, earth and fire runes. Members with 30 mining or above will receive Pure Essence which can be used to create all runes. Note that you will receive the same experience, despite which type of essence you mine. You will automatically fill your inventory with these magical rocks. Once you are done, just enter a nearby portal, and you will be teleported back where you came from.
The next step is turning the rune essence into actual runes. Take the talisman of the rune you wish to make as well as your rune essence with you to the respective Runecrafting altar location and "Use" your talisman with the mysterious ruins. You will instantly be taken into the altar. Click "Craft" on the dolmen in the center of the altar and your rune essence will be turned into runes. To leave, simple use the portal you came in.
Repeating this process will raise your Runecrafting level and produce more runes.
2.1 - Pouches
Along with the update that brought Runecrafters the Abyss came rune essence pouches. For starters, you will have to complete a mini quest for the Mage of Zamorak. This involves taking an orb to certain NPC's who teleport you to the rune essence mines.
The pouches, available in small, medium, large, and giant sizes, are obtained through killing creatures of the Abyss. These include Abyssal leeches (level-41), Abyssal guardians (level-59), and Abyssal walkers (level-81). Dying with your pouches will mean that you have to go to the Abyss and kill the creatures to attain more. Only one of each pouch may be held at any time. Over time the medium, large, and giant pouches will degrade and become damaged; holding less essence. To repair these, take them to the Dark Mage, in the middle of the abyss. If your pouch degrades completely it will disappear. You will have to kill abyssal creatures to obtain another, or get one more free small pouch from the Mage of Zamorak.
Picture
Type
Holds
Level
Small pouch
3 essence
1
Medium pouch
6 essence
25
Large pouch
9 essence
50
Giant pouch
12 essence
75
3.0 - Levels, Talismans and Altars
3.1 - Level Requirements
This table outlines the requirements for certain types of runes. At certain levels you will be able to make more than one rune for every rune essence. For example, if you were level 11, you would make two air runes per rune essence. These levels are also outlined in this following table. The "x2", "x3" etc indicate the required level to make multiple runes from one essence.
Picture
Rune
XP
Level
Essence Required
x2
x3
x4
x5
x6
x7
x8
x9
x10
Air
5
1
Rune or Pure
11
22
33
44
55
66
77
88
99
Mind
5.5
2
Rune or Pure
14
28
42
56
70
84
98
-
-
Water
6
5
Rune or Pure
19
38
57
76
95
-
-
-
-
Earth
6.5
9
Rune or Pure
26
52
78
104*
-
-
-
-
-
Fire
7
14
Rune or Pure
35
70
105*
-
-
-
-
-
-
Body
7.5
20
Rune or Pure
46
92
-
-
-
-
-
-
-
Cosmic
8
27
Pure
59
-
-
-
-
-
-
-
-
Chaos
8.5
35
Pure
74
-
-
-
-
-
-
-
-
Astral
8.7
40
Pure
82
-
-
-
-
-
-
-
-
Nature
9
44
Pure
91
-
-
-
-
-
-
-
-
Law
9.5
54
Pure
-
-
-
-
-
-
-
-
-
Death
10
65
Pure
-
-
-
-
-
-
-
-
-
Blood
10.3
N/A
Pure
-
-
-
-
-
-
-
-
-
Soul
11.3
N/A
Pure
-
-
-
-
-
-
-
-
-
*This is a reachable but untested multiplier level. With three doses of Evil Dave's Orange Spice in a stew, some luck, and level 99 Runecrafting, this can be reached.
3.2 - Combination Runes
Runecrafters have the option to bind two different types of elemental runes into a brand new combination rune. The benefit of this is combination runes only take one inventory slot, meaning extra room for food or equipment. The way the combination runes are used in spell casting, is like so: the greatest amount of runes required to cast a spell will form the amount of combination runes required. For example, Fire Strike requires 3 fire and 2 air runes. Casting it will require 3 smoke runes, as smoke is a combination of air and fire. This is exceptionally helpful for Mage Player Killing, because the combination of the runes leaves space for more food other important items.
To create combination runes you will need to bring the pure essence along with the same number of an elemental rune. You will also need the talisman matching the altar and the talisman of the runes you brought. Example: To create a mud rune you would go to the Earth Altar (May need Earth Talisman), bring a Water Talisman, Water Runes and an equal amount of pure rune essences. You will lose the one of the talismans you bring though.
The success rate of creating combination runes is 50% but this can be increased to 100% by using the necklace of binding. This necklace is an emerald necklace enchanted and has 15 uses.
Picture
Name
Made with
Level
Experience
Mist Rune
Air + Water
6
8
Dust Rune
Air + Earth
10
8.3
Mud Rune
Water + Earth
13
9.3
Smoke Rune
Air + Fire
15
9.5
Steam Rune
Water + Fire
19
10
Lava Rune
Earth + Fire
23
10.5
3.3 - Talismans
Talismans cannot be made. They are all dropped by various monsters, with the exception of the Law and Death Talismans, which are quest rewards. All are tradable, with the exception of the Law Talisman. Talismans marked with (M) are members only.
Picture
Talisman
Attain...
Other...
Elemental (M)
Monsters in the Abyss
Can be used to make any elemental rune
Air
Rune Mysteries Quest
Level 2 Goblins, Caskets, Air wizards south of Falador
Mind
Imps (anywhere) the most in one place are at Karamja Volcano
Blue wizards at Draynor Wizard's tower, Caskets
Water
Dark wizards
Blue wizards at Draynor Wizard's tower, Caskets, Water wizards south of Falador
Earth
Al-Kharid Warriors in Temple
Men/Women, Farmers (unconfirmed), Guards, Caskets, Earth wizards south of Falador
Fire
Dark Wizards at Delrith's Circle
Guards, Skeletons, Caskets, Fire wizards south of Falador
Body
Giants in Edgeville Dungeon
Hill giants, Guards, Caskets
Cosmic (M)
Lesser Demons
Ice Giants, Caskets, Otherworldly Beings, Level 45 Skeletons, Level 28 Hill Giants
Chaos (M)
Dwarfs (level-20), Shadow warriors, Hill giants
Fire Giants, Lesser Demons, Caskets, Chaos Druid Warriors, Chaos Dwarves, Elementals, Earth Warriors, Jogres, Mountain Trolls
Nature (M)
Black Knights, Greater Demons
Moss giants, Lesser demons, Caskets, Green dragons, Paladins, Abyssal leeches, Hobgoblins, Level 44 Zombies, Mountain Trolls, White knights, Flesh crawlers, Minotaurs, Jogres, Ankou.
Law (M)
Troll Stronghold
If you lose yours, talk to Dunstan again in Burthrope.
Death (M)
Mourning's Ends Part II
Dark Beasts
Blood (M)
N/A
N/A
Soul (M)
N/A
N/A
3.4 - Tiaras
Bound Tiaras are used as a faster and more efficient way to runecraft. Simply wear the tiara, take your essence to the mysterious ruins, and left click them to gain access to the binding temple.
Picture
Method
Picture
To make a tiara, grab a silver bar and tiara mould ( Rimmington or Al-Kharid crafting stores, or for free in the Crafting Guild ); make your way to a furnace, and make the tiara. Once you have created a plain tiara, you must take it, along with a talisman to its respective Runecrafting temple, and use either with the altar. (Note: There is usually a large amount of plain tiaras at the general store in Falador .)
There are currently eleven types of tiaras in the game, with blood, and soul to be added at a later date. Cosmic, Chaos, Nature, Law, Death, Blood and Soul are Members' only. When you bind a tiara with the power of a runecrafting altar, you will gain 5x the normal runecrafting experience. This is shown in the table below:
Picture
Tiara
Experience Gained
Air Tiara
25
Mind Tiara
27.5
Water Tiara
30
Earth Tiara
32.5
Fire Tiara
35
Body Tiara
37.5
Cosmic Tiara
40
Chaos Tiara
42.5
Nature Tiara
45
Law Tiara
47.5
Death Tiara
50
Blood Tiara
N/A
Soul Tiara
N/A
3.5 - Altar Information
Altar
Location
Closest Bank
Running to Bank
Air
South of Falador ( Map)
Falador South Bank
28 seconds
Mind
Far North of Falador ( Map)
Edgeville Bank
50 seconds
Water
Lumbridge Swamp ( Map )
Lumbridge chest.
45 seconds
Earth
North-east of Varrock ( Map)
Varrock East Bank
29 seconds
Fire
North-east of Al-Kharid ( Map)
Al-Kharid Bank
20-30 seconds (duel arena); 45-55 seconds ( Al-Kharid)
Body
South of Monastery ( Map)
Edgeville Bank
30 seconds
Cosmic
In Zanaris (The Lost City) ( Map)
Zanaris (The Lost City) Bank
48 seconds
Chaos
North of Edgeville (Level 9 Wilderness) ( Map)
Edgeville Bank
33 seconds
Astral
South-East Peninsula of the Lunar Isle, next to Oneiromancer.
Lunar Isle City Bank
34 seconds
Nature
North of Shilo Village ( Map)
Al-Kharid Bank (via Glider)
105 seconds
Law
North-east corner of Entrana Island ( Map)
Pest Control Bank
65-80 seconds
Death
Temple of light
Isafdar and Lletya Bank
500 seconds (only use the Abyss to craft deaths)
4.0 - Tips and Techniques
4.1 - Tips
For free players, there is not much strategy at all. You should simply use the running to the altar and back method. However, for members, there are many great ways to raise Runecrafting quickly. This section will outline the best ones.
Amulet of Glory Charges: The most efficient charging of the amulets is achieved when you have at least four amulets, preferably 10 or more amulets. Use your last teleport for a trip to Al-Kharid, bring along all your amulets, and then catch the glider to White Wolf Mountain. Go underneath the mountain using the Dwarven pass, charge all your amulets at the Heroes' Guild and then teleport back to Edgeville for another round.
*The Glider system works such that you will have to fly the glider back to the Tree Gnome Stronghold stop, before flying to a new destination.
Should want to charge your Amulets of Glory, then the quickest method is to use a Game Necklace and teleport to Burthorpe to walk a small distance to charge all your amulets at the Heroes' Guild
Amulet of Glory, Boots of Lightness and Spotted/Spottier Cape: Always equip the amulet before you run to an altar. You can teleport out of the altar with the glory straight from your equipment tab.
Remember to equip boot of lightness if possible; it makes a world of difference, reducing your weight by 4.875kg. Spotted capes also reduce your weight by 3kg and spottier capes reduce your weight by 5kg. Lastly, when using your amulet of glory for a teleport to a bank, use the Edgeville bank instead of Al-Kharid.
4.2 - Techniques
The table below ranks the top three best Runecrafting methods for both members and free players.
Rank
Free Players
Members
First
Earth
Fire
Second
Body
Nature
Third
Fire
Law
The above rankings are not based on Abyss times. To find out which technique you should use, refer to the next section.
Using The Abyss method proves much more effective in crafting the runes below than walking to and from the altar, however, if you are scared of Player Killers camping out around the entrance to the abyss, then use the below techniques.
Air Altar: As a beginner, air runes are the first runes you will be able to craft. They are one of the easiest runes to make, as the altar is in plain view, and near-enough to the Falador east bank. Once you can make more than a few airs per essence, it will be wise to walk from Falador, to the altar, and then teleport back to save time.
Mind Altar: Instead of starting from Falador, begin from Edgeville. Head in to the wilderness, then walk/run west, and eventually south towards the altar. Return quickly with Amulet of Glory, and recharge when needed.
Water Altar: For beginners who have no access to the abyss, Runecrafting water runes can be extremely boring. However, the fastest way to craft them is to walk to and from Draynor Village Bank. If you have a Glory Amulet, take it with you and teleport to Draynor Village to reduce the time taken.
Earth Altar: Earth is by far the best free-to-play runes to craft, largely because the altar is the closest to a bank in relation to walking distance. Free players should definitely consider using earths to "power-craft" their levels up. A helpful hint is to teleport to Varrock to save time.
Fire Altar: For lower level members, Runecrafting Fire Runes is the fastest method of gaining experience, if you have a plentiful supply of emeralds, making rings of dueling will be of great assistance. Begin by equipping one ring; wearing a fire tiara, 28 rune essence, and teleport into the duel arena. Make your way to the altar, and then bind your essence. Teleport to the castle wars arena, and use its bank. Teleport to the duel arena, and repeat the cycle again. Each ring gives four trips (2 uses per trip).
Body Altar: This method requires using an amulet of glory to teleport back to Edgeville bank, then running back to the body altar. You can of course, do this without an amulet of glory, but it would be a bit slower. From Edgeville, run south-west (just west of Barbarian Villages' Pub), and enter the altar. Craft your runes, and use your amulet of glory to teleport back to Edgeville. Recharge when necessary.
Cosmic Altar: The cosmic altar is located in Zanaris (The Lost City), which is only accessible upon completion of the Lost City Quest. The mysterious ruins are located just east, then south of the flour mill. To get to the altar is a pretty long run, but there are two shortcuts. Both are narrow walkways: the first requires level 66 agility; the second requires level 46 agility. If you are low on health, or wouldn't like to risk loosing health, then use the second walkway. Both shortcuts can be failed, and will deal from 4-8 damage. Keep in mind you can also craft the runes without agility, it just takes longer. Once you have accessed the inside of the altar, it is right down the path.
Chaos Altar: Time wasted on navigating through maze makes Chaos Runecrafting ineffective and unprofitable. To save time, when in the Chaos Temple areas, you can simply make use of the mini-map to click the ladder in view. This saves time navigating the temple. Having around ten amulets of glorys will reduce the time it takes to craft, as you can teleport back to Edgeville bank safely. Using the Abyss to craft these runes is the best way, but some can't or don't want to.
Nature Altar: There are five methods to crafting nature runes. The first method involves selling pure essence notes and re-buying your pure essence back using the Tai Bwo Wannai Village general store. Withdraw all of your Pure Rune Essence in notes, take about 50k gp with you and bring your Nature Talisman. With three spots taken up, 25 spaces left, head to the village shop. Sell 25 Rune Essence notes to the shop, then buy them straight back. Go to the Nature Altar, and then scoot back to the shop. Sell 24 Pure Rune Essence notes, go to the Nature Altar, and scoot back. Repeat this process to your hearts content.
The second method requires The Grand Tree quest to be completed. Take the glider to the Shilo Village Region of Karamja. Walk north-west, cross the log bridge, and the walk south-west and you will hit the altar. Turn around and head back the way you came to get back to Al-Kharid, and withdraw another batch of essence. This method is sub-par with the shop method for time (formerly took less time, but the location of the glider was moved), but has the advantage of being able to craft 27 runes at once (no space taken up by money, notes, and crafted natures). This method can be further enhanced by using the Amulet of Glory, where you teleport to Al-Kharid the moment you have crafted your runes.
The third method requires you to have started the A Fairy Tale Part II quest to access the fairy rings. A fairy ring is located just west of the altar and its coordinates are CKR. You just need to wield a dramen/lunar staff, a nature tiara and then have your inventory filled with pure essence and pouches if you can use them.
The fourth method is not the fastest but still used by many players. It involves you running between the Nature Altar and the Shilo Village bank.
The fifth method requires total completion of the Karamja Achievement Diary. Clap your Karamja gloves to be teleported to the Shilo Gem Rocks. Run to the bank, get essences and run to the altar. Repeat.
Law Altar: There are two different ways you can craft law runes effectively. First of all, remember that you may not bring anything resembling a weapon or piece of armour with you to Entrana. With that said, use Draynor Village as your banking hub, and bring your law talisman, 27 pure essence, and a charged Amulet of Glory, which should be worn at all times. Go to Port Sarim and hop the boat to Entrana. The trip is free, and has a quick "Take-boat" option on the monks. Head east, then straight north until you hit the altar. Craft your runes and teleport back to Draynor Village. An alternative to using Draynor bank, is to take the boat from Port Sarim to the Void Knight Outpost, bank there, and then take the boat back to Port Sarim, then to Entrana. If you wish to get laws made for free, bring your 27 ess as normal and trade for 27 laws and 27 noted pure essence. Bank and repeat for free fast laws on world 66.
The second way, and best way to gain Runecrafting experience is world 66 and 99 at the law altar. There are many people who want law runes crafted. This can get you up to 20-30k XP an hour! However, this is a costly method and only recommended if you are certain you will get 91 runecrafting.
Alternatively when you have done the Enlightened Journey quest and unlocked the Castle Wars service: Bring a ring of dueling, law tiara, and pre-cut normal log, and start at Castle Wars bank. Go to the balloon outside the Castle Wars building, and take a ride to Entrana. Proceed to law altar, craft runes, and use the dueling ring to teleport back to Castle Wars. This takes about the same speed as abyssal crafting, and is quite significantly less dangerous.
Death Altar: Basically, the only way to craft death runes, is by using the Abyss. Walking to the altar not only wastes time, but can become quite confusing.
Rune Essence Mining: Choose a spot near the portal to mine, as it does save a little time. After getting a full load, click directly on the portal, and you will be taken outside. The best place to mine Essence is the Magic Guild as it is basically a straight run from there to the bank (66+ Magic required, or 63 with a Wizards Mind Bomb); members only).
4.3 - Maximizing Time and Profit for non-members
The best way to make a profit through runecrafting in non-members is to craft airs. Other types of runes are much harder to sell for non-members. If you are looking to level fast and make a profit, you will want to use World 16 Air Company. I will explain the process later on, but for now just know that you need a runecrafting level of 55 or more to make a profit. This takes in account buying mass amounts of rune essences for 40 gp each and other expenses using this method. As with most guides, if you buy the essences for less or sell the airs for more, you will be making a profit earlier. As your level increases, you will be able to sell the airs for less and still make a profit. To start runecrafting in World 16, I would suggest you have at least 2,000 noted essences and 160,000 gp.
Fast Free Cash / World 16 Air Company
World 16 Air Company is the biggest aircraft company in all of RuneScape. For non-members, this is the fastest consistent runecrafting experience in the game. There are two types of jobs for this company, runners and crafters. Since you want runecrafting experience, you will be a crafter. The crafters job is to take the unnoted essences from the runners. In return, the crafter should give the runner 25 noted essences and money. Usually crafters give back 2,000 to 2,200 gp per load to the runner. Although this may seem like a lot of money to waste on the exchange of rune essences, it gives the runner a supplement for all the time he or she is taking to help the crafter. Once you have your entire rune essence supply crafted, use the forums to sell the airs. The amount of airs you will have varies with your runecrafting level.
The table outlines the amount of profit or debt you will incur for each level when you trade the amount of money on the left. Notice, this table is only for buying essences at 40 gp. Each value is the value for one essence.
Air Selling Price
1
2
3
4
5
6
7
8
9
10
1,000 gp per trade
15
-65
-50
-35
-20
-5
10
25
40
55
70
16
-64
-48
-32
-16
0
16
32
48
64
80
17
-64
-46
-29
-12
5
22
39
56
73
90
18
-62
-44
-26
-8
10
28
46
64
82
100
19
-61
-42
-23
-4
15
34
53
72
91
110
20
-60
-40
-20
0
20
40
60
80
100
120
1,500 gp per trade
15
-85
-70
-55
-40
-25
-10
5
20
35
50
16
-84
-68
-52
-36
-20
-4
12
28
44
60
17
-83
-66
-49
-32
-15
2
19
36
53
70
18
-82
-64
-46
-28
-10
8
26
44
62
80
19
-81
-62
-46
-28
-10
8
26
44
62
80
20
-80
-60
-40
-20
0
20
40
60
80
100
2,000 gp per trade
15
-105
-90
-75
-60
-45
-30
-15
0
15
30
16
-104
-88
-72
-56
-40
-24
-8
8
24
40
17
-103
-86
-69
-52
-35
-18
-1
16
33
50
18
-102
-84
-66
-48
-30
-12
6
24
42
60
19
-101
-82
-63
-44
-25
-6
13
32
51
70
20
-100
-80
-60
-40
-20
0
20
40
60
80
2,500 gp per trade
15
-125
-110
-95
-80
-65
-50
-35
-20
-5
10
16
-124
-108
-92
-76
-60
-44
-28
-12
4
20
17
-123
-106
-89
-72
-55
-38
-21
-4
13
30
18
-122
-104
-86
-68
-50
-32
-14
4
22
40
19
-121
-102
-83
-64
-45
-26
-7
12
31
50
20
-120
-100
-80
-60
-40
-20
0
20
40
60
5.0 - The Abyss
The Abyss (along with its guardian, The Mage of Zamorak) has made the runecrafting skill easier and quicker to train. To enter the abyss, you must first do a task for him. When you complete his task, he will allow you access to the abyss. Once inside, you will be confronted by Abyssal creatures that are fairly powerful. Despite the fact that the abyss is not a wilderness zone, you will be instantly skulled. You can prevent being skulled by wearing an Abyssal bracelet (enchanted diamond bracelet). Your prayer will also be drained to 0. You can regain your prayer points in the abyss by drinking prayer potions or super stat restore potions. If you have a mounted glory in your house, you can teleport with either runes or a teletab from the altar to your house and teleport back to Edgeville. This will prevent you losing a glory amulet while using Abyss.
From Edgeville bank, to the abyss, and back again, takes approximately 70-85 seconds running (however, the times vary depending on where you spawn inside the abyss). For walking, it can take anywhere from 105, to 125 seconds to make a round trip. This means that the crafting of Body, Mind, Chaos, Nature and Law runes is faster, thanks to the abyss.
While this is a more innovative and efficient way to craft some types of runes, for others, it is not as worth while. This is largely due to the Player Killers who often guard the entrance to the abyss.
Nevertheless, the abyss ultimately increases the ease of the Runecrafting skill. For more detailed information, consult our guide to The Abyss and on how to complete the Abyss mini-quest.
Quests for Experience
The Eyes Of Glouphrie: 6,000 XP
Mage of Zamorak Miniquest: 1,000 XP
Lunar Diplomacy: 5,000 XP
Devious Minds: 5,000 XP
Slug Menace: 3,500 XP
What Lies Below: 8,000 XP
Quests with a choice Experience
A Fairy Tale Part II: 2,500 XP in any skill of your choice over level 30.
Great Brain Robbery, The: 5,000 XP for any skill you choose over level 30.
One Small Favour: 10,000-20,000 XP (2 x 10,000 lamps for any skill of your choice over level 30)
Recipe for Disaster: 20,000 XP (A Lamp to grant 20,000xp in a skill of your choice over level 50)
Frequently Asked Questions
Q: Can Non-Members craft Chaos, Cosmic, Nature, Death, and Law runes?
A:No. Non-Members can only craft up to Body Runes. Although you can access the outside of the Chaos Altar, the Chaos talisman and tiara is a members' object. Note that only pure essence can craft the members' only runes.
Q: Do you get more experience when you are able to craft more than one rune from one essence?
A: No. Experience is calculated per essence crafted, not per rune made.
Q: Is it possible to craft Soul and Blood Runes?
A: No.
Q: Didn't the Glider at Karamja Island crash? How can it be used for nature rune Crafting?
A: That is the glider first used when you start the quest. The crash site is located at the Jogre spawn. However, the location you glide to would be further south.
Q: Can Free Players buy and use Pure Essence?
A: Yes they can. Pure essence can be used by both members and free players, however only members can mine it.
Q: How many glory amulets should I have whilst crafting via the Abyss?
A: The more you have, the better. It takes approximately 110 seconds to make a successful trip through the Abyss. You can last for about an hour in the Abyss with 10 glory amulets before having to recharge them. Having 10 plus amulets will be most effective.
Q: Why does everyone keep talking about 91 runecrafting? What is so special about it?
A: At 91 runecrafting you gain the ability to craft double nature runes per essence. This method makes people over a million gp per hour, and is what every runecrafter aspires to.
Author: Wolverine
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http://2007rshelp.com/skills.php?id=2 | Fletching - OSRS RuneScape Skill Guides - Old School RuneScape Help |
» Runescape Skill Guides » Fletching | Fletching - OSRS RuneScape Skill Guides - Old School RuneScape Help
Old-School RuneScape Skill Guides
» Runescape Skill Guides » Fletching
Table of Contents
1.0 - Introduction
2.00 - How to fletch
2.1 - Bows
2.2 - Arrows
2.3 - Crossbows
2.4 - Bolts
2.5 - Darts
3.0 - Training methods/locations
4.0 - Making Money
5.0 - Miscellaneous
6.0 - Quests for Experience
1.0 - Introduction
1.1 - What is Fletching?
Fletching is a skill somewhat similar to Crafting, however, it involves creating bows and arrows, and it is a great money making skill.
Definitions aside, fletching is the ability to make ranging equipment. It is a members-only skill, although some ranged equipment made is allowed to be used on an F2P -or free playing- server.
1.2 - Why should you fletch?
Fletching is one of the best ways to make money in RuneScape. Casting High Level Alchemy on Yew Longbows, Magic Shortbows, and Magic Longbows are an increasingly popular way to make quick cash. It is also a relatively easy skill, requiring few items to make bows as well as taking less time (as opposed to casting High Alchemy on steel plates, which requires 5 iron, 10 coal just to make one plate). This guide will explain more information of the monetary benefits of fletching in section 4.8.
A drawback to fletching is that many find it boring. Some love fletching and find it relaxing, but everyone has a different opinion. It is also a members-only skill, so if you cancel your membership you will no longer have your primary means of making cash. In addition, you need a fairly high fletching level to make significant profits (level 70 and up); more information about this later.
Overall, if you do not like making arrows or bows, do not take up this skill. The point of RuneScape is to have fun, and you should find the skill you like to do best and concentrate on that instead, even if it does not make as much money and has more drawbacks. Most skills can produce an income. Only those who truly enjoy fletching, or at least can tolerate it, should continue with this guide.
2.0 - How to Fletch
2.1 - Bows
To make a bow, simply use a knife with a log and create a "shortbow" or "longbow." Then take a flax plant and spin it on a spinning wheel to make a bowstring. Use this with your unstrung bow and you are done! The table below shows experience gained from making a complete bow. Half of the experience is gained for carving the bow, and the other half is gained by stringing it.
Picture
Name
Level
XP
Shortbow
5
10
Longbow
10
20
Oak Shortbow
20
33
Oak Longbow
25
50
Composite Ogre Bow
30
90
Willow Shortbow
35
66
Willow Longbow
40
83
Maple Shortbow
50
100
Maple Longbow
55
116.5
Yew Shortbow
65
135
Yew Longbow
70
150
Magic Shortbow
80
166.5
Magic Longbow
85
183
2.2 - Arrows
The base of any arrow is the shaft. To make a shaft, chop down any regular tree. Use your handy-dandy knife to make arrow shafts (the same way you would an unstrung bow). One log will make 15 arrow shafts. Next, you need feathers to place at the end of your arrows. You can obtain these from chickens, the fishing shop, or other players. After this, you need to smith arrowheads. If you want to make iron arrows, make iron bars. One iron bar will make 15 arrowheads. Now, to attach them all together you must use your feathers on the shafts then use your arrowheads on the headless arrows. An update has now made it easier to fletch arrows via the "Make X" option. This way you won't have to hurt your hand by riddling your mouse with clicks!
With the Big Chompy Bird Hunting quest, you can make Ogre Arrows. These arrows require different materials then regular arrows and can only the Ogre Bow uses the arrows. Here is how to make them. For the arrow shaft, go to the area that the Chompy quest takes place in. You will see pointy Achey trees. Cut these down and use a knife with them to make Ogre arrow shafts. Use feathers with the shafts to make Flighted Ogre Arrows. Kill some wolves (the best place is White Wolf Mountain) and use a chisel with the wolf bones to make Ogre Arrowheads and attach them to the arrows.
NOTE: When making Ogre shafts and Arrow tips, you receive an uneven amount of shafts/tips every time. For example, one Achey log may give 3 shafts, while another gives 6. It is the same thing with the arrowheads. In addition, 4 feathers are required for every Ogre arrow shaft. The experience gained from the arrows varies as well.
Picture
Name
Level
XP
15 Arrow Shafts
1
5
Headless Arrow
1
1
Bronze Arrow
1
1.3
Ogre Arrow
5
Varies
Bronze Brutal Arrow
7
1.4
Iron Arrow
15
2.5
Iron Brutal Arrow
18
2.6
Steel Arrow
30
5
Steel Brutal Arrow
33
5.1
Black Brutal Arrow
38
6.4
Mithril Arrow
45
7.5
Mithril Brutal Arrow
49
7.5
Adamant Arrow
60
10
Adamant Brutal Arrow
62
10.1
Runite Arrow
75
12.5
Runite Brutal Arrow
77
12.5
Dragon Arrow
90
15
2.3 - Crossbows
The ability to carefully craft crossbows is an ancient dwarven art. To make a crossbow, use a knife on any type of log, and choose to make a crossbow stock (cannot be done with magic logs) - this method also uses the "make-x" option. Using the Smithing skill, you are able to make "limbs" for the crossbow using one metal bar at an anvil. As each metal has a different flexibility and weight, the type of limb needed for the crossbow is determined by the type of wood you used to make the stock. Other combinations will not work. Once you have both, merge the stock and the limbs together, to make an unstrung crossbow. Once you've done so, you are able to string it using a crossbow string (cooked beef made into sinew, then spun at a spinning wheel - level 3 Cooking and 10 Crafting required).
Picture
Stock
Picture
Name
Level
Total XP
Final
Name
Wood
Bronze limb
9
24
Bronze crossbow
Oak
Blurite limb
Must have completed
The Knight's Sword quest
24
64
Blurite crossbow
Willow
Iron limb
39
88
Iron crossbow
Teak
Steel limb
46
108
Steel crossbow
Maple
Mithril limb
54
128
Mithril crossbow
Mahogany
Adamant limb
61
164
Adamant crossbow
Yew
Runite limb
69
200
Runite crossbow
2.4 - Bolts
Adding tips to the ends of bolts never used to be very common practice amongst Runescapians. However, since several new bolt types have been added to the game, quite a number of people have been utilising them. With the exception of the barbed bolttips and the mithril grapple, you are able to simply use a chisel to cut other gems, and choose an option to make bolttips, gaining a small amount of fletching XP (included in the total XP column). You are able to add these tips to metal bolts you have made using the Smithing skill. Once this has been done, you are even able to enchant them to have special abilities when versing players or monsters.
Picture
Name
Level
Tips Made
Picture
Bolt Type
XP (per tip added)
Total XP per
Final
Name
Opal bolttips
11
12
Bronze bolt
1.6
20.2
Opal bolts
Jade bolttips
26
12
Blurite bolt
2.4
30.8
Jade bolts
Pearl bolttips
41
6 (small oyster)
24 (large oyster)
Iron bolt
3.2
22.2
79.8
Pearl bolts
Red topaz bolttips
48
12
Steel bolt
3.9
49.8
Red topaz bolts
Barbed bolttips
51
-
Bronze bolt
9.5
9.5
Barbed bolts
Saphire bolttips
56
12
Mithril bolt
4.7
60.4
Sapphire bolts
Emerald bolttips
58
12
Mithril bolt
5.5
71
Emerald bolts
Mithril grapple tip
59
-
Mithril bolt
11
11
Mithril grapple
Ruby bolttips
63
12
Adamant bolt
6.3
81.6
Ruby bolts
Diamond bolttips
65
12
Adamant bolt
7
91
Diamond bolts
Dragonstone bolttips
71
12
Rune bolt
8.2
106.4
Dragonstone bolts
Onyx bolttips
73
24
Rune bolt
9.4
234.6
Onyx bolts
2.5 - Darts
Making darts is quite simple, but it is rarely used. Simply make dart tips by using a metal bar on an anvil and add feathers to them using the double-click method. Each bar will make 10 dart tips, which will then become 10 Darts.
Picture
Name
Level
XP
Bronze Dart
1
1.8
Iron Dart
22
3.2
Steel Dart
37
7.5
Mithril Dart
52
11.2
Adamant Dart
67
15
Runite Dart
81
18.8
3.0 - Training Methods & Locations
This is simply what you should fletch at each level. You also need to bring up your Woodcutting skill along with fletching, unless you plan to buy all your logs. This is very pricey and disfavored, as those who have the money to buy their way to 85 fletching do not NEED the extra cash obtained by it. Just woodcut everything you fletch and you will be fine.
3.1 - What should you fletch at this level?
Levels 1-30
For the beginning levels, either arrows or bows will get you far. Bows are good, as they are faster and require less item gathering. Always make the best possible bow you can make, unless your woodcutting level is not high enough to chop efficiently. Start with Shortbows and work your way up to level 30.
Levels 30-50
For this level range you can still make bows, however in order to speed up the leveling process it is a good idea to make a few thousand steel arrows. Remember, you do not "fail" when making bows and arrows, so level 30 is as good as 50 when it comes to quality. Again, you should always fletch the highest-level bow/arrow you can, unless your woodcutting level restricts you.
Levels 51-70
The fastest way to get from level 51 to 70 is making willow longbows. Willow logs are 30-40gp each so it won't cost you much, also you get some money back by selling the bows to various shops.
Levels 70+
Here is where the real magic begins. Fletch yew longbows for the best money until your fletching is level 85, and after that you can make magic longbows if you have the money to buy Magic logs or if you have the time to woodcut a lot of them. During this time your woodcut should be higher than 75. If you cut all the yews that you fletch it will be 85+. If you have a lot of time, you could try woodcutting (Note that 85+ woodcutting and a good spot are recommended to efficiently chop magic logs). However, if you're powertraining then buying is the way to go.
3.2 - What is a good strategy for leveling?
Fletching Bows
The basic strategy for fletching is to get through the bows as quickly as possible. You will fletch a ton of bows in your RuneScape lifetime, and probably get very bored. Our strategy is to minimize the time spent and maximize the fun. Keeping the knife as close to the chat box as possible is a good idea, as well as making it so you do not have to move the mouse too much while stringing bows.
The actual strategy: check a fletching calculator to find out how many bows you need to make (You can find calculators on this site). Let us pretend to get to the next level you need to make 300 yew longbows. First, get your axe if you wish to woodcut these yew logs (Note, if you wish to speed things up and if you have money to spare you could simply buy 300 yew logs for 90,000-99,000gp.) Cut 300 yew logs and cut them into unstrung bows after each load. Once you have banked 300 unstrung yew longbows, obtain 300 bowstrings as well. In order to do this, go south of Seers' Village and pick flax. On your way back, stop by the South-Western most house and go upstairs. Spin the flax on a spinning wheel. Continue this until you have 300 strings. If you have money to spare, buy the bowstrings from somebody for 150-200gp each, or flax from someone for 90-110gp each. This means 300 bowstrings will cost 45,000-60,000gp, and 300 flax will cost 30,000-36,000gp.
In the past, you used to click continuously to fletch bows. Now, instead of fletching every single bow, one at a time, you can fletch an entire inventory at once. To do this, use a knife with a log. A menu will pop up asking whether you want to make short bows or longs. Right click on your option and select "Make X." Type in the number of bows you would like to make, or alternatively just type in "99" for a whole load, as it is faster.
Recently an update has meant that players can select "Make All" when attaching bowstrings to unstrung bows, this is generally considered to be faster and easier, although some older fletchers argue that they can click between the items faster.
A lot of people will trade you yew logs and bowstrings once you're level 70+ for your strung yew bows, and they will occassionally offer money as well. This will allow you to level fletching faster, however you won't make as much money.
Fletching Arrows
Fletching arrows, while easy, is not recommended for leveling since the materials are so hard to obtain quickly and inexpensively. In addition, in later levels it takes MASSIVE amounts of arrows to make any sort of progress. Gather the materials in bulk, once you have everything you need, go to a bank and withdraw all your shafts and your feathers. Unfortunately there is no easy way to do this! You will have to just have feathers and shafts right beside each other in your inventory, and be furiously clicking back and forth to attach the feathers.
The Magic
If you wish to cast high alchemy on your bows, withdraw all bows from the bank in note form. Place them on the same spot as the high alchemy icon (it changes with the addition as new magic spells, but as of now, it is the 5th row, 4th column). It should be right on top of the "high alchemy" icon on your magic screen. Make sure you have a nature rune for every bow you wish to high alchemy, and a fire staff equipped (or 5 fire runes per bow). Click on the high alchemy icon, and then click on the note. You should not have to move the mouse to do this. On your screen, the magic should make 3 flashes come out of your hands. On the third flash, click on high alchemy again, and then click on the notes again. High alchemize all your notes then enjoy your cash.
Here is a table to show you the amount of GP you will receive each time you cast high alchemy on a bow.
Bow Type
Shortbows (Unstrung)
Longbows (Unstrung)
Shortbows
Longbows
Regular
15gp
24gp
30gp
48gp
Oak
30gp
48gp
60gp
96gp
Willow
60gp
96gp
120gp
192gp
Maple
120gp
192gp
240gp
384gp
Yew
240gp
384gp
480gp
768gp
Magic
480gp
768gp
960gp
1536gp
As you can see from this table, it may not be worth it to string maple bows and lower when you are fletching. This is because bowstrings can get expensive and you do not get much in return when you high alchemy these cheaper bows (not to mention the amount of money one must spend on nature runes). If you want to get a good return in cash, only string and high alchemy the yew and magic bows.
4.0 - Making Money
In order to make money from Fletching, you will definitely need:
70 Fletching
55 Magic
In order to make the most profit you will need at least two of the following:
44 Runecrafting
10 Crafting
60 Woodcutting
You may purchase most of the items needed to fletch. Nature runes are ~300 each, yew logs 300-320gp each, and bowstrings 200 each. However, if you buy ALL of these things you will LOSE money. Therefore, if you are planning to buy at all, choose between the natures, bowstrings and the yew logs. Buying the bowstrings is a wise choice, but you should do whatever makes you comfortable.
The Money Making Process
Cast high alchemy on yew longs, magic shorts, and magic longs. Fletch as many bows as needed for the next level and then cast high alchemy on them. You will obtain 400k+ per set of bows, you fletch. Level 70 to 85 will give you about 12 million, if you work at it. Most people do not suggest using High Alchemy on magic shorts as the money is not enough to make up for the time lost trying to cut magic trees. Therefore, you should only start High Alching magic longs when you get to level 85. This is GREAT magic experience, Runecrafting experience, Woodcutting experience, Crafting experience, and fletching experience. It is also great for getting up that skill total!
I. Does this work?
Of course it does! Fletching is becoming one of the most popular moneymaking skills for members. Yew trees, which used to have only one or two people at them, now the trees often have over 5 woodcutters. Everyone wants a piece of fletching (even F2P, if you have not noticed), and after High Alching a large load of bows you can see why!
II. How long should this take?
Getting to 70 fletching can take up to a month if you work at it. It will take much longer if you do not fletch efficiently. If you are serious about getting the levels, it is obtainable in, approximately, 6-10 hours of gameplay. If you buy all the logs needed, you can get it even faster! After you get 70 fletching, it takes as long as you need to get the money you want!
III. What are the benefits of using fletching for income?
The best thing about using fletching as your main source of income is it is not market-based. Remember when rune essence sold for 100-200gp each? Now it only sells for 25gp. Why? As more people jumped on the rune essence bandwagon, the prices dropped. With fletching, this is impossible, because you are not selling to other players. You are casting a magic spell that gives the same amount of money no matter how many people do it, and no matter how messed up the RuneScape economy is. While rune and treasure trail prices continue to drop, you will keep a steady income. Moreover, you do not have to haggle for prices. It is 768gp a yew longbow.
**Please note some of the prices on here might not be 100% accurate, prices are unstable. Please check our Marketplace guide for more updated accurate prices**
5.0 - Frequently Asked Questions
Where are the best places for getting the logs needed for fletching?
Log
Where...
Regular
Anywhere with lots of regular trees near a bank. A good place would be Draynor Village, Seers' Village, and East Varrock.
Oak
Seers' Village has oaks nearby the bank. Almost any bank with a nearby forest will have many oak trees, but Seers' Village is the best.
Willow
Two places are good for willow. Seers' Village has 6 willow trees behind the bank. Catherby also has willows just west of the bank.
Maple
Behind Seers' Village bank are 4 maple trees, a very good place to make maple bows and cut wood (as an off-note, further north of the four maple trees is an entire forest of maple trees. These are not as close to the bank, but it is a good place for Maple).
Yew
The best place to cut yew is west of Catherby, directly below the flax farm. There are 6 yew trees there. Keep "run" on - it will recharge while you cut. Use the bank in Catherby. The church in Seers' Village also has yew trees, but it is often crowded and there are only 3 trees.
Magic
South of Seers' Village and west of the yew trees are 3 or 4 magic trees. In addition, the entrance to the Scorpion Catcher Wizard's tower has several magic trees. Either the Legends' Guild bank or Seers' Village is good banks for magic trees. There is also three magic trees just south of Lletya, and some out the front of the Mage Training Arena in Al-Kharid.
What is the fastest way to make bowstrings?
The main spot used to make bowstrings is Seers' Village. There is a flax farm south of the courthouse and west of the courthouse is a house (it is the closest one to the church). Upstairs in that house is a spinning wheel.
An alternative location, if you're just doing spinning, is Lumbridge Castle. It takes around 3 clicks to get from the bank on the very top floor to the spinning wheel on the second floor, making it one of the fastest ways to spin flax.
Tree Gnome Stronghold provides a flax field as well. Look for the field in south-east. After you have an inventory full of flax, go upstairs of one of the trees, where you can find a spinning wheel. There is a bank near the tree patch.
Seers - Roughly 100 seconds (from bank to spinning wheel, spinning and back to bank)
Lumbridge Castle - Roughly 11 seconds (from bank to spinning wheel)
Another good way to get bowstrings while paying less money is simply to buy the flax! Flax costs about 100gp each because it is irritating to pick. Buy some, and spin it yourself in Lumbridge Castle! It is almost solely responsible for getting many players low-level crafting up.
If you have started Mourning's Ends Part I, then another good spot for collecting flax is Lletya, which is located in the elf land. The flax is just a few squares off the bank and it's relatively faster method.
What do I do with all these bows?
On your way to glorious 70 fletching, you may notice that you have several thousand bows in your bank. In RS1, this was a problem, as you had to withdraw and drop them one load at a time. In RS2, there are many simple ways to get rid of this huge bow backlog, saving the bankers thousands of coins in storage costs.
Method 1: Sell to a general store/ranging shop! This is the preferred method for most, as you get some money. The bad side is it takes FOREVER to sell thousands of bows as you can only do 10 at a time. Moreover, the price decreases once you get to around 1k bows. To do this quickly, put your bows in the bottom right hand corner and left and right click for easy selling.
Method 2: Stick them in the party chest! The Party Hall is conveniently located at Falador. Withdraw all of your bows (in NOTE form, please, or Party Pete will get angry) and stick them in the party chest. You would not be making any money, but you will be rid of the bows quickly and make a drop party slightly more entertaining. If you are the type of person that likes to give rather than receive, this is the option for you.
6.0 - Quests for Experience
Big Chompy Bird Hunting: 262 XP
The Fremennik Trials: 2,800 XP
Temple of Ikov: 8,000 XP
Zogre Flesh Eaters: 2,000 XP
Quests with a choice Experience
A Fairy Tale Part II: 2,500 XP in any skill of your choice over level 30.
Great Brain Robbery, The: 5,000 XP for any skill you choose over level 30.
Legends Quest: 7,650-30,600 XP (7,650 is given to 4 skills from a list of skills)
One Small Favour: 10,000-20,000 XP (2 x 10,000 lamps for any skill of your choice over level 30)
Recipe for Disaster: 20,000 XP (A Lamp to grant 20,000xp in a skill of your choice over level 50)
The Tourist Trap: 4,650-9,300 XP (4,650 x2 given to either Agility, Fletching, Smithing or Thieving)
Author: Howabominable
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http://2007rshelp.com/skills.php?id=24 | Hunter - OSRS RuneScape Skill Guides - Old School RuneScape Help |
» Runescape Skill Guides » Hunter | Hunter - OSRS RuneScape Skill Guides - Old School RuneScape Help
Old-School RuneScape Skill Guides
» Runescape Skill Guides » Hunter
Table of Contents
1.0 - Introduction
2.0 - Equipment
3.0 - Hunter Training Areas
3.1 - Woodland
3.2 - Jungle
3.3 - Desert
3.4 - Snow
3.5 - Graahk
3.6 - Swamp
3.7 - Lava
3.8 - Falconry
3.9 - Worldwide
4.0 - Hunting
4.1 - Tracking
4.2 - Bird Hunting
4.3 - Butterfly Catching
4.4 - Fall Trapping
4.5 - Box Trapping
4.6 - Net Trapping
4.7 - Pitfall Trapping
4.8 - Falconry
5.0 - Clothes
6.0 - Strategies
7.0 - Impetuous Impulses
8.0 - Frequently Asked Questions
9.0 - Quests for Experience
1.0 - Introduction
The Hunter skill is unlike many other skills in-game, being based moreover on patience above training strategy. Players that have started this skill have experienced tracking and catching numerous animals, most of which are newly introduced. The Hunter skill also introduced a new range of equipment, some of which includes tribal-like helms, capes, gloves, and even live animals! In order to start hunting you must buy hunting equipment from players or from hunting stores. Hunting stores are located in Yanille and Nardah (south-east of Pollnivneach ).
Once you have your equipment, you're all set to hunt. The first animals you are able to hunt are Crimson Swifts and Polar Kebbits. The Crimson Swifts are located in the Jungle Hunting Area, and the Polar Kebbits are located in the Snow Hunting Area. For more details visit their respective sections.
2.0 - Equipment
There is a lot of hunter equipment that is available from hunter stores in certain places throughout RuneScape. These include traps, snares and different tools used to trap or provoke the creatures of Runescape.
The following table describes all of the Hunter equipment you can purchase and use from Hunter stores:
Picture
Name
Level
Used for
Bird Snare
1
Catching hunter birds.
Noose wand
1
Catching tracking creatures.
Butterfly net
15
Catching hunter butterflies.
Butterfly jar
15
Storing hunter butterflies.
Rabbit snare
27
Catching rabbits (upon completion of Eagles' Peak ).
Box trap
27
Catching box trap creatures.
Teasing stick
31
Catching pitfall creatures.
Torch
39
For smoking traps to remove your scent. Must be lit to smoke traps.
Magic box
71
Catching imps.
Hunter Crossbow
50 *
Your everyday ranging needs.
* - The Hunter Crossbow requires level 50 ranged to use, and gives +55 range attack bonus. It uses kebbit bolts, which are akin to adamant arrows in power.
3.0 - Hunter Training Areas
Scattered across RuneScape are 6 Hunting Areas. These 6 areas are the only areas in which you can train hunting on (Excluding Imps, which require 71 Hunter. These are located all around RuneScape). In these Hunting Areas players witness hunting animals. Not all hunting animals are located in the same area; hence there are 6 climates that suit each hunting animal. All hunting areas are marked by the on the Mini-map. Information about each animal and their hunting area are located below.
3.1 - Woodland
The Woodland Hunting Area is located in South of Piscatoris, and North of Gnome Stronghold. Here lies most of the kebbit race, along with a few other selections of animals. Below is a chart of the animals that are within the Piscatoris Hunting Area:
Picture
Name
Type
Level Required
Experience
Drop (s)
Common Kebbit
Tracking
3
36
Bones, Raw Beast Meat, Common Kebbit Fur
Copper Longtails
Bird Hunting
9
61
Bones, Raw Bird Meat, Brown Feathers
Ruby Harvest
Butterfly Catching
15
24
Ruby Harvest
Wild Kebbit
Deadfall Trapping
23
128
Bones, Kebbit Claws
Rabbit
Snaring
27
144
Bones, Raw Rabbit Meat, Rabbit Foot
Ferret
Box Trapping
27
115.2
Ferret
Prickly Kebbit
Deadfall Trapping
37
204
Bones, Kebbit Spikes
Razor-backed Kebbit
Tracking
49
348
Bones, Raw Beast Meat, Long Kebbit Spikes **
Chinchompa
Box Trapping
53
198
Chinchompa
From
Picture
Name
Notes
Wild kebbit
Kebbit claw
At level 32 crafting you can use Kebbit claws on leather or dragonhide vambraces to give them an added +2 strength bonus.
Rabbit
Rabbit's foot
Can be strung at level 37 crafting to make a rabbit-foot necklace, which greatly increases the chance of obtaining a bird's nest whilst woodcutting.
Prickly kebbit
Kebbit spikes
Can be fletched to make kebbit bolts used with the Hunter Crossbow, and are akin to adamant bolts in their power. Use a chisel on them to make into hunter bolts.
Razorback kebbit
Long Kebbit spikes
These are fletched to make long kebbit bolts. These are used with the Hunter Crossbow, and are akin to adamant bolts in their power. Use a chisel on them to make into long hunter bolts.
Chinchompa
Chinchompa
Can be used as a range weapon. They have short, medium and long fuses that can be changed to give a greater chance at hitting a target. For example a long fuse has a greater chance of hitting a target further away.
3.2 - Jungle
The Jungle Hunting Area is located south of Feldip Hills, which is south of Yanille. This hunting area is home of the Crimson Swifts, which is one of the first animals you are required to hunt in order to bring your level higher. The jungle is also one of the most efficient training areas for hunters that have attained level 30-40 hunting. Below are the animals located in the Jungle Hunting Area:
Picture
Name
Type
Level Required
Experience
Drop (s)
Crimson Swifts
Bird Hunting
1
34
Bones, Raw Bird Meat, Red Feathers
Feldip Weasel
Tracking
7
48
Bones, Raw Beast Meat, Feldip Weasel Fur
Tropical Wagtail
Bird Hunting
19
95.2
Bones, Raw Bird Meat, Stripy Feathers
Spined Larupias
Pitfall Trapping
31
180
Tatty or Perfect Larupia Fur, big bones
Barbtailed Kebbits
Deadfall Trapping
33
168
Bones, Barb-tailed Harpoon
Black Warlock
Butterfly Catching
45
54
Black Warlock
Carnivorous Chinchompa
Box Trapping
63
265
Red Chinchompa
From
Picture
Name
Notes
Tropical Wagtail
Stripy Feathers
These are used to catch Rainbow fish, which heal 11hp, at level 38 with a fly-fishing rod, and level 38 cooking to cook.
Carnivorous
Chinchompa
Red Chinchompa
Can be used as a range weapon. They have short, medium and long fuses that can be changed to give a greater chance at hitting a target. For example a long fuse has a greater chance of hitting a target further away.
3.3 - Desert
The Desert Hunting Area is located east of Shantay Pass, just over the bridge lying east. This hunting area includes an abundance of Golden Warblers and Orange Salamanders, perfect for Hunters levelled 20-50. Due to the small range of animals, and a semi-large training area, hunters now have more space for animals to trap. To use the Orange salamander as a weapon, you must first give it fuel. You need to mix 15 swamp tar and one marrentill in a mortar and pestle and feed it to the lizard. Once fuelled up, it can be used as melee, range and mage weapons depending on the style you choose. Below is a list of animals located within the Desert training Area:
Picture
Name
Type
Level Required
Experience
Drop (s)
Golden Warblers
Bird Hunting
5
47.5
Bones, Raw Bird Meat, Orange Feathers
Desert Devils
Tracking
13
66
Bones, Raw Beast Meat, Desert Devil Fur
Orange Salamander
Net Trapping
47
224
Orange Salamander
3.4 - Snow
The chilly frozen part of Hunting is located North-East of Rellekka. This hunting area contains a good amount of butterflies, so it is strongly recommended to come here for butterfly hunting between levels 30-40. The Snow Hunting area also contains Polar Kebbits, which are another beginning animal for hunters. Below is a list of animals located in the Snow Hunting Area:
Picture
Name
Type
Level Required
Experience
Drop (s)
Polar Kebbits
Tracking
1
30
Bones, Raw Beast Meat, Polar Kebbit Fur
Cerulean Twitches
Bird Hunting
11
64.6
Bones, Raw Bird Meat, Blue Feathers
Sapphire Glacialis
Butterfly Catching
25
34
Sapphire Glacialis
Snowy Knight
Butterfly Catching
35
44
Snowy Knight
Sabre-Toothed Kebbit
Deadfall Trapping
51
200
Bones, Kebbit Teeth
Sabre-Toothed Kyatts
Pitfall Trapping
55
300
Big bones, (Tatty) Kyatt Fur
3.5 - Horned Graahks
Just north of Cairn Isle is the area where Horned Graahks can be found. Cairn Isle is located just off the west coast of Karamja. As the name suggests, the area only contains Horned Graahks, so don't come expecting to find a bounty of different creatures.
Picture
Name
Type
Level Required
Experience
Drop (s)
Horned Graahk
Pitfall Trapping
41
240
Big bones, (tatty) Horned Graahk Fur
3.6 - Swamp
The Swamp Hunting Area is located South-East of Canafis. This hunting area is only for players who wish to seek the Swamp Lizards. Not only are the swamp lizards difficult to reach by walking, it is required that you complete the Priest in Peril, and Nature Spirit quests before reaching the hunting areas. Below are details about the Swamp Lizard. To use this as a weapon, you must first give it fuel. You need to mix 15 swamp tar and a guam leaf in a mortar and pestle and feed it to the lizard. Once fuelled up, it can be used as melee, range and mage weapons depending on the style you choose.
Picture
Name
Type
Level Required
Experience
Drop (s)
Swamp Lizard
Net Trapping
29
152
Swamp Lizard
3.7 - Lava
The Lava Hunting Areas are spread out throughout the map, each containing a type of salamander. The Hunting Area for Red Salamanders is located South-West of Ardougne. An easy way to get here is to teleport to Castle Wars with a Ring of Dueling, then walk north, or to use the spirit trees to the battlefield of Khazard and then walk west. The Hunting Area for Black Salamanders is located in level 20 Wilderness, in the far east by the Hill Giants. Below is a compiled list of information for these animals. To use these as weapons, you need to give them fuel. You need to mix 15 swamp tar in a mortar and pestle, using tarromin for the Red salamander and Harralander for the Black salamander. Once fuelled up, these can be used as melee, range and mage weapons depending on the style you choose.
Picture
Name
Type
Level Required
Experience
Drop (s)
Red Salamander
Net Trapping
59
272
Red Salamander
Black Salamander
Net Trapping
67
304
Black Salamander
3.8 - Falconry
The Woodland area can be located west of the Gnome tree stronghold, and is accessed by walking from the Gnome gate and west along the south wall. The Falconry area is east of the main hunting area. No gloves, shields or weapons are allowed to be worn in this area, as equipment is provided for 500gp. You cannot take the falcons from the falconry. Below are the details of the animals that can be hunted using this method:
Picture
Name
Type
Level Required
Experience
Drop (s)
Spotted Kebbit
Falconry
43
104
Spotted fur
Dark Kebbit
Falconry
57
132
Dark kebbit fur
Dashing Kebbit
Falconry
69
156
Dashing kebbit fur
3.9 - Worldwide
Worldwide, as the name suggests, means this creature can be found all over the world. It is the normal level 2 imp, and the main spots for these are Varrock, Falador, south of Ardougne Zoo, and Karamja volcano. There are many other locations, and a little exploration can find them if it is desired.
Picture
Name
Type
Level Required
Experience
Drop (s)
Imp
Magic box trap
71
450
N/A - You obtain a Boxed Imp
4.0 - Hunting
Not all hunting includes tracking down your enemies and capturing them. The hunter skill is separated into differing categories, each with different animals and differing styles of hunting. The compiled list of information below will explain in detail, what each hunting style is, and how it works.
At certain levels you gain the ability to set more traps. The table below shows the levels at which you gain these abilities.
Note: You can set a maximum of one fall trap no matter what your level is.
Level
Number of Traps
1
1
20
2
40
3
60
4
80
5
4.1 - Tracking
Tracking is rather self-explanatory - you track down your prey. Tracking involves searching for Kebbit prints leading out of Burrows, then following the tracks around by searching nearby plants, rocks and trees. You will probably have to find the rest of the trail about five times before it leads you to the Kebbit you are hunting. At this point it is vital you have your noose wand equipped. After finding the end of the tracks inspect a nearby bush, or something else the Kebbit may be hiding in, and inspect it. You'll hook yourself a Kebbit if you have the noose wand equipped.
4.2 - Bird Hunting
Bird Hunting is a very basic and understandable concept. When bird hunting, always remember to bring at least 2 snares. If you are at a higher level (20-40) bring more snares, as you may set more than one trap. The reason you bring extra snares is because you can often fail to see that one has collapsed, or even lag out, thus losing your snares. As the areas where you catch birds are quite remote, it's a pain to trek back to a bank or a Hunting Store to get new ones.
In order to catch a bird, you must first set up your bird snare. Set it up using the 'Lay' option, in an area where birds of a level you can catch are flying around. When it is set up, you must wait for a bird to come by, and if successful the bird will be trapped, and you will have a new option; "Check Snare". Note that you will only get hunting experience by checking the snare. If you leave your snare for a limited amount of time, it will fall over, and you will have to reset your trap. There are times that your trap will be unsuccessful - when a bird lands on your snare, but flies away before it gets trapped - and you will need to dismantle your trap, before laying it again. Individual birds do have a certain respawn area, so it is wise to set-up your snare close to the respawn area.
4.3 - Butterfly Catching
While butterfly catching requires concentration at all times, this is a very easy method for levelling up from levels 15 to 40. To catch butterflies, a butterfly net must be wielded, and at least one butterfly jar must be in your inventory. To catch a butterfly, locate one and click on it. You will attempt to catch the butterfly and this, depending on your level, could take many attempts. To speed up hunting butterflies, it is wise to have a lot of butterfly jars in your inventory. This saves time lost repeatedly releasing them. Another, more tricky method, is to find the butterflies respawn spot. Finding it speeds up hunting much faster as there is no need to find the butterfly.
"What do I do with these jarred butterflies?" you might ask. These jarred butterflies, when used on another player in a multi combat zone, can boost their attack, defence, hitpoints and strength. See the below table to know each butterfly's effect:
Picture
Name
Level to Capture
Experience Given
Location caught
Effect
Ruby Harvest
15
24
Piscatoris Hunting Area
Boosts another player's attack by 5%
Sapphire Glacialis
25
34
Rellekka Hunter Area
Boosts another player's Defence by 5%
Snowy knight
35
44
Rellekka Hunting Location
Boosts another player's Hitpoints by 5%
Black Warlock
45
54
Feldip Hill Hunting Area
Boosts another player's strength by 5%
4.4 - Fall Trapping
Using the fall trapping option is a very good way to collect experience for the Hunter skill. The only downfall is that it can be very popular as well. To set up a fall, you first must have the required items: 1 Knife, Logs (A good amount, any type of log will do), Bait (Varies on the creature, not required but recommended), and Proper clothing for the certain area you are in (Not required once again, but recommended). Once you have those items, head over to a spot that looks like this. Basically it looks like a bunch of boulders on the ground. First set up your fall by clicking on the boulder, this will automatically take out the logs from your bag and set it up. Next, this is recommended, click on your 'bait' (Once again varies on the animal, it might be raw meat to fish to even barley) and use it on the fall. Then sit there and wait, eventually the creature will get close and go under the trap. The boulder will then fall and fall on top of the creature. Click on the boulder again and collect the drops.
Using the fall method of training can also be very difficult. Using a fall is very popular, so it is recommended to train in a world with fewer users. The reason that using the fall method can be difficult is because there are a limited amount of spots, and if the area you are training in is too crowded, people will tend to very quickly take your spot. This happens very often as well due to the fact that you need to constantly refill your bag with logs and quickly returning to your spot. A good way to avoid others 'stealing' your spot is to always keep an eye on your spot. Before you start training, stock up on logs as said above and have a good amount. When you are starting to run low on logs, set up your fall and run to the nearest trees while still keeping and eye on your fall trap. If you see it has collapsed, quickly run back and re-set your trap. If you see your fall has captured the creature (Put your cursor over the trap, it if says 'Check' that means you have captured your creature) this will give a limited amount of time to get more logs without other players taking your fall. Be quick though because your trap can 'Collapse' again and if it does it is then open to other players to take. Doing this over and over can prove successful most of the time for keeping your spot.
4.5 - Box Trapping
Box trapping is used to capture Chinchompas in the woodland area, Red Chinchompas in the jungle and - with the release of the quest Eagles' Peak - Ferrets. To trap an animal, simply set up a box trap (bought from any hunting store) and place it in the area where the hunted animal is. Then your trap can be baited (different animals like different baits):
Animal
Bait Used
Chinchompa (Woodland)
Spicy Chopped Tomato
Red Chinchompa (Jungle)
Spicy Minced Meat
Your trap can also be smoked by using a lit torch; this will remove any scent you left behind which decreases the intervals at which they come to you. This, like any trap, has a chance of failing - if an animal walks up to it and pauses, it may spring the trap prematurely, startling it, but not catching it.
4.6 - Net Trapping
Animal
Bait Used
Swamp Lizards (Swamp)
Guam Tar
Orange Salamanders (Desert)
Marrentill Tar
Red Salamanders (Lava)
Tarromin Tar
Black Salamanders (Lava)
Harralander Tar
Net trapping is used to capture lizards and salamanders. This is commonly used as it provides fast experience for all medium to high levelled hunters. Another bonus is the fact that your trap is reusable, and cheap. To lay a net trap, a rope and a small fishing net is needed, and they should be attached to a special tree located in the hunting area. The trap can be smoked, and bait can be used. To make bait, use swamp tar and the herb that the lizard likes. You can make 15 bait per herb (1 herb + 15 swamp tar). The amount of traps you can lay is dependent on your level. Using anymore than 3 traps at a time for this is bad for two reasons. One being that three will have you running around constantly, and the second being that there aren't places where 4 trees are close enough to make it logical.
4.7 - Pitfall Trapping
Pitfalls are used to trap big monsters - Larupias, Horned Graahks, and Kyatts. To create a pitfall trap, you will need a minimum level of 31, an axe, a knife, and a teasing stick. You'll need to chop some logs - any kind will do - then click on the pit with the logs and knife in your inventory. Then, with the teasing stick equipped, tease your chosen animal. This will anger the animal, making it chase you. Run to your trap, and click on it to jump over. The animal following you will then either jump over the trap following you, or fall into it. If the animal jumps over, you will need to jump over a second trap, as they will not jump over the same trap twice in a row. If the animal is trapped, you will need to click on the trap to check it to gain your experience and the rewards.
Note: Keep in mind these large animals do attack you as they chase you, and they inflict damage. Lower levelled characters should be cautious around them.
4.8 - Falconry
To begin using Falconry, you must first travel to Piscatoris hunting grounds with a minimum level of 43 Hunter. Find and talk to Matthias, and for 500gp he will lend you a Falcon and grant you access to his Falconry training grounds.
Note: Remember no Gloves, Shields, or Weapons can be wielded in this area.
Once you have found an appropriate spot, hold the bird, and head south of where Matthias is to the kebbits. Click on one of the kebbits and your Falcon will lunge forward, and swoop down on the selected kebbit. Drops from these animals, as explained above, include furs that can be made into lightweight clothing, used to greatly increase success of other skills.
5.0 - Clothes
The rewards for hunting animals come in the form of useful dress wear. Some items help with the hunting skill, while others are useful for other skills. To make the clothes, take the required fur and money to the Fancy Clothes Store, located just South-East of Varrock's East Bank, through the wooden gate.
There are three categories of clothes; camouflage, animal camouflage, and falconry fur accessories. The bonus these clothes give is that you have a greater chance of trapping a creature as they provide greater camouflage. Details on how to obtain them are as follows:
Picture
Animal hunted
Item
Level Required
Cost per piece
Effect
Common Kebbit
Wood camo top
1
Two furs and 20gp
Bonus in Woodland areas
Common Kebbit
Wood camo bottom
1
Two furs and 20gp
Bonus in Woodland areas
Polar Kebbit
Polar camo top
1
Two furs and 20gp
Bonus in Snow areas
Polar Kebbit
Polar camo bottom
1
Two furs and 20gp
Bonus in Snow areas
Feldip weasel
Jungle camo top
4
Two furs and 20gp
Bonus in Jungle areas
Feldip weasel
Jungle camo bottom
4
Two furs and 20gp
Bonus in Jungle areas
Desert devil
Desert camo top
10
Two furs and 20gp
Bonus in Desert areas
Desert devil
Desert camo bottom
10
Two furs and 20gp
Bonus in Desert areas
Hat
Top
Legs
Animal hunted
Item
Level Required
Cost per set (3 items)
Effect
Spined Larupia
Larupia set
28
Three furs (at least 1 good) and 700gp
Bonus in Jungle/Woodland areas
Horned Graahk
Graahk set
38
Three furs (at least 1 good) and 1,050gp
Bonus in Desert areas
Sabretooth Kyatt
Kyatt set
52
Three furs (at least 1 good) and 1,200gp
Bonus in Snow areas
Picture
Animal hunted
Item
Level Required
Cost per piece
Effect
Barbtailed kebbit
Barb-tail harpoon
-
-
Can be wielded to free up on extra space in your inventory while fishing.
Spotted Kebbit
Spotted cape
40
Two furs and 400 coins
Reduces weight by 3kg
Dark Kebbit
Gloves of silence
54
Two furs and 600 coins
Greatly increases pickpocketing success, but degrades over time.
Dashing Kebbit
Spottier cape
66
Two furs and 800 coins
Reduces weight by 5kg
6.0 - Strategies
I'm going to be brutally honest right off the bat, you shouldn't plan on training hunting if you expect to gain decent profit or benefit in any significant way, however it is still a skill that many players choose to train simply because they enjoy playing the game. The act of hunting itself usually relies on trapping or fooling animals in order to capture them and their contents. In this guide I will explain the most efficient method of training hunting that I've found from my own experiences.
Please keep in mind that this is a strategy guide, not a skill guide. Therefore I will skip most of the hunting methods simply because I've found them to be inefficient. I'm sure that some other players have found methods other than what I've listed in certain level categories that suit them better and I am in no way saying that this guide shows THE best way to train hunting, but the best way I found to train hunting. And trust me, I've tried many ways.
Varrock Museum
In the basement of the Varrock museum there are several exhibits where you can be quizzed on various facts about the creatures presented in them. If you successfully complete them all, then you will be given 1000 Hunter and Slayer XP. This is a very quick method to get level 9 Hunter (and Slayer) from level 1. For more information please view our Varrock Museum Guide .
Beginner Hunting
Crimson Swifts (1 - 5)
Items:
Bird snare - Yanille Hunting Shop
Jungle camo top (Optional) - Exchange for 2 Feldip weasel furs and 20gp at the Fancy Clothes Store in the south-eastern section of Varrock past the gate.
Jungle camo bottom (Optional) - Exchange for 2 Feldip weasel furs and 20gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Dramen or Lunar Staff - If you wish to use Fairy Rings to get to this spot
Note that wearing camo or fur clothes will drive away some of the suspiciousness from the animals which you are trying to capture. See next section for more info.
How to get there
By far the fastest way to the Feldip Hills hunting area is by using Fairy Rings and heading south. The code for the fairy ring spot north of the Jungle Hunting Ground is AKS. Another possible way to reach this hunting area is to use Gnome Gliders and run South. Note: To use the Fairy Rings, you must have completed Fairy Tale Part I and up to step 8 on Fairy Tale Part II. A dramen or lunar staff is also required to operate the Fairy Rings. Also, to use Gnome Glider to Feldip Hills completion of One Small Favour and The Grand Tree quests.
The Strategy
Starting off hunting will not be very easy or fun. Your traps will fail most of the time and reaching level 2 might seem to take forever. A good amount of patience is required if you plan to get good at this skill. Head to the area south of Feldip Hills until you see Crimson Swift birds flying in the air. Go ahead and set your trap on the ground. Since you are just beginning to hunt, it's a good idea to step away from the trap slightly (7 - 9 squares away is fine) to help attract birds onto your snare. If a bird lands on your snare but does not get caught, you will need to dismantle it and reset it, otherwise no bird will attempt your trap. If your trap has stood for too long, it will fall over and appear as a typical item on the ground.
A trap can fall if:
No creature has attempted it for too long.
A creature attempted it but was not caught, and the player who set the trap did not dismantle it.
A creature has been caught but the player who set the trap did not check and dismantle it.
You will receive bones and feathers which are associated with the bird you've caught. Or in this case, red feathers. They don't serve any special purpose other than the likes of regular chicken feathers such as feathering arrows and such. Keep catching crimson swifts until you are level 5, then you are ready to hunt a more challenging creature.
Golden Warblars (5 - 9)
Items:
Bird snare - Yanille Hunting Shop
Waterskins - Shantay Pass
Desert camo top (Optional) - Exchange for 2 Desert devil furs and 20gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Desert camo bottom (Optional) - Exchange for 2 Desert devil furs and 20gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Shanty Pass - Needed to get within the desert
200 Gold pieces - Needed if you wish to use Magic Carpets
Dramen or Lunar Staff - If you wish to use Fairy Rings to get to this spot
How to get there
The fastest way to the Desert Hunting Area would be to use Magic Carpets. With the completion of the Golem quest, you can use the magic carpet to fly from Shanty Pass to the Ruins of Uzer. From there, head west until you reach the Hunting Area. If you have not done the Golem quest, it is suggested you use the Fairy Ring code DLQ and then head north to the Desert Hunting Area.
The Strategy
You will now be hunting in the desert, so be sure bring waterskins to help maintain yourself. Make your way past Shantay's Pass and stop at about halfway to Uzer. Go ahead and continue setting your traps as before until you reach level 9. There isn't much difference between hunting warblars and the crimson swifts.
Copper Longtails (9 - 19)
Items:
Bird snare - Yanille Hunting Shop
Wood camo top (Optional) - Exchange for 2 Common kebbit furs and 20gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Wood camo bottom (Optional) - Exchange for 2 Common kebbit furs and 20gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Dramen or Lunar Staff - If you wish to use Fairy Rings to get to this spot
How to get there
The Woodland spot is one of the easiest training spots to reach. The code for the fairy ring spot north of the Woodland Hunting Ground is AKQ. From there, just head south until you see Copper Longtails. Note: To use the Fairy Rings, you must have completed Fairy Tale Part I and up to step 8 on Fairy Tale Part II. A dramen or lunar staff is also required to operate the Fairy Rings.
The Strategy
To hunt copper longtails, you will need to make a long trip to the Piscatoris woods area if you do not have access to Fairy Rings. The longtails are a lot smarter than the swifts or warblars, therefore you will need a lot of patience to achieve level 19, which is when you will move on to the next creature.
Tropical Wagtails (19 - 33)
Items:
Bird snare - Yanille Hunting Shop
Jungle camo top (Optional) - Exchange for 2 Feldip weasel furs and 20gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Jungle camo bottom (Optional) - Exchange for 2 Feldip weasel furs and 20gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Dramen or Lunar Staff - If you wish to use Fairy Rings Guide to get to this spot
How to get there
As with the Crimson Swifts. Fairy Rings are an excellent way to reach the Jungle Hunting Area. The code for the Fairy Rings spot north of the Jungle Hunting Area is AKS. Another option would be to use Gnome Gliders and run South to the Hunting Area. To use the Fairy Rings, you must have completed Fairy Tale Part I and up to step 8 on Fairy Tale Part II. A dramen or lunar staff is also required to operate the Fairy Rings. Also, to use Gnome Glider to Feldip Hills completion of One Small Favour and The Grand Tree quests is required.
The Strategy
This is the last type of bird you will hunt. You'll be hunting slightly west of where you were hunting crimson swifts (levels 1 - 5). It would definitely be within your interest to bring another bird snare with you because you will be able to set up two traps at the same time upon reaching level 20.
Masking
Masking is a part of hunting which determines your success of convincing animals into your traps.
Smoking traps - This is simply a waste of time.
Baiting Traps - Again, no. Waste of inventory space and hardly helps save time.
Camouflaging - This is a definite must. For this you will need to wear fur clothes that match the area in which you hunt. This will decrease the amount of time that passes from the moment you set the trap until a creature will attempt it.
Polar - Northern/colder areas including the land which geographically resembles North America Rellekka. Wear Sabretooth or polar camo.
Wood - Piscatoris woods area and other forest-like environments. Wear Spined larupia or woodland camo.
Jungle - South of Feldip Hills and other jungle-like environments. Wear Spined larupia or jungle camo.
Desert - Southern/sandy areas including the hunting area between Uzer and Shantay Pass. Wear Horned graahk or desert camo.
Stepping away - Believe it or not, this does help decrease the amount of time it takes for a creature to attempt your trap. I myself haven't tried it so much after level 40 because by the time your level is high enough to set multiple traps at the same time, you're going to be spending more time running around and resetting your traps than running away and waiting for something to attempt it.
Experienced Hunting
Kebbits (33 - 53)
Items:
Knife - Outside of Lumbridge castle spawn.
Chisel - General stores
Any metal axe/hatchet - Buy from Bob's axes in Lumbridge.
Spined larupia hat (Recommended) - Exchange for 1 perfect larupia fur and 500gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Spined larupia top (Recommended) - Exchange for 1 tatty or perfect larupia fur and 100gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Spined larupia legs (Recommended) - Exchange for 1 tatty or perfect larupia fur and 100gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Dramen or Lunar Staff - If you wish to use Fairy Rings Guide to get to this spot
How to get there
As with the Crimson Swifts and Tropical Wagtails, the Fairy Rings are an excellent way to reach the Jungle Hunting Area. The code for the fairy ring spot north of the Jungle Hunting Area is AKS. Another option would be to use Gnome Gliders and run South to the Hunting Area. Note: To use the Fairy Rings, you must have completed Fairy Tale Part I and up to step 8 on Fairy Tale Part II. A dramen or lunar staff is also required to operate the Fairy Rings. Also, to use Gnome Glider to Feldip Hills completion of One Small Favour and The Grand Tree quests.
The Strategy
The fall technique is different from snaring birds. Once at the jungle, begin cutting down jungle trees because you will need a log for every time you reset your trap. This will become tiresome but the effort is worth it. You will hunt barbtailed kebbits by tricking them under a heavy rock. After gathering a reasonable amount of wood, go ahead and set up your trap one of the fall rock trap areas. Keep in mind that a fall trap can only be used by one person at a time, so you might have to battle with other hunters for the position. You will receive a barbtail harpoon for each kebbit you trap. Once you have one of their unique drop, you don't need anymore, so you can afford to drop them. Do Barbtailed Kebbits until level 45. Then do Prickly Kebbits. While doing the Prickly ones, use your chisel on the kebbit spikes. If you do this, you'll have about 2200 kebbit bolts.
Chinchompas (53 - 59)
Items:
3 or more box traps - Yanille Hunting Shop
Spined larupia hat (Recommended) - Exchange for 1 perfect larupa fur and 500gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Spined larupia top (Recommended) - Exchange for 1 tatty or perfect larupa fur and 100gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Spined larupia legs (Recommended) - Exchange for 1 tatty or perfect larupa fur and 100gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Dramen or Lunar Staff - If you wish to use Fairy Rings to get to this spot
How to get there
To reach the woodland spot, the fastest way would be to, again, use Fairy Rings. The code for the fairy ring spot north of the Woodland Hunting Ground is AKQ. From there, just head south until you see the Chinchompas. Note: To use the Fairy Rings, you must have completed Fairy Tale Part I and up to step 8 on Fairy Tale Part II. A dramen or lunar staff is also required to operate the Fairy Rings.
The Strategy
Trapping Chinchompas is similar to bird snaring. You will not need additional items besides box traps themselves, because you will be catching Chinchompas alive. Head back to the Piscatoris woods area and begin hunting the little devils.
Note: Chinchompas' properties resemble metal throwing knives: they can be wielded in one hand and used as ranged weapons.
Red Salamanders (59 - 80)
3 or more small fishing nets - Most fishing shops such as at Port Sarim and Catherby.
3 or more ropes - Shantay's Pass or Ardougne Adventurer's Shop.
Any camo headgear (Recommended)
Any camo top (Recommended)
Any camo bottom (Recommended)
How to get there
This spot is a little more tricky than all the other hunting areas. To reach this hunting ground, the fastest way would probably be to use an Ardougne Teleport Spell (Level 51 Magic required and 2 Law and Water Runes). Another option would be to use the Watchtower teleport (Level 58 Magic required and 2 Law and Earth Runes). Even another option would be to use the Ring of Dueling to teleport to Castle Wars, and then walk a short distance north to the hunting area. Using the Ring of Dueling does not require a set magic level (good for skillers or others who do not wish to gain magic experience). Using the Watchtower teleport spell also requires completion of the Watch Tower quest). If you use the Ardougne Teleport, head south-west, through the battlefield and you're there. If you plan on using the Watchtower Teleport spell, head north to the battlefield, cross the bridge, head west and you're there.
The Strategy
Different camo suits don't have any significant effect on lava/wilderness hunting areas, but not wearing any camo clothing at all is a disadvantage. Head southwest of Ardougne until you find an altar with lava around it. Similar to the falls (33 - 53), each trap here can only be used by one person at a time, so prepare to defend your position (or change worlds). In this particular case, I would recommend using 3 of the 4 traps on the southwestern side of this hunting area because the traps are closer to each other, therefore not as much moving around is needed. You can keep releasing the salamanders as you catch them because you will not need them unless you plan on preparing them into weapons.
Master Hunting
Red (Carnivorous) Chinchompas (80 - 99)
Items:
5 or more box traps - Yanille Hunting Shop
Spined larupia hat (Recommended) - Exchange for 1 perfect larupa fur and 500gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Spined larupia top (Recommended) - Exchange for 1 tatty or perfect larupa fur and 100gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Spined larupia legs (Recommended) - Exchange for 1 tatty or perfect larupa fur and 100gp at the Fancy Clothes Store in the southeastern section of Varrock past the gate.
Dramen Staff - If you wish to use Fairy Rings to get to this spot
How to get there
As with the Crimson Swifts and Tropical Wagtails, the Fairy Rings are an excellent way to reach the Jungle Hunting Area. The code for the fairy ring spot north of the Jungle Hunting Area is AKS. Once there, head south until you reach the Hunting grounds. Another option would be to use Gnome Gliders and run south to the Hunting Area. Note: To use the Fairy Rings, you must have completed Fairy Tale Part I and up to step 8 on Fairy Tale Part II. A dramen or lunar staff is also required to operate the Fairy Rings. Also, to use Gnome Glider to Feldip Hills completion of One Small Favour and The Grand Tree quests.
The Strategy
If you think that hunting Red Chinchompas from this point to 99 is a joke, think again. At this point there is no more efficient method which required least effort and takes the least amount of time to gain experience than Red Chinchompas. This will be pretty much the same as catching Regular Chinchompas except that they'll be harder to catch.
7.0 - Impetuous Impulses
Impetuous Impulses is a minigame where your goal is to try and net some implings running around RuneScape and in their home plane of Puro-Puro. Finding an impling outside of Puro-Puro is harder so the xp is higher. See our Impetuous Impulses minigame guide for more information on these pesky creatures.
Picture
Name
Hunter Level
Xp in Puro-Puro
Xp in RuneScape
Baby
17
18
20
Young
22
20
22
Gourmet
28
22
24
Earth
36
25
27
Essence
42
27
29
Eclectic
50
30
32
Nature
58
34
36
Magpie
65
44
54
Ninja
74
50
60
Dragon
83
65
75
8.0 - Frequently Asked Questions
Q: Is there a potion that helps to boost my hunter level?
A: Yes. The hunter potion temporarily boosts your hunter level by 3.
Q: I've been waiting forever, why aren't the creatures attempting my trap?
A: This is probably because a creature has attempted your trap before. Simply dismantle and reset the trap.
Q: Why do the creatures always escape my trap when they attempt it?
A: Your hunting level isn't high enough to catch whatever you're trying to catch.
Q: Are you sure there's nothing better to catch for fast experience than Red Chinchompas?
A: Yes, most players have no other choice for fast experience other than possibly salamanders.
Q: Can I use the bird feathers to catch fish?
A: No. The only type of hunting feather you can use to catch fish is the stripy feather, to catch the rainbow fish.
Q: I've got tons of the hunter bird feathers, what do I do with them?
A: These feathers can be used for fletching arrows, so I'd recommend you keep them since they only occupy one inventory slot. Especially keep the stripy feathers if you want to fish Rainbow fish.
Q: Where can I collect swamp tar?
A: There are two places, one is the Mort Myre swamp and the other is Lumbridge swamp. It's rather better to collect them from the Lumbridge swamp, as Mort Myre swamps have Ghasts who can damage you.
9.0 - Quests for Experience
Eagles' Peak: 2,500 XP
Quests with a choice Experience
A Fairy Tale Part II: 2,500 XP in any skill of your choice that is over level 30.
Legends Quest: 7,650-30,600 XP (7,650 is given to 4 skills from a list of skills)
One Small Favour: 10,000-20,000 XP (2 x 10,000 lamps for any skill of your choice over level 30)
Recipe for Disaster: 20,000 XP (A Lamp to grant 20,000xp in a skill of your choice over level 50)
Great Brain Robbery, The: 5,000 XP for any skill you choose that is over level 30.
Author: Denny, Jdudley8 and Damea
<-- Go Back | Top -- ^
Stuck on something? Want some more tips? Ask on our forums. | msmarco_doc_00_9171137 |
http://2008.igem.org/Team:Slovenia/Background/Immune_response | Team:Slovenia/Background/Immune response - 2008.igem.org | Team:Slovenia/Background/Immune response
Team:Slovenia/Background/Immune response | Team:Slovenia/Background/Immune response - 2008.igem.org
Team:Slovenia/Background/Immune response
From 2008.igem.org
The problem Modern vaccines Immune response Flagellin
Motivation Engineered flagellin vaccine Antigen-TLR fusion vaccine
Engineered flagellin vaccine Antigen-TLR fusion vaccine "Real-life" results Biobricks
Methods Safety References Notebook
Acknowledgements Sponsors
Cooperation between Innate and Adaptive Immune Response
Schematic representation of immune response against pathogens based on the cooperation between innate and adaptive immunity components.
Immunity is a state of sufficient biological defenses to avoid infection, disease or other unwanted biological invasion. It is divided in a non-specific (innate) and specific (adaptive) components. The term innate immunity is due to its constant presency in healthy individuals and generally refers to responses that do not require previous exposures to the pathogen, whereas adaptive immunity develops more slowly and is specific to a particular pathogen and involves immunological memory. The adaptive immunity consists of humoral immunity in which antibodies neutralize and eradicate extracellular microbes and toxins and cell-mediated immunity in which T-lymphocytes play a key role. The most important is the cooperation between innate and adaptive immunity.
Until recently innate immunity was largely ignored as the adaptive immunity was thought to play a key role in the immune response. Now it became clear that innate immunity has an important role as the first line of defense against pathogens as well as in development of an adaptive immune response. The polarization of immune response largely depends on the initial signals that are brought by innate immunity. There are some essential signals, required to induce T- and B-cell responses. Innate immune signals modulate the quantity and the quality of adaptive immune response and are required to initiate an effective immune response, that mainly depends on the nature of the pathogen. There are two separated ways of antigen processing, which enable the immune system to appropriately respond against extracellular and intracellular pathogens, respectively.
Briefly, we will focus on the immune response against extracellular pathogens. As the pathogen invades the host, its pathogen associated molecular pattern (PAMP) is being recognised by the pathogen recognition receptor (PRR) on APC, for instance dendritic cell (signal 1 in immune activation). Pathogen recognition and APC activation is the first signal needed for activation of immune response. After internalisation (phagocytosis) antigens are processed into peptides. These antigen-derived peptides are presented by major histocompatibility complex MHC class 2 (MHC II) molecules on APC surface for recognition by CD4 + T lymphocytes that have T-cell receptor specific for the same peptides. TCR recognition of specific peptide represents signal 2 in immune activation. The last step - signal 3 in immune activation is co-stimulation, which depends on the interactions between costimulatory molecules, such as B7 and CD40 on APC and CD-28 and CD40L on CD4 + T. All this is happening at the first stages of immune response and leads to the expression of appropriate immune mediators, such as cytokines, that enable the polarization of immune response in a direction, that is potentially optimal for pathogen eradication.
For example, when IL-12 is absent or set of interleukins like IL-4 and IL-10 are present, T-helper 2 (Th2) cell polarization occurs. Th2 cells produce interleukin IL-4, IL-5, IL-6, IL-10, IL-13 and participate in phagocytosis-independent responses. They provide B-cell help and the induction of IgG1, IgE and IgA, which all provide the defense against extracellular pathogens. For instance, IL-4, that is produced by Th2 cells, promotes IgE heavy chain class switching. These antibodies are effective against helminths, since IgE has Fc, which is recognized by Fc-ξRI on eosinophills, that finally eradicate the parasitic infection.
So it is obvious, that interactions between Th and B-cells is of a great importance. B-cells are a special type of APC's that are a part of adaptive immune response. In contrast to macrophages and dendritic cells, which have extracellulary exposed PAMP's, B-cells retain specific B cell receptors (BCR) that are basically membrane-bound immunoglobulins, which bind a particular antigen. After B cell encounters and recognizes a fitting (cognate) native antigen with its B-cell receptor, internalization, antigen processing and presentation of antigen derived peptides in MHC II molecules occurs (for B cell is APC). This leads to the interaction with previously activated Th cell that carries T-cell receptor, specific for the same antigenic component, that is presented in MHC II molecules of B cell. Only after this specific interaction B-cell receives an additional signals from a T-helper cell which leads to a clonal expansion and differentiation of a B-cell that carries an appropriate BCR. The net result is a production of antibodies of the same specifity and later on, also affinity maturation and heavy chain class switching, which all is necessary for effective humoral response. The final stage is an establishment of a memory B-cell repertoire, that quickly responds to a subsequent exposition to the cognate antigen.
In contrary, defense against intracellular pathogens is carried out by different strategy since humoral response is not effective against intracellular patogens, such as viruses and intracellular bacteria. In that case, cytosolic antigens are presented within MHC class 1 (MHC I) molecules, which can be found on all nucleated cells, for all these cells could be infected by viruses. Antigenic peptides, presented in MHC I molecules, are recognised by CD8 + T cells, which then, with help of Th cells differentiate into CTL. These kill infected cells and eradicate infection.
Very simplified, we can say, that the result (polarization) of immune response depends on which player of innate branch of immune response (e.g., dendritic cell) recognized invading pathogen, how the peptides derived from antigenic components were presented (MHC I or MHC II molecules) and which immunomodulatory molecules were produced (e.g. IL-12). Therefore, cooperation between initial innate and subsequent adaptive response is needed for effective functioning of the immune system and immune response.
Retrieved from " http://2008.igem.org/Team:Slovenia/Background/Immune_response " | msmarco_doc_00_9213806 |
http://2008.sub.blue/projects/droste.html | Escher's Droste Effect • subblue | Escher’s Droste Effect
Escher’s Droste Effect
Animating the effect
Download and installation
Quickstart
Basic settings:
Advanced mapping options:
Tutorials
Changelog
| Escher's Droste Effect • subblue
Visit the new site
Escher’s Droste Effect
This is an Adobe Pixel Bender filter to create Escher’s Droste Effect in After Effects and Photoshop CS4. Read the blog post to find out more about the background of the image transformation.
Animating the effect
When used with After Effects things really start to get interesting...
If you have fun or success using these filters for personal or commercial projects then please let me know!
Download and installation
Download the Droste effect filter for After Effects and Photoshop CS4
See the Pixel Bender Toolkit page on Adobe labs for details on getting PBT up and running on your machine.
After Effects: Just put the Pixel Bender .pbk filters in a folder within the Plug-ins/Effects/ directory of your installation then it will be available from the Effects menu.
Photoshop: See the release notes for installing the Pixel Bender plugin.
Quickstart
These are the steps you should follow for best results:
Set the size to match the source image.
Adjust the centerShift so that the spiral is centered on the area you want to repeat.
If the source image is a 24-bit PNG with a transparent centre section (like a picture frame) then set transparentInside to 1.
If the image has a transparent outside (like a flower cut-out) set transparentOutside to 1
Adjust the innerRadius in combination with tweaking the centerShift values until the repeated section aligns nicely.
Adjust the center parameter to frame the overall image.
Basic settings:
Periodicity: sets the number of times the image is repeated on each level of the spiral. For picture frame type images leave this as 1. For circular images small adjustments might be needed to get a nice repeating spiral but it is always worth trying the setAutoPeriodicity setting.
The strand setting is the number of arms on the spiral. When set greater than 1 and applied to an image like a flower that has an outside transparency then strandMirror for seamless tiling.
Enable the antialiasing option to super-sample the image and smooth out the fine details.
Basic settings: 0 strands (classic Droste), 1 strand, 2 strands, single strand with increased periodicity
Advanced mapping options:
Increase the levelStart so that the image fills the outer area. Increase the levels until the centre of the spiral has filled in.
Change rotatePolar to enable polar rotation.
Unchecking the twist option will tile the untwisted annular section effectively unrolling a circular image.
Advanced settings: untwist, enable poles, enable poles with increased periodicity and hyper droste.
Tutorials
There is a very nice video podcast on using the filter over at Creative Cow thanks to Carl Larson.
Changelog
17/11/2008 v1.0: Initial release
25/09/2009 v1.1: Tidied up the code and controls. Added a rotateSpin parameter to rotate the untransformed image, works well with the rotatePolar control. Added anti-aliasing option: 1 = no AA, 2 = 4x samples, 3 = 9x samples.
| msmarco_doc_00_9220678 |
http://2009lincolnpennies.com/ | 2009lincolnpennies.com | 2009lincolnpennies.com
2009lincolnpennies.com | 2009lincolnpennies.com
2009lincolnpennies.com | msmarco_doc_00_9224057 |
http://2009stimuluscheck.net/2009/05/stimulus-check/ | Stimulus Check | 2010 Stimulus Check & 2009 Stimulus Check | Stimulus Check
Stimulus Check | Stimulus Check | 2010 Stimulus Check & 2009 Stimulus Check
← Will the american taxpayers receive a stimulus check for 2009?
2009 Stimulus Check →
Stimulus Check
Posted on May 30, 2009 by admin
Stimulus Check is a term that first used during the 2008 year when President Bush sent out $600 Stimulus Checks to every man and women in American in hopes of stimulating the ailing economy. The 2008 stimulus check was sent out over the course of several months based on the recipients last 2 digits of their SSN. The stimulus check became popular because it was free money that the government was handing out to everyone. At this point the economy was showing signs of slowing down as the lay offs were continuing to mount. People were looking forward to their stimulus check that was supposed to be used to spend in retail stores to stimulate the economy, but many people used this stimulus check money to pay their bills.
In early 2009 people were wondering when there 2009 stimulus check was going to come and if they were going to get one and when. The stimulus check was once again being eyed as free money that was to be handed out to everyone to help cover their bills and expenses, not so much as the original purpose of the stimulus check in 2008 when President Bush designed the original stimulus check to stimulate the economy.
During late 2008 into 2009 what started with President Bush and later President Obama began to bail out many of the large corporations right and left. It was several billion here for this company then another similar amount for another. In Feb 2009 President Obama signed the $800 billion American Recovery and Reinvestment Act of 2009 into effect that provided stimulus funds for companies for bailouts and stimulus checks for retried and other tax benefits for those working. The large out cry from the American people about where is my stimulus check. Had the government taken that bailout money and given a single stimulus check to everyone, it could have amounted to several grand each. Instead President Obama sent out the 2009 stimulus check and other stimulus initiatives outlined by the 2009 stimulus act.
No related posts.
This entry was posted in 2009 Stimulus Check, Obama, Stimulus Check and tagged Stimulus Check. Bookmark the permalink .
← Will the american taxpayers receive a stimulus check for 2009?
2009 Stimulus Check →
| msmarco_doc_00_9224290 |
http://200dma.com/ | 200 DMA, 200 DAY MOVING AVERAGE | 200 DMA
200 DMA
200 Day Moving Average
200 DMA Defined: "What is the the 200 dma?"
The 200 dma or 200 day moving average is one of the most important indicators available to many longer term investors. The 200 dma can be used to assist investor decisions for the stock market, individual stocks, oil, gold or other tradeable securities
200 DMA, Why is the 200 DMA important?
The 200 dma or 200 day moving average has proved to be a successful tool to avoid long term losses in the stock market. Investors using a technique of selling out of stock portfolios when the major stock market index moves below the 200 dma or 200 day moving average would have avoided major losses in the past bear markets.
For example, the of the Nasdaq Stock Market Index chart on the right shows that investors selling when trading drops below the 200 day moving average beginning in September 2000 would avoid avoiding 24 more months of agonizing losses.
November 12, 2016
Facebook (FB) prices are testing the 200 day moving average. The FB chart shows the green line which is the 200 day moving average. FB has previously found support on the 200 dma in 2015 and early 2016 as indicated with the black circles on the image.
November 11, 2016
Oil prices have been testing the support of the 200 dma or 200 day moving average. The Chart shows the green line which is the 200 day moving average. Early in week, prices held above the 200 dma, however, on November 11, prices plunged below the 200 dma with a lower low.
November 12, 2016
Why is the 200 dma important?
In this example chart, the chart displayed is of Gold prices during 2015. As can been seen, each time the price of gold crossed or approached the 200 dma, prices resisted from rising to higher levels. The resistance at the 200 dma gave gold traders a clue as to the future direction of gold prices.
November 12, 2016
The chart below is an ETF that is used by traders to take positions in the direction of oil prices. The chart provides a good example of why paying attention to the 200 dma is important. Prices in oil fell for over a year after crossing below the 200 dma.
200 DMA - Check in with us on Facebook
Please stop in on Facebook and give us your comments, likes and interact with us about 200 DMA. Your feedback will help us and is very much appreciated. Cheers!
| 200 DMA, 200 DAY MOVING AVERAGE
200 DMA
200 Day Moving Average
200 DMA Defined: "What is the the 200 dma?"
200 DMA Definition
The 200 dma or 200 day moving average is one of the most important indicators available to many longer term investors. The 200 dma can be used to assist investor decisions for the stock market, individual stocks, oil, gold or other tradeable securities
200 DMA is used by investors to signal for changes in direction of stock markets, individual stocks, oil, gold or other tradeable securities
200 dma or 200 Day Moving Average represents a longer term view of the trend of a tradeable security
Stock Market investors could have avoided major losses by following the 200 dma during major stock market crashes of 1929 and the stock market crash of 1987 and many other stock market crashes
200 dma is considered technical analysis
Stock Market Technicians use tools like the 200 dma to help them decide whether they should invest in individual stocks, gold, oil or other tradeable commodities
200 DMA, Why is the 200 DMA important?
200 DMA, Why is the 200 DMA Important?
The 200 dma or 200 day moving average has proved to be a successful tool to avoid long term losses in the stock market. Investors using a technique of selling out of stock portfolios when the major stock market index moves below the 200 dma or 200 day moving average would have avoided major losses in the past bear markets.
For example, the of the Nasdaq Stock Market Index chart on the right shows that investors selling when trading drops below the 200 day moving average beginning in September 2000 would avoid avoiding 24 more months of agonizing losses.
Investors use technical indicators like the 200 dma as a trade signal
Nasdaq is a popular Stock Market Exchange
The Nasdaq Composite is a index that generalizes the prices of approximately 4000 individual stocks traded on the Nasdaq Exchange
November 12, 2016
Facebook (FB) prices are testing the 200 day moving average. The FB chart shows the green line which is the 200 day moving average. FB has previously found support on the 200 dma in 2015 and early 2016 as indicated with the black circles on the image.
November 11, 2016
Oil prices have been testing the support of the 200 dma or 200 day moving average. The Chart shows the green line which is the 200 day moving average. Early in week, prices held above the 200 dma, however, on November 11, prices plunged below the 200 dma with a lower low.
November 12, 2016
Why is the 200 dma important?
In this example chart, the chart displayed is of Gold prices during 2015. As can been seen, each time the price of gold crossed or approached the 200 dma, prices resisted from rising to higher levels. The resistance at the 200 dma gave gold traders a clue as to the future direction of gold prices.
November 12, 2016
The chart below is an ETF that is used by traders to take positions in the direction of oil prices. The chart provides a good example of why paying attention to the 200 dma is important. Prices in oil fell for over a year after crossing below the 200 dma.
200 DMA - Check in with us on Facebook
Please stop in on Facebook and give us your comments, likes and interact with us about 200 DMA. Your feedback will help us and is very much appreciated. Cheers! | msmarco_doc_00_9227008 |
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http://2011.constructedenvironment.com/ | Conference « constructedenvironment
constructedenvironment
An international CONFERENCE, a scholarly JOURNAL, a BOOK series, and an online KNOWLEDGE COMMUNITY
News
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Conference-2011
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Next annual conference:
International Conference on the Constructed Environment
Constructed Environment Conference 2011
Background
Welcome to the website of the 2011 International Conference on the Constructed Environment. The conference will be held at the University Center in Chicago, USA from 29-30 October 2011.
This conference will explore the forms and functions of the constructed environment during a time of dramatic and at times disruptive change. The conference is a cross-disciplinary forum which brings together researchers, teachers and practitioners to discuss the past character and future shape of the built environment. The resulting conversations weave between the theoretical and the empirical, research and application, market pragmatics and social idealism.
In professional and disciplinary terms, the conference traverses a broad sweep to construct a transdisciplinary dialogue which encompasses the perspectives and practices of: architecture, anthropology, business, design, economics, education, engineering, environmental design, industrial design, interior design, landscape architecture, sociology, town and regional planning, and transportation.
We invite prospective participants to submit a presentation proposalfor one of the following parallel session options: a 30-minute paper; a 60-minute workshop; a jointly presented 90-minute colloquiumsession; or a virtualsession. We also encourage innovative presentation formats, such as roundtables, staged dialogues, screenings and performances. Parallel sessions are loosely grouped into streamsreflecting different perspectives or disciplines. Each stream forms a talking circle, an informal forum for focused discussion of issues and conference themes.
Participants may choose to submit written papersbefore or after the conference for possible publication in the peer reviewed The International Conference on the Constructed Environment. Virtual participants also have the option to submit papers for consideration by the journal. All registered conference participants receive a complimentary online subscription to the journal when registration is finalized. This subscription is valid until one year after the conference end-date.
If you would like to know more about this conference, bookmark the Constructed Environment Conferencewebsite and return for further information and regular updates. You may also wish to subscribe to ‘The Constructed Environment’, the Newsletterof the conference and journal.
For all inquiries, please contact the Conference Secretariat.
Background
International Conference on the Constructed Environment
The Constructed Environment Conference is held annually in different locations around the world. The Inaugural Constructed Environment Conference was held in Venice, Italy in 2010alongside the 12th Architecture Exhibition of the Venice Biennale.
The International Conference on the Constructed Environment is a presenter’s conference, comprised of numerous parallel sessions.The Conference organizing committee is inviting proposals to present 30-minute papers, or 60-minute workshops or 90-minute colloquium sessions. These may be:
Academic or research papers, or
Presentations describing educational initiatives.
The International Journal of the Constructed Environment
All registered participants (including virtual participants) have the option to submit papers to The International Journal of the Constructed Environment. Papers submitted for publication will be fully refereed through a peer review process. The publication decision is based on the referees’ reports. For more information about the journal please visit the Publish Your Paperpage.
Conference-2011
Conference Overview
Call for Papers
Register
Ideas
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Location
Program
Plenary Speakers
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Frequently Asked Questions
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Community
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Past Conferences
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http://2011.igem.org/Glacial_Acetic_Acid_Safety_Notes | Glacial Acetic Acid Safety Notes - 2011.igem.org | Glacial Acetic Acid Safety Notes
Glacial Acetic Acid Safety Notes
Contents
Chemical Formula
Safe Usage
Safe Storage
Hazardous Properties and Proper Emergency Procedures
Respirator Recommendations
If Spilled
Bibliography
| Glacial Acetic Acid Safety Notes - 2011.igem.org
Glacial Acetic Acid Safety Notes
From 2011.igem.org
Back to the Team:Baltimore/Solutions Page
Corrosive, penetrates latex gloves, do not inhale or ingest, use under a hood, flammable or explosive if mixed with air at teperatures over 102 degrees Fahrenheit, special storage conditions
Contents
[ hide]
1 Chemical Formula
2 Safe Usage
3 Safe Storage
4 Hazardous Properties and Proper Emergency Procedures
5 If Spilled
6 Bibliography
Chemical Formula
Glacial acetic acid is a trivial name for water-free (anhydrous) acetic acid. Acetic acid is an organic compound with the chemical formula CH3COOH. It is a colourless liquid that when undiluted is also called glacial acetic acid. Although it is classified as a weak acid, acetic acid is highly dangerous to skin. A common abbreviation for acetic acid is HOAc, where Ac stands for the acetyl group CH3−C (=O)−.
Common Names: ethanoic acid, vinegar (a dilute solution of acetic acid - for safety data on vinegar, click here), glacial acetic acid, ethylic acid, methanecarboxylic acid, vinegar acid
Safe Usage
This chemical penetrates ordinary latex gloves. Use nitrile rubber gloves. Double-gloving is a good precaution. You should wear full protection in addition to non-latex gloves: lab coat, googles or face mask, covered lower extremities. Good ventilation is very important when working with this chemical. You should ALWAYS use this chemical under a ventilation hood. See also the Team:Baltimore/Working under the Hood Page.
Safe Storage
Because of its low conbustion temperature, glacial acetic acid is best stored in a refrigerator or -4 degree Centigrade freezer. This is much safer than storing it in an ordinary lab cabinet, even if it is a locked, metal cabinet. It is generally shiped in a small-necked glass container. The small neck reduces splash hazard if there is a spill, and the glass is not affected by the corrosive properties of the acid. It should not be stored near strong oxidizers like sodium peroxide, nitric acid and chromic acid, strong acids, or strong bases like chlorine bleach.
NIOSH Advises storage under the following conditions: Fireproof. Separated from strong oxidants, strong acids, strong bases, food and feedstuffs . Store in original container. Well closed. Keep in a well-ventilated room. Store in an area without drain or sewer access.
Hazardous Properties and Proper Emergency Procedures
Class II Combustible Liquid: Fl.P. at or above 100°F and below 140°F.
Incompatibilities & Reactivities Strong oxidizers (especially chromic acid, sodium peroxide & nitric acid), strong caustics [Note: Corrosive to metals.]
Exposure Routes inhalation, skin and/or eye contact
Symptoms irritation eyes, skin, nose, throat; eye, skin burns; skin sensitization; dental erosion; black skin, hyperkeratosis; conjunctivitis, lacrimation (discharge of tears); pharyngeal edema, chronic bronchitis
Target Organs Eyes, skin, respiratory system, teeth
First Aid Eye: Irrigate immediately Skin: Water flush immediately Breathing: Respiratory support Swallow: Medical attention immediately
Respirator Recommendations
NIOSH/OSHA
Up to 50 ppm: (APF = 25) Any supplied-air respirator operated in a continuous-flow mode£ (APF = 25) Any powered, air-purifying respirator with organic vapor cartridge (s)£ (APF = 50) Any chemical cartridge respirator with a full facepiece and organic vapor cartridge (s) (APF = 50) Any air-purifying, full-facepiece respirator (gas mask) with a chin-style, front- or back-mounted organic vapor canister (APF = 50) Any self-contained breathing apparatus with a full facepiece (APF = 50) Any supplied-air respirator with a full facepiece
If Spilled
Remove all ignition sources. Personal protection: chemical protection suit including self-contained breathing apparatus. Collect leaking liquid in sealable containers. Cautiously neutralize spilled liquid with sodium carbonate only under the responsibility of an expert. Do NOT let this chemical enter the environment.
Bibliography
CDC's NIOSH Pocket Guide to Chemical Hazards at http://www.cdc.gov/niosh/npg/npgd0002.html
NIOSH's International Chemical Safety Cards Card Number: ICSC 0363 See http://www.cdc.gov/niosh/ipcsneng/neng0363.html
Oxford University's Hands-On Education Group at http://cartwright.chem.ox.ac.uk/hsci/chemicals/ethanoic_acid.html
The MSDS (Materials Safety Data Sheet) for glacial acetic acid at http://wwwsci.seastarchemicals.com/safety/06AceticMSDSRev2008.pdf
Retrieved from " http://2011.igem.org/Glacial_Acetic_Acid_Safety_Notes " | msmarco_doc_00_9238316 |
http://2011.igem.org/Solution_III | Solution III - 2011.igem.org | Solution III
Solution III | Solution III - 2011.igem.org
Solution III
From 2011.igem.org
Solution III for the plasmid DNA purification process is
5M Potassium Acetate 60.0 ml See Mixing Solutions: Mystery Solved Glacial Acetic Acic 11.5 ml CAUTION! See Glacial Acetic Acid Safety Notes Distilled water 28.5 ml
The resulting solution is 3 M with respect to potassium and 5 M with respect to acetate.
Potassium Acetate is C_2H_3K_2, with a molar mass of 98.15 gr/mole. Make 5M Potassium Acetate (100 ml is good), and autoclave on liquid cycle at 121 degrees C for 15 min. It is also a good idea to autoclave some water and a GLASS storage bottle that can hold at least 150ml.
After autoclaving, measure the 5 M Potassium Acetate and Distilled Water into the clean, autoclaved glass storage bottle rather than a beaker.
Before adding the glacial acetic acid read the Team:Baltimore/Working under the Hood Page.
Work under the Ventilation Hood and wear coat, googles, and double gloves, carefully open the glacial acetic acid bottle. Glacial acetic acid is often stored in a large bottle with a small neck, and always stored cold. Use a disposable pipette and a pipette liquid drawer (green thing with the white gear) to measure the 11.5 ml of acetic acid and add to the bottle (which is now also under the hood) containing your Potassium Acetate and water solution. You now have Solution III. Store in the -4 degree C freezer, well-labeled with a cautionary note stating the contents include glacial acetic acid.
Retrieved from " http://2011.igem.org/Solution_III " | msmarco_doc_00_9243364 |
http://2011.polarhusky.com/logistics/beringia/flora/arctic-willow/ | Arctic Willow - Free adventure learning for the K-12 classroom with GoNorth! at PolarHusky.com |
Flora
Arctic Willow Salix arctica
| Arctic Willow - Free adventure learning for the K-12 classroom with GoNorth! at PolarHusky.com
Explore
Experience the GoNorth! Beringia 2011 adventure learning expedition live - February 21 through May 28, 2011
Logistics
Dog Yard
Visit the amazing Polar Huskies now!
Kennel
Meet the true superstars: the Polar Huskies!
Polar Husky Biscuits
Got a dog? Know a dog? Get your FRESH dog biscuits today and help us fund raise at PolarHusky.com
Polar Husky World
Follow Lightning into the Polar Husky World - Discover why the Polar Huskies are considered specialized forces.
The Ropes
The Ropes: from the type of sled to the way the dogs run and get connected to the sled.
Freja \Fi\nologies
Daily Phenology Observations by Freja the retired Polar Husky.
Adopt a Polar Husky
Support Adventure Learning at the University of Minnesota - GoNorth! and the Polar Huskies!
Joring
Activities to try with your dog!
Puppy Pen
Meet Hershey's puppies - and help name the newest Polar Husky Superstar!
Meet Team
GoNorth! is all about teamwork - here is your chance to meet our brave explorers!
Mille Porsild
Mille Porsild from Denmark - Executive Director and Expedition Leader of GoNorth!
Christine Germano
Christine Germano, GoNorth! expedition team member!
Joar Ulsom
Joar Ulsom, GoNorth! expedition team member!
Chris Ripken
Chris Ripken, GoNorth! and 5Gyres expedition team member - Teacher Explorer to Pacific Ocean with the Sea Dragon
Tasha Erding
Tasha Erding, GoNorth! and 5Gyres expedition team member - Student explorer to Pacific Ocean with the Sea Dragon
Basecamp
Meet the team members at Education and Expedition Basecamp
Our Sponsors
GoNorth! would not happen without them. Meet the organizations, corporations and individuals that make it possible!
Maps & Data
Explore Beringia and the Team's expedition route!
Route
Explore the expedition route on various forms of maps and investigate each community along the route.
Data
Explore the Arctic through Data!
Satellite
Satellite Images
Historic Maps
Historic Maps
Topo Index
Which maps should the Team take along with them?
First Map
The "Vinland map" is believed to be a fifteenth-century mappa mundi, redrawn from a thirteenth-century original
Circumpolar
View a map of the Circumpolar Region!
North America
The latest map of North America!
Outline Maps
Blank Outline Maps for you to download and work with!
Cool Science
Science is COOL - Check it out!
Field Research
A group effort!
Cool Scientists
Meet Our Team of COOL Researchers!
What's Climate Change to You?
What is climate change to you? Around the world young people are pairing up with scientists to explore this question!
Beringia
Beringia: from the people, to the land, climate, geography, resources and more!
Flora
The Vegetation of Beringia
Fauna
The Animals that call the area on and around Beringia 'home'
Alaska
Oceans
Ocean covers more than 70% of earth's surface. Learn about its geology, geography, ecology and much more.
Sedna
The Sea Goddess rules the ocean, the fish and sea mammals...
Geology
From tides to waves to gyers and more... learn how the geology of the ocean impacts us all.
Geography
Learn about the Geography of the ocean: from exploration to sanctuaries to the Law of the Sea and the 5 oceans.
Ecology
Millions of species, over 50% of life on earth, calls the ocean home.
Resources
Oceans offer humans unending resources for recreation, transportation, food, medicine and oil and minerals.
Climate Change
The ocean is a climate machine and its changing with climate.
Pollution
Is it good idea that we use the ocean as our garbage dump?
Investigate
Just the facts for you to learn more.
Snow
Explore snow!
Green A-Z
Green A-to-Z with Sustainable Sable
Study Resources
Additional resources that support the Curriculum.
Footprint
Our 'ecological footprint' is what we consume and the 'footprint' it leaves on the earth.
Sense of Place
What's your sense of place?
Climate Chaos
How is our planet changing? What can you do?
Arctic Realities
The Arctic is 'the canary in the coal mine' - Watch Arctic realities, learn about facts of climate change with the ACIA movie
Basics
Learn the Basics...
Climate Graphs
Interactive graphs: Is the climate changing? Analyze the data!
CO2
The most important of the greenhouse gases released by human activity
Oceans
Take Action
10 simple things you can do
Traditional Knowledge
The way in which people make sense of their surroundings
Watch The Change
Our Climate is Changing
A to Z
Polar Husky A to Z
Itchalik
For the Arctic-obsessed - satisfy your craving to know even more!
Wumpa
Fun games and lesson activities for preschool and up - visit Wumpa's World!
Support
GoNorth! Teachers - Download free curriculum, talk to your fellow teachers, find tutorials. Get Support!
Flora
Arctic Willow Salix arctica
image courtesy of: en.wikipedia.org/wiki/
Distribution:
image courtesy of: plants.usda.gov/
Description:
The Arctic willow is the northernmost woody plant in the world!
The Arctic willow is a very small creeping willow. It has dull leaves that are pale green with long, white hairs towards the tip. The Arctic willow also has rooting branches. It only grows to be about 1-15 cm (0.39-5.9 in) in height. The male and female catkins (flower clusters) are on separate plants.
The Arctic willow grows in the tundra and on rocky moorland (upland areas). Its habitat is in the harsh Arctic environments. Even in these harsh conditions the Arctic willow is a long-lived plant that grows extremely slow. In Greenland there was an Arctic willow found to be 236 years old.
There are many Arctic animals that feed on the Arctic willow, such as: muskox, caribou, Arctic hare, ptarmigan and lemmings. The bark, twigs, and seeds are consumed.
The Inuit make use of the Arctic willow as well. The twigs of the Arctic willow are used for fuel and as wicking. The Arctic willow is also used for medicine such as: relieving tooth aches, helping to stop bleeding, help heal wounds, and to cure diarrhea and indigestion. Parts of the Arctic willow are also eaten and have a high source of vitamin C and they have a sweet taste.
Source courtesy of: blueplanetbiomes.org/arctic_willow.htm, plants.usda.gov, wikipedia.org and The Nature and Wildlife Guide to Greenland, Benny Gensbøl (2005)
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| msmarco_doc_00_9245086 |
http://2011.polarhusky.com/logistics/beringia/flora/bearberry/ | *Bearberry - Free adventure learning for the K-12 classroom with GoNorth! at PolarHusky.com |
Flora
Bearberry Arctostaphylos uva-ursi
| *Bearberry - Free adventure learning for the K-12 classroom with GoNorth! at PolarHusky.com
Explore
Experience the GoNorth! Beringia 2011 adventure learning expedition live - February 21 through May 28, 2011
Logistics
Be "in the know!" Research Beringia in Alaska, Inupiat , ocean and energy exploration, find study resources & more!
Dog Yard
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Kennel
Meet the true superstars: the Polar Huskies!
Polar Husky Biscuits
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Polar Husky World
Follow Lightning into the Polar Husky World - Discover why the Polar Huskies are considered specialized forces.
The Ropes
The Ropes: from the type of sled to the way the dogs run and get connected to the sled.
Freja \Fi\nologies
Daily Phenology Observations by Freja the retired Polar Husky.
Adopt a Polar Husky
Support Adventure Learning at the University of Minnesota - GoNorth! and the Polar Huskies!
Joring
Activities to try with your dog!
Puppy Pen
Meet Hershey's puppies - and help name the newest Polar Husky Superstar!
Meet Team
GoNorth! is all about teamwork - here is your chance to meet our brave explorers!
Mille Porsild
Mille Porsild from Denmark - Executive Director and Expedition Leader of GoNorth!
Christine Germano
Christine Germano, GoNorth! expedition team member!
Joar Ulsom
Joar Ulsom, GoNorth! expedition team member!
Chris Ripken
Chris Ripken, GoNorth! and 5Gyres expedition team member - Teacher Explorer to Pacific Ocean with the Sea Dragon
Tasha Erding
Tasha Erding, GoNorth! and 5Gyres expedition team member - Student explorer to Pacific Ocean with the Sea Dragon
Basecamp
Meet the team members at Education and Expedition Basecamp
Our Sponsors
GoNorth! would not happen without them. Meet the organizations, corporations and individuals that make it possible!
Maps & Data
Explore Beringia and the Team's expedition route!
Route
Explore the expedition route on various forms of maps and investigate each community along the route.
Data
Explore the Arctic through Data!
Satellite
Satellite Images
Historic Maps
Historic Maps
Topo Index
Which maps should the Team take along with them?
First Map
The "Vinland map" is believed to be a fifteenth-century mappa mundi, redrawn from a thirteenth-century original
Circumpolar
View a map of the Circumpolar Region!
North America
The latest map of North America!
Outline Maps
Blank Outline Maps for you to download and work with!
Cool Science
Science is COOL - Check it out!
Field Research
A group effort!
Cool Scientists
Meet Our Team of COOL Researchers!
What's Climate Change to You?
What is climate change to you? Around the world young people are pairing up with scientists to explore this question!
Beringia
Beringia: from the people, to the land, climate, geography, resources and more!
Flora
The Vegetation of Beringia
Fauna
The Animals that call the area on and around Beringia 'home'
Alaska
Oceans
Ocean covers more than 70% of earth's surface. Learn about its geology, geography, ecology and much more.
Sedna
The Sea Goddess rules the ocean, the fish and sea mammals...
Geology
From tides to waves to gyers and more... learn how the geology of the ocean impacts us all.
Geography
Learn about the Geography of the ocean: from exploration to sanctuaries to the Law of the Sea and the 5 oceans.
Ecology
Millions of species, over 50% of life on earth, calls the ocean home.
Resources
Oceans offer humans unending resources for recreation, transportation, food, medicine and oil and minerals.
Climate Change
The ocean is a climate machine and its changing with climate.
Pollution
Is it good idea that we use the ocean as our garbage dump?
Investigate
Just the facts for you to learn more.
Snow
Explore snow!
Green A-Z
Green A-to-Z with Sustainable Sable
Study Resources
Additional resources that support the Curriculum.
Footprint
Our 'ecological footprint' is what we consume and the 'footprint' it leaves on the earth.
Sense of Place
What's your sense of place?
Climate Chaos
How is our planet changing? What can you do?
Arctic Realities
The Arctic is 'the canary in the coal mine' - Watch Arctic realities, learn about facts of climate change with the ACIA movie
Basics
Learn the Basics...
Climate Graphs
Interactive graphs: Is the climate changing? Analyze the data!
CO2
The most important of the greenhouse gases released by human activity
Oceans
Take Action
10 simple things you can do
Traditional Knowledge
The way in which people make sense of their surroundings
Watch The Change
Our Climate is Changing
A to Z
Polar Husky A to Z
Itchalik
For the Arctic-obsessed - satisfy your craving to know even more!
Wumpa
Fun games and lesson activities for preschool and up - visit Wumpa's World!
Support
GoNorth! Teachers - Download free curriculum, talk to your fellow teachers, find tutorials. Get Support!
Flora
Bearberry Arctostaphylos uva-ursi
image courtesy of: en.wikipedia.org/wiki/
Distribution:
image courtesy of: plants.usda.gov/
Description:
Bearberries, also known as Arberry, Bear's Grape, Foxberry, Hog Cranberry, Kinnikinnick, Mealberry, Mountain Box, Mountain Cranberry, Mountain Tobacco, Sandberry, and Upland Cranberry, are dwarf shrubs that are adapted to the Arctic climates.
The bearberry has leathery evergreen leaves. These leaves are glossy, noticeably thicker, and resemble those of cowberry, but without dark dots on their undersides. Flowers blossom and have reddish margins.
They are rare and are found on dry sunny hearths and slopes.
The bearberry got its name from being eaten by bears. These berries are edible fruit but are not very enjoyable. The red berry-like fruits are bland and mealy. They are sometimes gathered for food. The plant's leaves are used in herbal medicine. The leaves are dried for the use in infusions, liquid extracts, medicinal tablets and tea bags. The bearberry has been used to treat arthritis, back pain, bed wetting, bile problems, bloating, bladder infections, diabetes, diarrhea, fevers, bronchitis, kidney stones, obesity, and water retention. Natives use the bearberry in tobacco.
The bearberry is safe when ate in moderation. Excessive doses of the bearberry can cause nauseas, green urine, bluish-gray skin, vomiting, fever, chills, severe back pain, and ringing in the ears. People who are pregnant, breast feeding, and have kidney disease should not eat bearberries.
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| msmarco_doc_00_9251950 |
http://2011.subway.com/nutrition/NutritionList.aspx?id=salad&Countrycode=CAN | SUBWAY
Sandwich Calories & Nutritional Information Menu | SUBWAY®
Look up nutritional information and calorie counts for all our SUBWAY® sandwiches, salads, and sides to help you make smart choices.
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Nutrition Information
Select any of the categories listed below to view nutritional data for all of our core menu products. To update the nutritional value with your favorite toppings and breads, choose any sandwich or salad then click the “Calculate Yours” button
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---United States---Canada
Sandwiches
Salads
Breads & Toppings
Flatizza™
Soups and Extras
Breakfast
6 Grams of Fat
Salads
salads
Butter Chicken
369
140
25
3.0
1.0
0.0
50
450
13
4
5
17
50
60
8
10
Chicken & Bacon with Avocado Salad
432
330
170
19.0
4.0
0.0
50
690
17
9
5
23
50
420
8
15
Chicken Bacon BBQ Salad
371
250
80
9.0
4.5
0.2
70
610
20
3
14
22
25
50
15
10
Chicken Cordon Bleu Melt Salad
400
240
60
7.0
3.0
0.0
60
790
24
4
16
20
25
50
10
15
Double Chicken Chopped Salad
411
200
35
4.0
1.0
0.0
90
450
11
4
4
28
50
60
8
15
Lobster Salad
355
160
70
8.0
2.0
0.0
75
480
10
4
5
13
50
50
10
10
Monterey Chicken Melt Salad
347
180
60
7.0
3.5
0.2
60
340
10
4
4
19
25
50
15
8
Prime Rib Melt Salad
366
240
100
11.0
3.0
0.5
25
790
12
4
5
23
25
45
15
10
salads
6 Grams of Fat or Less
Black Forest Ham Salad
326
110
25
2.5
0.5
0.0
15
480
13
4
4
10
25
45
6
8
Oven Roasted Chicken Salad
333
120
20
2.5
0.5
0.0
45
250
10
4
4
15
25
50
6
8
Roast Beef Salad
326
110
25
3.0
1.0
0.0
20
470
11
4
5
11
25
45
4
30
Subway Club® Salad
340
130
25
3.0
0.5
0.0
25
580
13
4
5
13
25
45
6
20
Sweet Onion Chicken Teriyaki Salad
392
220
25
3.0
0.5
0.0
45
630
32
4
22
16
25
50
6
10
Turkey Breast & Ham Salad
336
120
25
3.0
0.5
0.0
20
550
13
4
5
12
25
45
6
10
Turkey Breast Salad
326
110
20
2.5
0.4
0.0
20
470
12
4
5
11
25
45
6
10
Veggie Delite® Salad
270
50
10
1.0
0.0
0.0
0
65
9
4
4
3
25
45
4
6
salads
Salad Dressings
Ranch (2 oz)
57
320
310
35.0
6.0
0.5
30
560
3
0
2
0
0
0
0
0
Sandwich nutrition values include 9-Grain Wheat bread, lettuce, tomatoes, onions, green peppers and cucumbers. Values do not include cheese unless noted.
Salads contain standard vegetables and do not include salad-dressing or croutons.
Addition of other condiments and fixings will alter nutrition values.
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http://2011csr.hormelfoods.com/products/food-quality-and-safety/ | Food Safety and Quality | 2011 Hormel Foods Corporate Responsibility Report | Products
Products
Food Safety and Quality
Food Safety and Quality
High Food Quality and Safety Standards
Traceability
Food Safety and Quality
Packaging and Labeling
Management
MAKING PROGRESS TOWARD OUR GOALS
LIVING OUR PRINCIPLES IN OUR PROCESS
| Food Safety and Quality | 2011 Hormel Foods Corporate Responsibility Report
Products
Food Safety and Quality
Home / Products / Food Safety and Quality
Food Safety and Quality
High Food Quality and Safety Standards
Since 1891, the Hormel® brand has been synonymous with quality, value and innovation. In keeping with theses high standards, Hormel Foods has been recognized for quality, safety and employee training.
Topics in this section include:
Traceability
Food Safety and Quality
Packaging and Labeling
Management
Traceability
The company’s track record of minimal recalls derives from meticulous traceability processes and procedures. We keep electronic records that trace the product to the processing plants it was produced in, and we also track every ingredient in each product we produce. Due to the size and number of hogs that are processed daily at plants around the country, Hormel Foods uses traceability systems that allow us to know the farm of origin of a hog.
Furthermore, quality control employees are trained to trace inputs. Monthly, Hormel Foods holds unannounced tests to assess employees’ ability to respond to various scenarios related to tracing inputs of products and identifying the root cause of any problems.
To read more information about employee quality and safety training programs, visit the safety section of this report.
Food Safety and Quality
To maintain objective oversight of the highest food safety and quality standards, Hormel Foods facilities have been certified against the food safety standards recognized by the Global Food Safety Initiative (GFSI), an internationally recognized, third-party food safety management system.
To maintain our stellar food safety record, Hormel Foods invests substantial time and resources in developing a comprehensive training program for our employees. This program starts the moment an employee is hired and continues to be reinforced with ongoing food safety education relevant to his or her job responsibilities. This training includes Hazard Analysis and Critical Control Points (HACCP) Training, Better Processing School, in-house Quality Control University and job-specific training. The company also reaches out to provide training to key co-packers to ensure they are adhering to our strict safety standards.
Hormel Foods has implemented robust food safety and sanitation systems based on HACCP principles to ensure the safety of every product produced. Oversight of the food safety systems is conducted by company personnel, independent third parties and the U.S. Department of Agriculture. In 2011, despite these efforts, one product that may have been potentially contaminated with salmonella was voluntarily removed.
Monthly HACCP roundtables to discuss best practices, new regulations and relevant industry events amongst all plants, including subsidiaries.
11 Hormel Foods plants received Quality Excellence Awards, achieving at least 90 percent compliance in HACCP, Sanitation and Quality, with no individual quality programs scoring less than 90 percent and no product withdrawal or recall.
Six quality control (QC) supervisors from five locations completed QC University, attending four week-long sessions on topics such as: food safety, HACCP, sanitation, quality programs and plant auditing.
Packaging and Labeling
All employees working with nutrition information are trained on mandatory and voluntary labeling elements. Hormel Foods also employs modified atmosphere packaging, nutritional verification, training and a sophisticated software system to maintain an accurate database of all ingredient and formulation specifications. This software system is designed to identify all allergens (i.e., milk, wheat, soy, nuts); sensitive ingredients (i.e., sulfate, MSG); country of origin; plant location; date of purchase; nutrition information and other detailed specifications. Additionally, we provide consumers with nutrition information on our product websites. Based on the formulation of the product and labeling requirements, the system assembles the ingredient statement and other labeling elements to eliminate human error. All elements of this database are maintained through a working relationship with suppliers.
There are three groups responsible for ensuring the highest food safety and quality standards in the packaging and labeling process:
Structure Function Review Board – Reviews product labels and claims for accuracy using peer-reviewed materials
Labeling Review Team – Review all labels and labeling claims to ensure accuracy
Claims Review Board – Reviews and approves all marketing and advertising materials for accuracy of product claims
Management
Hormel Foods had one of the first manufacturing facilities independently certified using GFSI recognized food safety standards. A total of 40 manufacturing sites, including a combination of Hormel Foods and subsidiary locations, have been certified by GFSI-recognized food safety management systems, which include the British Retail Consortium Global Standard for Food Safety and Safe Quality Food Institute. These sites produced more than 89 percent of our product volume in fiscal year 2011. To receive this certification, Hormel Foods sites were audited against one or more GFSI food safety recognized standards, which are overseen by accreditation and certification bodies.
These locations include:
Algona (IA) Plant
Atlanta Plant (Tucker, GA)
Austin (MN) Plant
Beloit (WI) Plant
Creative Contract Packaging Corporation (Aurora, IL)
Dold Foods (Wichita, KS)
Fremont (NE) Plant
Knoxville (IA) Plant
Osceola (IA) Food
Progressive Processing (Dubuque, IA)
Rochelle (IL) Foods
Stockton (CA) Plant
Annex (Austin, MN)
Alma (KS) Foods
Burke Marketing Corp. (NV, IA)
Century Foods International – Plant #1 (Sparta, WI)
Century Foods International – Plant #2 (Sparta, WI)
Century Foods International – Plant #3 (Sparta, WI)
Century Foods International – Plant #4 (Sparta, WI)
Dan’s Prize (Browerville, MN)
Dan’s Prize (Long Prairie, MN)
Diamond Crystal Brands Mitchellville (Iowa) Blending Plant
Farmer John (Vernon, CA) – Foodservice
Farmer John (Vernon, CA) – Sliced
Jennie-O Turkey Store – Barron (WI)
Jennie-O Turkey Store – Benson Ave (Willmar, MN)
Jennie-O Turkey Store – Faribault (MN)
Jennie-O Turkey Store – Melrose (MN)
Jennie-O Turkey Store – Montevideo (MN)
Jennie-O Turkey Store – West Central Turkey (MN)
Jennie-O Turkey Store – Willmar Ave (MN)
Lloyds Barbeque Company (Mendota Heights, MN)
Mexican Accent (New Berlin, WI)
Swiss American Sausage (Lathrop, CA)
Precept Foods, LLC (Marshall, MO)
Lakeside Foods (Plainview, MN)
Albert Lea (MN) Select Foods
Corporate Quality Assurance Audit (Austin, MN)
Quality Pork Processors (Austin, MN)
Tony Down’s (St. James, MN)
Hormel Foods robust audits are conducted by trained, certified auditors. Auditors must complete certified trainings through various accreditation bodies overseeing auditing bodies. Accreditation sets certain certification requirements such as food safety management systems and HACCP.
We provide customers additional assurances by subjecting all sites to audits by credible, outside agencies, which audit every plant for HACCP, sanitation and quality.
Living Our Principles
Innovation
Nutritious Options
Food Safety and Quality
MAKING PROGRESS TOWARD OUR GOALS
Read about the progress we’ve made on our goals and the new goals established.
LIVING OUR PRINCIPLES IN OUR PROCESS
Burke Corporation (Nevada, IA) was recognized with a Governor’s Iowa Environmental Excellence Award for water quality. Read more. | msmarco_doc_00_9267685 |
http://2011pol411ucas.blogspot.com/2011/11/by-definition-means-that-everyone.html | Unanimous Consent Agreements of the Senate | Unanimous Consent Agreements of the Senate
Unanimous Consent Agreements of the Senate | Unanimous Consent Agreements of the Senate
Unanimous Consent Agreements of the Senate
Unanimous consent, by definition means that everyone involved or voting agrees on the decision being made. No one is opposed to the motion or decision. The Senate often utilizes unanimous consent agreements (UCAs) for a number of reasons. This could be to create special rules for deliberating over a piece of legislation, quickly deciding an issue without taking a full vote, or to enact joint sessions of congress. UCAs are used on a regular basis because they are easier than requiring a full vote, because if there are no objects on the issue then it is clear that the motion would pass a full vote anyway.
All unanimous consent motions must be made on the floor of the Senate by a senator. UCAs come in two types, simple and complex. Simple unanimous consent agreements are brought up by any senator and have to do with routine business or noncontroversial actions. “For example, senators regularly ask and receive permission for staff members to be present on the floor during a debate (‘I ask unanimous consent that my legislative fellow, Jane Doe, be granted floor privileges during consideration of bill S.1234’) (Congressional Procedures, 235).” As the name implies there must be no objections to the proposed UCA. If any senator objects then the motion is struck down. Almost always motions like the one just mentioned pass without any objections. Another common use for UCAs is to request the termination of a quorum call.
http://www.c-spanvideo.org/program/302786-1&start=1561 [25:58-26:11]
As you can see in the video, Sen. John McCain asks for unanimous consent to end the quorum call. The president then says “Without objection” and Sen. McCain then begins his speech. It is here that if any senator had an objection to McCain’s request to end the call they would have objected and the call would have continued. Because the quorum call was not complete, however, it required unanimous consent to end or suspend it, and since there were no objections, it was ended and business went about as usual. Simple UCAs are also used to insert material in to the Congressional Record. This allows senators to put things into the record without actually having to say whatever it is they are inserting. This is very commonly practiced as well, especially when it is something that may not be all that important or if the senator was not there on that day but had something to say about the day’s topics. Often times another senator will stand and ask that senator’s remarks be put into the record.
When the senate is reading amendments to legislation there are always three readings of the legislation. Each of these readings must occur on different days. However there are ways around this. One method is to start a new day. In this case, a senator will request that the day be concluded and that after a certain amount of time passes, normally something like five minutes, that a new day begin. In doing this, it allows the senate to move past the first or second readings and move on to the last. Many times the first reading is passed on due to the fact that the legislation has already been amended or that it will soon be amended. The second and more common method is to ask that the reading be waived as seen here.
http://www.c-spanvideo.org/program/292674-1 [00:55-01:26]
Here majority leader Harry Reid asks for the first reading of the bill and then asks for the full reading to be waived. The acting president ask for any objections and as there are none they continue. Unanimous consent is critical for Senate operations. This is due to the fact that the Senate, unlike the House, is much less structured. The Senate actually had unlimited debate. It doesn’t have to allot time for debate for legislation. Whenever something comes to the floor, it can be debated for however long the senators want to talk about it. Due to the lack of a Rules Committee like the House has, unanimous consent is used in place of this. UCAs are used to set up rules for debate on legislation. These can vary from time spent on it, amount of time each side has to talk about it, they can waive certain points of order, and even structure the amendment process for that piece of legislation. UCAs can also be used to bar nonrelevant or specific amendments to legislation, as many times congressmen will attach amendments to completely unrelated legislation that they know will get passed by the Senate (Unorthodox Lawmaking, 67). These UCAs are negotiated ahead of time and agreed on by both sides so that when it does come to the floor, there are no objections. These time agreements are an example of a complex UCA. These are agreements that are altering more important rules of the Senate such as debate times as opposed to something like having a staff member on the floor with you. Once the Senate has reached a unanimous consent agreement on an issue the only way for that to be altered is to have another UCA. “Unanimous consent agreements are based on trust. Majority leaders request and receive unanimous consent to modify unanimous consent agreements if any senator believes he or she was misinformed or ill-informed about the terms (Congressional Procedures, 236).” Complex UCAs are also more specific about certain topics, for example they might specify which senators from opposing sides will control the time during the debate.
http://www.c-spanvideo.org/program/302476-1&start=2568 [43:07-43:16]
In this example the senator is asking that the time be equally divided between both sides. Again this is done to restrict the rules of debates as to avoid filibustering or long drawn out debates.
Unanimous consent is a necessity in the Senate. It allow the Senate to proceed more quickly with business so they don’t have to stop and take a vote on every item that comes up. UCAs can have influence over a large variety of actions from setting up rules, to waiving points of order, and even altering standing rules, and preventing certain amendments to be added. Unanimous consent agreements are vital to the functioning of the Senate.
Works Cited
C-SPAN Video Archive
Oleszek, Walter J. Congressional Procedures and the Policy Process. 8th Ed. CQ Press.
Sinclair, Barbara. Unorthodox Lawmaking: New Legislative Processes in the U.S. Congress. 4th Ed. Sage, CQ Press.
| msmarco_doc_00_9275926 |
http://2011teas.wikia.com/wiki/Prefectures_of_Japan | Prefectures of Japan | 2011 Tōhoku Earthquake and Tsunami Wiki | Fandom | Prefectures of Japan
Prefectures of Japan
Contents
Hokkaido region
Hokkaido Region
Kantō region
Chiba Prefecture
Ibaraki Prefecture
Saitama Prefecture
Tōkyō Metropolis
Tōhoku region
Aomori Prefecture
Fukushima Prefecture
Iwate Prefecture
Miyagi Prefecture
Media
Map
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Causes ( Earthquake • Tsunami) • Impact ( Fukushima Nuclear Disaster • Prefectures of Japan • Sendai) • Reactions • Solutions
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Prefectures of Japan coloured by region
The main article for this section is Impact
Many of the east-coast Prefectures of Japan have been affected by the 2011 Tōhoku earthquake and tsunami and, in some cases, the nuclear meltdown .
Click here for a comprehensive breakdown of damage caused by the disasters by preferecture.
Contents
1
Hokkaido region
1.1
Hokkaido Region
2
Kantō region
2.1
Chiba Prefecture
2.2
Ibaraki Prefecture
2.3
Saitama Prefecture
2.4
Tōkyō Metropolis
3
Tōhoku region
3.1
Aomori Prefecture
3.2
Fukushima Prefecture
3.3
Iwate Prefecture
3.4
Miyagi Prefecture
4
Media
4.1
Map
Hokkaido region
Hokkaido Region
Hokkaido Prefecture ( 北海道 )is the sole prefecture of the Hokkaido region. It governs the entirety of Hokkaido island. Its capital is Sapporo, a designated city. The prefecture has no land borders but has overlapping claims with Russia (the Kuril islands). The southeastern coastal regions were affected by the 2011 earthquake and tsunami.
In Hokkaido, 1 person was killed and three people went missing. 1354 buildings were totally or partially damaged due to the tsunami.
Kantō region
Chiba Prefecture
Chiba Prefecture ( 千葉県) is a prefecture of Japan, within the Kantō region. Chiba City is its captal. Chiba Prefecture borders Ibaraki Prefecture to its north, and Saitama and Tokyo Prefectures to the west. The prefecture of Chiba, which mostly lies on a peninsula, was adversely affected by the tsunami that struck the region in 2011.
The tsunami and earthquake left 21 dead and two missing in Chiba. 258 people were injured. 67483 buildings were totally or partially damaged, not including vast infrastructure damage to roads.
Ibaraki Prefecture
Ibaraki Prefecture ( 茨城県) is a province in the Kantō region, bordering Fukushima Prefecture to the north, Tochigi Prefecture to the west, Chiba Prefecture t the south and Saitama Prefecture to the southwest. Its capital is Mito. The coastal regions of Ibaraki were damaged by the 2011 tsunami.
There were 24 casualties, 721 injured and 1 missing person, as a result of the combined natural disasters. 235838 homes were damaged and large infrastructural damage was done.
Saitama Prefecture
Saitama Prefecture ( 埼玉県) borders Gunma Prefecture to the northwest, Ibaraki and Chiba Prefectures to the east, Yamanashi Prefecture to the southwest, and Tokyo Metropolis to the south. Saitama Prefecture also has short borders with the prefectures of Tochigi (north) and Nagano (west). The capital of Saitama is Saitama city. Depsite being inland, Saitama was heavily affected by the 2011 disasters.
45 people in Saitama were injured, with 2058 damaged buldings.
Tōkyō Metropolis
The Tokyo Metropolis ( 東京都 ) borders the Prefectures of Saitama (to the north), Chiba (to the east), Kanagawa (to the south) and Yamanashi (to the west).
The tsunami left 7 dead, 117 injured,6162 buildings damaged in Tokyo.
Tōhoku region
Aomori Prefecture
Aomori Prefecture ( 青森県) is a prefecture in the Tōhoku region, the northernmost prefecture of Honshu island. Its capital is Aomori city. The prefecture is bordered to the south by Akita and Iwate Prefectures. The eastern coast of the prefecture was damaged by the 2011 Tōhoku.
The combination of disasters left 3 dead and one missing in Aomori. 111 people were injured and 3417 homes were destroyed. There was less infrastructural damage done in Aomori province, due to its location.
Fukushima Prefecture
Fukushima Prefecture ( 福島県) is a prefecture of the Tōhoku region, bordering Miyagi and Yamagata Prefectures to the north, Gunma, Tochigi and Ibaraki Prefectures to the south and Nigata Prefecture to the east. The capital of the region is Fukushima city. The area was devastated by the Tōhoku earthquake, tsunami and nuclear meltdown.
1609 people were found dead in Fukushima Prefecture, and another 207 were missing. 182 people were injured due to the disaster, which also left 257896 homes destroyed or damaged. Vast damage was done to roads and railways. 51 landslides occurred in Fukushima Prefecture due to the earthquake and tsunami, and 45 dikes broke. Many residential areas also had to evacuate due to radioactive waste leaking from the Fukushima Daiichi plant .
Iwate Prefecture
Iwate Prefecture ( 岩手県) is a prefecture in the Tōhoku region of Japan. It was affected by the 2011 earthquake and tsunami. The capital of Iwate is Morioka. Iwate is bordered to the north by Aomori Prefecture, to the west by Yamagata Prefecture and to the south by Miyagi Prefecture.
In Iwate, 4673 people died, and another 1132 went missing. 213 people were injured. 48714 homes were damaged or destroyed during the tsunami and earthquake, which also damaged roads and bridges.
Miyagi Prefecture
See also: Sendai
Miyagi Prefecture ( 宮城県) is an area of the Tōhoku region, Japan. The area was adversly affected by the 2011 Tōhoku earthquake, tsunami and nuclear meltdown. The capital of Miyagi Prefecture is Sendai city. The area is boredered to the south by Fukushima Prefecture, to the east by Yamagata Prefecture, to the north by Iwate Prefecture and the northeast by Akita Prefecture.
9538 people in Miyagi died, and 1269 people went missing
Media
Breakdown of damages across each of the preferectures affected
Map
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Content
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http://2012-2013.chriskrycho.com/theology/zwingli-luther-comparison/ | Zwingli and Luther: A Comparison » Ardent Fidelity » Chris Krycho | Zwingli and Luther: A Comparison
Zwingli and Luther: A Comparison | Zwingli and Luther: A Comparison » Ardent Fidelity » Chris Krycho
Zwingli and Luther: A Comparison
Published: October 28, 2013
Filed under: Papers
Topics: church history, Luther, Zwingli
This short essay was written for Church History: Reformation to Modernity. I trust it will at least not bore you to tears.
Martin Luther and Ulrich Zwingli stand at the heads of two of the most influential streams of Protestant theology—the Lutheran and Reformed traditions, respectively. While the two men were united in their opposition to Roman Catholic doctrines and agreed on many doctrinal issues, they also differed so substantially in a few points of their theology that they were unable to unite their movements in a single front against Roman Catholicism.
Luther and Zwingli both emphasized justification by faith alone and the imputation of Christ’s righteousness to the believers. Both rejected the Catholic doctrines of papal authority, purgatory, priestly celibacy, veneration of saints, Marian devotion, and transubstantiation. Both affirmed sola Scriptura and the necessity and centrality of preaching in the life of the congregation. They affirmed similar views of the atonement and embraced an Augustinian, monergistic understanding of salvation and regeneration. They both wrestled with the question of infant baptism but ultimately affirmed it for political reasons. In the political sphere, both embraced the idea of the Territorial Church, in which the religious views embraced by the magistrates of a given region were to be enforced upon the citizens of that region (making both both “Magisterial Reformers”).
These wide-ranging points of agreement notwithstanding, the two not only could not unite their movements but considered each other heretics. To begin, they embraced substantially different views of the New Testament’s teaching on worship services. Luther took the view that the New Testament’s explanation of the practice of the early church is descriptive, not prescriptive (the so-called “normative principle of worship”). Zwingli understood the New Testament descriptions of the early church’s worship to be prescriptive and binding on the church: anything not explicitly described or enjoined of believers in the New Testament was verboten. Thus, Luther retained much of the language and many of the trappings of the traditional Catholic service, including calling it the Mass, and left decorations and instrumental music in place. Zwingli excluded instrumental music, white-washed the walls of his church, destroyed all icons, and referred to the Eucharist not as the Mass but by its biblical name, the Lord’s Supper. Luther continued to embrace much Tradition as genuinely good and valuable, even if not binding at the same level as Scripture; Zwingli rejected almost all Tradition, moving beyond sola Scripture almost to the point of solo Scriptura.
Most significant of the differences between Zwingli and Luther was their difference on the question of the Lord’s Supper. They differed not only on what to call the eucharist, but also (and much more importantly) on what was happening when the elements were offered to the congregation. While both rejected the Catholic doctrine of transubstantiation, Luther continued to embrace the doctrine of Real Presence, arguing that Jesus is especially present in the elements. Zwingli, on the other hand, rejected Real Presence and embraced a memorial view, arguing that Christ is seated at the right hand of God the Father. Insofar as Christ might be especially present in communion, he said, it was only by the presence of his Spirit with the church—not physically, as Luther asserted.
This division proved decisive in their break with each other, as it represented not only a difference on the Lord’s Supper but a difference in Christology. Though they were arguing over which words in the institution should receive the emphasis (“this is my body” or “do this in remembrance of me”), they were also arguing over how Christ as the God-man is present everywhere. Luther emphasized the divinity of Christ, noting his omnipresence. Zwingli emphasized the humanity of Christ, noting his especial presence at the right hand of the Father and arguing that his omnipresence is now through the Spirit. Both men died considering the other a heretic because they took this issue of Christology so seriously.
I find Luther more persuasive in some areas and Zwingli in others. Luther’s approach to worship (the normative principle) seems to be the more Scriptural of the two, since there is no injunction in the New Testament against innovation in form or contextualization. Thus, Zwingli’s emphasis on the New Testament as finally authoritative would seem to militate against his stated views on worship practice, though his caution about unauthorized forms of worship is well-taken and many churches would do well to heed it more thoughtfully. On the other hand, I find Zwingli’s emphasis on the continuing humanity of Christ, and thus the continuation of the everywhere-but-especially- somewhere theme so common of God’s presence through Scripture, the most satisfying view of the Lord’s Supper. Indeed, the view of Spiritual Presence that Zwingli tentatively expressed in some letters later in life, and which Calvin further developed most closely matches my own position. Yet, again with Luther, I affirm the importance of much of the Tradition, and with him I also see preaching as secondary to Communion in the gathering of the people of God (though only just). | msmarco_doc_00_9289680 |
http://2012.7bscience.com/uploads/4/7/3/3/473362/volvox_information_sheet.pdf |
The
V
olvox
Colony
of
Green
Algae
What
are
volvox?
How
do
volvox
obtain
energy?
How
do
volvox
reproduce?
| The
V
olvox
Colony
of
Green
Algae
What
are
volvox?
Volvox
are
a
colony
of
individual
cells
and
that
live
together.
The
volvox
colony
can
have
anywhere
between
500-50,000
cells.
Although,
a
1996
survey1
estimates
that
there
is
an
average
of
6,000
cells
in
a
volvox.
Due
to
the
high
number
of
cells,
certain
cells
in
the
volvox
can
be
specialized.
This
means
they
take
on
a
specific
job,
or
function,
to
assist
the
cell.
The
cells
are
held
together
by
a
cytoplasmic
substance,
also
known
as
a
gelatinous
matrix.
This
allows
the
cells
to
work
and
move
together.
To
move,
each
cell
has
two
flagella.
Together,
the
colony
beats
the
flagella
in
a
synchronous
motion.
This
directs
the
colony
to
wherever
it
needs
to
go.
How
do
volvox
obtain
energy?
Volvox
are
classified
as
algae.
Therefore,
we
can
deduce
that
they
are
able
to
obtain
their
energy
through
photosynthesis.
Volvox
contain
chloroplasts,
which
allow
them
to
carry
out
photosynthesis.
Within
the
chloroplasts
are
found
chlorophyll,
a
pigment
which
gives
the
organism
its
green
color.
How
do
volvox
reproduce?
Volvox
can
reproduce
through
asexual
or
sexual
reproduction.
Earlier,
you
read
that
some
cells
are
specialized.
There
are
a
limited
number
of
cells
in
the
volvox
that
are
dedicated
to
reproduction.
Some
of
these
cells
can
be
male
and
other
can
be
female.
These
cells
produce
the
daughter
colonies,
the
dark
green
spheres
found
within
the
larger
volvox
colony.
Once
the
daughter
colony
matures,
the
parent
colony
breaks
apart
and
releases
the
daughter
colony.
CLASSROOM
COPY
.
DO
NOT
T
AKE!
Koufopanou,
V.
1994.
The
evolution
of
soma
in
the
Volvocales.
Am.
Nat.
143:907–31.
| msmarco_doc_00_9295638 | |
http://2012.iasa-web.org/tour-golden-triangle-delhi-agra-jaipur-5-days.html | Tour: Golden Triangle-Delhi-Agra-Jaipur (5 days) | IASA 2012 Annual Conference
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Pre/Post-conference Tours
Ajmer-Pushkar-Jaipur (5 days)
Delhi-Agra Option 1 (1 day)
Delhi-Agra Option 2 (1 day)
Delhi-Agra Option 3 (2 days)
Golden Triangle-Delhi-Agra-Jaipur (4 days)
Golden Triangle-Delhi-Agra-Jaipur (5 days)
Gwalior-Orchha-Khajuraho (5 days)
Gwalior-Orchha-Khajuraho (7 days)
Jodhpur–Jaisalmer–Jodhpur (5 days)
Jodhpur–Udaipur (5 days)
Nature Walks - Kalmatia Sangam (4 days)
Paddling down the Ganges (4 days)
Rajasthan – Music, Archives and fun (5 days)
Ranthambore (4 days)
Varanasi-Khajuraho- Delhi (4 days)
Varanasi-Khajuraho-Delhi (6 days)
Professional visits
Social events
Speakers and chairpersons' guidelines
Registration
Advice
Arriving at Delhi airport
Venue
Getting there
Hotels
Visas
Sponsors
Tour: Golden Triangle-Delhi-Agra-Jaipur (5 days)
THE GOLDEN TRIANGLE (AGRA- JAIPUR- DELHI)
DAY 1: 204Kms, 5 hrs: DELHI / AGRA
In the morning, drive to Agra and check in at hotel. Afternoon Visit Taj Mahal (CLOSED ON FRIDAY), which is the epitome of Shah Jahan’s monumental testimony of love for his empress, Mumtaz Mahal. This beautiful mausoleum has become synonymous not only with this city but with India as a whole. The construction of Taj Mahal is believed to have taken 18 years (1631-1648) with over 20,000 craftsmen working round the clock. Also visit the Agra Fort, which is on the banks of the river Yamuna and is almost in the centre of the town. This Fort represents the architecture of the period during the reign of three great Mughal emperors; Akbar, Jahangir and Shah Jahan. Overnight stay at Hotel in Agra
DAY 2: 260kms/ 7hrs (including Fatehpur-Sikri visit): AGRA – JAIPUR VIA F/SIKRI
After breakfast drive to Jaipur, visiting Fatehpur Sikri on the way. Situated about 24 Miles from Agra, this was the erstwhile capital of the great Mughal ruler - Emperor Akbar. This magnificent fort palace had to be abandoned after just 15 years of occupation due to lack of potable water.
Overnight stay at Hotel in Jaipur
DAY 3: JAIPUR
After breakfast, proceed for sightseeing of Jaipur. Visit the Amber Fort which is a classic, romantic Rajasthani Fort Palace, with its rugged, time-ravaged walls and fascinating palaces inside. Visit the enchanting palaces and gardens inside the fort palace to complete your tour. On your way back, stop at Hawa Mahal - Palace of Winds for a brief stop for photographs and as it is in the heart of Jaipur’s shopping district, to buy souvenirs.
After lunch (payable locally) visit the City Palace, the residence of the erstwhile royal family, a part of which is converted into a museum. Built in the style of a fortified campus, the palace covers almost one-seventh in area of the old city. One of the major attractions in the museum is the Armory Museum housing an impressive array of weaponry. Later visit the Jantar Mantar, which is the largest stone and marble crafted observatory in the world. The observatory has 17 large instruments, many of them still in working condition.
Later explore the “pink city”. Jaipur’s traditional markets, streets and lanes are loaded with one noticeable feature: color! You will be amazed to see the fusion and variety of hues all around… in clothing, houses, painted carts and vehicles, painted elephants, and tattooed camels. Overnight stay at Hotel in Jaipur
DAY 4: 258kms/,6hrs: JAIPUR –DELHI
After an early breakfast drive to Delhi. On arrival, check in to your hotel. In the afternoon proceed for a tour of the capital city. The important places in Old Delhi include the majestic Red Fort, the historical Chandni Chowk, besides Raj Ghat and Shanti Vana. In New Delhi visit the Rashtrapati Bhawan, the one-time imperial residence of the British viceroys and current residence of the President of India; the India Gate, a memorial built in the honour of the Indian soldiers martyred during the Afghan war; the Laxminarayan Temple, built by the Birlas, one of India’s leading industrial families; Qutab Minar, built by Qutub-ud-din Aibek of the Slave Dynasty; and the lotus-shaped Baha’i Temple.
Overnight stay at Hotel in Delhi
DAY 5: DEPART FROM DELHI
You will be met at your hotel by our representative and escorted to the International Airport to board your flight back home.
~ End of Our Services ~
PRICE SHEET
Per Person Rates in INR valid for 01stOct 2012 till 30thOct 2012
Standard Category (Per Person basis)
BASIS – In INR
Period
1 Paying Person
2 Paying Persons
3 Paying Persons
4 - 6 Paying Persons
Single room supplement
1 Oct 12
INR 46500
INR 25362
INR23270
INR22668
INR12415
Superior Category (Per Person basis)
BASIS – In INR
Period
1 Paying Person
2 Paying Persons
3 Paying Persons
4 - 6 Paying Persons
Single room supplement
1 Oct 12
INR 67250
INR 36540
INR34650
INR34040
INR 22425
Deluxe Category (Per Person basis)
BASIS – In INR
Period
1 Paying Person
2 Paying Persons
3 Paying Persons
4 - 6 Paying Persons
Single room supplement
1 Oct 12
INR 90120
INR 50150
INR 48240
INR47700
INR 32175
SUPPLEMENT COST
Supplement cost of return by train on Day 04 for sector Delhi /Jaipur
( Ajmer Shatabdi 1750/2240 hrs)
Per person cost ( INR)
01Paying Person
INR 3500
02 Paying Persons
INR 2020
03 Paying Persons
INR 1900
04 - 06 Paying Persons
INR 1800
Hotels Envisaged
City
Standard
Hotel
Superior
Hotel
Deluxe Hotel
No. of Nights
Agra
Clarks Shiraz
ITC Mughal
The Gateway Hotel Fatehbad Road
1
Jaipur
Clarks Amer
ITC Rajputana
Jaimahal Palace
2
Delhi
Ashok Country Resort
The Grand
Taj Palace
1
TERMS & CONDITIONS
THE ABOVE COST INCLUDES THE FOLLOWING:
Surface Transportation using an Air conditioned vehicle
01 - 02 Persons - Medium Car / Indigo or Similar
03 Persons – Toyota Innova
04 - 06 Persons – Tempo Traveler
Accommodation on twin sharing basis as per the itinerary, in hotels mentioned or similar.
Meal Plan: Bed & Breakfast basis.
Arrival/Departure transfers.
All sightseeing and transfers as per itinerary.
Services of English speaking local guide for the tour as per the itinerary.
Entrance fees (Single entry) are included in the above cost.
All currently applicable taxes.
THE ABOVE COST DOES NOT INCLUDE:
Any services other than the ones mentioned above.
Any Train fare (indicated as supplement)
Airport taxes, table drinks, telephone calls, tips to driver/guide/naturalist, camera fees, international airfare, laundry etc or any other items of personal nature.
Any other expense/changes due to unforeseen circumstances while in India.
Any other thing not mentioned in program or “Cost Includes”.
NOTES:
Check in time 1400 Hrs / Check out time 1200 Hrs.
Train Fare for Jaipur to Delhi in Air-conditioned chair Car.
Taj Mahal is closed on Fridays.
Elephant ride is subject to availability as Government of Rajasthan has restricted the number of rides and prior reservation. Clients will have to queue themselves and wait to see if they can get a chance to have the elephant ride
In case on any currency fluctuations or amendment in local Government taxes, or any fuel hike, we reserve the right to adjust the tour price accordingly.
© International Association of Sound and Audiovisual Archives (IASA)
SITE MAP| CONTACT US| PAST CONFERENCES| IASA WEBSITE | msmarco_doc_00_9298702 | ||
http://2012.igem.org/wiki/images/a/a3/QIAquick_PCR-purification.pdf | QIAquick PCR Purification Kit Protocol
QIAquick
PCR
Purification
Kit
Protocol
using
a
microcentrifuge
Important
points
before
starting
| QIAquick PCR Purification Kit Protocol
QIAquick
PCR
Purification
Kit
Protocol
using
a
microcentrifuge
This
protocol
is
designed
to
purify
single-
or
double-stranded
DNA
fragments
from
PCR
and
other
enzymatic
reactions
(see
page
8).
For
cleanup
of
other
enzymatic
reactions,
follow
the
protocol
as
described
for
PCR
samples
or
use
the
MinElute
Reaction
Cleanup
Kit.
Fragments
ranging
from
100
bp
to
10
kb
are
purified
from
primers,
nucleotides,
poly-
merases,
and
salts
using
QIAquick
spin
columns
in
a
microcentrifuge.
Important
points
before
starting
Add
ethanol
(96–100%)
to
Buffer
PE
before
use
(see
bottle
label
for
volume).
All
centrifugation
steps
are
carried
out
at
17,900
x
g
(13,000
rpm)
in
a
conventional
tabletop
microcentrifuge
at
room
temperature.
Add
1:250
volume
pH
indicator
I
to
Buffer
PB
(i.e.,
add
120
µl
pH
indicator
I
to
30
ml
Buffer
PB
or
add
600
µl
pH
indicator
I
to
150
ml
Buffer
PB).
The
yellow
color
of
Buffer
PB
with
pH
indicator
I
indicates
a
pH
of
#7.5.
Add
pH
indicator
I
to
entire
buffer
contents.
Do
not
add
pH
indicator
I
to
buffer
aliquots.
If
the
purified
PCR
product
is
to
be
used
in
sensitive
microarray
applications,
it
may
be
beneficial
to
use
Buffer
PB
without
the
addition
of
pH
indicator
I.
Procedure
Add
5
volumes
of
Buffer
PB
to
1
volume
of
the
PCR
sample
and
mix.
It
is
not
necessary
to
remove
mineral
oil
or
kerosene.
For
example,
add
500
µl
of
Buffer
PB
to
100
µl
PCR
sample
(not
including
oil).
If
pH
indicator
I
has
beein
added
to
Buffer
PB,
check
that
the
color
of
the
mixture
is
yellow.
If
the
color
of
the
mixture
is
orange
or
violet,
add
10
µl
of
3
M
sodium
acetate,
pH
5.0,
and
mix.
The
color
of
the
mixture
will
turn
to
yellow.
Place
a
QIAquick
spin
column
in
a
provided
2
ml
collection
tube.
To
bind
DNA,
apply
the
sample
to
the
QIAquick
column
and
centrifuge
for
30–60
s.
Discard
flow-through.
Place
the
QIAquick
column
back
into
the
same
tube.
Collection
tubes
are
re-used
to
reduce
plastic
waste.
To
wash,
add
0.75
ml
Buffer
PE
to
the
QIAquick
column
and
centrifuge
for
30–60
s.
Discard
flow-through
and
place
the
QIAquick
column
back
in
the
same
tube.
Centrifuge
the
column
for
an
additional
1
min.
IMPORTANT:
Residual
ethanol
from
Buffer
PE
will
not
be
completely
removed
unless
the
flow-through
is
discarded
before
this
additional
centrifugation.
QIAquick
Spin
Handbook
03/2008
19
8.
Place
QIAquick
column
in
a
clean
1.5
ml
microcentrifuge
tube.
9.
To
elute
DNA,
add
50
µl
Buffer
EB
(10
mM
Tris·Cl,
pH
8.5)
or
water
(pH
7.0–8.5)
to
the
center
of
the
QIAquick
membrane
and
centrifuge
the
column
for
1
min.
Alternatively,
for
increased
DNA
concentration,
add
30
µl
elution
buffer
to
the
center
of
the
QIAquick
membrane,
let
the
column
stand
for
1
min,
and
then
centrifuge.
IMPORTANT:
Ensure
that
the
elution
buffer
is
dispensed
directly
onto
the
QIAquick
membrane
for
complete
elution
of
bound
DNA.
The
average
eluate
volume
is
48
µl
from
50
µl
elution
buffer
volume,
and
28
µl
from
30
µl
elution
buffer.
Elution
efficiency
is
dependent
on
pH.
The
maximum
elution
efficiency
is
achieved
between
pH
7.0
and
8.5.
When
using
water,
make
sure
that
the
pH
value
is
within
this
range,
and
store
DNA
at
–20°C
as
DNA
may
degrade
in
the
absence
of
a
buffering
agent.
The
purified
DNA
can
also
be
eluted
in
TE
buffer
(10
mM
Tris·Cl,
1
mM
EDTA,
pH
8.0),
but
the
EDTA
may
inhibit
subsequent
enzymatic
reactions.
10.
If
the
purified
DNA
is
to
be
analyzed
on
a
gel,
add
1
volume
of
Loading
Dye
to
5
volumes
of
purified
DNA.
Mix
the
solution
by
pipetting
up
and
down
before
loading
the
gel.
Loading
dye
contains
3
marker
dyes
(bromophenol
blue,
xylene
cyanol,
and
orange
G)
that
facilitate
estimation
of
DNA
migration
distance
and
optimization
of
agarose
gel
run
time.
Refer
to
Table
2
(page
15)
to
identify
the
dyes
according
to
migration
distance
and
agarose
gel
percentage
and
type.
20
QIAquick
Spin
Handbook
03/2008
| msmarco_doc_00_9306560 | |
http://2012.olympiade-der-koeche.de/en/press/press-releases.html | Press releases :: Standardseite :: Standardtitel | Press releases
Sponsors of the IKA / Culinary Olympics
Until now participants from54 nations have signed on:
The world’s best chefs will be drawn to Erfurt again. The planning phase for the 24th IKA/Culinary Olympics has already begun.
Press releases
Best chefs from Sweden
Schlagkräftige Argumente
Excitement is in the air
Paul Bocuse receives Lifetime Chef Award
Splendour and Emotions at the Parade of the Nations
Enthralling numbers
A strong network for success
Gastgeber Deutschland
Attractive networking opportunities amongst colleagues in Hall
The Culinary Summit
Axel Schulz—Our Heavy Weight Champion IKA Advocate
A warm welcome
Großes Medienecho bei Testtraining des Deutschen Nationalteams
Sichtbare Partnerschaft
Culinary art instead of decoration
Signed, sealed and delivered
Kick-off of the World Culinary Olympics with the German Team
Culinary Olympians
Invitation to Erfurt
Axel Schulz and the next Culinary Olympics
Swedish chefs make a flying stop in Erfurt
Patron is promoting for the IKA/Culinary Olympics
The Minister President of Thuringia Christine Lieberknecht at OTZ-celebrity cooking
MKN is Exclusive Partner of the IKA/Culinary Olympics 2012
IKA-Richtlinien ausgegeben
Erfurt: Host of the IKA / Culinary Olympics 2012
| Press releases :: Standardseite :: Standardtitel
Sponsors of the IKA / Culinary Olympics
Until now participants from54 nations have signed on:
The world’s best chefs will be drawn to Erfurt again. The planning phase for the 24th IKA/Culinary Olympics has already begun.
Chefs’ associations around the world are excited about the German Chefs’ Association’s (VKD) decision to invite the crème de la crème of chefs once... More »
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Best chefs from Sweden
Erfurt: There is tension in the room, the best chefs from all over the world have gathered together for the awards ceremony, the Olympic victory of the chefs is to be announced. 54 national teams have travelled from all five continents, they have trained for months for this exhibition and there can only be one victor in each discipline. There is Olympic glory for the overall performance of one team. Points can be collected for cold platter presentation and warm cuisine in the Restaurant of Nations. Understandable that every nation only sends the very best representatives of its craft. The masters of every category, the Olympic victory for the best performance goes to Sweden! They deeply impressed both visitors and jurors with their sophisticated miniature works of art in the platter presentation. In the Restaurant of Nations, they wowed with a creation of cauliflower and broccoli terrine and mousseline with “Nordic fire” as a starter, escalating into a main course of red deer saddle in a herby crust and svecia cheese and porcini mushroom duxelles. For their sweet conclusion, they inspired with autumn raspberries and yoghurt meringue and almond cake.
This composition showed them to be completely en trend, as molecular cuisine could only be found in individual components, in comparison to the Culinary Olympics of four years ago. This time, the slogan was "back to the roots". The central focus was healthy cuisine, balanced, containing protein and with somewhat more vegetables. Above all, it had to taste authentic and the components on the plate should range from soft to crispy to foamy. Anyone conjuring this onto their plate was already far ahead of the game - but the aim in 2012 was not just to indulge the taste buds. It also needed to be a feast for the eyes. Natural colours in impressive arrangements for all three courses dominated the plates. “Those who perfectly mastered this composition are moving closer to Olympic victory” - said one of the jurors.
Second place in the Culinary Olympics also went to Northern Europe. The Norwegian national team wowed the jurors.
Even Robert Oppeneder, president of the VKD (German Chef's Association) was deeply impressed, “It was exciting to observe the big emotions. Tears and joy are very closely linked at the Culinary Olympics 2012. The passion of the participants, when they prepared the meals, or the devotion with which the exhibits were prepared: that was an experience. An experience that fills me, as a chef, with pride when I see what our fellow chefs from all over the world have achieved for these Olympics.”
For the German national team, Sweden and Norway’s victories were foreseeable. Even before, on the fringes of a press conference, they stated that the Scandinavian teams would be their toughest competitors.
The German team achieved third place at these Olympics in the overall evaluation. They delivered many outstanding individual performances and achieved gold medals for successful warm cuisine and silver for the platter presentation.
During the entire Culinary Olympics, visitors could be spoiled by the national teams, as the products conjured up by the world’s master chefs in their kitchens were not just reserved for the jurors. Anyone could book 3-course meals. This means this wonderful experience of gastronomy at the absolute highest level is not just restricted to a small, elite circle of connoisseurs. So it is no wonder that the Restaurant of Nations was booked out. In total, 9360 world-class meals were sold and the offerings sold out almost completely with great speed.
As well as the master chefs, the next generation were also given a chance. Apprentices, aged between 18 and 24, can also compete in direct international comparison. The junior national teams get down to work with an enthusiastic zeal, the tension is even stronger, although they have somewhat less routine under the competition conditions. It is quite apparent that the Swedes were agreed about what must be cooked at the Olympics 2012, as the junior national team were also victorious. “This gold was profusely earned!” emphasised one of the jurors on the edge of the award ceremony.
The competitors have to be able to deal with large-scale catering with a restricted budget. Here too, the best team wins Olympic victory. Among other things, the decisive factor is the balance of the order of courses. Anyone who thinks there is no creativity in large-scale catering could be convinced of the contrary at these Olympics.
Sweden was again ahead by a nose in this discipline and the Olympic victory went to Team Sabis.
Independently of the national teams, regional teams could also register to participate and are awarded with the IKA Cup. Individual regions have the opportunity to show off their specialities. The international team of jurors awarded the highest number of points in this category to the Stockholm Culinary Team from Sweden. This regional team astonished with an impressive programme in cold cuisine.
Anyone who had designs on sweet treats at the International Exhibition of Culinary Art/Culinary Olympics found copious amounts of stimulation from the pastry chefs. At the focus of many visitors was the presentation of the sweet works of art, which were so artistically created that visitors of the Inoga trade fair were happy to stay with wide eyes. Torts, friandises, cold and warm desserts, this was the task facing the international pastry teams in order to achieve the highest number of points for Olympic victory - assessed together with the exhibition piece. With their craft, the duo from Sri Lanka wowed not only the visitors but also the strict jurors, enabling them to travel back to their homeland with the coveted title.
There was a completely new competition at the 2012 Culinary Olympics. Vegetable carving in front of the public was an attraction for visitors during the entire exhibition. Ming Tsung Ke from Taiwan impressed with his dexterity and his delicate sense for proportions and colours.
For the military catering, there are somewhat different requirements. The prepared meals should not just give pleasure to the taste buds; the military chefs must also keep their soldiers fit with calorific, tasty meals. For this reason, all the offerings from the military kitchens were tasty and nutritious. Nevertheless, there were differences which could be seen in the overall points. The international team of jurors gave the Swiss team the best evaluations and this Olympic victory goes to the Alpine country.
All in all, the International Exhibition of Culinary Art/Culinary Olympics 2012 in Erfurt was a huge success for international culinary art!
Mehr Informationen:
Faktenblatt / Importent facts (PDF)
Alle Ergebnisse / All final results:
Schlagkräftige Argumente
Die deutsche Nationalmannschaft des VKD bei der IKA/Olympiade der Köche 2012 mit Boxlegende Axel Schulz und den IKA-Sponsoren. Eine Zusammenarbeit, die sich bewährt hat und auch in Zukunft große Erfolge ermöglichen wird.
Excitement is in the air
Marion Walsmann, Ministerin und VKD-Präsident Robert Oppeneder trafen sich auf der Olympiade der Köche und besprachen zukünftige Projekte,
There is hectic hustle and bustle among the junior national team. Everyone’s nerves are on edge, especially on the first day. All the preparations are culminating in the presentation. The tension of the junior chefs is visible, the German junior national team are putting up a good fight. With tunnel vision, they must switch off from everything around them. It is not just the strict jurors who are present and watching the kitchen and plates. The public can also observe every movement from behind glass. The creation alone is not the only aspect that matters. The composition must also be completed in the required time. The three additional calls for “beetroot” become almost a cry for help, as the waitresses are standing by and have to wait. Nevertheless, the waiting times are short, the finishing is coordinated with professional calming of their inner tension. All the teams have been busy in the kitchens since the early hours, but they must make sure their concentration does not wane. It is much the same in the kitchen of the Indian junior national team. However, as well as the tension caused by the public and jury, their task is made more difficult because they are being observed by a number of press representatives as this is the first time the Indian team has competed in the International Exhibition of Culinary Art/Culinary Olympics. The team captain, Raj Mandal put the team together for this event, personally selecting the members of the team. They are all between 17 and 22 years old and all come from the "UK". However, he confirms that their parents were all born in India. Raj Mandal announces that the menu will be "Indian food with English style" and is confident that it will wow the guests and jury. The satisfied faces of the guests seem to confirm this.
Foto: VKD/Wolf
Paul Bocuse receives Lifetime Chef Award
VKD honours the chef of the century from Lyon at the Culinary Olympics
Erfurt/Frankfurt: "His job is both his calling and his lifeblood"., stated Robert
Oppeneder, President of the German Chefs Association (VKD).
It was therefore quickly decided upon to award the Lifetime Chef Award 2012 to Paul
Bocuse, master of the culinary arts, at the IKA Culinary Olympics in Erfurt.
Since the 86-year old maître only leaves his home under exceptional circumstances, a small VKD delegation travelled to Lyon in the summer and honoured Mr. Bocuse at his headquarters, the restaurant L'Auberge du Pont de Collognes. In attendance was Bocuse's student and VKD member Eckart Witzigmann, who was impressed that his teacher and role model Paul Bocuse was "still intensively taking part in cooking events".
Chef of the century, Paul Bocuse, who has held three Michelin stars since 1965, said his thanks amidst the enthusiasm of some 1,000 guests at the opening ceremony of the 23rd annual IKA Culinary Olympics. Paul Bocuse was very pleased with his award and wished all chefs the best of luck in the Culinary Olympics.
"This award reflects the respect and appreciation that our 12,000 VKD members have for the French master chef," said Robert Oppeneder in his congratulatory speech. "Generations of chefs can draw inspiration from Bocuse's work, and for that we are grateful."
The highest award presented by the German Chefs Association (VKD), is awarded every four years at the IKA Culinary Olympics. In 2008, the first glass trophy went to VKD-Honorary President Joseph König.
Traditionally, the IKA Culinary Olympics opens the evening before competitions begin, with the parade of nations, a show, and the lighting of the culinary fire. 54 nations and around 2,000 chefs took part in the world's biggest cooking event in Erfurt this year.
Splendour and Emotions at the Parade of the Nations
The International Exhibition of Culinary Art/Culinary Olympics 2012 began punctually at 17:00 with the Parade of the Nations. Over 150 press representatives from all over the world reported on the brilliant opening ceremony, during which more than 1000 chefs flew their flags. Erfurt is basking in the glow of this international event, which sees 54 nations represented by their best chefs. Led by the children from the Erfurt Trachtengruppe, a group celebrating traditional dress, the chefs proceeded gradually into the hall until a white sea of chef’s hats bestowed a unique, atmospheric light on the room. As is tradition, the German teams ended the Parade. The patroness and Minister-President of Thuringia Christine Lieberknecht welcomed the guild of chefs as well as Mayor Andreas Bausewein.
The first highlight of this year’s International Exhibition of Culinary Art/Culinary Olympics was President Oppeneder’s presentation of the highest award of the association: the Life Chief Award. In 2012, it went to Chef of the Century Paul Bocuse, who has enthused and, above all, inspired whole generations of chefs with his culinary skills. Bocuse gave thanks for this honour in a video message.
After a spectacular laser and drum show, all the guests looked excitedly to the Olympic Flame that was lit by Thuringia’s Olympic champion Kristina Vogel. President Robert Oppeneder declared the Culinary Olympics 2012 open with the sentence, "Die Olympiade der Köche 2012 ist eröffnet!", opening the kitchens for the greatest culinary exhibition in the world!
WACS-President Gissur Gudmundsson and VKD-President Robert Oppeneder welcome the participants
Christine Lieberknecht, Prime Minister of Thuringia and patron of the 23. IKA/Culinary Olympics looking forward to see all the fantastic menues
Olympic-winner Kristian Vogel ignite the Olympic flame
Enthralling numbers
Overall number of competitors: 1,320 cooks
Total accompanying persons for support on the competition days: approx.1,800 cooks
Cutlery in the restaurants: 9,360 pieces
Porcelain: more than 10,000 pieces
Napkins: approx. 12,900
Menu cards for the 4 days of competition: 9,810
Approximate quantities used during the competition:
Eggs: 20,000
Meat: 1,000 kg
Fish: 1,200 kg
Potatoes: 700 kg
Vegetables: 4,600 kg
Cream/milk: 2,500 l
Sugar: 140 kg
Salt: 100 kg
Spices: 80 kg
A strong network for success
Our volunteer helpers are the “true angles” of the Culinary Olympics. The VKD members’ relentless commitment ensures that the event goes smoothly. For over a year now, they have been planning and coordinating everything in close cooperation with the VKD’s head office in Frankfurt and fairgrounds “Messe Erfurt”. It is hard to believe what the VKD members have been able to achieve and implement so far. It requires quite some energy to organise an event such as the IKA, which relies primarily on the help of volunteers, while guaranteeing the participants brilliant culinary games. For quite some time, more than 75 VKD members have given up all of their leisure time in dedication to the organisation of the IKA/Culinary Olympics. This commitment deserves the highest degree of respect.
Gastgeber Deutschland
Deutschland geht bei der IKA mit der Nationalmannschaft der Köche Deutschlands, der Jugendnationalmannschaft, einer Bundeswehrmannschaft, 1 Patissierteam, 4 Teams beim GV-Award Wettbewerb (Gemeinschaftsverpflegung), 5 Mannschaften bei den Regionalwettbewerben, 4 Teilnehmer beim Gemüseschnitzen live und 29 Einzelausstellern an den Start.
Vor der Kochkunst steht das Training: Sie haben alle das gleiche Ziel: Titel und Medaillen. Doch vor dem Ruhm steht harte Arbeit. Die Mannschaften haben in den letzten Monaten und Wochen ein extrem straffes Trainingsprogramm durchlaufen, um sich unter der Elite der Köche in Erfurt behaupten zu können. Die deutsche Nationalmannschaft übte ihr warmes und kaltes Programm in Erfurt und in Berlin. Die Jugend-nationalmannschaft hat ihr Trainingscamp bei Nestlé Professional aufgeschlagen und die deutsche Koch-Nationalmannschaft der Bundeswehr steht mal in Mainz, mal in Plön und auch in Erfurt am Herd. Fast immer laden sich die Teams Kollegen für die Bewertung und zur konstruktiven Kritik ein. Zur feierlichen Siegerehrung am 10.10.2012 zeigt sich, wie die deutsche Mannschaft im Wettkampf um die Punkte abgeschnitten hat.
Unsere Top-Köche an der IKA …
Deutsche Nationalmannschaft: Teamkapitän Matthias Kleber: Seehotel Fontane Neuruppin; Teammanager Rainer Werchner: Geschäftsführer Gewürzwerk Hermann Laue GmbH- Hela/Österreich; Carsten Voigt: Renaissance Hotel Köln; Sebastian Pfefferlein: IFA Wellness Hafendorf Hotel Rheinsberg; Katrin Vetter: Steinheuers Restaurant "Zur Alten Post", Bad Neuenahr; Manuel Götze: Party-Complett-Service, Mittenwalde; Tobias Laabs: Bundeswehr, Arnulf Kaserne, Bayern; Carsten Pfefferlein: Haus Rheinsberg "Hotel am See"; Susanne DeOcampo-Herrmann: Hotel Berlin, Berlin; Gina Geigenmüller: Romantik Hotel Gasthaus Rottner, Nürnberg;
Patissiers: Benjamin Hormann: Hotel Schweizer Hof, Bern/CH; Nicole Beckmann: Lehrtätigkeit im DCT University Vitznau/CH; Stephan Gefrom: Grand Hotel Bellevue, Gstaad/CH
Deutsche Jugendnationalmannschaft: Teamkapitän Max Zibis: Landwirtschaftliche Rentenbank, Frankfurt am Main; Stefan Dobrecht: Wöhrdersee Hotel Mercure; Nürnberg, Julia Komp: TÜV Rheinland, Köln; Paul Emde: VaiVai, Frankfurt; David Welski: Le Meridien, München; Carsten Herrmann: Congress Hotel Mercure, Nürnberg; Julian Scheibel: L'Arrivée Hotel & Spa, Dortmund; Daniela Weiß: Atrium Hotel, Mainz; Niclas Ohrmann: Goldmann Restaurant, Frankfurt.
Als Teammanager begleiten die jungen Talente: Markus Wolf (Bergiusschule, Frankfurt) und René Weiser (Berufliche Schule des Wetteraukreises, Butzbach).
Deutsche Nationalmannschaft der Bundeswehr: Teamkapitän Patrick Stoye, Nils Vollmer, Marcel Harms, Arne Bardella, Kevin Haberland, Marco Perlt, Pascal Wahlich, Thomas Kucharski,
Tobias Heinen, Moritz Macke, Stefan Hilpert
Trainer und Betreuer: Detlef Eckl, Thilo von Taczala- Gierszewski
Deutsche Regionalmannschaften: Köche Team Bayern unter der Leitung von Michaela Froehler; Euroturk Chefs unter der Leitung von Cengiz Güngör; Regionalmannschaft Niedersachsen unter der Leitung von Torsten Maletti; Berlin-Brandenburg unter der Leitung von Marina Tucholsky, Meistervereinigung Gastronom Baden-Württemberg unter der Leitung von Alexander Munz
Deutsches Patisserie-Team: Johannes Futsch, Hotel Dom Cologne, Köln; Benjamin Göpel, Insel Mainau-Gastronomie, Bodensee
Deutsche GV-Teams:
THW Trossingen mit Stefan Jung, Bernhard de Groot, Simon de Groot, Fabian Ziegler
L&D Team Berlin-Brandenburg mit Heiko Becker, Robert Arlt, Margrt Witschelzky, Carola Bartelt-Lieder
Partyservice Gentscher mit Kostadinov Gentscher, Martin Freiberger, Rosina Ecker, Samuel Rosendahl
Klinik Löwenstein mit Otto Vogelmann
Attractive networking opportunities amongst colleagues in Hall
Culinary variety at the joint stand of the VKD’s Federal Association: For the third time, the VKD’s Federal Associations will present themselves at the IKA while offering different local specialties and music from various German regions and a sociable atmosphere. Find out what a Töttchen from the Münsterland or a Döppekochen from North Rhine Westphalia tastes like; and learn more about scheduled activities, promotion of career opportunities for young people and the get-togethers within VKD’s strong Federal Associations.
06.10.12
Hesse
Baden-Wuerttemberg
07.10.12
Bavaria
Central Germany
08.10.12
North Rhine Westphalia
West
09.10.12
Berlin-Brandenburg
North
The Culinary Summit
Starting Friday, Erfurt has exciting events in store for! It will be worthwhile for any culinary professional to make the trip to Thuringia and dive into the world of culinary finesse and specialty know-how. While the IKA/Culinary Olympics have been a renowned platform for culinary competitions, they have been equally famous as an event for promoting and helping to maintain international friendships ever since its creation in 1900. Anyone who has ever participated or visited this mega event, can understand the unique magic that is present during these days. For many decades, the members of the German Chefs’ Association (VKD) have been proudly and enthusiastically organising these competi¬tions in the world’s most significant culinary arena for both professional and amateur chefs alike.
IKA Organiser: Verband der Köche Deutschlands e.V. (VKD – German Chefs Association), Steinle-straße 32, 60596 Frankfurt/Main, www.vkd.com, www.kochrebellen.de, www.olympiade-der-koeche.de
Robert Oppeneder: President of the German Chefs’ Association (VKD), Patissier, Owner of “Sweet Art”, Munich, www.sweetart.de
Axel Schulz—Our Heavy Weight Champion IKA Advocate
Axel Schulz—Our Heavy Weight Champion IKA Advocate
On Tuesday, 9 October, boxing legend Axel Schulz, who took on IKA’s patronage last year and has been working for the Culinary Olympics’ sponsor and supplier Fackelmanns FM Professional, will be a guest at the stand of the Federal Chefs’ Associations. Axel Schulz is known as an enthusiastic amateur chef and is looking forward to learning a lot from the professionals. With his down-to-earth, cordial attitude, it surely won’t take him long to feel at home in the chefs’ world.
A warm welcome
Guatemala and India are sending their Junior National Culinary Teams to the IKA for the very first time. Mexico is also participating with a National Culinary Team for the first time – the team participated as a Junior National Culinary Team in 2008. There is a growing interest from various former Soviet Republics. In addition, there will be individual exhibitors from Kuwait, Saudi Arabia and the United Arab Emirates.
Großes Medienecho bei Testtraining des Deutschen Nationalteams
Die Spannung war groß – bei der Deutschen Nationalmannschaft wie auch bei den Gästen. Zum ersten Mal präsentierte die deutsche Equipe ihr Olympiade-Menü unterden strengen Wettkampfregeln. Mit Bravour meisterten die Köchinnen und Köche um Teamchef Matthias Kleber ihre Aufgabe. Pünktlich und perfekt präsentierte die deutsche Hoffnung auf einen kulinarischen Olympia-Sieg den Gästen im Erfurter Kaisersaal ein Drei-Gang-Menü der Spitzenklasse.
Rund 80 Gastronomen und Leiter von Institution aus Thüringen wurden vom VKD zu diesem exklusiven Probetraining eingeladen. Es war ein kulinarisches Dankeschön für die Bereitschaft Zimmer wie auch Vorbereitungsküchen für die IKA -Teilnehmer zur Verfügung zu stellen. „Sie geben den Köchen der Welt ein Zuhause und nehmen sie auf wie ein Familienmitglied“, lobte VKD-Vizepräsident Johann Grassmugg das Engagement der Thüringer Hospitality.
Doch nicht nur die Gäste waren vom kulinarischen Ergebnis überzeugt, auch zahlreiche Medienvertreter zeigten sich von der Performance der deutschen Kochkünstler beeindruckt. Um die Mittagszeit herrschte in der Küche des Erfurter Kaisersaals dichtes Gedränge von Fotografen, Reportern und Kameraleuten zwischen Köchen und Kellnern um die besten Szenen ablichten zu können. Carsten Voigt, Sebastian, Pfefferlein, Katrin Vetter, Tobias Laabs und Patissier Benjamin Hormann blieben im größten Blitzlichtgewitter ruhig und achteten beim Anrichten auf das winzigste Detail.
Im Rahmen der Menü-Premiere des deutschen Teams erhielt Messechef Wieland Kniffka vom Teammanager Rainer Werchner und Matthias Kleber eine Kochjacke der deutschen Nationalmannschaft und wurde zum Ehrenmitglied ernannt. Hobbykoch Wieland Kniffka freute sich sehr über die Auszeichnung.
Sichtbare Partnerschaft
Ohne Sponsoren bliebe die Küche kalt. Sie stellen u.a. für die kulinarischen Olympioniken modernste Technik, High-Tech-Geräte, Tischausstattungen, Reinigungsmittel und Lebensmittel zur Verfügung. Um das Engagement für die weiße Zunft und die älteste Kochkunstschau der Welt sichtbar machen zu können, ernennt der VKD seine IKA –Partner zu offiziellen Ausstattern. Mit einem eigenen Logo in roter Farbe dürfen die Firmen auf ihren Produkten, in Anzeigen oder bei offiziellen Auftritten für ihre Kooperation mit der IKA/Olympiade der Köche 2012 werben.
Culinary art instead of decoration
National Teams
Junior National Teams
The culinary teams from all over the world must prove their skills in both the art of preparation and presentation. In the past, the competing teams were provided with tables decorated with floor-length skirtings and a surface cover for the show platters. The individual teams used to be in charge of all other decorative elements.
As a result, the teams incurred excessive costs for – in some cases – very expensive and elaborate decorative elements and transportation. Depending on travel distance and size, it was virtually impossible for some teams to afford this. The 2012 edition of the IKA/World Culinary Olympics is focused completely on economic viability and equal opportunity. Starting in 2012, the teams will present their culinary creations – after all, this is the main purpose of the event – on a pre-defined table surface. They will have altogether 12sqm upon which to present the platters, i.e. a 3 x 4m sized table. The centre of the table will be decorated with the IKA logo – a splash of colour sized 150 x 50cm.
In addition to the neutral tables, the German Chefs’ Association will provide the teams with an appropriate illumination. The teams no longer have to invest in expensive decorative elements: for the first time, they will be able to travel lightly to the next international culinary exhibition. Exceptions will be permitted only for the show platters of the regional teams, individual teams and military teams.
Signed, sealed and delivered
VKD-Vizepräsident Johann Grassmugg, Rational Area Vice President Michael Fuchs, VKD-Präsident Robert Oppeneder, VKd-Geschäftsführerin Dr. Diane Bingel
Landsberg, October 2011 – Now it is perfect: RATIONAL will be the official equipment supplier for the 2012 IKA / Culinary Olympics in Erfurt for the cooking competitions between corporate catering teams.
On 5 October 2011, Area Vice President RATIONAL, Michael Fuchs, Robert Oppeneder, President of the German Chefs’ Association (VKD), and Johann Grassmugg, VKD Vice-President, signed the contractual agreements in Erfurt. Immediately after the atmospheric draw ceremony for the 2012 IKA/Culinary Olympics on 5 October 2011, the German Chefs’ Association (VKD) and RATIONAL AG sealed the deal on their partnership for the world’s largest culinary arts event in the ballroom at Erfurt Town Hall.
RATIONAL will equip the competing chefs for the corporate catering teams, the military national teams and the patisserie artistes with a world innovation – no fewer than 16 SelfCooking Center® whitefficiency® units. This latest innovation from the company will create outstanding conditions in which the cooking Olympians will compete. “We are delighted to have concluded this agreement right at the start of the hot preparation phase for the competitions,” says VKD President, Robert Oppeneder. “It gives us as event organisers the security of being able to offer the teams at the Olympics the best chances and opportunities.”
“For our high performing company, this agreement is both a great pleasure and a massive incentive,” commented Area Vice President RATIONAL Michael Fuchs about the agreements with the chefs’ association. “We are very pleased to have the opportunity to equip these competitions as, for the teams, the performance of the equipment is important, in addition to flexibility and ease of use. At next year's Culinary Olympics in Erfurt, the world's best chefs from over 50 nations will demonstrate their culinary abilities in a wide range of categories and will compete for gold, silver and bronze.
Kick-off of the World Culinary Olympics with the German Team
Johann Grassmugg, Karl Haaf, Robert Oppeneder, Axel Schulz, Andreas Rohde und Andreas Becker are looking forward to the IKA/Culinary Olympics 2012 in Erfurt.
Successful kick-off event for the IKA/World Culinary Olympics: the draw of the competition days was a moment of great suspense for the chefs, sponsors and partners of the World Culinary Olympics. Axel Schulz, the event’s champion advocate, mastered his task with flying colours.
“For us, there simply couldn’t have been a better outcome”, stated Matthias Kleber, Head of the German National Culinary Team with a broad smile on his face at the end of the draw of the competition days during the upcoming 2012 IKA/World Culinary Olympics in Erfurt. “I was hoping our team would be picked to compete in the show platter competition on the second to last day of the contest.” And there is a good chance for Matthias Kleber and his team to present his show pieces and show platters two days after the hot kitchen contest, on 8 October 2012, at the exhibition halls in Erfurt.
The German Junior National Team will also do its very best on these two days. As fate would have it, the two German teams were drawn to participate in the competition on the same days. Robert Oppeneder, the President of the German Chefs’ Association (VKD), coolly accepted the result and stated: “As hosts of the world’s most important culinary exhibition, we will set standards right from the beginning.” At the same time as the German National Culinary Teams, the teams from Canada, Croatia, the Czech Republic, Hungary, New Zealand, Slovakia, Turkey and Wales will wield their wooden spoons. Competing in the discipline hot kitchen, the German Military National Culinary Team will complete the extensive ranks of chefs on the last day of the competition. As far as the competition for the GV-Award is concerned, the “black, red and golden” flag will appear more or less on a daily basis.
Precisely one year before the start of the IKA/World Culinary Olympics, the official draw of the competition days was held at Erfurt City Hall. The determination of which teams would be competing behind their respective stoves at which times was left in the hands of Germany’s boxing legend, Axel Schulz. He was in charge of drawing a total of 84 times to establish the exact sequence of the competition days for the National Culinary Teams, the Junior National Culinary Teams, the Military Culinary Teams and the Community Catering Teams competing for the international GV-Award. Fortunately for him, he was offered Royal assistance by the Rhine Hessian Wine Princess Lisa Schäfer and Thuringia’s Christmas Stollen Queen Patricia Kallenbach, as all three have jointly taken on the patronage of the biggest and longest-running exhibition of culinary art in the world – the IKA/World Culinary Olympics, which will be held in Erfurt from 5 to 10 October 2012. After a little more than two hours, the starting list was complete; and Axel Schulz confessed to the specialist audience that he is an enthusiastic amateur chef and enjoys experimenting with spices.
For the first time in the history of the IKA/World Culinary Olympics, the German Chefs’ Association (VKD) organised an official draw. Robert Oppeneder and his executive committee were amazed at the interest it generated. In addition to the chefs from various countries, such as Austria, Canada, Cyprus, Luxemburg, Norway, Sweden and the USA, the event was attended by sponsors and the media. Erfurt’s mayor, Andreas Bausewein welcomed the international and national Culinary Art fans who travelled from near and far to be at the event. He is looking as much forward to the start of the culinary contest as the President of the World Association, Gissur Gudmundsson, who revealed: “I can hardly wait to be back in Erfurt.”
The IKA/World Culinary Olympics are known for setting innovative trends and benchmarks. In keeping with this tradition, the German Chefs’ Association, will also present numerous inspiring new ideas in 2012. Two main changes were already announced on the day of the draw: Jan Gerlach, Regional Director of Customer Target Group Management HoReCa at Metro Cash & Carry Germany, outlined the new cooperation between the VKD and his company. The Düsseldorf-based corporation with its extensive know-how will be in charge of providing the chefs who participate in the IKA/World Culinary Olympics with food items from all over the world. The fresh and high-quality food items will be available at the Metro Cash & Carry wholesale market in Erfurt. “Thanks to this professional, comprehensive and uncomplicated support, the chefs will be able to concentrate entirely on a successful culinary contest”, said Robert Oppeneder, President of the VKD, as he thanked his premium sponsor.
Another premiere awaited the guests after the draw in the Emperor’s Hall in Erfurt, where they were treated to a gourmet menu prepared by the German National Culinary Team. In addition, this affable ambiance served as a backdrop for the unveiling of the exhibition table for the show platters that will be used for the Junior National and National Culinary Teams. For the very first time in a culinary exhibition, a specific table with matching lighting equipment will be provided for the teams. Consequently, there is no need for costly decorative elements. This means that, for the very first time, the teams will be able to travel lightly to the international competition. VKD President, Robert Oppeneder, and his Executive Committee were highly satisfied with the kick-off event for the Olympic year. “Erfurt has long been our culinary home. The hospitality shown to the chefs from all over the world is simply overwhelming in this region.”
Culinary Olympians
It may well be that already back in 1900, sportsman-like ambition was the driving force behind the launch of the first International Exhibition of Culinary Art (IKA). At any rate, the IKA has been the Mother of all exhibitions of culinary art ever since. It is the oldest and also biggest exhibition of its kind in the world, and owes its tremendous prestige to the ambitions of its participants that deliver top performances every time.
Unlike in sports, the aim is not to achieve superlatives in speed, height or distance. Good taste is the key to success in this Olympic discipline – paired, of course, with precision, time management and the art of presentation, as who could possibly enjoy a hot dessert if it was served cold or before the main course?
This show, which started as a presentation of traditional and modern culinary art, was virtually bound to evolve into a contest. The chefs’ team spirit was awakened and almost instantly, national teams were formed who developed an appetite for a peaceful competition.
With approximately 8,000 sqm of exhibition space, the IKA instilled a certain degree of awe right from the outset in 1905. Over the years, the presentation options were further refined and adapted to the challenges and requirements of the chefs. The mastermind behind the IKA/World Culinary Olympics is the VKD, the German Chefs’ Association: it has been at the helm of organising this culinary exhibition and ensuring its spectacular success.
These days, the IKA/Culinary Olympics, attract more than 40 nations (2008) and well over 1,200 participants.
Consequently, it comes as no surprise that securing a place on the winners’ podium of culinary artists is as sought after as in the sports disciplines.
After all, these Olympic contestants are true all-round artists: they require great practical skills, must be able to succeed as a team, prove their management skills and – last, but definitely not least – display their formidable creativity. In other words: they are chefs. True master chefs.
Invitation to Erfurt
Invitation Card
In the coming days cooks, chefs and friends of the culinary family will receive a special invitation. The German Chefs Association (VKD) is inviting to the draw of the National Culinary Teams for the competition days of the IKA /Culinary Olympics, on the 5th of October 2011.
Which team is cooking on what day? Which nations will compete against each other? The draw will decide!
Team managers, team leaders, the partners and sponsors of the largest cooking show in the world as well as political and business guests will be a part of the draw, to be held in the stylish ambience of the historic Ballroom of the Town Hall in Erfurt.
Afterwards, the National Culinary Team of Germany will surprise guests with a three course gourmet menu in the Imperial Hall in Erfurt.
The German Chefs Association is proud to present a new and modern procedure for the competition and is showing for the first time
the new table for the cold platters display.
Axel Schulz and the next Culinary Olympics
Robert Oppeneder and Axel Schulz are looking forward to the Culinary Olympics 2012.
Frankfurt, 26 September 2011 – In an intimate circle, Germany’s boxing legend Axel Schulz confessed to Robert Oppeneder, President of the Germany Chefs’ Association (VKD), that he “has a strong affinity for cooking and chefs”. This statement led to the natural conclusion of using a strong athlete’s credo for the next IKA/World Culinary Olympics. On 5 October 2011, Axel Schulz will be in charge of the drawing, as the competition day for each of the national culinary teams will be drawn in the “Rathausfestsaal”, the ceremony room at the Erfurt City Hall.
The anticipation levels are rising ahead of the drawing. Many teams will even travel to Erfurt to get first hand information about which of the national teams will be competing on which day. The results are eagerly awaited, not only from the 32 national culinary teams and 32 junior national culinary teams, but also by the 16 community catering teams that will compete for the GV-Award. The drawing focuses exclusively on the royal discipline, i.e. on the “hot kitchen”.
Axel Schulz will be royally assisted by the “Christmas Stollen Queen” Sandra I. and the “Rheinhessen Wine princess” Lisa Schäfer, as they have jointly taken on the patronage of the biggest and longest-running exhibition of culinary art in the world – the IKA/World Culinary Olympics, which will be held in Erfurt from 5 to 10 October 2012.
Regarding the discipline “show platters”, the teams will have to bear with the IKA/World Culinary Olympics organisers just a little longer until they will publish the results. The former professional boxer Axel Schulz is greatly looking forward to the 2012 Olympics in Erfurt. As a passionate hobby chef, he will be able to learn a lot from these master chefs. Together with his sponsor and supplier Fackelmann, Hersbruck, Axel produces the kids’ cooking website “Kochen kinderleicht” (cooking – a mere child’s play). Consequently, new culinary inspiration is more than welcome. Fackelmann offers domestic and foreign chefs an extensive range of special goods for professionals under the name FMprofessionel.
Swedish chefs make a flying stop in Erfurt
From left to right: Joachim Mueller, Kurt Weid (Team Manager of the Swedish community catering team and President of the Swedish Chefs' Association), Niklas Edgren, Jürgen Mogge (sous-chef at Hotel Tanne, Ilmenau); Source: Messe Erfurt
Erfurt, 24 August 2011. The first hint of the international cooking aroma wafted through the corridors of Erfurt trade fair centre. Three representatives of the Swedish community catering team visited Erfurt trade fair centre last week in preparation for the IKA/Culinary Olympics, which will take place in 2012 in association with the inoga trade fair for the hotel, catering and hospitality sector.
After the team manager of the community catering team, Kurt Weid, who is also President of the Swedish Chef's Association had sorted out accommodation, along with test kitchen, for 2012 for himself and his two chefs Joachim Mueller and Niklas Edgren at Hotel Tanne in Ilmenau, he moved straight on to the next important question: how long will it take us to get from our accommodation to Erfurt trade fair centre? Because from 5 – 10 October 2012 it will be the venue for the 23rd IKA/Culinary Olympics and no chef will want to arrive late. Teams can still register up to 30 September 2011, before the competition stages in cold and warm cuisine are drawn for the national and national youth teams in Erfurt town hall ballroom on 5 October 2011.
This is the third consecutive time that the international culinary exhibition, which is better known to most chefs as IKA for short or the "Culinary Olympics", is taking place in Erfurt. 45 nations from all over the world will compete at this professional competition with the hope of being crowned the 2012 champion in Erfurt. IKA was first held in 1900 in Frankfurt am Main and takes place every four years as the largest and most traditional culinary fair.
Aktuelle Informationen:
www.vkd.com
www.inoga.de
Patron is promoting for the IKA/Culinary Olympics
The Minister President of Thuringia Christine Lieberknecht at OTZ-celebrity cooking
The IKA / Culinary Olympics will be held from 5 to 10 October 2012 in Erfurt. Teams from around the world follow the German Chefs Associations’ invitation. At this culinary event, the cooking elite demonstrate its skills for the general public.
Therefore, the exhibition halls of the fair Erfurt will become giant kitchens, culinary art and gourmet temples. Christine Lieberknecht agreed to become patron for this major event of hospitality.
At the East-Thuringia newspaper (OTZ) - celebrity cooking, which took place at the studio kitchen Schwarzbach, Kellers Ziegelei 20 in Gera, the Minister President together with chefs from central Germany did the cooking and showed typical Thuringia dishes on the plates. Together with Dr. Diane Bingel, Managing Director German Chefs Association (VKD), who specially arrived from Frankfurt / Main, Günter Petzold, Honorary Senator VKD and Gerhard Dittrich from the regional Chefs Club Gera and Christine Lieberknecht, Minister President of Thuringia, promoted the upcoming International Culinary Art Exhibition – IKA/Culinary Olympics in the City of Erfurt.
MKN is Exclusive Partner of the IKA/Culinary Olympics 2012
Seal the exclusive partnership: From left: Andreas Rohde (VKD Vice President), Georg Weber (MKN Managing Director), Robert Oppeneder (VKD President)
Hamburg, 20.03.2011:
Signing of the contract at the fair INTERNORGA
It is now official: all National and Junior National Teams at the IKA/Culinary Olympics 2012 in Erfurt, Germany will be competing for medals using professional cooking technology from MKN. VKD President Robert Oppeneder and MKN Managing Director Georg Weber sealed this exclusive partnership at the Internorga. Ranging from innovative HansDampf combisteamers to groundbreaking induction, MKN professional cooking technology will be in use at the world’s largest cooking event. Everyone involved is already looking forward to top performances and successful Olympics.
IKA-Richtlinien ausgegeben
Robert Oppeneder
Luxembourg; 22nd November 2010:
The German Chefs Association issued guidelines and rules for the Culinary Olympics 2012 during the WM in Luxembourg
The German Chefs Association issued the guidelines and rules for the upcoming Top-competition at the WM – Villeroy & Boch Culinary World Cup – in Luxembourg to the international chefs elite. At the festive IKA Welcome Rendezvous at 22nd November during the EXPOGAST, general guidelines and rules for individuals for the IKA / Culinary Olympics, which will be held from 5th to 10th October 2012 in Erfurt, were given to the international Chefs Associations. The guidelines for teams follow as an online version. With a bilingual video message the prime minister of the Free State of Thuringia, Christine Lieberknecht, invites all chefs and pastry chefs from around the world to be part of this highlight in Erfurt. Christiane Lieberknecht is the patron for the IKA 2012.
Erfurt: Host of the IKA / Culinary Olympics 2012
Kocholympiade in Erfurt
The German Chefs Association appoints Messe Erfurt GmbH as the host venue of the biggest skilled-cooking contest in the world
The world-elite of the chefs meet from 5th to 10th October 2012 in Erfurt for the biggest international culinary art exhibition – the IKA / Culinary Olympics. The German Chefs Association, organizer of the competitions, appoints Messe Erfurt GmbH to the host venue of the 23rd edition of this prestigious culinary event. | msmarco_doc_00_9313556 |
http://2012.playingshakespeare.org/scene-scene.html | A Midsummer Night's Dream |
Scene by Scene
The Athenian Court
The Mechanicals' First Meeting
Oberon’s and Titania’s Quarrel
The Magical Flower
The Interrupted Rehearsal
Puck’s Mistake
The Morning After the Night Before
Bottom Returns
The Mechanicals' Play
| A Midsummer Night's Dream
Scene by Scene
The Athenian Court
Theseus, the Duke of Athens, is preparing to marry Hippolyta, the Queen of the Amazons. Egeus, a nobleman, comes to Theseus with a complaint about his daughter, Hermia. Hermia wishes to marry her love, Lysander, but Egeus wants her to marry Demetrius. Theseus says that Hermia must either obey her father’s will and marry Demetrius or she must live the rest of her life in a convent. Unhappy with this outcome, Hermia and Lysander decide to elope into the forest together. Before they leave they tell Hermia’s best friend, Helena, about their secret plan. Helena is in love with Demetrius and plots to tell him that Hermia is eloping, in the hope that he might return her feelings and give up Hermia.
The Mechanicals' First Meeting
A group of amateur actors, known as the mechanicals, meet in the forest with plans to put on a play for the Duke’s wedding. Their director, Peter Quince, hands out all the parts. One of the actors, Nick Bottom, is very enthusiastic and wants to play more than just the part of that has been given to him, much to Quince’s annoyance. The group arrange to meet again at the Duke’s oak for their first rehearsal.
Oberon’s and Titania’s Quarrel
The King and Queen of the fairies, Oberon and Titania, have fallen out over a changeling boy that Titania has in her possession. Oberon wants the boy for himself but Titania won’t give him up. Oberon therefore plans revenge. He orders his servant, Puck, to fetch a magical flower. The juice of the flower placed upon a person’s eyes makes them fall in love with the next person or creature they see. Oberon plans to use the flower to make Titania fall in love with the first beast she sees. Whilst Puck is searching for the flower, Oberon sees Demetrius being cruel to Helena as she swears her undying love to him. So Oberon tells Puck to use this same flower on Demetrius to make him fall in love with Helena.
The Magical Flower
Titania’s fairies sing her to sleep whilst Oberon quietly sneaks in and puts the juice of the magical flower on her eyes. Now, when Titania wakes, she will fall in love with the first thing she sees. Meanwhile, Lysander and Hermia set up a camp in the forest to rest for the night. As they sleep, Puck mistakes Lysander for Demetrius and sprinkles his eyes with the juice of the magical flower. When Lysander wakes up the first person he sees is Helena and so he falls instantly in love with her instead of Hermia.
The Interrupted Rehearsal
The mechanicals meet again to start rehearsing for their play. However, they are interrupted by Puck who cuts short the rehearsal by transforming Bottom's head into that of a donkey. The rest of the actors are in shock at Bottom’s strange appearance and run away in fear. A very confused Bottom is left all alone until Titania awakes from her sleep and, seeing him, falls instantly in love. She requests that Bottom stays with her and summons her fairies to serve him.
Puck’s Mistake
Puck tells Oberon how he has turned Bottom into an ass and how Titania is now in love with him. Oberon is pleased with his servant’s work until he comes across two of the Lovers: Demetrius and Hermia. He realises that Demetrius still loves Hermia and that Puck has therefore used the magical flower on the wrong man. He tries to correct the mistake by using the flower on Demetrius, but this now means that both Lysander and Demetrius love Helena. The lovers squabble over this new situation and so Oberon must try and right his servant’s wrongs once and for all. He gets Puck to gather the lovers together and puts another potion on Lysander’s eyes so that this time, when he wakes, he will love Hermia once more.
The Morning After the Night Before
Titania continues to dote on Bottom, but now that Oberon has got the changeling boy he decides to break the charm. Titania wakes and is confused about what has happened. She asks Oberon to explain and so he shows her Bottom. Titania now loathes the ass she once loved and so Oberon asks Puck to transform Bottom back to his normal human form.
Thesus and Hippolyta discover the lovers sleeping in the forest. They are all confused by the night’s events and believe they must have been dreaming. They return to Athens to be married as Lysander once more loves Hermia and Demetrius now loves Helena.
Bottom Returns
The mechanicals are anxious that no one has seen or heard from Bottom since their last rehearsal. They fear that they won’t be able to perform their play without him. Fortunately, Bottom returns just in time, confused at the past events, but ready to play his part.
The Mechanicals' Play
It is the marriage celebrations and the mechanicals arrive at court to perform their play. It is a clumsy performance but it is still received with great amusement by the audience who laugh at its poor writing and the bad performances. When the play is over, the performers and guests retire. The fairies then enter to bless all of the marriages and Puck wishes the audience a good night. | msmarco_doc_00_9360176 |
http://2012books.lardbucket.org/books/21st-century-american-government-and-politics/s10-political-culture-and-socializ.html | Political Culture and Socialization | Chapter 6
Political Culture and Socialization
Chapter 6 Political Culture and Socialization
Preamble
6.1 Political Culture
Learning Objectives
What Is Political Culture?
American Political Culture
Beliefs
Values
Video Clip
Rituals, Traditions, and Symbols
Folklore
Heroes
Subcultures
Media Frames
Multiculturalism
Enduring Images
Key Takeaways
Exercises
6.2 Political Socialization
Learning Objectives
What Is Political Socialization?
Video Clip
Political Socialization over the Life Course
Agents of Political Socialization
Family
School
Peer Group
Media
Group Differences
Political Generations
Key Takeaways
Exercises
6.3 Political Culture and Socialization in the Information Age
Learning Objectives
Media Interactions
Media Depictions
News Media
Entertainment Media
Media Consequences
Scandal Coverage
Hollywood and Washington
Key Takeaways
Exercises
Civic Education
6.4 Recommended Reading
6.5 Recommended Viewing
| Political Culture and Socialization
Chapter 6 Political Culture and Socialization
Preamble
Americans have strong positive feelings about the country’s flag. Government leaders and candidates giving speeches often are flanked by the Stars and Stripes; flags appear in ceremonies honoring police officers, firefighters, and military personnel; and American embassies, military bases, and ships abroad are depicted with flags flying. The flag is displayed prominently in television, print, and online advertisements for many different products; car showrooms are draped with flags; clothing manufacturers present models wearing the latest fashions against American flag backdrops; and flags appear in ads for food, furniture, toys, and electronic gadgets.
Immediately following the 9/11 terrorist attacks, there was a huge increase in the sale and display of the American flag. Nowhere was the trend more apparent than on television news broadcasts: news anchors wore American-flag lapel pins, and background visuals featured themes such as “America Fights Back,” wrapped in the flag’s color scheme of red, white, and blue.
Prior to a football game in September 2010, cadets from the US Air Force Academy unfurl a large American flag in Falcon Stadium to commemorate the people who lost their lives in the 9/11 terrorist attacks.
Source: http://commons.wikimedia.org/wiki/File:BYU_at_Air_Force_2010-09-11.jpg.
The United States flag is the core icon of American political culture. Media representations associate the flag with the two dominant values of the American creed: democracy and capitalism. News media connect the flag with aspects of democratic political culture, including elections, institutions, and national pride. People have more positive reactions to politicians when they appear with the American flag. Advertisements send the message that to “buy American,” and thereby support the free-market economic system, is to be patriotic.
People gain an understanding and acceptance of the political culture of their nation through a process called political socialization. The term “political socialization” refers to the process by which people learn their roles as citizens and develop an understanding of government and politics. This chapter explores the ways in which knowledge about politics; the attitudes about government, political processes, and leaders; and citizens’ political behavior—all of which are elements of American political culture—are passed on from generation to generation.
6.1 Political Culture
Learning Objectives
After reading this section, you should be able to answer the following questions:
What is a nation’s political culture, and why is it important?
What are the characteristics of American political culture?
What are the values and beliefs that are most ingrained in American citizens?
What constitutes a political subculture, and why are subcultures important?
This section defines political culture and identifies the core qualities that distinguish American political culture, including the country’s traditions, folklore, and heroes. The values that Americans embrace, such as individualism and egalitarianism, will be examined as they relate to cultural ideals.
What Is Political Culture?
Political culture
Collective ideologies, values, beliefs, norms, assumptions, and patterns of behavior that characterize a particular country.
can be thought of as a nation’s political personality. It encompasses the deep-rooted, well-established political traits that are characteristic of a society. Political culture takes into account the attitudes, values, and beliefs that people in a society have about the political system, including standard assumptions about the way that government works. As political scientist W. Lance Bennett notes, the components of political culture can be difficult to analyze. “They are rather like the lenses in a pair of glasses: they are not the things we see when we look at the world; they are the things we see with.” W. Lance Bennett, Public Opinion in American Politics (New York: Harcourt Brace Jovanovich, 1980), 368. Political culture helps build community and facilitate communication because people share an understanding of how and why political events, actions, and experiences occur in their country.
Political culture includes formal rules as well as customs and traditions, sometimes referred to as “habits of the heart,” that are passed on generationally. People agree to abide by certain formal rules, such as the country’s constitution and codified laws. They also live by unstated rules: for example, the willingness in the United States to accept the outcomes of elections without resorting to violence. Political culture sets the boundaries of acceptable political behavior in a society. Daniel J. Elazar, The American Mosaic (Boulder, CO: Westview Press, 1994).
While the civic culture in the United States has remained relatively stable over time, shifts have occurred as a result of transforming experiences, such as war, economic crises, and other societal upheavals, that have reshaped attitudes and beliefs. Ronald Inglehart, Culture Shift in Advanced Industrial Society (Princeton, NJ: Princeton University Press, 1990). Key events, such as the Civil War, World War I, World War II, the Great Depression, the Vietnam War, the civil rights movement, and the terrorist attacks of 9/11 have influenced the political worldviews of American citizens, especially young people, whose political values and attitudes are less well established.
American Political Culture
Political culture consists of a variety of different elements. Some aspects of culture are abstract, such as political beliefs and values. Other elements are visible and readily identifiable, such as rituals, traditions, symbols, folklore, and heroes. These aspects of political culture can generate feelings of national pride that form a bond between people and their country. Political culture is not monolithic. It consists of diverse subcultures based on group characteristics such as race, ethnicity, and social circumstances, including living in a particular place or in a certain part of the country. We will now examine these aspects of political culture in the American context.
Beliefs
Beliefs
Ideas that are considered to be true by a society.
are ideas that are considered to be true by a society. Founders of the American republic endorsed both equality, most notably in the Declaration of Independence, and liberty, most prominently in the Constitution. These political theories have become incorporated into the political culture of the United States in the central beliefs of egalitarianism and individualism.
Egalitarianism
Doctrine emphasizing the natural equality of people in society.
is the doctrine emphasizing the natural equality of humans, or at least the absence of a preexisting superiority of one set of humans above another. This core American belief is found in the preamble to the Declaration of Independence, which states that “all men are created equal” and that people are endowed with the unalienable rights to “life, liberty, and the pursuit of happiness.” Americans endorse the intrinsic equal worth of all people. Survey data consistently indicate that between 80 percent and 90 percent of Americans believe that it is essential to treat all people equally, regardless of race or ethnic background. James Davison Hunter and Carl Bowman, The State of Disunion (Charlottesville, VA: In Media Res Educational Foundation, 1996); Pew Research Center for the People and the Press, Values Survey (Washington, DC: Pew Research Center, March 2009).
The principle of individualism
Principle emphasizing the centrality and dignity of the individual and her or his capacity for free action.
stresses the centrality and dignity of individual people. It privileges free action and people’s ability to take the initiative in making their own lives as well as those of others more prosperous and satisfying. In keeping with the Constitution’s preoccupation with liberty, Americans feel that children should be taught to believe that individuals can better themselves through self-reliance, hard work, and perseverance. James Davison Hunter and Carl Bowman, The State of Disunion (Charlottesville, VA: In Media Res Educational Foundation, 1996).
The beliefs of egalitarianism and individualism are in tension with one another. For Americans today, this contradiction tends to be resolved by an expectation of equality of opportunity
The right of each individual to the same chance to get ahead in society.
, the belief that each individual has the same chance to get ahead in society. Americans tend to feel that most people who want to get ahead can make it if they’re willing to work hard. Pew Research Center for the People and the Press, Retro-Politics: The Political Typology (Washington, DC: Pew Research Center, November 11, 1999). Americans are more likely to promote equal political rights, such as the Voting Rights Act’s stipulation of equal participation for all qualified voters, than economic equality, which would redistribute income from the wealthy to the poor. Richard W. Wilson, “American Political Culture in Comparative Perspective,” Political Psychology, 18, no. 2 (1997): 483–502.
Values
Beliefs form the foundation for values
A society’s shared convictions about what is just and good.
, which represent a society’s shared convictions about what is just and good. Americans claim to be committed to the core values of individualism and egalitarianism. Yet there is sometimes a significant disconnect between what Americans are willing to uphold in principle and how they behave in practice. People may say that they support the Constitutional right to free speech but then balk when they are confronted with a political extremist or a racist speaking in public.
Core American political values are vested in what is often called the American creed
Belief in the United States “as a Government of the people, by the people, for the people, who powers are derived from the consent of the governed.”
. The creed, which was composed by New York State Commissioner of Education Henry Sterling Chapin in 1918, refers to the belief that the United States is a government “by the people, for the people, whose just powers are derived from the consent of the governed.” The nation consists of sovereign states united as “a perfect Union” based on “the principles of freedom, equality, justice, and humanity.” American exceptionalism
Conviction that America’s vast frontier offered boundless opportunities for individuals to achieve their goals.
is the view that America’s exceptional development as a nation has contributed to its special place is the world. It is the conviction that the country’s vast frontier offered boundless and equal opportunities for individuals to achieve their goals. Americans feel strongly that their nation is destined to serve as an example to other countries. James Davison Hunter and Carl Bowman, The State of Disunion (Charlottesville, VA: In Media Res Educational Foundation, 1996). They believe that the political and economic systems that have evolved in this country are perfectly suited in principle to permit both individualism and egalitarianism.
Consequently, the American creed also includes patriotism
Love of one’s country and respect for its symbols and principles.
: the love of one’s country and respect for its symbols and principles. The events of 9/11 ignited Americans’ patriotic values, resulting in many public displays of support for the country, its democratic form of government, and authority figures in public-service jobs, such as police and firefighters. The press has scrutinized politicians for actions that are perceived to indicate a lack of patriotism, and the perception that a political leader is not patriotic can generate controversy. In the 2008 presidential election, a minor media frenzy developed over Democratic presidential candidate Barack Obama’s “patriotism problem.” The news media debated the significance of Obama’s not wearing a flag lapel pin on the campaign trail and his failure to place his hand over his heart during the playing of the national anthem.
Video Clip
Barack Obama's Patriotism
(click to see video)
A steak fry in Iowa during the 2008 Democratic presidential primary sparked a debate over candidate Barack Obama’s patriotism. Obama, standing with opponents Bill Richardson and Hillary Clinton, failed to place his hand over his heart during the playing of the national anthem. In the background is Ruth Harkin, wife of Senator Tom Harkin, who hosted the event.
Another core American value is political tolerance
Willingness to allow groups with whom one disagrees fundamentally to exercise their constitutionally guaranteed freedoms.
, the willingness to allow groups with whom one disagrees to exercise their constitutionally guaranteed freedoms, such as free speech. While many people strongly support the ideal of tolerance, they often are unwilling to extend political freedoms to groups they dislike. People acknowledge the constitutional right of racist groups, such as skinheads, to demonstrate in public, but will go to great lengths to prevent them from doing so. John L. Sullivan, James Piereson, and George E. Marcus, Political Tolerance and American Democracy (Chicago: University of Chicago Press, 1982).
Democratic political values are among the cornerstones of the American creed. Americans believe in the rule of law
The premise that government is based on a body of law, agreed on by the governed, this is applied equally and justly.
: the idea that government is based on a body of law, agreed on by the governed, that is applied equally and justly. The Constitution is the foundation for the rule of law. The creed also encompasses the public’s high degree of respect for the American system of government and the structure of its political institutions.
Capitalist economic values
Values that emphasize the need for a free-enterprise system, open business competition, private ownership of property, and limited government intervention in business affairs.
are embraced by the American creed. Capitalist economic systems emphasize the need for a free-enterprise system that allows for open business competition, private ownership of property, and limited government intervention in business affairs. Underlying these capitalist values is the belief that, through hard work and perseverance, anyone can be financially successful. Herbert McClosky and John Zaller, The American Ethos (Cambridge, MA: Harvard University Press, 1987).
Figure 6.1
Tea Party supporters from across the country staged a “March on Washington” to demonstrate their opposition to government spending and to show their patriotism.
Source: http://commons.wikimedia.org/wiki/File:9.12_tea_party_in_DC.jpg.
The primacy of individualism may undercut the status quo in politics and economics. The emphasis on the lone, powerful person implies a distrust of collective action and of power structures such as big government, big business, or big labor. The public is leery of having too much power concentrated in the hands of a few large companies. The emergence of the Tea Party, a visible grassroots conservative movement that gained momentum during the 2010 midterm elections, illustrates how some Americans become mobilized in opposition to the “tax and spend” policies of big government. Pew Research Center for the People and the Press, Views of Business and Regulation Remain Unchanged (Washington, DC: Pew Research Center, February 21, 2001). While the Tea Party shunned the mainstream media because of their view that the press had a liberal bias, they received tremendous coverage of their rallies and conventions, as well as their candidates. Tea Party candidates relied heavily on social media, such as Facebook and Twitter, to get their anti–big government message out to the public.
Rituals, Traditions, and Symbols
Rituals, traditions, and symbols are highly visible aspects of political culture, and they are important characteristics of a nation’s identity. Rituals
Ceremonial acts performed by the people of a nation.
, such as singing the national anthem at sporting events and saluting the flag before the start of a school day, are ceremonial acts that are performed by the people of a nation. Some rituals have important symbolic and substantive purposes: Election Night follows a standard script that ends with the vanquished candidate congratulating the opponent on a well-fought battle and urging support and unity behind the victor. Whether they have supported a winning or losing candidate, voters feel better about the outcome as a result of this ritual. Benjamin Ginsberg and Herbert Weissberg, “Elections and the Mobilization of Popular Support,” American Journal of Political Science 22, no.1 (1978): 31–55. The State of the Union address that the president makes to Congress every January is a ritual that, in the modern era, has become an opportunity for the president to set his policy agenda, to report on his administration’s accomplishments, and to establish public trust. A more recent addition to the ritual is the practice of having representatives from the president’s party and the opposition give formal, televised reactions to the address.
Figure 6.2
President Barack Obama gives the 2010 State of the Union address. The ritual calls for the president to be flanked by the Speaker of the House of Representatives (Nancy Pelosi) and the vice president (Joe Biden). Members of Congress and distinguished guests fill the House gallery.
Source: http://commons.wikimedia.org/wiki/File:2010_State_of_the_Union.jpg.
Political traditions
Customs and festivities passed on from generation to generation.
are customs and festivities that are passed on from generation to generation, such as celebrating America’s founding on the Fourth of July with parades, picnics, and fireworks. Symbols
Objects or emblems that represent a nation.
are objects or emblems that stand for a nation. The flag is perhaps the most significant national symbol, especially as it can take on enhanced meaning when a country experiences difficult times. The bald eagle was officially adopted as the country’s emblem in 1787, as it is considered a symbol of America’s “supreme power and authority.”
Figure 6.3
The Statue of Liberty stands in New York Harbor, an 1844 gift from France that is a symbol welcoming people from foreign lands to America’s shores.
Source: Photo courtesy of Severin St. Martin, http://www.flickr.com/photos/severinstmartin/55840746/.
Folklore
Political folklore
Legends and stories shared by a nation.
, the legends and stories that are shared by a nation, constitutes another element of culture. Individualism and egalitarianism are central themes in American folklore that are used to reinforce the country’s values. The “rags-to-riches” narratives of novelists—the late-nineteenth-century writer Horatio Alger being the quintessential example—celebrate the possibilities of advancement through hard work.
Much American folklore has grown up around the early presidents and figures from the American Revolution. This folklore creates an image of men, and occasionally women, of character and strength. Most folklore contains elements of truth, but these stories are usually greatly exaggerated.
Figure 6.4
There are many folktales about young George Washington, including that he chopped down a cherry tree and threw a silver dollar across the Potomac River. These stories were popularized by engravings like this one by John C. Mccabe depicting Washington working as a land surveyor.
Source: Photo courtesy of the National Park Service Historical Handbook Series No. 26, frontispiece, http://commons.wikimedia.org/wiki/File:Young_George_Washington.jpg.
The first American president, George Washington, is the subject of folklore that has been passed on to school children for more than two hundred years. Young children learn about Washington’s impeccable honesty and, thereby, the importance of telling the truth, from the legend of the cherry tree. When asked by his father if he had chopped down a cherry tree with his new hatchet, Washington confessed to committing the deed by replying, “Father, I cannot tell a lie.” This event never happened and was fabricated by biographer Parson Mason Weems in the late 1700s. George Washington’s Mount Vernon, “Is it true that George Washington chopped down a cherry tree when he was a boy?,” accessed February 3, 2011, http://www.mountvernon.org/knowledge/index.cfm/fuseaction/view/KnowledgeID/21. Legend also has it that, as a boy, Washington threw a silver dollar across the Potomac River, a story meant to illustrate his tremendous physical strength. In fact, Washington was not a gifted athlete, and silver dollars did not exist when he was a youth. The origin of this folklore is an episode related by his step-grandson, who wrote that Washington had once thrown a piece of slate across a very narrow portion of the Rappahannock River in Virginia. George Washington’s Mount Vernon, “Did George Washington really throw a silver dollar across the Potomac River?,” accessed February 3, 2011, http://www.mountvernon.org/knowledge/index.cfm/fuseaction/view/KnowledgeID/20.
Heroes
Heroes
People who, in theory, embody the best of what a country has to offer and thereby define a nation’s political culture.
embody the human characteristics most prized by a country. A nation’s political culture is in part defined by its heroes who, in theory, embody the best of what that country has to offer. Traditionally, heroes are people who are admired for their strength of character, beneficence, courage, and leadership. People also can achieve hero status because of other factors, such as celebrity status, athletic excellence, and wealth.
Shifts in the people whom a nation identifies as heroes reflect changes in cultural values. Prior to the twentieth century, political figures were preeminent among American heroes. These included patriotic leaders, such as American-flag designer Betsy Ross; prominent presidents, such as Abraham Lincoln; and military leaders, such as Civil War General Stonewall Jackson, a leader of the Confederate army. People learned about these leaders from biographies, which provided information about the valiant actions and patriotic attitudes that contributed to their success.
Today American heroes are more likely to come from the ranks of prominent entertainment, sports, and business figures than from the world of politics. Popular culture became a powerful mechanism for elevating people to hero status beginning around the 1920s. As mass media, especially motion pictures, radio, and television, became an important part of American life, entertainment and sports personalities who received a great deal of publicity became heroes to many people who were awed by their celebrity. Fred I. Greenstein, Children and Politics (New Haven, CT: Yale University Press, 1969).
In the 1990s, business leaders, such as Microsoft’s Bill Gates and General Electric’s Jack Welch, were considered to be heroes by some Americans who sought to achieve material success. The tenure of business leaders as American heroes was short-lived, however, as media reports of the lavish lifestyles and widespread criminal misconduct of some corporation heads led people to become disillusioned. The incarceration of Wall Street investment advisor Bernard Madoff made international headlines as he was alleged to have defrauded investors of billions of dollars. Sandra Yin, “Shifting Careers,” American Demographics, 23, no. 12 (December 2001): 39–40.
Sports figures feature prominently among American heroes, especially during their prime. Cyclist Lance Armstrong is a hero to many Americans because of his unmatched accomplishment of winning seven consecutive Tour de France titles after beating cancer. However, heroes can face opposition from those who seek to discredit them: Armstrong, for example, has been accused of doping to win races, although he has never failed a drug test.
Figure 6.5
Cyclist Lance Armstrong is considered by many to be an American hero because of his athletic accomplishments and his fight against cancer. He also has been the subject of unrelenting media reports that attempt to deflate his hero status.
Source: http://commons.wikimedia.org/wiki/File:Lance_Armstrong_Aviano.jpg.
NBA basketball player Michael Jordan epitomizes the modern-day American hero. Jordan’s hero status is vested in his ability to bridge the world of sports and business with unmatched success. The media promoted Jordan’s hero image intensively, and he was marketed commercially by Nike, who produced his “Air Jordans” shoes. Pat Walters, “Michael Jordan: The New American Hero” (Charlottesville VA: The Crossroads Project, 1997). His unauthorized 1999 film biography is titled Michael Jordan: An American Hero, and it focuses on how Jordan triumphed over obstacles, such as racial prejudice and personal insecurities, to become a role model on and off the basketball court. Young filmgoers watched Michael Jordan help Bugs Bunny defeat evil aliens in Space Jam. In the film Like Mike, pint-sized rapper Lil’ Bow Wow plays an orphan who finds a pair of Michael Jordan’s basketball shoes and is magically transformed into an NBA star. Lil’ Bow Wow’s story has a happy ending because he works hard and plays by the rules.
The 9/11 terrorist attacks prompted Americans to make heroes of ordinary people who performed in extraordinary ways in the face of adversity. Firefighters and police officers who gave their lives, recovered victims, and protected people from further threats were honored in numerous ceremonies. Also treated as heroes were the passengers of Flight 93 who attempted to overtake the terrorists who had hijacked their plane, which was believed to be headed for a target in Washington, DC. The plane crashed in a Pennsylvania field.
Subcultures
Political subcultures
Distinct groups associated with particular beliefs, values, and behavior patterns and existing within the overall framework of the larger political culture.
are distinct groups, associated with particular beliefs, values, and behavior patterns, that exist within the overall framework of the larger culture. They can develop around groups with distinct interests, such as those based on age, sex, race, ethnicity, social class, religion, and sexual preference. Subcultures also can be geographically based. Political scientist Daniel Elazar identified regional political subcultures, rooted in American immigrant settlement patterns, that influenced the way that government was constituted and practiced in different locations across the nation. The moral political subculture, which is present in New England and the Midwest, promotes the common good over individual values. The individual political subculture, which is evident in the middle Atlantic states and the West, is more concerned with private enterprise than societal interests. The traditional political subculture, which is found in the South, reflects a hierarchical societal structure in which social and familial ties are central to holding political power. Daniel J. Elazar, American Federalism: A View From the States, 2nd ed. (New York: Thomas Y. Crowell, 1972). Political subcultures can also form around social and artistic groups and their associated lifestyles, such as the heavy metal and hip-hop music subcultures.
Media Frames
The Hip-Hop Subculture
A cohort of black Americans has been labeled the hip-hop generation by scholars and social observers. The hip-hop generation is a subculture of generation X (people born between 1965 and 1984) that identifies strongly with hip-hop music as a unifying force. Its heroes come from the ranks of prominent music artists, including Grandmaster Flash, Chuck D, Run DMC, Ice Cube, Sister Souljah, Nikki D, and Queen Latifah. While a small number of people who identify with this subculture advocate extreme politics, including violence against political leaders, the vast majority are peaceful, law-abiding citizens. Bakari Kitwana, The Hip-Hop Generation (New York: Basic Civitas Books, 2002).
The hip-hop subculture emerged in the early 1970s in New York City. Hip-hop music began with party-oriented themes, but by 1982 it was focusing heavily on political issues. Unlike the preceding civil rights generation—a black subculture of baby boomers (people born immediately after World War II) that concentrated on achieving equal rights—the hip-hop subculture does not have an overarching political agenda. The messages passed on to the subculture by the music are highly varied and often contradictory. Some lyrics express frustration about the poverty, lack of educational and employment opportunities, and high crime rates that plague segments of the black community. Other songs provide public service messages, such as those included on the Stop the Violence album featuring Public Enemy and MC Lyte, and Salt-N-Pepa’s “Let’s Talk about AIDS.” Music associated with the gangsta rap genre, which was the product of gang culture and street wars in South Central Los Angeles, promotes violence, especially against women and authority figures, such as the police. It is from these lyrics that the mass media derive their most prominent frames when they cover the hip-hop subculture. Manning Marable, “The Politics of Hip-Hop,” The Urban Think Tank, 2 (2002). http://www.hartford-hwp.com/archives/45a/594.html.
Media coverage of the hip-hop subculture focuses heavily on negative events and issues, while ignoring the socially constructive messages of many musicians. The subculture receives most of its media attention in response to the murder of prominent artists, such as Tupac Shakur and Notorious B.I.G., or the arrest of musicians for violating the law, usually for a weapons- or drug-related charge. A prominent news frame is how violence in the music’s lyrics translates into real-life violence. As hip-hop music became more popular with suburban white youth in the 1990s, the news media stepped up its warnings about the dangers of this subculture.
Media reports of the hip-hop subculture also coincide with the release of successful albums. Since 1998, hip-hop and rap have been the top-selling record formats. The dominant news frame is that the hip-hop subculture promotes selfish materialist values. This is illustrated by news reports about the cars, homes, jewelry, and other commodities purchased by successful musicians and their promoters. Autumn Lewis, “Vilification of Black Youth Culture by the Media” (master’s thesis, Georgetown University, 2003).
Media coverage of hip-hop tends to downplay the positive aspects of the subculture.
Source: http://commons.wikimedia.org/wiki/File:Snoop_Dogg_Hawaii.jpg.
Although the definition of political culture emphasizes unifying, collective understandings, in reality, cultures are multidimensional and often in conflict. When subcultural groups compete for societal resources, such as access to government funding for programs that will benefit them, cultural cleavages and clashes can result. As we will see in the section on multiculturalism, conflict between competing subcultures is an ever-present fact of American life.
Multiculturalism
One of the hallmarks of American culture is its racial and ethnic diversity. In the early twentieth century, the playwright Israel Zangwill coined the phrase “ melting pot
Metaphor used to describe how immigrants from many different backgrounds come together in the United States and that assumes that the distinct habits, customs, and traditions of particular groups disappear as their members assimilate into the larger culture.
” to describe how immigrants from many different backgrounds came together in the United States. The melting pot metaphor assumed that over time the distinct habits, customs, and traditions associated with particular groups would disappear as people assimilated into the larger culture. A uniquely American culture would emerge that accommodated some elements of diverse immigrant cultures in a new context. Lawrence H. Fuchs, The American Kaleidoscope. (Middletown, CT: Wesleyan University Press, 1990). For example, American holiday celebrations incorporate traditions from other nations. Many common American words originate from other languages. Still, the melting pot concept fails to recognize that immigrant groups do not entirely abandon their distinct identities. Racial and ethnic groups maintain many of their basic characteristics, but at the same time, their cultural orientations change through marriage and interactions with others in society.
Over the past decade, there has been a trend toward greater acceptance of America’s cultural diversity. Multiculturalism
An appreciation of the unique cultural heritage of racial and ethnic groups in the United States, some of whom seek to preserve their native languages and lifestyles.
celebrates the unique cultural heritage of racial and ethnic groups, some of whom seek to preserve their native languages and lifestyles. The United States is home to many people who were born in foreign countries and still maintain the cultural practices of their homelands.
Multiculturalism has been embraced by many Americans, and it has been promoted formally by institutions. Elementary and secondary schools have adopted curricula to foster understanding of cultural diversity by exposing students to the customs and traditions of racial and ethnic groups. As a result, young people today are more tolerant of diversity in society than any prior generation has been. Government agencies advocate tolerance for diversity by sponsoring Hispanic and Asian American/Pacific Islander heritage weeks. The US Postal Service has introduced stamps depicting prominent Americans from diverse backgrounds.
Figure 6.6
Americans celebrate their multicultural heritage by maintaining traditions associated with their homelands.
Source: http://commons.wikimedia.org/wiki/File:US_Navy_061121-N-6159N-001_USS_John_F ._Kennedy_%28CV_67%29_Command_Master _Chief,_Carl_L._Dassance_pounds_on_a_ceremonial _drum_during_the_Native_American_and_Alaskan_Heritage _celebration.jpg.
Despite these trends, America’s multiculturalism has been a source of societal tension. Support for the melting pot assumptions about racial and ethnic assimilation still exists. James Davidson Hunter and Carl Bowman, The State of Disunion (Charlottesville, VA: In Media Res Education Foundation, 1996). Some Americans believe that too much effort and expense is directed at maintaining separate racial and ethnic practices, such as bilingual education. Conflict can arise when people feel that society has gone too far in accommodating multiculturalism in areas such as employment programs that encourage hiring people from varied racial and ethnic backgrounds. Pew Research Center for the People and the Press, Retro-Politics: The Political Typology (Washington, DC: Pew Research Center, November 11, 1999).
Enduring Images
The 9/11 Firefighters’ Statue
On 9/11 Thomas E. Franklin, a photographer for Bergen County, New Jersey’s Record, photographed three firefighters, Billy Eisengrein, George Johnson, and Dan McWilliams, raising a flag amid the smoldering rubble of the World Trade Center. Labeled by the press “the photo seen ‘round the world,” his image came to symbolize the strength, resilience, and heroism of Americans in the face of a direct attack on their homeland.
Developer Bruce Ratner commissioned a nineteen-foot-tall, $180,000 bronze statue based on the photograph to stand in front of the New York City Fire Department (FDNY) headquarters in Brooklyn. When the statue prototype was unveiled, it revealed that the faces of two of the three white firefighters who had originally raised the flag had been replaced with those of black and Hispanic firefighters. Ratner and the artist who designed the statue claimed that the modification of the original image represented an effort to promote America’s multicultural heritage and tolerance for diversity. The change had been authorized by the FDNY leadership. Rod Dreher, “The Bravest Speak,” National Review Online, January 16, 2002.
The modification of the famous photo raised the issue of whether it is valid to alter historical fact in order to promote a cultural value. A heated controversy broke out over the statue. Supporters of the change believed that the statue was designed to honor all firefighters, and that representing their diverse racial and ethnic backgrounds was warranted. Black and Hispanic firefighters were among the 343 who had lost their lives at the World Trade Center. Kevin James of the Vulcan Society, which represents black firefighters, defended the decision by stating, “The symbolism is far more important than representing the actual people. I think the artistic expression of diversity would supersede any concern over factual correctness.” “Ground Zero Statue Criticized for ‘Political Correctness,’” CNN, January 12, 2002, http//www.cnn.com.
Opponents claimed that since the statue was not meant to be a tribute to firefighters, but rather a depiction of an actual event, the representation needed to be historically accurate. They drew a parallel to the famous 1945 Associated Press photograph of six Marines raising the flag on Iwo Jima during World War II and the historically precise memorial that was erected in Arlington, Virginia. Opponents also felt that it was wrong to politicize the statue by making it part of a dialogue on race. The proposed statue promoted an image of diversity within the FDNY that did not mirror reality. Of the FDNY’s 11,495 firefighters, 2.7 percent are black and 3.2 percent are Latino, percentages well below the percentage these groups represent in the overall population.
Some people suggested a compromise—two statues. They proposed that the statue based on the Franklin photo should reflect historical reality; a second statue, celebrating multiculturalism, should be erected in front of another FDNY station and include depictions of rescue workers of diverse backgrounds at the World Trade Center site. Plans for any type of statue were abandoned as a result of the controversy.
The iconic photograph of 9/11 firefighters raising a flag near the rubble of the World Trade Center plaza is immortalized in a US postage stamp. Thomas Franklin, the veteran reporter who took the photo, said that the image reminded him of the famous Associated Press image of Marines raising the American flag on Iwo Jima during World War II.
Source: Used with permission from Getty Images.
Key Takeaways
Political culture is defined by the ideologies, values, beliefs, norms, customs, traditions, and heroes characteristic of a nation. People living in a particular political culture share views about the nature and operation of government. Political culture changes over time in response to dramatic events, such as war, economic collapse, or radical technological developments. The core American values of democracy and capitalism are vested in the American creed. American exceptionalism is the idea that the country has a special place in the world because of the circumstances surrounding its founding and the settling of a vast frontier.
Rituals, traditions, and symbols bond people to their culture and can stimulate national pride. Folklore consists of stories about a nation’s leaders and heroes; often embellished, these stories highlight the character traits that are desirable in a nation’s citizens. Heroes are important for defining a nation’s political culture.
America has numerous subcultures based on geographic region; demographic, personal, and social characteristics; religious affiliation, and artistic inclinations. America’s unique multicultural heritage is vested in the various racial and ethnic groups who have settled in the country, but conflicts can arise when subgroups compete for societal resources.
Exercises
What do you think the American flag represents? Would it bother you to see someone burn an American flag? Why or why not?
What distinction does the text make between beliefs and values? Are there things that you believe in principle should be done that you might be uncomfortable with in practice? What are they?
Do you agree that America is uniquely suited to foster freedom and equality? Why or why not?
What characteristics make you think of someone as particularly American? Does race or cultural background play a role in whether you think of a person as American?
6.2 Political Socialization
Learning Objectives
After reading this section, you should be able to answer the following questions:
How do people develop an understanding of their political culture?
What is political socialization, and why is it important?
What constitutes a political generation?
This section will define what is meant by political socialization and detail how the process of political socialization occurs in the United States. It will outline the stages of political learning across an individual’s life course. The agents that are responsible for political socialization, such as the family and the media, and the types of information and orientations they convey will be discussed. Group differences in political socialization will be examined. Finally, the section will address the ways that political generations develop through the political socialization process.
What Is Political Socialization?
People are inducted into the political culture of their nation through the political socialization process. Fred I. Greenstein, Children and Politics (New Haven, CT: Yale University Press, 1969). Most often older members of society teach younger members the rules and norms of political life. However, young people can and do actively promote their own political learning, and they can influence adults’ political behavior as well. Michael McDevitt and Steven Chaffee, “From Top-Down to Trickle-Up Influence: Revisiting the Assumptions about the Family in Political Socialization,” Political Communication, November 2002, 281–301.
Political scientists Gabriel Almond and James Coleman once observed that we “do not inherit our political behavior, attitudes, values, and knowledge through our genes.” Gabriel A. Almond and James S. Coleman, eds., The Politics of the Developing Areas (Princeton, NJ: Princeton University Press, 1960), 27. Instead, we come to understand our role and to “fit in” to our political culture through the political learning process. Pamela Johnston Conover, “Political Socialization: Where’s the Politics?” in Political Science: Looking to the Future, Volume III, Political Behavior, ed. William Crotty (Evanston, IL: Northwestern University Press, 1991), 125–152. Political learning
Active and passive, formal and informal ways in which people mature politically.
is a broad concept that encompasses both the active and passive and the formal and informal ways in which people mature politically. Carole L. Hahn, Becoming Political (Albany: State University of New York Press, 1998). Individuals develop a political self
Sense of personal identification with the political world, which includes belonging to a community and knowledge of the shared beliefs and values of the members of that community.
, a sense of personal identification with the political world. Developing a political self begins when children start to feel that they are part of a political community. They acquire the knowledge, beliefs, and values that help them comprehend government and politics. Richard E. Dawson and Kenneth Prewitt, Political Socialization (Boston: Little Brown and Company, 1969). The sense of being an American, which includes feeling that one belongs to a unique nation in which people share a belief in democratic ideals, is conveyed through the political learning process.
Political socialization
Process through which people develop the attitudes, values, beliefs, and opinions conducive to becoming good citizens in their country.
is a particular type of political learning whereby people develop the attitudes, values, beliefs, opinions, and behaviors that are conducive to becoming good citizens in their country. Socialization is largely a one-way process through which young people gain an understanding of the political world through their interaction with adults and the media. The process is represented by the following model: Fred I. Greenstein, Children and Politics (New Haven, CT: Yale University Press, 1969).
who (subjects) → learns what (political values, beliefs, attitudes, behaviors) → from whom (agents) → under what circumstances → with what effects.
Agents of socialization
Individuals and institutions, including family, school, peer group, and mass media, responsible for imparting political orientations through the socialization process.
, which include parents, teachers, and the mass media, convey orientations to subjects, who are mostly passive. For example, parents who take an active role in politics and vote in every election often influence their children to do the same. Young people who see television coverage of their peers volunteering in the community may take cues from these depictions and engage in community service themselves. The circumstances under which political socialization can take place are almost limitless. Young people can be socialized to politics through dinner conversations with family members, watching television and movies, participating in a Facebook group, or texting with friends. The effects of these experiences are highly variable, as people can accept, reject, or ignore political messages.
People develop attitudes toward the political system through the socialization process. Political legitimacy
Having faith in the integrity of the political system and processes.
is a belief in the integrity of the political system and processes, such as elections. People who believe strongly in the legitimacy of the political system have confidence that political institutions will be responsive to the wants and needs of citizens and that abuses of governmental power will be held in check. If political leaders engage in questionable behavior, there are mechanisms to hold them accountable. The presidential impeachment process and congressional ethics hearings are two such mechanisms.
Political efficacy
Individuals’ feeling that they can or cannot personally influence government and politics.
refers to individuals’ perceptions about whether or not they can influence the political process. People who have a strong sense of political efficacy feel that they have the skills and resources to participate effectively in politics and that the government will be responsive to their efforts. Those who believe in the legitimacy of the political system and are highly efficacious are more likely to participate in politics and to take strong stands on public-policy issues. Stephen C. Craig, Malevolent Leaders (Boulder, CO: Westview, 1993). Citizens who were frustrated about the poor state of the economy and who felt they could influence the political process identified with the Tea Party in the 2010 election and worked to elect candidates who promised to deal with their concerns.
Much political socialization in the United States passes on norms, customs, beliefs, and values supportive of democracy from one generation to the next. Americans are taught to respect the democratic and capitalist values imbedded in the American creed. Young people are socialized to respect authorities, such as parents, teachers, police officers, and fire fighters, and to obey laws.
The goal of this type of socialization is deliberately intended to ensure that the democratic political system survives even in times of political stress, such as economic crisis or war. Jack Dennis, David Easton, and Sylvia Easton, Children in the Political System (New York: McGraw-Hill, 1969). One indicator of a stable political system is that elections take place regularly following established procedures and that people recognize the outcomes as legitimate. Jack Dennis, David Easton, and Sylvia Easton, Children in the Political System (New York: McGraw-Hill, 1969). Most Americans quickly accepted George W. Bush as president when the 2000 election deadlock ended with the Supreme Court decision that stopped the recounting of disputed votes in Florida. The country did not experience violent protests after the decision was announced, but instead moved on with politics as usual. Pamela Johnston Conover, “Political Socialization: Where’s the Politics?” in Political Science: Looking to the Future, Volume III, Political Behavior, ed. William Crotty (Evanston, IL: Northwestern University Press, 1991), 125–152.
Video Clip
2000 Presidential Election Bush vs. Gore
(click to see video)
This citizen-produced video shows peaceful protestors outside of the Supreme Court as the case of Bush v. Gore was being considered to decide the outcome of the 2000 presidential election.
Some scholars argue that political socialization is akin to indoctrination
Process of instructing people to conform to particular doctrines, principles, and ideologies.
, as it forces people to conform to the status quo and inhibits freedom and creativity. Charles E. Lindblom, “Another Sate of Mind,” in Discipline and History, ed. James Farr and Raymond Seidelman (Ann Arbor: University of Michigan Press, 1993), 327–43. However, socialization is not always aimed at supporting democratic political orientations or institutions. Some groups socialize their members to values and attitudes that are wildly at odds with the status quo. The Latin Kings, one of the largest and oldest street gangs in the United States, has its own constitution and formal governing structure. Leaders socialize members to follow gang rules that emphasize an “all for one” mentality; this includes strict internal discipline that calls for physical assault against or death to members who violate the rules. It also calls for violent retribution against rival gang members for actions such as trafficking drugs in the Kings’s territory. The Kings have their own sign language, symbols (a five-point crown and tear drop), colors (black and gold), and holidays (January 6, “King’s Holy Day”) that bond members to the gang. Felix Padilla, The Gang as American Enterprise (New Brunswick, NJ: Rutgers University Press, 1992).
Political Socialization over the Life Course
Political learning begins early in childhood and continues over a person’s lifetime. The development of a political self begins when children realize that they belong to a particular town and eventually that they are Americans. Awareness of politics as a distinct realm of experience begins to develop in the preschool years. Jack Dennis, David Easton, and Sylvia Easton, Children in the Political System (New York: McGraw-Hill, 1969).
Younger children tend to personalize government. The first political objects recognized by children are the president of the United States and the police officer. Children tend to idealize political figures, although young people today have a less positive view of political actors than in the past. This trend is partially a result of the media’s preoccupations with personal scandals surrounding politicians.
Young people often have warm feelings toward the political system. Children can develop patriotic values through school rituals, such as singing the “Star Spangled Banner” at the start of each day. As children mature, they become increasingly sophisticated in their perceptions about their place in the political world and their potential for involvement: they learn to relate abstract concepts that they read about in textbooks like this one to real-world actions, and they start to associate the requirements of democracy and majority rule with the need to vote when they reach the age of twenty-one.
Figure 6.7
Young people who participate in community service projects can develop a long-term commitment to volunteering and political participation.
© Thinkstock
People are the most politically impressionable during the period from their midteens through their midtwenties, when their views are not set and they are open to new experiences. College allows students to encounter people with diverse views and provides opportunities for political engagement. Richard G. Niemi and Mary A. Hepburn, “The Rebirth of Political Socialization,” Perspectives on Political Science, 24 (1995): 7–16. Young people may join a cause because it hits close to home. After the media publicized the case of a student who committed suicide after his roommate allegedly posted highly personal videos of him on the Internet, students around the country became involved in antibullying initiatives. Virginia Sapiro, The Political Integration of Women (Urbana: University of Illinois Press, 1983).
Significant events in adults’ lives can radically alter their political perspectives, especially as they take on new roles, such as worker, spouse, parent, homeowner, and retiree. Janie S. Steckenrider and Neal E. Cutler, “Aging and Adult Political Socialization,” in Political Learning in Adulthood, ed. Roberta S. Sigel (Chicago: University of Chicago Press, 1988), 56–88. This type of transition is illustrated by 1960s student protestors against the Vietnam War. Protestors held views different from their peers; they were less trusting of government officials but more efficacious in that they believed they could change the political system. However, the political views of some of the most strident activists changed after they entered the job market and started families. Some became government officials, lawyers, and business executives—the very types of people they had opposed when they were younger. Paul Lyons, Class of ‘66 (Philadelphia: Temple University Press, 1994).
Figure 6.8
Student activists in the 1960s protested against US involvement in the Vietnam War. Some activists developed more favorable attitudes toward government as they matured, had families, and became homeowners.
Source: Photo courtesy of UW Digital Collections http://commons.wikimedia.org/wiki/File:Student_Vietnam_War_protesters.JPG.
Even people who have been politically inactive their entire lives can become motivated to participate as senior citizens. They may find themselves in need of health care and other benefits, and they have more time for involvement. Organizations such as the Gray Panthers provide a pathway for senior citizens to get involved in politics. Anne Daugherty Miles, “A Multidimensional Approach to Distinguishing between the Most and Least Politically Engaged Senior Citizens, Using Socialization and Participation Variables” (PhD diss., Georgetown University, 1997).
Agents of Political Socialization
People develop their political values, beliefs, and orientations through interactions with agents of socialization. Agents include parents, teachers, friends, coworkers, military colleagues, church associates, club members, sports-team competitors, and media. Richard E. Dawson and Kenneth Prewitt, Political Socialization (Boston: Little, Brown, 1969). The political socialization process in the United States is mostly haphazard, informal, and random. There is no standard set of practices for parents or teachers to follow when passing on the rites of politics to future generations. Instead, vague ideals—such as the textbook concept of the “model citizen,” who keeps politically informed, votes, and obeys the law—serve as unofficial guides for socializing agencies. Kenneth P. Langton, Political Socialization (New York: Oxford, 1969); Michael P. Riccards, The Making of American Citizenry (New York: Chandler Press, 1973).
Agents can convey knowledge and understanding of the political world and explain how it works. They can influence people’s attitudes about political actors and institutions. They also can show people how to get involved in politics and community work. No single agent is responsible for an individual’s entire political learning experience. That experience is the culmination of interactions with a variety of agents. Parents and teachers may work together to encourage students to take part in service learning projects. Agents also may come into conflict and provide vastly different messages.
We focus here on four agents that are important to the socialization process—the family, the school, the peer group, and the media. There are reasons why each of these agents is considered influential for political socialization; there are also factors that limit their effectiveness.
Family
Over forty years ago, pioneering political-socialization researcher Herbert Hyman proclaimed that “foremost among agencies of socialization into politics is the family.” Herbert Hyman, Political Socialization (Glencoe, IL: Free Press, 1959), 69. Hyman had good reason for making this assumption. The family has the primary responsibility for nurturing individuals and meeting basic needs, such as food and shelter, during their formative years. A hierarchical power structure exists within many families that stresses parental authority and obedience to the rules that parents establish. The strong emotional relationships that exist between family members may compel children to adopt behaviors and attitudes that will please their parents or, conversely, to rebel against them.
Parents can teach their children about government institutions, political leaders, and current issues, but this rarely happens. They can influence the development of political values and ideas, such as respect for political symbols or belief in a particular cause. The family as an agent of political socialization is most successful in passing on basic political identities, especially an affiliation with the Republican or Democratic Parties and liberal or conservative ideological leanings. Jack Dennis and Diana Owen, “The Partisanship Puzzle: Identification and Attitudes of Generation X,” in After the Boom, ed. Stephen C. Craig and Stephen Earl Bennet (Lanham, MD: Rowman & Littlefield, 1997), 43–62.
Children can learn by example when parents act as role models. Young people who observe their parents reading the newspaper and following political news on television may adopt the habit of keeping informed. Adolescents who accompany parents when they attend public meetings, circulate petitions, or engage in other political activities stand a better chance of becoming politically engaged adults. Richard M. Merelman, Making Something of Ourselves (Berkeley: University of California Press, 1986). Children can sometimes socialize their parents to become active in politics; participants in the Kids Voting USA program have encouraged their parents to discuss campaign issues and take them to the polls on Election Day.
The home environment can either support or discourage young people’s involvement in political affairs. Children whose parents discuss politics frequently and encourage the expression of strong opinions, even if it means challenging others, are likely to become politically active adults. Young people raised in this type of family will often initiate political discussion and encourage parents to become involved. Alternatively, young people from homes where political conversations are rare, and airing controversial viewpoints is discouraged, tend to abstain from politics as adults. M. N. Saphir and Steven H. Chaffee, “Adolescents’ Contribution to Family Communication Patterns,” Human Communication Research 28, no. 1 (2002): 86–108. Politics was a central focus of family life for the Kennedys, a family that has produced generations of activists, including President John F. Kennedy and Senator Ted Kennedy.
Figure 6.9
Members of the Kennedy family have been prominently involved in politics for over a century, illustrating how the desire to participate in politics is passed on generationally.
Source: http://commons.wikimedia.org/wiki/File:John_F._Kennedy_Inaugural_Ball,_20_January_1961.jpg.
There are limitations on the effectiveness of the family as an agent of political learning and socialization. Most families are not like the Kennedys. For many families, politics is not a priority, as they are more concerned with issues related to day-to-day life. Few parents serve as political role models for their children. Many activities, such as voting or attending town meetings, take place outside of the home. Richard M. Merelman, “The Family and Political Socialization: Toward a Theory of Exchange,” Journal of Politics, 42:461–86.
School
Some scholars consider the school, rather than the family, to be the most influential agent of political socialization. Robert Hess and Judith Torney, The Development of Political Attitudes in Children (Chicago: Aldine, 1967). Schools can stimulate political learning through formal classroom instruction via civics and history classes, the enactment of ceremonies and rituals such as the flag salute, and extracurricular activities such as student government. Respect for authorities is emphasized, as teachers have the ability to reward and punish students through grades.
The most important task of schools as agents of political socialization is the passing on of knowledge about the fundamentals of American government, such as constitutional principles and their implications for citizens’ engagement in politics. Students who master these fundamentals feel competent to participate politically. They are likely to develop the habit of following politics in the media and to become active in community affairs. Norman H. Nie, Jane Junn, and Kenneth Stehlik-Barry, Education and Democratic Citizenship in America (Chicago: University of Chicago Press, 1996).
The college classroom can be an environment for socializing young people to politics. Faculty and student exchanges can form, reinforce, or change evaluations of politics and government. A famous study of women students who attended Bennington College
Longitudinal study of women who attended Bennington College during the Great Depression of the 1930s and were politically socialized by their teachers and student colleagues.
during the Great Depression of the 1930s illustrates how the college experience can create long-lasting political attitudes. The Bennington women came predominantly from wealthy families with conservative values. The faculty consisted of political progressives who supported the New Deal and other social programs. About one-third of the Bennington women adopted the progressive ideals of their teachers. Many of these women remained active in politics their entire lives. A number became leaders of the women’s rights movement. Duane F. Alwin, Ronald L. Cohen, and Theodore M. Newcomb, Political Attitudes Over the Life Span (Madison: University of Wisconsin Press, 1991).
Figure 6.10
Women at Bennington College in the 1930s became active in community affairs as a result of their political socialization in college.
Source: Courtesy of Bennington College. Left photo by C.G. Scofield. Right photo by Rotzel.
While schools have great potential as agents of political socialization, they are not always successful in teaching even basic facts about government to students. Schools devote far less time to civics and history than to other subjects that are considered to be basic skills, such as reading and math. The average amount of classroom time spent on civics-related topics is less than forty-five minutes per week nationwide, although this figure varies widely based on the school. Students whose exposure to civics is exclusively through lectures and readings generally memorize facts about government for tests but do not remember them or make connections to real-world politics. The most effective civic education programs engage students in activities that prepare them for the real world of politics, such as mock elections and legislative hearings. Richard G. Niemi and Jane Junn, Civic Education (New Haven, CT: Yale University Press, 1998).
Peer Group
Peers (a group of people who are linked by common interests, equal social position, and similar age) can be influential in the political socialization process. Young people desire approval and are likely to adopt the attitudes, viewpoints, and behavior patterns of groups to which they belong. Unlike the family and school, which are structured hierarchically with adults exercising authority, the peer group provides a forum for youth to interact with people who are at similar levels of maturity. Peers provide role models for people who are trying to fit in or become popular in a social setting. Lawrence J. Walker, Karl H. Hennig, and Tobias Krettenauer, “Parent and Peer Contexts for Children’s Moral Reasoning Development,” Child Development 71, no. 4 (August 2000): 1033–48.
Peer-group influence begins when children reach school age and spend less time at home. Middle-childhood (elementary school) friendships are largely segregated by sex and age, as groups of boys and girls will engage in social activities such as eating together in the lunchroom or going to the mall. Such interactions reinforce sex-role distinctions, including those with political relevance, such as the perception that males are more suited to hold positions of authority. Peer relationships change later in childhood, adolescence, and young adulthood, when groups are more often based on athletic, social, academic, and job-related interests and abilities. Judith Rich Harris, “Where Is the Child’s Environment? A Group Socialization Theory of Development,” Psychological Review 102, no. 3 (1995): 458–89.
The pressure to conform to group norms can have a powerful impact on young people’s political development if group members are engaged in activities directly related to politics, such as student government or working on a candidate’s campaign. Young people even will change their political viewpoints to conform to those held by the most vocal members of their peer group rather than face being ostracized. Still, individuals often gravitate toward groups that hold beliefs and values similar to their own in order to minimize conflict and reinforce their personal views. Eric L. Dey, “Undergraduate Political Attitudes,” Journal of Higher Education, 68 (1997): 398–413. As in the case of families, the influence of peer groups is mitigated by the fact that politics is not a high priority for most of them.
Media
As early as the 1930s, political scientist Charles Merriam observed that radio and film had tremendous power to educate: “Millions of persons are reached daily through these agencies, and are profoundly influenced by the material and interpretations presented in impressive form, incessantly, and in moments when they are open to suggestion.” Charles Edward Merriam, The Making of Citizens (Chicago: University of Chicago Press, 1931), 160–61. The capacity of mass media to socialize people to politics has grown massively as the number of media outlets has increased and as new technologies allow for more interactive media experiences. Most people’s political experiences occur vicariously through the media because they do not have personal access to government or politicians.
Since the advent of television, mass media have become prominent socialization agents. Young people’s exposure to mass media has increased markedly since the 1960s. Studies indicate that the typical American aged two to eighteen spends almost forty hours a week consuming mass media, which is roughly the equivalent of holding a full-time job. In one-third of homes, the television is on all day. Young people’s mass-media experiences often occur in isolation. They spend much of their time watching television, using a computer or cell phone, playing video games, or listening to music alone. Personal contact with family members, teachers, and friends has declined. More than 60 percent of people under the age of twenty have televisions in their bedrooms, which are multimedia sanctuaries. Kaiser Family Foundation, The Media Family (Menlo Park, CA: Kaiser Family Foundation, 2006).
The use of more personalized forms of media, such as text messaging and participation in social networking sites, has expanded exponentially in recent years. Young people using these forms of media have greater control over their own political socialization: they can choose to follow politics through a Facebook group that consists largely of close friends and associates with similar viewpoints, or they may decide to avoid political material altogether. Young people, even those who have not reached voting age, can become involved in election campaigns by using social media to contribute their own commentary and videos online.
Media are rich sources of information about government, politics, and current affairs. People learn about politics through news presented on television, in newspapers and magazines, on radio programs, on Internet websites, and through social media. The press provides insights into the workings of government by showcasing political leaders in action, such as gavel-to-gavel coverage of Congress on C-SPAN. People can witness politicians in action, including on the campaign trail, through videos posted on YouTube and on online news sites such as CNN and MSNBC. Entertainment media, including television comedies and dramas, music, film, and video games also contain much political content. Television programs such as The West Wing and Law and Order offer viewers accounts of how government functions that, although fictionalized, can appear realistic. Media also establish linkages between leaders, institutions, and citizens. In contrast to typing and mailing a letter, it is easier than ever for people to contact leaders directly using e-mail and Facebook.
Some factors work against the media as agents of political socialization. Media are first and foremost profit-driven entities that are not mandated to be civic educators; they balance their public service imperative against the desire to make money. Moreover, unlike teachers, journalists do not have formal training in how to educate citizens about government and politics; as a result, the news often can be more sensational than informative.
Group Differences
Political learning and socialization experiences can differ vastly for people depending on the groups with which they associate, such as those based on gender and racial and ethnic background. Certain groups are socialized to a more active role in politics, while others are marginalized. Wealthier people may have more resources for participating in politics, such as money and connections, than poorer people.
Figure 6.11
Secretary of State Hillary Clinton is one of an increasing number of women who has achieved a highly visible political leadership role.
Source: http://commons.wikimedia.org/wiki/File:Secretary_of_State_Hillary_Rodham_Clinton.jpg.
There are significant differences in the way that males and females are socialized to politics. Historically, men have occupied a more central position in American political culture than women. This tradition was institutionalized at the time of the founding, when women did not receive the right to vote in the Constitution. While strides have been made over the past century to achieve political equality between the sexes, differences in sex-role socialization still exist. Traits associated with political leadership, such as being powerful and showing authority, are more often associated with males than females. Girls have fewer opportunities to observe women taking political action, especially as few females hold the highly visible positions, such as member of Congress and cabinet secretary, that are covered by mass media. This is starting to change as women such as Madeleine Albright and now Hillary Clinton attract media attention in their roles as secretary of state or as Nancy Pelosi did as Speaker of the House of Representatives. Sarah Palin gained national attention as Republican John McCain’s vice presidential running mate in 2008, and she has become a visible and outspoken political figure in her own right. Despite these developments, women are still are socialized to supporting political roles, such as volunteering in political campaigns, rather than leading roles, such as holding higher-level elected office. The result is that fewer women than men seek careers in public office beyond the local level. Virginia Sapiro, Women in American Society (New York: Mayfair Publishing, 2002).
Political Generations
A political generation
Group of individuals similar in age who share a general set of socialization experiences that leads to the development of shared political orientations that distinguish them from other age cohorts.
is a group of individuals, similar in age, who share a general set of political socialization experiences leading to the development of shared political orientations that distinguish them from other age groups in society. People of a similar age tend to be exposed to shared historical, social, and political stimuli. A shared generational outlook develops when an age group experiences a decisive political event in its impressionable years
Period from late adolescence to early adulthood when people begin to think more seriously about politics and can take part in meaningful ways, such as by voting.
—the period from late adolescence to early adulthood when people approach or attain voting age—and begins to think more seriously about politics. At the same time, younger people have less clearly defined political beliefs, which makes them more likely to be influenced by key societal events. Michael X. Delli Carpini, Stability and Change in American Politics (New York: New York University Press, 1986).
The idea of American political generations dates back to the founding fathers. Thomas Jefferson believed that new generations would emerge in response to changing social and political conditions and that this would, in turn, influence public policy. Today people can be described as being part of the Depression Era/GI generation, the silent generation, the baby boom generation, generation X, and the millennial generation/generation Y. Depression Era/GIs, born between 1900 and 1924, were heavily influenced by World War I and the Great Depression. They tend to trust government to solve programs because they perceived that Franklin Delano Roosevelt’s New Deal programs helped the country recover from the Depression. The silent generation, born between 1922 and 1945, experienced World War II and the 1950s during their impressionable years. Like their predecessors, they believe that government can get things done, but they are less trusting of leaders. The Vietnam War and the civil rights and women’s rights movements left lasting impressions on the baby boomers, who were born between 1943 and 1960. The largest of the generations, this cohort protested against the government establishment in its youth and still distrusts government. Generation Xers, born between 1965 and 1980, came of age during a period without a major war or economic hardship. The seminal events they relate to are the explosion of the Challenger spacecraft and the Iran-Contra hearings. This generation developed a reputation for lacking both knowledge and interest in politics. William Strauss and Neil Howe, Generations (New York: William Morrow, 1992). The political development of the millennials, those born between 1981 and 2000, is influenced by the terrorist attacks of 9/11 and its aftermath, as well as by the rise of digital technologies. This generation is more multicultural and has more tolerance for racial and ethnic difference than older cohorts. Sociologists William Strauss and Neil Howe have identified an emerging cohort born after 2000, which they label the homeland generation. This generation is influenced by omnipresent technology, the war on terror, and parents who seek to protect them from societal ills. William Strauss and Neil Howe, Millennials Rising (New York: Random House, 2000).
Conflicts between generations have existed for centuries. Thomas Jefferson observed significant differences in the political worldviews of younger and older people in the early days of the republic. Younger government leaders were more willing to adapt to changing conditions and to experiment with new ideas than older officials. Daniel J. Elazar, The Generational Rhythm of American Politics (Philadelphia: Temple University, Center for the Study of Federalism, 1976). Today generation Xers and the millennials have been portrayed as self-interested and lacking social responsibility by their elders from the baby boom generation. Generational conflicts of different periods have been depicted in landmark films including the 1950s-era Rebel without a Cause and the 1960s-era Easy Rider. Generation X has been portrayed in films such as Slacker, The Breakfast Club, and Reality Bites. Movies about the millennial generation include Easy A and The Social Network.
Key Takeaways
Political socialization is the process by which people learn about their government and acquire the beliefs, attitudes, values, and behaviors associated with good citizenship. The political socialization process in the United States stresses the teaching of democratic and capitalist values. Agents, including parents, teachers, friends, coworkers, church associates, club members, sports teams, mass media, and popular culture, pass on political orientations.
Political socialization differs over the life course. Young children develop a basic sense of identification with a country. College students can form opinions based on their experiences working for a cause. Older people can become active because they see a need to influence public policy that will affect their lives. There are subgroup differences in political socialization. Certain groups, such citizens with higher levels of education and income, are socialized to take an active part in politics, while others are marginalized.
Political generations consist of individuals similar in age who develop a unique worldview as a result of living through particular political experiences. These key events include war and economic depression.
Exercises
Do you believe you have the power to make an impact on the political process?
What is the first political event you were aware of? What did you think about what was going on? Who influenced how you thought about it?
How do members of your political generation feel about the government? How do your attitudes differ from those of your parents?
6.3 Political Culture and Socialization in the Information Age
Learning Objectives
After reading this section, you should be able to answer the following questions:
How do people’s interactions with media contribute to their political socialization?
How do media depict political socialization in the news and on entertainment channels?
New media are becoming important agents of political socialization because they host a great deal of political content and require the active engagement of users. Both news media and entertainment media provide depictions that influence political socialization, such as models of government leaders and citizen action.
Media Interactions
People’s interactions with media are increasingly important to the process of political socialization. The explosion in communication technologies has resulted in people communicating less via face-to-face interactions with family members and peers and more through technological intermediaries, such as the Internet, cell phones, and personal digital devices. Even teachers find it increasingly difficult to compete with the communications technologies that command their students’ attention.
The Internet is a potentially powerful agent of political socialization because of the vast amount of political information available online and the fact that people actively engage with online platforms. Not only do people get information about government from news sites and blogs, they can post responses to stories and debate others through discussion forums. They also can use online media to actively take part in political processes, such as election campaigns.
Young people, in particular, use the Internet to learn about and participate in politics, although older people are going online for politics at an increasing rate. Evidence suggests that young people are developing their political identities online as they learn about the differences between candidates and political parties and acquire information about issues and political events. They use social media to create collaborative online communities that organize for political causes, lobby government, and campaign for candidates. All of these activities contribute to the socialization of engaged citizens.
Media Depictions
Depictions of socialization and learning experiences abound in media. News and entertainment media are especially powerful as they provide depictions that embody the beliefs and values that make up American political culture. Core American values are crucial elements of a “good story,” as they resonate with the public. Both egalitarianism and individualism are celebrated in stories in which lone, ordinary people are able to defeat powerful economic and political forces aligned against them.
News Media
News media provide frequent depictions of political role models, including government leaders and citizens who are actively involved in community affairs. Politicians are often portrayed negatively, which can cause people to distrust leaders and lose faith in government. A prominent media frame portrays political leaders as constantly at odds and unable to reach civil agreement or compromise. This media frame is reinforced during elections when candidates attack their opponents unrelentingly in their stump speeches and ads.
Entertainment Media
Entertainment media provide depictions of core American values central to the political socialization process. Individualism is portrayed frequently in television dramas and comedies that tell stories of average citizens taking on the political and economic systems. Politicians can use entertainment media to convey an image of themselves embodying American values. Former Alaska governor Sarah Palin has cultivated an image of rugged individualism and self-reliance. She reinforced this image through the reality television program Sarah Palin’s Alaska.
Depictions can take the form of fictional dramas, such as Friday Night Lights ’ portrayal of family life and the politics of sports in rural Texas, and sitcoms, or the offbeat view of parent-child relationships shown in Modern Family. Reality television programs such as Kate Plus 8 and Keeping Up with the Kardashians offer insights into family socialization that can invite commentary and criticism from viewers.
Children’s literature and movies feature many stoic, individualist characters. The classic film The Wizard of Oz (1939) has been called a tale of self-reliance. Dorothy, dropped from Kansas into Oz by a tornado, is advised that, to be able to return home, she should go to the Emerald City and appeal to the superior power, the Wizard of Oz. On the way there, she meets up with a Scarecrow desiring a brain, a Tin Man in search of a heart, and a Cowardly Lion in need of courage. The four meet a fearsome Wizard who orders them to bring back the broom of the Wicked Witch of the West. After a series of adventures, they return victorious to the Emerald City, only to find that the Wizard is nothing but a small man behind a curtain who has created an illusion of the “great and powerful Oz.” It turns out, he explains, that he was merely a lost itinerant balloonist who, upon descending from the clouds, was declared a Wizard by the credulous people. Dorothy and her friends learn that they each had the power they sought all along.
Teachers seeking to instill democratic and character values in their students have capitalized on the popularity of Harry Potter, the protagonist wizard in J. K. Rowling’s popular books. Harry has become a hero to children (and adults) who have read about his exploits. He embodies values of individualism and bravery tempered with humility. Young people can relate to Harry because in the world of the Muggles (those without magical powers), he is average and imperfect. Even among the wizards, he is not the smartest or the most talented. Yet he is able to handle extraordinary situations with bravery and skill. Harry’s heroism provides a civics lesson for readers because it illustrates the balance between the democratic values of individualism and egalitarianism. While Harry realizes that his magic powers give him the ability to distinguish himself, he chooses to include others—Hermione Granger, Ron and Ginny Weasley, and Neville Longbottom—as he fights against evil. Further, Harry does not seek public recognition for his acts of heroism. Jeffrey A. Becker, “Heroism and the Political Morality of Democracy in Harry Potter,” paper delivered at the Annual Meeting of the American Political Science Association, Boston, MA, August 29–September 1, 2002.
MTV’s series The Real World, which first aired in 1991, provides an intriguing look at the socialization experiences of groups of twentysomething strangers who live together for a year. The program provides insights into the effects of peers on the development of the housemates’ attitudes and behaviors. In the course of learning to adapt to new surroundings, live as a group, and find jobs, cast members deal with political issues. The San Francisco season attracted national media attention because it featured the house members grappling with the issue of HIV/AIDS when roommate Pedro, who worked as an AIDS educator and counselor, tested positive for the disease. Depictions related to subgroup relations and multiculturalism abound on The Real World. Cast members come from a variety of racial and ethnic backgrounds, which is a source of tension in the house. Almost every season involves a black male who stereotypically is alienated and confrontational. Most of the time, this character is shown talking about the societal injustices he suffers and picking fights with other house members. These confrontations force cast members to take sides and voice their opinions about race.
Media Consequences
Parents and educators express concerns that socialization of young people via mass media contributes to a citizenry that is alienated from politics and distrusts government. Many of the media messages young people receive about politics are negative. They spend little time discussing these messages with other people or discovering the ways in which they can actively engage the political world. Alternatively, young people today are exposed to much more political media content than any prior generation. This exposure can contribute to greater awareness of government and opportunities for civic action. Digital communication technologies offer people increased opportunities for taking part in politics via media, such as posting to a blog or participating in a “ tweetup
An online or offline meeting organized via the microblogging platform Twitter.
,” using the microblogging platform Twitter to inform people about a political event taking place online or offline.
Scandal Coverage
The influence of mass media on children’s attitudes toward leaders and government has become more negative over time, as media messages focus more on personal scandals and institutional dysfunction. For the most part, young children’s initial views of politics tend to be positive. Studies conducted in the 1960s showed that children idealized the president. They considered him a benevolent leader
A concept in which young children consider the president to be a personal friend who will do good things for the nation.
, someone who did good things for the country and would help a child personally. Even during the Watergate scandal of the 1970s, which involved a break-in at the Democratic National Committee headquarters and a cover-up by President Richard Nixon, children held strong, positive feelings about the office of the president. Children learned about President Nixon’s impeachment primarily from their parents and teachers, and not from the mass media. Media accounts focused on the political aspects of the Nixon impeachment, which went over the heads of most children. Many parents felt it was important to instill positive views of government in their children during this period of political upheaval.
The situation was much different in the 1990s when children learned about President Bill Clinton’s involvement with White House intern Monica Lewinsky, predominantly from nonstop, graphic television coverage that focused on Clinton’s personal life. Young children became disillusioned with President Clinton because they felt he had not told the truth. For the first time, children’s views of the sitting president, as well as their opinions about the institution of the presidency, were significantly more negative than those of their parents. Fewer children aspired to become president when they grew up. Diana Owen and Jack Dennis, “Kids and the Presidency: Assessing Clinton’s Legacy,” The Public Perspective 10, no. 3 (April–May 1999): 41–44.
Hollywood and Washington
The Payne Fund studies
Research conducted between 1929 and 1933 that demonstrated the influence of movies on young people’s attitudes about racial groups, war, and crime.
of motion pictures and youth, conducted between 1929 and 1933, provide early evidence that film can be a powerful agent of socialization. The studies found that people developed attitudes toward racial and ethnic groups, war, and crime based on their exposure to popular films. Audience members who saw the controversial film Birth of a Nation believed that blacks in the post–Civil War era were uncivilized and dangerous. Children who watched their favorite movie stars, such as James Cagney and Humphrey Bogart, playing criminals on screen imitated their behavior patterns by acting up in school. Garth Jowett, Ian C. Jarvic, and Kathy H. Fuller, Children and the Movies (New York: Cambridge, 1996).
Figure 6.12
Early research indicated that film could be an influential agent of political socialization. Negative attitudes toward African Americans were transmitted to audiences through the film Birth of a Nation.
Source: http://commons.wikimedia.org/wiki/File:Birth-of-a-nation-klan-and-black-man.jpg.
Recognizing that film has the power to impart political messages to the public, officials in Washington have forged connections with the filmmaking community in Hollywood. The Hollywood-Washington connection dates back to the 1930s when President Herbert Hoover befriended MGM mogul Louis B. Mayer, whose studio produced many of the most popular films of the era. President Franklin D. Roosevelt realized that films could influence public perceptions of the Great Depression and the United States’ involvement in World War II. Roosevelt encouraged filmmakers to make movies with optimistic messages that would generate support for government action. The defeatist ending of director John Ford’s Oscar-winning film The Grapes of Wrath (1940), based on the John Steinbeck novel, was changed to depict the Joad family persevering despite terrible hardship, due to their inner strength. In addition to prowar documentaries such as Frank Capra’s Why We Fight series, Roosevelt requested that studio heads make popular films in support of the war effort. Films such as Confessions of a Nazi Spy depicted Germany as a nation out to destroy the American Constitution and the Bill of Rights. Anti-German messages were delivered in popular series films such as Tarzan Triumphs (1943), in which Tarzan and Cheetah fight Nazis who parachute into their jungle paradise. Clayton R. Koppes and Gregory D. Black, Hollywood Goes to War (New York: Free Press, 1987).
Immediately following the 9/11 terrorist attacks, representatives of Hollywood’s major studios, television networks, trade organizations, and the creative community met with senior White House officials to discuss how the entertainment community could help in the war against terror by emphasizing that the 9/11 attacks were an affront to civilization. “Hollywood Considers Role in War Effort,” CNN, November 12, 2001, http://www.cnn.com. Hollywood sought to define its political role while at the same time protecting its future at the box office. The first inclination was to feature comedy and fantasy fare that would be uplifting and noncontroversial. Films featuring terrorist themes—such as the Jennifer Lopez vehicle Tick Tock, which is about terrorists planting bombs in Los Angeles shopping malls, and Nose Bleed, a Jackie Chan movie about a window washer who discovers a plan to blow up the World Trade Center—were shelved. Images of the Twin Towers were removed from films set for release, such as Spiderman. However, video rentals of films featuring dramatic action and terrorist plots increased by 30 percent in the months directly following the attacks, which gave Hollywood an indication that the public would be receptive to more violent offerings. “Commercial Response to September 11,” NewsHour Online, October 24, 2001, http://www.pbs.org/newshour. War films with a patriotic theme, such as Behind Enemy Lines and The Last Castle, proved to be highly popular, and coincidentally, reinforced the messages suggested by the White House delegation.
Key Takeaways
Mass media have become compelling agencies of political learning, as young people spend a tremendous amount of time being exposed to television, the Internet, video games, and other media rather than interacting with other people. Media messages about politics are often negative, which may lead young people to become alienated from the political process. Young people, in particular, may learn a good deal about politics from entertainment and popular media.
Exercises
Are there any fictional characters who seem heroic to you? What qualities make him or her seem heroic?
Where do you get most of your news about politics? Do you think that where you get your news might affect your views about politics? In what ways?
Civic Education
Young people often have difficulty seeing the relevance of civic education to their immediate lives. Programs tend to emphasize future participation such as voting in presidential elections, which is an activity that students cannot engage in until they reach the age of eighteen. However, innovative curriculum projects can stimulate students’ interest in elections through meaningful campaign-related activities.
Kids Voting USA is a program initiated in 1988 that allows grade school teachers to use a curriculum designed around an election campaign. Students become involved by researching issues and preparing position papers, constructing informational websites, writing articles for newspapers, and serving as reporters on local television stations. On Election Day, children accompany parents to the polls and cast ballots in a special election. Children who participate are often motivated to turn out at elections when they reach voting age. In addition, children’s participation in Kids Voting USA stimulates parents’ interest in the campaign and voter turnout. Young people initiate discussions at home that are associated with their school projects. This enthusiasm for elections continues for some families after the program’s completion, especially among families of lower socioeconomic status who previously had little incentive for participating in politics. Michael McDevitt and Steven H. Chaffee, “Second-Chance Political Socialization: ‘Trickle-Up’ Effects of Children on Parents,” in Engaging the Public, ed. Thomas J. Johnson, Carol E. Hays, and Scott P. Hays (Lanham, MD: Rowman & Littlefield, 1998), 57–66.
6.4 Recommended Reading
Calavita, Marco. Apprehending Politics. Albany: State University of New York Press, 2005. Looks at how the news media influences the political beliefs and behavior of generation X.
Campbell, David E. Why We Vote. Princeton, NJ: Princeton University Press, 2006. Examines the ways in which schools and communities socialize young people to politics.
Craig, Steven C., and Stephen Earl Bennet, eds. After the Boom. Lanham, MD: Rowman & Littlefield, 1997. Explores the socializing experiences and political orientations of generation X, people born between 1960 and 1980.
Delli Carpini, Michael X. Stability and Change in American Politics. New York: New York University Press, 1986. A study of the baby boom generation using a political socialization framework.
Elazar, Daniel J. The American Mosaic. Boulder, CO: Westview Press, 1994. Examines the geographical underpinnings of American political culture across generations.
Hunter, James Davison. Culture Wars. New York: Basic Books, 1991. Discusses how subgroups based on religious differences disagree on fundamental issues of American national identity.
Johnson, Thomas J., Carol E. Hays, and Scott P. Hays. Lanham, MD: Rowman & Littlefield, 1998. A collection of articles discussing how the mass media can contribute to the political socialization process and foster the development of democratic values and participation.
Kitwana, Bakari. The Hip-Hop Generation. New York: Basic Civitas Books, 2002. Discusses the socialization experiences of young black Americans who find their political voice in hip-hop music.
McClosky, Herbert, and John Zaller. The American Ethos. Cambridge, MA: Harvard University Press, 1984. Examines the nature of Americans’ commitment to democratic and capitalist values.
Niemi, Richard G., and Jane Junn. Civic Education. New Haven, CT: Yale University Press, 1998. Explores how schools succeed and fail in teaching civics.
Schmermund, Kathleen. Charles Gibson vs. Jon Stewart. New York: Lambert Academic Publishing, 2010. Compares political socialization of young people via traditional and fake news media.
Strauss, William, and Neil Howe. Generations. New York: William Morrow and Company, 1992. Provides an overview of American generations since the founding of America.
White, John Kenneth. The Values Divide. New York: Chatham House Publishers, 2003. An account of how changes in the demographic, racial, and ethnic makeup of the United States that have occurred since the 1950s have resulted in a fundamental shift in cultural values.
Youniss, James, and Miranda Yates. Community Service and Social Responsibility in Youth. Chicago: University of Chicago Press, 1997. A study of high school community service programs and how they work to promote future civic participation.
6.5 Recommended Viewing
42: Forty Two Up (1999). The sixth and final installment of Michael Apted’s unprecedented documentary film chronicling the lives of fourteen British men and women in seven-year intervals. The subjects represent a cross-section of British society, and their life stories depict a variety of socialization experiences and political orientations. This series of documentaries, beginning with Seven Up, is the only film depiction of socialization over the life course.
American Family (2002). A PBS dramatic series that examines the everyday lives of members of an extended Latino family.
American History X (1998). An examination of two brothers who are drawn into a neo-Nazi skinhead gang. The film examines family socialization as the initial source of one brother’s racism, which is reinforced in prison and in a gang.
An American Family (1973), American Family Revisited (1983), Lance Loud!: A Death in an American Family (2003). A television documentary series capturing the life and times of the Loud family; the series was one of the first forays into “reality TV” and became controversial as the family dealt publicly with many difficult life situations, including issues of sexual orientation and divorce.
The Breakfast Club (1985). This film explores diverse socialization experiences in the home, school, and peer group of several high school students forced to do detention together in the school library.
Dead End (1937). An examination of the problems, including cultural conflicts, faced by New York City residents as they live through their impressionable years during the Great Depression.
Easy Rider (1969). This portrayal of two young societal dropouts who ride motorcycles across the American southwest depicts various scenes of the late 1960s counterculture.
Rebel without a Cause (1955). James Dean portrays a troubled and misunderstood middle-class 1950s-era youth in this classic depiction of generational conflict.
River’s Edge (1987). A dark portrayal of 1980s youth culture based on a true story of friends who do not report the murder of a woman in their group by her boyfriend. The film deals with issues, such as family socialization in homes with absentee parents and peer-group influence. It was selected as the “Film That Mattered” for the 1980s by the LA International Film Festival.
Slacker (1991). This documentary-style film of twentysomethings living on the edge of society in Austin, Texas, contributed to the image of 1990s youth culture as aimless and bored. | msmarco_doc_00_9365727 |
http://2012books.lardbucket.org/books/21st-century-american-government-and-politics/s16-02-a-bicameral-legislative-branch.html | A Bicameral Legislative Branch | 12.2
A Bicameral Legislative Branch
12.2 A Bicameral Legislative Branch
Learning Objectives
Bicameral Legislative Structure
The Electoral Connection
House and Senate Comparisons
Key Takeaways
Exercises
| A Bicameral Legislative Branch
12.2 A Bicameral Legislative Branch
Learning Objectives
After reading this section, you should be able to answer the following questions:
What is a bicameral legislative structure, and why was it established in Congress?
What are the different characteristics of the House and Senate?
The bicameral structure of the US Congress was established by the founders to minimize the possibility of any one governmental body becoming too powerful. The House was meant to be the most democratic of the national institutions, as its members are subject to reelection every two years. The Senate was designed by the framers as an elite body that would act as a check on the House. The two bodies differ in terms of characteristics and norms as well as in the way they operate.
Bicameral Legislative Structure
The founders established Congress as a bicameral legislature
Congress consists of two bodies: (1) the House of Representatives whose membership is based on proportional representation and (2) the Senate, whose membership is based on equal representation.
as a check against tyranny. They feared having any one governmental body become too strong. This bicameral system distributes power within two houses that check and balance one another rather than concentrating authority in a single body. The House of Representatives is the larger body with membership based on each state’s population. The Senate is the smaller body with each state having two delegates. With one hundred members, the Senate is a more intimate, less formal legislative body than the House, which has 435 members elected from districts that are roughly the same size in population.
Members of Congress must reside in the district or state that elects them, although the Constitution does not specify for how long. Residency can become a campaign issue, as it did when former first lady and current secretary of state, Hillary Rodham Clinton, ran for a Senate seat from New York soon after leaving the White House, despite having never lived in the state. She was successful despite having to fend off criticism that as a carpetbagger
A politician who runs for office from an area where he or she has lived for only a short time and has few community ties; stems from a derogatory term coined after the Civil War referring to Northerners who went South to profit from the Reconstruction, carrying “carpet bags” for luggage.
she was not suited to represent New York’s interests in Congress. The term “carpetbagger” refers to a politician who runs for office from an area where he or she has lived for only a short time and has few community ties. It derives from a derogatory term coined after the Civil War referring to Northerners who went south to profit from the Reconstruction, carrying “carpet bags” for luggage.
Members of Congress are elected locally to serve nationally. All aspects of members’ jobs, whether it be making laws or providing service to people in their home districts, are influenced by this dual concern with representing local constituencies while dealing with national policy.
The Electoral Connection
The Constitution anticipated that the House would be more attentive to the people than the Senate. The House is designed to be the most democratic institutional body in the US government because each member represents a particular district within a state rather than the entire state, which is the case for the Senate. House members stand for election every two years to ensure that they keep in close touch with the opinions and interests of the people they represent or face defeat at the polls. There are no limits on the number of terms a member can serve. Consequently, many members are constantly campaigning to keep their seats in office.
Figure 12.2
Members of Congress engage in a permanent campaign for reelection that begins the minute they take office.
Source: Source: Photo courtesy of IowaPolitics.com, http://www.flickr.com/photos/iowapolitics/4984484879/in/photostream/.
Congress establishes the number of House members by enacting legislation. In 1787, there were 65 members, and the founders anticipated that House members would never represent more than 30,000 people. In 1910, the current number of 435 representatives was reached. The number of people represented by a single member has increased from 210,583 in 1910 to 646,947 in 2000 and 710,767 in 2010. The US Census Bureau calculates these apportionment figures, which can be viewed on an interactive map on its website. This number of people per congressional district is projected to top 900,000 in 2050. Roger H. Davidson and Walter J. Oleszek, Congress and Its Members, 8th ed. (Washington, DC: CQ Press, 2002), 27. Some observers question if the democratic character of the House will be compromised if constituencies grow even larger, while others oppose enlarging an institution that is already difficult to manage.
House members are elected in districts whose lines are drawn by state legislatures after the census, which takes place every ten years. States can gain or lose representatives if there are population shifts. Redistricting can be controversial as legislators seek to draw district lines that advantage their own political parties. In 2003, the process of redrawing congressional district lines in Texas attracted national media attention. Democratic state legislators twice fled to neighboring states to prevent a vote on a redistricting plan that they felt favored Republicans. The media depicted the fugitive Democratic legislators hanging out on the balcony of a cheap hotel in New Mexico as the infuriated Republicans threatened to call out the Texas Rangers to forcibly return them to the state. The media attention did not stop the redistricting plan. “Texas District Fight Goes to Court,” CBSNews.com, October 15, 2003, accessed February 15, 2011, cbsnews.com/stories/2003/10/09/politics/main577340.shtml. This strategy of lawmakers fleeing to another state to stop the legislative process was used in Wisconsin in 2011, when Democratic senators left the state to prevent having a quorum to pass a budget bill supported by the Republican governor that would cut workers’ benefits in order to improve the state budget.
Figure 12.3
Democratic members of the Texas state assembly garnered national press attention by fleeing to a neighboring state to avoid having to vote on a redistricting plan they felt would give seats to Republicans.
Source: Used with permission from AP Photo/Sue Ogrocki.
The framers felt that the Senate should be constituted as an elite body that would act as a check on the House, the branch closest to the mass public. Senators serve six-year terms of office, and like the House, there are no limits on the number of terms they can serve. Senators, in theory, should have more time than House members to think about something besides reelection. However, as the cost of elections has grown and Senate elections have become more competitive, fundraising has become a constant concern for many senators. Quoted in Roger H. Davidson and Walter J. Oleszek, Congress and Its Members, 8th ed. (Washington, DC: CQ Press, 2002), 25. The founders’ expectations that the House would be close to the people and the Senate would be more distant have not been realized. House members often hold safe seats and do not face serious challenges to reelection, so they often hold office for years.
House members are chosen in districts whose boundaries can cut across media markets and other political jurisdictions, such as county or city lines. Some parts of Maryland and Virginia receive most of their news from the District of Columbia, and their House members are given limited coverage. As a result, it can be difficult for local television news to cover House members and their reelection challengers. Senators, having won statewide races, receive more attention. Their opponents also are likely to receive significant media coverage, which often makes for hotly contested elections.
House and Senate Comparisons
The House and Senate are institutions that have decidedly different characters. Because of its large size and more frequent turnover in membership, the House is an impersonal institution. House members may not recognize their colleagues, and some have staff members assigned as “spotters,” who whisper names into their ears to avoid embarrassment. The House operates under formal rules. It is hierarchical, and seniority
Long-standing members of Congress, especially in the Senate, hold leadership positions and have more influence over decision making than their junior colleagues.
is important. Members serve for a long time before they become leaders. Senior members have more influence over decision making than their junior colleagues.
The Senate does not rely as heavily on hierarchy as the House. It is less rule-bound and operates more loosely and unpredictably than the House, especially as it requires unanimous consent for any bill to be taken up. This means that a lone senator has the power to stop legislative action, a power that House members do not possess. Senators serve long terms and get to know their colleagues. Seniority is less meaningful, as junior senators have considerable power to make decisions along with their senior colleagues. The smaller size of the chamber allows members to pursue a fast track to leadership and increased public visibility early in their careers.
The differences between the House and Senate are reflected in their respective chambers. The House meets in the largest parliamentary room in the world. Members do not have assigned seats and take any available place on padded benches. Few members spend time in the chamber other than when they are speaking or voting. The Senate chamber is smaller and more ornate. Senators are assigned desks and chairs, many of which have been held by distinguished members. Since the introduction of television to the Senate chamber in 1986, senior senators have taken back-row seats, which provide favorable camera angles against a flattering blue backdrop and have space for displaying charts and graphs.
The distinctions between the chambers extend to their ability to attract media coverage. The Senate routinely garners greater press attention than the House because it is easier for journalists to cover the smaller chamber and establish long-term relationships with its members. The hierarchical structure of the House makes it easy for leaders to become national media headliners, while other members must compete for attention. Patrick J. Sellers, “Winning Media Coverage in the U.S. Congress,” in U.S. Senate Exceptionalism, ed. Bruce I. Oppenheimer (Columbus, OH: Ohio State University Press, 2002), 132–53. The proliferation of digital media outlets has made it somewhat easier for media-savvy members to get their message out through websites, blogs, Twitter feeds, and online videos.
Key Takeaways
The framers provided for a bicameral legislative branch with equal representation in the Senate and proportional representation based on state population in the House. The two bodies differ in a number of important ways that influence the way that they operate. The House is a more formal institution, where hierarchy and seniority are important factors. The Senate, as a smaller, more intimate body, is less bound by formal rules than the House. Senators typically garner more media attention than House members because they serve statewide constituencies and serve longer terms of office.
Exercises
How is the design of the House intended to make its members particularly responsive to their constituents?
What makes the House and Senate differ in character? How do the media portray the two bodies? | msmarco_doc_00_9470168 |
http://2012books.lardbucket.org/books/21st-century-american-government-and-politics/s17-02-how-presidents-get-things-done.html | How Presidents Get Things Done | 13.2
How Presidents Get Things Done
13.2 How Presidents Get Things Done
Learning Objectives
Link
Agenda-Setter for the Political System
Chief Lobbyist in Congress
Legislative Liaison
The Veto
Signing Statements
Presidential Scorecards in Congress
Chief Executive
Appointment Powers
Executive Orders
War Powers
Presidents and the People
Public Approval
Polls
Speechmaker-in-Chief
Video Clip
| How Presidents Get Things Done
13.2 How Presidents Get Things Done
Learning Objectives
After reading this section, you should be able to answer the following questions:
How does the president try to set the agenda for the political system, especially Congress?
What challenges does the president face in achieving his agenda?
What are the strengths and weaknesses of the presidential veto?
Can and do presidents lead Congress?
What are the president’s powers as chief executive?
Why do presidents give so many speeches?
How do presidents seek public approval?
The political system was designed by the framers to be infrequently innovative, to act with neither efficiency nor dispatch. Authority is decentralized. Political parties are usually in conflict. Interests are diverse. George C. Edwards III, The Strategic President: Persuasion and Opportunity in Presidential Leadership (Princeton, NJ: Princeton University Press, 2009).
Yet, as we have explained, presidents face high expectations for action. Adding to these expectations is the soaring rhetoric of their election campaigns. For example, candidate Obama promised to deal with the problems of the economy, unemployment, housing, health care, Iraq, Afghanistan, and much more.
As we have also explained, presidents do not invariably or even often have the power to meet these expectations. Consider the economy. Because the government and media report the inflation and unemployment rates and the number of new jobs created (or not created), the public is consistently reminded of these measures when judging the president’s handling of the economy. And certainly the president does claim credit when the economy is doing well. Yet the president has far less control over the economy and these economic indicators than the media convey and many people believe.
A president’s opportunities to influence public policies depend in part on the preceding administration and the political circumstances under which the new president takes office. Stephen Skowronek, Presidential Leadership in Political Time (Lawrence: University Press of Kansas, 2008). Presidents often face intractable issues, encounter unpredictable events, have to make complex policy decisions, and are beset by scandals (policy, financial, sexual).
Once in office, reality sinks in. Interviewing President Obama on The Daily Show, Jon Stewart wondered whether the president’s campaign slogan of “Yes we can” should be changed to “Yes we can, given certain conditions.” President Obama replied “I think I would say ‘yes we can, but…it’s not going to happen overnight.’” Sheryl Gay Stolberg, “Hope and Change as Promised, Just Not Overnight,” New York Times, October 28, 2010, A18.
So how do presidents get things done? Presidential powers and prerogatives do offer opportunities for leadership.
Link
Between 1940 and 1973, six American presidents from both political parties secretly recorded just less than five thousand hours of their meetings and telephone conversations.
Check out http://millercenter.org/academic/presidentialrecordings.
Presidents indicate what issues should garner most attention and action; they help set the policy agenda. They lobby Congress to pass their programs, often by campaign-like swings around the country. Their position as head of their political party enables them to keep or gain allies (and win reelection). Inside the executive branch, presidents make policies by well-publicized appointments and executive orders. They use their ceremonial position as head of state to get into the news and gain public approval, making it easier to persuade others to follow their lead.
Agenda-Setter for the Political System
Presidents try to set the political agenda. They call attention to issues and solutions, using constitutional powers such as calling Congress into session, recommending bills, and informing its members about the state of the union, as well as giving speeches and making news. Donna R. Hoffman and Alison D. Howard, Addressing the State of the Union (Boulder, CO: Lynne Rienner Publishers, 2006).
Figure 13.3
The president’s constitutional responsibility to inform Congress on “the state of the union” has been elevated into a performance, nationally broadcast on all major networks and before a joint session on Capitol Hill, that summarizes the key items on his policy agenda.
Source: Photo courtesy of the Executive Office of the President of the United States (Chuck Kennedy), http://commons.wikimedia.org/wiki/File:Obama_waves_State_of_the_Union_2011.jpg.
Congress does not always defer to and sometimes spurns the president’s agenda. Its members serve smaller, more distinct constituencies for different terms. When presidents hail from the same party as the majority of Congress members, they have more influence to ensure that their ideas receive serious attention on Capitol Hill. So presidents work hard to keep or increase the number of members of their party in Congress: raising funds for the party (and their own campaign), campaigning for candidates, and throwing weight (and money) in a primary election behind the strongest or their preferred candidate. Presidential coattails—where members of Congress are carried to victory by the winning presidential candidates—are increasingly short. Most legislators win by larger margins in their district than does the president. In the elections midway through the president’s term, the president’s party generally loses seats in Congress. In 2010, despite President Obama’s efforts, the Republicans gained a whopping sixty-three seats and took control of the House of Representatives.
Since presidents usually have less party support in Congress in the second halves of their terms, they most often expect that Congress will be more amenable to their initiatives in their first two years. But even then, divided government
A situation, increasingly common in recent years, where the presidency and at least one chamber of Congress are controlled by different parties.
, where one party controls the presidency and another party controls one or both chambers of Congress, has been common over the last fifty years. For presidents, the prospect of both a friendly House and Senate has become the exception.
Even when the White House and Congress are controlled by the same party, as with President Obama and the 2009 and 2010 Congress, presidents do not monopolize the legislative agenda. Congressional leaders, especially of the opposing party, push other issues—if only to pressure or embarrass the president. Members of Congress have made campaign promises they want to keep despite the president’s policy preferences. Interest groups with pet projects crowd in.
Nonetheless, presidents are better placed than any other individual to influence the legislative process. In particular, their high prominence in the news means that they have a powerful impact on what issues will—and will not—be considered in the political system as a whole.
What about the contents of “the president’s agenda”? The president is but one player among many shaping it. The transition from election to inauguration is just over two months (Bush had less time because of the disputed 2000 Florida vote). Presidents are preoccupied first with naming a cabinet and White House staff. To build an agenda, presidents “borrow, steal, co-opt, redraft, rename, and modify any proposal that fits their policy goals.” Paul C. Light, The President’s Agenda: Domestic Policy Choice from Kennedy to Clinton, 3rd ed. (Baltimore: Johns Hopkins University Press, 1999), 89. Ideas largely come from fellow partisans outside the White House. Bills already introduced in Congress or programs proposed by the bureaucracy are handy. They have received discussion, study, and compromise that have built support. And presidents have more success getting borrowed legislation through Congress than policy proposals devised inside the White House. Andrew Rudalevige, Managing the President’s Program: Presidential Leadership and Legislative Policy Formulation (Princeton, NJ: Princeton University Press, 2002).
Crises and unexpected events affect presidents’ agenda choices. Issues pursue presidents, especially through questions and stories of White House reporters, as much as presidents pursue issues. A hugely destructive hurricane on the Gulf Coast propels issues of emergency management, poverty, and reconstruction onto the policy agenda whether a president wants them there or not.
Finally, many agenda items cannot be avoided. Presidents are charged by Congress with proposing an annual budget. Raw budget numbers represent serious policy choices. And there are ever more agenda items that never seem to get solved (e.g., energy, among many others).
Chief Lobbyist in Congress
After suggesting what Congress should do, presidents try to persuade legislators to follow through. But without a formal role, presidents are outsiders to the legislative process. They cannot introduce bills in Congress and must rely on members to do so.
Legislative Liaison
Presidents aim at legislative accomplishments by negotiating with legislators directly or through their legislative liaison
Now called the Office of Legislative Affairs, an office consisting of presidential staffers whose job is to interact with and lobby members of Congress.
officers: White House staffers assigned to deal with Congress who provide a conduit from president to Congress and back again. These staffers convey presidential preferences and pressure members of Congress; they also pass along members’ concerns to the White House. They count votes, line up coalitions, and suggest times for presidents to rally fellow party members. And they try to cut deals.
Legislative liaison focuses less on twisting arms than on maintaining “an era of good feelings” with Congress. Some favors are large: supporting an appropriation that benefits members’ constituencies; traveling to members’ home turf to help them raise funds for reelection; and appointing members’ cronies to high office. Others are small: inviting them up to the White House, where they can talk with reporters; sending them autographed photos or extra tickets for White House tours; and allowing them to announce grants. Presidents hope the cordiality will encourage legislators to return the favor when necessary. This section relies on Kenneth Collier, Between the Branches: The White House Office of Legislative Affairs (Pittsburgh: University of Pittsburgh Press, 1997).
Such good feelings are tough to maintain when presidents and the opposition party espouse conflicting policies, especially when that party has a majority in one or both chambers of Congress or both sides adopt take-it-or-leave-it stances.
The Veto
When Congress sends a bill to the White House, a president can return it with objections. This section relies most on Charles M. Cameron, Veto Bargaining: Presidents and the Politics of Negative Power (New York: Cambridge University Press, 2000); see also Robert J. Spitzer, The Presidential Veto: Touchstone of the American Presidency (Albany: State University of New York Press, 1988). This veto
The president’s power to reject a bill by not signing it into law.
—Latin for “I forbid”—heightens the stakes. Congress can get its way only if it overrides
The congressional power to enact legislation over a president’s veto by a two-thirds majority in each chamber.
the veto with two-thirds majorities in each chamber. Presidents who use the veto can block almost any bill they dislike; only around 4 percent of all vetoes have ever been successfully overridden. See Harold W. Stanley and Richard G. Niemi, Vital Statistics on American Politics, 1999–2000 (Washington, DC: CQ Press, 1998), table 6-9. The threat of a veto can be enough to get Congress to enact legislation that presidents prefer.
The veto does have drawbacks for presidents:
Vetoes alienate members of Congress who worked hard crafting a bill. So vetoes are most used as a last resort. After the 1974 elections, Republican President Ford faced an overwhelmingly Democratic Congress. A Ford legislative liaison officer recalled, “We never deliberately sat down and made the decision that we would veto sixty bills in two years.…It was the only alternative.” Quoted in Paul C. Light, The President’s Agenda: Domestic Policy Choice from Kennedy to Clinton, 3rd ed. (Baltimore: Johns Hopkins University Press, 1999), 112.
The veto is a blunt instrument. It is useless if Congress does not act on legislation in the first place. In his 1993 speech proposing health-care reform, President Clinton waved a pen and vowed to veto any bill that did not provide universal coverage. Such a threat meant nothing when Congress did not pass any reform. And unlike governors of most states, presidents lack a line-item veto
The power, available to most state governors but not to the president, to reject parts of a bill.
, which allows a chief executive to reject parts of a bill. Congress sought to give the president this power in the late 1990s, but the Supreme Court declared the law unconstitutional. Clinton v. City of New York, 524 US 427 (1998). Presidents must take or leave bills in their totality.
Congress can turn the veto against presidents. For example, it can pass a popular bill—especially in an election year—and dare the president to reject it. President Clinton faced such “veto bait” from the Republican Congress when he was up for reelection in 1996. The Defense of Marriage Act, which would have restricted federal recognition of marriage to opposite-sex couples, was deeply distasteful to lesbians and gay men (a key Democratic constituency) but strongly backed in public opinion polls. A Clinton veto could bring blame for killing the bill or provoke a humiliating override. Signing it ran the risk of infuriating lesbian and gay voters. Clinton ultimately signed the legislation—in the middle of the night with no cameras present.
Veto threats can backfire. After the Democrats took over the Senate in mid-2001, they moved the “patients’ bill of rights” authorizing lawsuits against health maintenance organizations to the top of the Senate agenda. President Bush said he would veto the bill unless it incorporated strict limits on rights to sue and low caps on damages won in lawsuits. Such a visible threat encouraged a public perception that Bush was opposed to any patients’ bill of rights, or even to patients’ rights at all. Frank Bruni, “Bush Strikes a Positive Tone on a Patients’ Bill of Rights,” New York Times, July 10, 2001, A12. Veto threats thus can be ineffective or create political damage (or, as in this case, both).
Savvy presidents use “vetoes not only to block legislation but to shape it.…Vetoes are not fatal bullets but bargaining ploys.” Charles M. Cameron, Veto Bargaining: Presidents and the Politics of Negative Power (New York: Cambridge University Press, 2000), 171. Veto threats and vetoing ceremonies become key to presidential communications in the news, which welcomes the story of Capitol Hill-versus-White House disputes, particularly under divided government. In 1996, President Clinton faced a tough welfare reform bill from a Republican Congress whose leaders dared him to veto the bill so they could claim he broke his 1992 promise to “end welfare as we know it.” Clinton vetoed the first bill; Republicans reduced the cuts but kept tough provisions denying benefits to children born to welfare recipients. Clinton vetoed this second version; Republicans shrank the cuts again and reduced the impact on children. Finally, Clinton signed the bill—and ran ads during his reelection campaign proclaiming how he had “ended welfare as we know it.”
Signing Statements
In a signing statement
The president claims the right to ignore or refuse to enforce laws, parts of laws, or provisions of appropriations bills that Congress has enacted and he has signed into law.
, the president claims the right to ignore or refuse to enforce laws, parts of laws, or provisions of appropriations bills even though Congress has enacted them and he has signed them into law. This practice was uncommon until developed during President Ronald Reagan’s second term. It escalated under President George W. Bush, who rarely exercised the veto but instead issued almost 1,200 signing statements in eight years—about twice as many as all his predecessors combined. As one example, he rejected the requirement that he report to Congress on how he had provided safeguards against political interference in federally funded research. He justified his statements on the “inherent” power of the commander in chief and on a hitherto obscure doctrine called the unitary executive, which holds that the executive branch can overrule Congress and the courts on the basis of the president’s interpretation of the Constitution.
President Obama ordered executive officials to consult with the attorney general before relying on any of President Bush’s signing statements to bypass a law. Yet he initially issued some signing statements himself. Then, to avoid clashing with Congress, he refrained from doing so. He did claim that the executive branch could bypass what he deemed to be unconstitutional restraints on executive power. But he did not invoke the unitary executive theory. Charlie Savage, “Obama’s Embrace of a Bush Tactic Riles Congress,” New York Times, August 9, 2009, A1; and Charlie Savage, “Obama Takes a New Route to Opposing Parts of Laws,” New York Times, January 9, 2010, A9.
Presidential Scorecards in Congress
How often do presidents get their way on Capitol Hill? On congressional roll call votes, Congress goes along with about three-fourths of presidential recommendations; the success rate is highest earlier in the term. George C. Edwards III, At the Margins: Presidential Leadership of Congress (New Haven, CT: Yale University Press, 1989); Jon R. Bond and Richard Fleisher, The President in the Legislative Arena (Chicago: University of Chicago Press, 1990); and Mark A. Peterson, Legislating Together: The White House and Capitol Hill from Eisenhower to Reagan (Cambridge, MA: Harvard University Press, 1990). For overall legislative productivity, the classic starting point is David R. Mayhew’s Divided We Govern: Party Control, Lawmaking, and Investigations, 1946–1990 (New Haven, CT: Yale University Press, 1991). Even on controversial, important legislation for which they expressed a preference well in advance of congressional action, presidents still do well. Congress seldom ignores presidential agenda items entirely. One study estimates that over half of presidential recommendations are substantially reflected in legislative action. Mark A. Peterson, Legislating Together: The White House and Capitol Hill from Eisenhower to Reagan (Cambridge, MA: Harvard University Press, 1990); and Andrew Rudalevige, Managing the President’s Program: Presidential Leadership and Legislative Policy Formulation (Princeton, NJ: Princeton University Press, 2002), 136.
Can and do presidents lead Congress, then? Not quite. Most presidential success is determined by Congress’s partisan and ideological makeup. Divided government and party polarization on Capitol Hill have made Congress more willing to disagree with the president. So recent presidents are less successful even while being choosier about bills to endorse. Eisenhower, Kennedy, and Johnson staked out positions on well over half of congressional roll call votes. Their successors have taken positions on fewer than one-fourth of them—especially when their party did not control Congress. “Presidents, wary of an increasingly independent-minded congressional membership, have come to actively support legislation only when it is of particular importance to them, in an attempt to minimize defeat.” Lyn Ragsdale, Vital Statistics on the Presidency, 3rd ed. (Washington, DC: CQ Press, 2008), 360. See also Steven A. Shull and Thomas C. Shaw, Explaining Congressional-Presidential Relations: A Multiple Perspective Approach (Albany: State University of New York Press, 1999), chap. 4.
Chief Executive
As chief executive, the president can move first and quickly, daring others to respond. Presidents like both the feeling of power and favorable news stories of them acting decisively. Though Congress and courts can respond, they often react slowly; many if not most presidential actions are never challenged. Terry M. Moe, “The Presidency and the Bureaucracy: The Presidential Advantage,” in The Presidency and the Political System, 6th ed., ed. Michael Nelson (Washington, DC: CQ Press, 2000), 443–74; and William G. Howell, Power without Persuasion: The Politics of Direct Presidential Action (Princeton, NJ: Princeton University Press, 2003). Such direct presidential action is based in several powers: to appoint officials, to issue executive orders, to “take care that the laws be faithfully executed,” and to wage war.
Appointment Powers
Presidents both hire and (with the exception of regulatory commissions) fire executive officers. They also appoint ambassadors, the members of independent agencies, and the judiciary. See David E. Lewis, The Politics of Presidential Appointments: Political Control and Bureaucratic Performance (Princeton, NJ: Princeton University Press, 2008); and G. Calvin Mackenzie, ed., Innocent until Nominated: The Breakdown of the Presidential Appointments Process, ed. G. Calvin Mackenzie (Washington, DC: Brookings Institution Press, 2001).
The months between election and inauguration are consumed by the need to rapidly assemble a cabinet
The group of advisors to presidents made up of the secretaries of departments (e.g., secretary of defense) and the heads of agencies given cabinet-level status by the president.
, a group that reports to and advises the president, made up of the heads of the fourteen executive departments and whatever other positions the president accords cabinet-level rank. Finding “the right person for the job” is but one criterion. Cabinet appointees overwhelmingly hail from the president’s party; choosing fellow partisans rewards the winning coalition and helps achieve policy. Jeffrey E. Cohen, The Politics of the U.S. Cabinet: Representation in the Executive Branch, 1789–1984 (Pittsburgh, PA: University of Pittsburgh Press, 1988). Presidents also try to create a team that, in Clinton’s phrase, “looks like America.” In 1953, President Dwight Eisenhower was stung by the news media’s joke that his first cabinet—all male, all white—consisted of “nine millionaires and a plumber” (the latter was a union official, a short-lived labor secretary). By contrast, George W. Bush’s and Barack Obama’s cabinets had a generous complement of persons of color and women—and at least one member of the other party.
These presidential appointees must be confirmed by the Senate. If the Senate rarely votes down a nominee on the floor, it no longer rubber-stamps scandal-free nominees. A nominee may be stopped in a committee. About one out of every twenty key nominations is never confirmed, usually when a committee does not schedule it for a vote. Glen S. Kurtz, Richard Fleisher, and Jon R. Bond, “From Abe Fortas to Zoë Baird: Why Some Presidential Nominations Fail in the Senate,” American Political Science Review 92 (December 1998): 871–81.
Confirmation hearings are opportunities for senators to quiz nominees about pet projects of interest to their states, to elicit pledges to testify or provide information, and to extract promises of policy actions. G. Calvin Mackenzie, The Politics of Presidential Appointments (New York: Free Press, 1981), especially chap. 7. To win confirmation, cabinet officers pledge to be responsive and accountable to Congress. Subcabinet officials and federal judges, lacking the prominence of cabinet and Supreme Court nominees, are even more belatedly nominated and more slowly confirmed. Even senators in the president’s party routinely block nominees to protest poor treatment or win concessions.
As a result, presidents have to wait a long time before their appointees take office. Five months into President George W. Bush’s first term, one study showed that of the 494 cabinet and subcabinet positions to fill, under half had received nominations; under one-fourth had been confirmed. James Dao, “In Protest, Republican Senators Hold Up Defense Confirmations,” New York Times, May 10, 2001, A20; and Crystal Nix Hines, “Lag in Appointments Strains the Cabinet,” New York Times, June 14, 2001, A20. One scholar observed, “In America today, you can get a master’s degree, build a house, bicycle across country, or make a baby in less time than it takes to put the average appointee on the job.” G. Calvin Mackenzie, “The State of the Presidential Appointments Process,” in Innocent Until Nominated: The Breakdown of the Presidential Appointments Process, ed. G. Calvin Mackenzie (Washington, DC: Brookings Institution Press, 2001), 1–49 at 40–41. With presidential appointments unfilled, initiatives are delayed and day-to-day running of the departments is left by default to career civil servants.
No wonder presidents can, and increasingly do, install an acting appointee or use their power to make recess appointments. G. Calvin Mackenzie, “The State of the Presidential Appointments Process,” in Innocent Until Nominated: The Breakdown of the Presidential Appointments Process (Washington, DC: Brookings Institution Press, 2001), 35. But such unilateral action can produce a backlash. In 2004, two nominees for federal court had been held up by Democratic senators; when Congress was out of session for a week, President Bush named them to judgeships in recess appointments. Furious Democrats threatened to filibuster or otherwise block all Bush’s judicial nominees. Bush had no choice but to make a deal that he would not make any more judicial recess appointments for the rest of the year. Neil A. Lewis, “Deal Ends Impasse over Judicial Nominees,” New York Times, May 19, 2004, A1.
Executive Orders
Presidents make policies by executive orders
Directives to administrators in the executive branch on how to implement legislation already enacted; courts treat them as having the status of law, but they may be superseded by congressional legislation.
. Kenneth R. Mayer, With the Stroke of a Pen: Executive Orders and Presidential Power (Princeton, NJ: Princeton University Press, 2001). This power comes from the constitutional mandate that they “take care that the laws be faithfully executed.”
Executive orders are directives to administrators in the executive branch on how to implement legislation. Courts treat them as equivalent to laws. Dramatic events have resulted from executive orders. Some famous executive orders include Lincoln’s Emancipation Proclamation, Franklin D. Roosevelt’s closing the banks to avoid runs on deposits and his authorizing internment of Japanese Americans during World War II, Truman’s desegregation of the armed forces, Kennedy’s establishment of the Peace Corps, and Nixon’s creation of the Environmental Protection Agency. More typically, executive orders reorganize the executive branch and impose restrictions or directives on what bureaucrats may or may not do. The attraction of executive orders was captured by one aide to President Clinton: “Stroke of the pen. Law of the land. Kind of cool.” Paul Begala, quoted in James Bennet, “True to Form, Clinton Shifts Energies Back to U.S. Focus,” New York Times, July 5, 1998, 10. Related ways for presidents to try to get things done are by memoranda to cabinet officers, proclamations authorized by legislation, and (usually secret) national security directives. Phillip J. Cooper, By Order of the President: The Use and Abuse of Executive Direct Action (Lawrence: University Press of Kansas, 2002).
Executive orders are imperfect for presidents; they can be easily overturned. One president can do something “with the stroke of a pen”; the next can easily undo it. President Reagan’s executive order withholding American aid to international population control agencies that provide abortion counseling was rescinded by an executive order by President Clinton in 1993, then reinstated by another executive order by President Bush in 2001—and rescinded once more by President Obama in 2009. Moreover, since executive orders are supposed to be a mere execution of what Congress has already decided, they can be superseded by congressional action.
War Powers
Opportunities to act on behalf of the entire nation in international affairs are irresistible to presidents. Presidents almost always gravitate toward foreign policy as their terms progress. Domestic policy wonk Bill Clinton metamorphosed into a foreign policy enthusiast from 1993 to 2001. Even prior to 9/11 the notoriously untraveled George W. Bush was undergoing the same transformation. President Obama has been just as if not more involved in foreign policy than his predecessors.
Congress—as long as it is consulted—is less inclined to challenge presidential initiatives in foreign policy than in domestic policy. This idea that the president has greater autonomy in foreign than domestic policy is known as the “Two Presidencies Thesis.” See Barbara Hinckley, Less than Meets the Eye: Foreign Policy Making and the Myth of the Assertive Congress (Chicago: University of Chicago Press, 1994). Such deference seems largely limited to presidents’ own initiatives. See Richard Fleisher, Jon R. Bond, Glen S. Krutz, and Stephen Hanna, “The Demise of the Two Presidencies,” American Politics Quarterly 28 (2000): 3–25; and Andrew Rudalevige, Managing the President’s Program: Presidential Leadership and Legislative Policy Formulation (Princeton, NJ: Princeton University Press, 2002),148–49.
War powers provide another key avenue for presidents to act unilaterally. After the 9/11 attacks, President Bush’s Office of Legal Counsel to the US Department of Justice argued that as commander in chief President Bush could do what was necessary to protect the American people. John Yoo, The Powers of War and Peace: The Constitution and Foreign Affairs after 9/11 (Chicago: University of Chicago Press, 2005).
Since World War II, presidents have never asked Congress for (or received) a declaration of war. Instead, they rely on open-ended congressional authorizations to use force (such as for wars in Vietnam and “against terrorism”), United Nations resolutions (wars in Korea and the Persian Gulf), North American Treaty Organization (NATO) actions (peacekeeping operations and war in the former Yugoslavia), and orchestrated requests from tiny international organizations like the Organization of Eastern Caribbean States (invasion of Grenada). Sometimes, presidents amass all these: in his last press conference before the start of the invasion of Iraq in 2003, President Bush invoked the congressional authorization of force, UN resolutions, and the inherent power of the president to protect the United States derived from his oath of office.
Congress can react against undeclared wars by cutting funds for military interventions. Such efforts are time consuming and not in place until long after the initial incursion. But congressional action, or its threat, did prevent military intervention in Southeast Asia during the collapse of South Vietnam in 1975 and sped up the withdrawal of American troops from Lebanon in the mid-1980s and Somalia in 1993. William G. Howell and Jon C. Pevehouse, While Dangers Gather: Congressional Checks on Presidential War Powers (Princeton, NJ: Princeton University Press, 2007).
Congress’s most concerted effort to restrict presidential war powers, the War Powers Act, which passed over President Nixon’s veto in 1973, may have backfired. It established that presidents must consult with Congress prior to a foreign commitment of troops, must report to Congress within forty-eight hours of the introduction of armed forces, and must withdraw such troops after sixty days if Congress does not approve. All presidents denounce this legislation. But it gives them the right to commit troops for sixty days with little more than requirements to consult and report—conditions presidents often feel free to ignore. And the presidential prerogative under the War Powers Act to commit troops on a short-term basis means that Congress often reacts after the fact. Since Vietnam, the act has done little to prevent presidents from unilaterally launching invasions. Louis Fisher, Presidential War Power (Lawrence: University of Kansas Press, 1995); Barbara Hinckley, Less than Meets the Eye: Foreign Policy Making and the Myth of the Assertive Congress (Chicago: University of Chicago Press, 1994), chap. 4.
President Obama did not seek Congressional authorization before ordering the US military to join attacks on the Libyan air defenses and government forces in March 2011. After the bombing campaign started, Obama sent Congress a letter contending that as commander in chief he had constitutional authority for the attacks. The White House lawyers distinguished between this limited military operation and a war.
Presidents and the People
Public approval helps the president assure agreement, attract support, and discourage opposition. Presidents with high popularity win more victories in Congress on high-priority bills. Brandice Canes-Wrone, Who Leads Whom? Presidents, Policy, and the Public (Chicago: University of Chicago Press, 2006). But obtaining public approval can be complicated. Presidents face contradictory expectations, even demands, from the public: to be an ordinary person yet display heroic qualities, to be nonpolitical yet excel (unobtrusively) at the politics required to get things done, to be a visionary leader yet respond to public opinion. Thomas E. Cronin and Michael A. Genovese, The Paradoxes of the American Presidency, 3rd ed. (New York: Oxford University Press, 2009).
Public Approval
For over fifty years, pollsters have asked survey respondents, “Do you approve or disapprove of the way that the president is handling his job?” Over time there has been variation from one president to the next, but the general pattern is unmistakable. James A. Stimson, “Public Support for American Presidents: A Cyclical Model,” Public Opinion Quarterly 40 (1976): 1–21; Samuel Kernell, “Explaining Presidential Popularity,” American Political Science Review 72 (1978): 506–22; and Richard A. Brody, Assessing the President: The Media, Elite Opinion, and Public Support (Stanford, CA: Stanford University Press, 1991). Approval starts out fairly high (near the percentage of the popular vote), increases slightly during the honeymoon, fades over the term, and then levels off. Presidents differ largely in the rate at which their approval rating declines. President Kennedy’s support eroded only slightly, as opposed to the devastating drops experienced by Ford and Carter. Presidents in their first terms are well aware that, if they fall below 50 percent, they are in danger of losing reelection or of losing allies in Congress in the midterm elections.
Events during a president’s term—and how the news media frame them—drive approval ratings up or down. Depictions of economic hard times, drawn-out military engagements (e.g., Korea, Vietnam, and Iraq), unpopular decisions (e.g., Ford’s pardon of Nixon), and other bad news drag approval ratings lower. The main upward push comes from quick international interventions, as for President Obama after the killing of Osama bin Laden in 2011, or successfully addressing national emergencies, which boost a president’s approval for several months. Under such conditions, official Washington speaks more in one voice than usual, the media drop their criticism as a result, and presidents depict themselves as embodiments of a united America. The successful war against Iraq in 1991 pushed approval ratings for the elder Bush to 90 percent, exceeded only by the ratings of his son after 9/11. It may be beside the point whether the president’s decision was smart or a blunder. Kennedy’s press secretary, Pierre Salinger, later recalled how the president’s approval ratings actually climbed after Kennedy backed a failed invasion by Cuban exiles at the Bay of Pigs: “He called me into his office and he said, ‘Did you see that Gallup poll today?’ I said, ‘Yes.’ He said, ‘Do you think I have to continue doing stupid things like that to remain popular with the American people?’” Quoted in Daniel C. Hallin, ed., The Presidency, the Press and the People (La Jolla: University of California, San Diego, 1992), 21.
But as a crisis subsides, so too do official unity, tributes in the press, and the president’s lofty approval ratings. Short-term effects wane over the course of time. Bush’s huge boost from 9/11 lasted well into early 2003; he got a smaller, shorter lift from the invasion of Iraq in April 2003 and another from the capture of Saddam Hussein in December before dropping to levels perilously near, then below, 50 percent. Narrowly reelected in 2008, Bush saw his approval sink to new lows (around 30 percent) over the course of his second term.
Polls
Naturally and inevitably, presidents employ pollsters to measure public opinion. Poll data can influence presidents’ behavior, the calculation and presentation of their decisions and policies, and their rhetoric. Lawrence Jacobs and Robert Shapiro, Politicians Don’t Pander (Chicago: University of Chicago Press, 2000).
After the devastating loss of Congress to the Republicans midway through his first term, President Clinton hired public relations consultant Dick Morris to find widely popular issues on which he could take a stand. Morris used a “60 percent rule”: if six out of ten Americans were in favor of something, Clinton had to be too. Thus the Clinton White House crafted and adopted some policies knowing that they had broad popular support, such as balancing the budget and “reforming” welfare.
Even when public opinion data have no effects on a presidential decision, they can still be used to ascertain the best way to justify the policy or to find out how to present (i.e., spin) unpopular policies so that they become more acceptable to the public. Polls can identify the words and phrases that best sell policies to people. President George W. Bush referred to “school choice” instead of “school voucher programs,” to the “death tax” instead of “inheritance taxes,” and to “wealth-generating private accounts” rather than “the privatization of Social Security.” He presented reducing taxes for wealthy Americans as a “jobs” package. Joshua Green, “The Other War Room,” Washington Monthly 34, no. 4 (April 2002): 11–16; and Ben Fritz, Bryan Keefer, and Brendan Nyhan, All the President’s Spin: George W. Bush, the Media, and the Truth (New York: Touchstone, 2004).
Polls can even be used to adjust a president’s personal behavior. After a poll showed that some people did not believe that President Obama was a Christian, he attended services, with photographers in tow, at a prominent church in Washington, DC.
Speechmaker-in-Chief
Presidents speak for various reasons: to represent the country, address issues, promote policies, and seek legislative accomplishments; to raise funds for their campaign, their party, and its candidates; and to berate the opposition. They also speak to control the executive branch by publicizing their thematic focus, ushering along appointments, and issuing executive orders. See Michael Baruch Grossman and Martha Joynt Kumar, Portraying the President: The White House and the News Media (Baltimore: Johns Hopkins University Press, 1980); and John Anthony Maltese, Spin Control: The White House Office of Communications and the Management of Presidential News (Chapel Hill: University of North Carolina Press, 1992). They aim their speeches at those physically present and, often, at the far larger audience reached through the media.
In their speeches, presidents celebrate, express national emotion, educate, advocate, persuade, and attack. Their speeches vary in importance, subject, and venue. They give major ones, such as the inauguration and State of the Union. They memorialize events such as 9/11 and speak at the site of tragedies (as President Obama did on January 12, 2011, in Tucson, Arizona, after the shootings of Rep. Gabrielle Giffords and bystanders by a crazed gunman). They give commencement addresses. They speak at party rallies. And they make numerous routine remarks and brief statements.
Video Clip
Watch President Obama’s Full Speech at Tucson Memorial
(click to see video)
Presidents are more or less engaged in composing and editing their speeches. For speeches that articulate policies, the contents will usually be considered in advance by the people in the relevant executive branch departments and agencies who make suggestions and try to resolve or meld conflicting views, for example, on foreign policy by the State and Defense departments, the CIA, and National Security Council. It will be up to the president, to buy in on, modify, or reject themes, arguments, and language.
The president’s speechwriters are involved in the organization and contents of the speech. This discussion is based on Robert Schlesinger, White House Ghosts: Presidents and Their Speechwriters (New York: Simon & Schuster, 2008). They contribute memorable phrases, jokes, applause lines, transitions, repetition, rhythm, emphases, and places to pause. They write for ease of delivery, the cadence of the president’s voice, mannerisms of expression, idioms, pace, and timing.
In search of friendly audiences, congenial news media and vivid backdrops, presidents often travel outside Washington to give their speeches. Roderick Hart, The Sound of Leadership: Presidential Communication in the Modern Age (Chicago: University of Chicago Press, 1986); Barbara Hinckley, The Symbolic Presidency (New York: Routledge, 1991); and Gregory L. Hager and Terry Sullivan, “President-Centered and Presidency-Centered Explanations of Presidential Public Activity,” American Journal of Political Science 38 (November 1994): 1079–1103. In his first one hundred days in office in 2001, George W. Bush visited twenty-six states to give speeches; this was a new record even though he refused to spend a night anywhere other than in his own beds at the White House, at Camp David (the presidential retreat), or on his Texas ranch. David E. Sanger and Marc Lacey, “In Early Battles, Bush Learns Need for Compromises,” New York Times, April 29, 2001, A1.
Memorable settings may be chosen as backdrops for speeches, but they can backfire. On May 1, 2003, President Bush emerged in a flight suit from a plane just landed on the aircraft carrier USS Abraham Lincoln and spoke in front of a huge banner that proclaimed “Mission Accomplished,” implying the end of major combat operations in Iraq. The banner was positioned for the television cameras to ensure that the open sea, not San Diego, appeared in the background. The slogan may have originated with the ship’s commander or sailors, but the Bush people designed and placed it perfectly for the cameras and choreographed the scene.
Figure 13.4
As violence in Iraq continued and worsened, the banner would be framed by critics of the war as a publicity stunt, a symbol of the administration’s arrogance and failure.
Source: http://en.wikipedia.org/wiki/File:Bush_mission_accomplished.jpg.
Speechmaking can entail going public
Presidents give a major address to promote public approval of their decisions, advance their policy objectives, or to defend themselves against accusations.
: presidents give a major address to promote public approval of their decisions, to advance their policy objectives and solutions in Congress and the bureaucracy, or to defend themselves against accusations of illegality and immorality. Going public is “a strategic adaptation to the information age.” Samuel Kernell, Going Public: New Strategies of Presidential Leadership, 4th ed. (Washington, DC: CQ Press, 2007), 2; and Stephen J. Farnsworth, Spinner in Chief: How Presidents Sell Their Policies and Themselves (Boulder, CO: Paradigm Publishers, 2009).
According to a study of presidents’ television addresses, they fail to increase public approval of the president and rarely increase public support for the policy action the president advocates. George C. Edwards III, On Deaf Ears: The Limits of the Bully Pulpit (New Haven, CT: Yale University Press, 2003), 241. There can, however, be a rally phenomenon
The president’s approval rating rises during periods of international tension and likely use of American force.
. The president’s approval rating rises during periods of international tension and likely use of American force. Even at a time of policy failure, the president can frame the issue and lead public opinion. Crisis news coverage likely supports the president.
Moreover, nowadays, presidents, while still going public—that is, appealing to national audiences—increasingly go local: they take a targeted approach to influencing public opinion. They go for audiences who might be persuadable, such as their party base and interest groups, and to strategically chosen locations. Jeffrey E. Cohen, Going Local: Presidential Leadership in the Post-Broadcast Age (New York: Cambridge University Press, 2010). | msmarco_doc_00_9482515 |
http://2012books.lardbucket.org/books/a-primer-on-communication-studies/s02-01-perception-process.html | Perception Process | 2.1
Perception Process
2.1 Perception Process
Learning Objectives
Selecting Information
Visual and Aural Stimulation
Needs and Interests
Expectations
Organizing Information
Interpreting Information
“Getting Real”
Key Takeaways
Exercises
| Perception Process
2.1 Perception Process
Learning Objectives
Define perception.
Discuss how salience influences the selection of perceptual information.
Explain the ways in which we organize perceptual information.
Discuss the role of schemata in the interpretation of perceptual information.
Perception
The process of selecting, organizing, and interpreting information.
is the process of selecting, organizing, and interpreting information. This process, which is shown in Figure 2.1 "The Perception Process", includes the perception of select stimuli that pass through our perceptual filters, are organized into our existing structures and patterns, and are then interpreted based on previous experiences. Although perception is a largely cognitive and psychological process, how we perceive the people and objects around us affects our communication. We respond differently to an object or person that we perceive favorably than we do to something we find unfavorable. But how do we filter through the mass amounts of incoming information, organize it, and make meaning from what makes it through our perceptual filters and into our social realities?
Selecting Information
We take in information through all five of our senses, but our perceptual field (the world around us) includes so many stimuli that it is impossible for our brains to process and make sense of it all. So, as information comes in through our senses, various factors influence what actually continues on through the perception process. Susan T. Fiske and Shelley E. Taylor, Social Cognition, 2nd ed. (New York, NY: McGraw Hill, 1991). Selecting
The first part of the perception process, in which we focus our attention on certain incoming sensory information.
is the first part of the perception process, in which we focus our attention on certain incoming sensory information. Think about how, out of many other possible stimuli to pay attention to, you may hear a familiar voice in the hallway, see a pair of shoes you want to buy from across the mall, or smell something cooking for dinner when you get home from work. We quickly cut through and push to the background all kinds of sights, smells, sounds, and other stimuli, but how do we decide what to select and what to leave out?
Figure 2.1 The Perception Process
We tend to pay attention to information that is salient. Salience
The degree to which something attracts our attention in a particular context.
is the degree to which something attracts our attention in a particular context. The thing attracting our attention can be abstract, like a concept, or concrete, like an object. For example, a person’s identity as a Native American may become salient when they are protesting at the Columbus Day parade in Denver, Colorado. Or a bright flashlight shining in your face while camping at night is sure to be salient. The degree of salience depends on three features. Susan T. Fiske and Shelley E. Taylor, Social Cognition, 2nd ed. (New York, NY: McGraw Hill, 1991), 186. We tend to find salient things that are visually or aurally stimulating and things that meet our needs or interests. Lastly, expectations affect what we find salient.
Visual and Aural Stimulation
It is probably not surprising to learn that visually and/or aurally stimulating things become salient in our perceptual field and get our attention. Creatures ranging from fish to hummingbirds are attracted to things like silver spinners on fishing poles or red and yellow bird feeders. Having our senses stimulated isn’t always a positive thing though. Think about the couple that won’t stop talking during the movie or the upstairs neighbor whose subwoofer shakes your ceiling at night. In short, stimuli can be attention-getting in a productive or distracting way. As communicators, we can use this knowledge to our benefit by minimizing distractions when we have something important to say. It’s probably better to have a serious conversation with a significant other in a quiet place rather than a crowded food court. As we will learn later in Chapter 12 "Public Speaking in Various Contexts", altering the rate, volume, and pitch of your voice, known as vocal variety, can help keep your audience engaged, as can gestures and movement. Conversely, nonverbal adaptors, or nervous movements we do to relieve anxiety like pacing or twirling our hair, can be distracting. Aside from minimizing distractions and delivering our messages enthusiastically, the content of our communication also affects salience.
Needs and Interests
We tend to pay attention to information that we perceive to meet our needs or interests in some way. This type of selective attention can help us meet instrumental needs and get things done. When you need to speak with a financial aid officer about your scholarships and loans, you sit in the waiting room and listen for your name to be called. Paying close attention to whose name is called means you can be ready to start your meeting and hopefully get your business handled. When we don’t think certain messages meet our needs, stimuli that would normally get our attention may be completely lost. Imagine you are in the grocery store and you hear someone say your name. You turn around, only to hear that person say, “Finally! I said your name three times. I thought you forgot who I was!” A few seconds before, when you were focused on figuring out which kind of orange juice to get, you were attending to the various pulp options to the point that you tuned other stimuli out, even something as familiar as the sound of someone calling your name. Again, as communicators, especially in persuasive contexts, we can use this to our advantage by making it clear how our message or proposition meets the needs of our audience members. Whether a sign helps us find the nearest gas station, the sound of a ringtone helps us find our missing cell phone, or a speaker tells us how avoiding processed foods will improve our health, we select and attend to information that meets our needs.
If you’re engrossed in an interesting video game, you may not notice other perceptual cues.
© Thinkstock
We also find salient information that interests us. Of course, many times, stimuli that meet our needs are also interesting, but it’s worth discussing these two items separately because sometimes we find things interesting that don’t necessarily meet our needs. I’m sure we’ve all gotten sucked into a television show, video game, or random project and paid attention to that at the expense of something that actually meets our needs like cleaning or spending time with a significant other. Paying attention to things that interest us but don’t meet specific needs seems like the basic formula for procrastination that we are all familiar with.
In many cases we know what interests us and we automatically gravitate toward stimuli that match up with that. For example, as you filter through radio stations, you likely already have an idea of what kind of music interests you and will stop on a station playing something in that genre while skipping right past stations playing something you aren’t interested in. Because of this tendency, we often have to end up being forced into or accidentally experiencing something new in order to create or discover new interests. For example, you may not realize you are interested in Asian history until you are required to take such a course and have an engaging professor who sparks that interest in you. Or you may accidentally stumble on a new area of interest when you take a class you wouldn’t otherwise because it fits into your schedule. As communicators, you can take advantage of this perceptual tendency by adapting your topic and content to the interests of your audience.
Expectations
The relationship between salience and expectations is a little more complex. Basically, we can find expected things salient and find things that are unexpected salient. While this may sound confusing, a couple examples should illustrate this point. If you are expecting a package to be delivered, you might pick up on the slightest noise of a truck engine or someone’s footsteps approaching your front door. Since we expect something to happen, we may be extra tuned in to clues that it is coming. In terms of the unexpected, if you have a shy and soft-spoken friend who you overhear raising the volume and pitch of his voice while talking to another friend, you may pick up on that and assume that something out of the ordinary is going on. For something unexpected to become salient, it has to reach a certain threshold of difference. If you walked into your regular class and there were one or two more students there than normal, you may not even notice. If you walked into your class and there was someone dressed up as a wizard, you would probably notice. So, if we expect to experience something out of the routine, like a package delivery, we will find stimuli related to that expectation salient. If we experience something that we weren’t expecting and that is significantly different from our routine experiences, then we will likely find it salient. We can also apply this concept to our communication. I always encourage my students to include supporting material in their speeches that defies our expectations. You can help keep your audience engaged by employing good research skills to find such information.
There is a middle area where slight deviations from routine experiences may go unnoticed because we aren’t expecting them. To go back to the earlier example, if you aren’t expecting a package, and you regularly hear vehicle engines and sidewalk foot traffic outside your house, those pretty routine sounds wouldn’t be as likely to catch your attention, even if it were slightly more or less traffic than expected. This is because our expectations are often based on previous experience and patterns we have observed and internalized, which allows our brains to go on “autopilot” sometimes and fill in things that are missing or overlook extra things. Look at the following sentence and read it aloud: Percpetoin is bsaed on pateetrns, maening we otfen raech a cocnlsuion witouht cosnidreing ecah indviidaul elmenet. This example illustrates a test of our expectation and an annoyance to every college student. We have all had the experience of getting a paper back with typos and spelling errors circled. This can be frustrating, especially if we actually took the time to proofread. When we first learned to read and write, we learned letter by letter. A teacher or parent would show us a card with A-P-P-L-E written on it, and we would sound it out. Over time, we learned the patterns of letters and sounds and could see combinations of letters and pronounce the word quickly. Since we know what to expect when we see a certain pattern of letters, and know what comes next in a sentence since we wrote the paper, we don’t take the time to look at each letter as we proofread. This can lead us to overlook common typos and spelling errors, even if we proofread something multiple times. As a side note, I’ll share two tips to help you avoid proofreading errors: First, have a friend proofread your paper. Since they didn’t write it, they have fewer expectations regarding the content. Second, read your papers backward. Since patterns of speech aren’t the same in reverse you have to stop and focus on each word. Now that we know how we select stimuli, let’s turn our attention to how we organize the information we receive.
Organizing Information
Organizing
The second part of the perception process, in which we sort and categorize information that we perceive based on innate and learned cognitive patterns.
is the second part of the perception process, in which we sort and categorize information that we perceive based on innate and learned cognitive patterns. Three ways we sort things into patterns are by using proximity, similarity, and difference. Stanley Coren, “Principles of Perceptual Organization and Spatial Distortion: The Gestalt Illusions,” Journal of Experimental Psychology: Human Perception and Performance 6, no. 3 (1980): 404–12. In terms of proximity, we tend to think that things that are close together go together. For example, have you ever been waiting to be helped in a business and the clerk assumes that you and the person standing beside you are together? The slightly awkward moment usually ends when you and the other person in line look at each other, then back at the clerk, and one of you explains that you are not together. Even though you may have never met that other person in your life, the clerk used a basic perceptual organizing cue to group you together because you were standing in proximity to one another.
Since we organize perceptual information based on proximity, a person may perceive that two people are together, just because they are standing close together in line.
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We also group things together based on similarity. We tend to think similar-looking or similar-acting things belong together. I have two friends that I occasionally go out with, and we are all three males, around the same age, of the same race, with short hair and glasses. Aside from that, we don’t really look alike, but on more than one occasion a server at a restaurant has assumed that we’re brothers. Despite the fact that many of our other features are different, the salient features are organized based on similarity and the three of us are suddenly related.
We also organize information that we take in based on difference. In this case, we assume that the item that looks or acts different from the rest doesn’t belong with the group. Perceptual errors involving people and assumptions of difference can be especially awkward, if not offensive. My friend’s mother, who is Vietnamese American, was attending a conference at which another attendee assumed she was a hotel worker and asked her to throw something away for her. In this case, my friend’s mother was a person of color at a convention with mostly white attendees, so an impression was formed based on the other person’s perception of this difference.
These strategies for organizing information are so common that they are built into how we teach our children basic skills and how we function in our daily lives. I’m sure we all had to look at pictures in grade school and determine which things went together and which thing didn’t belong. If you think of the literal act of organizing something, like your desk at home or work, we follow these same strategies. If you have a bunch of papers and mail on the top of your desk, you will likely sort papers into separate piles for separate classes or put bills in a separate place than personal mail. You may have one drawer for pens, pencils, and other supplies and another drawer for files. In this case you are grouping items based on similarities and differences. You may also group things based on proximity, for example, by putting financial items like your checkbook, a calculator, and your pay stubs in one area so you can update your budget efficiently. In summary, we simplify information and look for patterns to help us more efficiently communicate and get through life.
Simplification and categorizing based on patterns isn’t necessarily a bad thing. In fact, without this capability we would likely not have the ability to speak, read, or engage in other complex cognitive/behavioral functions. Our brain innately categorizes and files information and experiences away for later retrieval, and different parts of the brain are responsible for different sensory experiences. In short, it is natural for things to group together in some ways. There are differences among people, and looking for patterns helps us in many practical ways. However, the judgments we place on various patterns and categories are not natural; they are learned and culturally and contextually relative. Our perceptual patterns do become unproductive and even unethical when the judgments we associate with certain patterns are based on stereotypical or prejudicial thinking.
We also organize interactions and interpersonal experiences based on our firsthand experiences. When two people experience the same encounter differently, misunderstandings and conflict may result. Punctuation
The structuring of information into a timeline to determine the cause (stimulus) and effect (response) of our communication interactions.
refers to the structuring of information into a timeline to determine the cause (stimulus) and effect (response) of our communication interactions. Allan L. Sillars, “Attributions and Communication in Roommate Conflicts,” Communication Monographs 47, no. 3 (1980): 180–200. Applying this concept to interpersonal conflict can help us see how the perception process extends beyond the individual to the interpersonal level. This concept also helps illustrate how organization and interpretation can happen together and how interpretation can influence how we organize information and vice versa.
Where does a conflict begin and end? The answer to this question depends on how the people involved in the conflict punctuate, or structure, their conflict experience. Punctuation differences can often escalate conflict, which can lead to a variety of relationship problems. Paul Watzlawick, Janet Beavin Bavelas, and Don D. Jackson, Pragmatics of Human Communication: A Study of Interactional Patterns, Pathologies, and Paradoxes (New York, NY: W. W. Norton, 1967), 56. For example, Linda and Joe are on a project team at work and have a deadline approaching. Linda has been working on the project over the weekend in anticipation of her meeting with Joe first thing Monday morning. She has had some questions along the way and has e-mailed Joe for clarification and input, but he hasn’t responded. On Monday morning, Linda walks into the meeting room, sees Joe, and says, “I’ve been working on this project all weekend and needed your help. I e-mailed you three times! What were you doing?” Joe responds, “I had no idea you e-mailed me. I was gone all weekend on a camping trip.” In this instance, the conflict started for Linda two days ago and has just started for Joe. So, for the two of them to most effectively manage this conflict, they need to communicate so that their punctuation, or where the conflict started for each one, is clear and matches up. In this example, Linda made an impression about Joe’s level of commitment to the project based on an interpretation she made after selecting and organizing incoming information. Being aware of punctuation is an important part of perception checking, which we will discuss later. Let’s now take a closer look at how interpretation plays into the perception process.
Interpreting Information
Although selecting and organizing incoming stimuli happens very quickly, and sometimes without much conscious thought, interpretation can be a much more deliberate and conscious step in the perception process. Interpretation
The third part of the perception process, in which we assign meaning to our experiences using mental structures known as schemata.
is the third part of the perception process, in which we assign meaning to our experiences using mental structures known as schemata. Schemata
Databases of stored, related information that we use to interpret new experiences.
are like databases of stored, related information that we use to interpret new experiences. We all have fairly complicated schemata that have developed over time as small units of information combine to make more meaningful complexes of information.
Schemata are like lenses that help us make sense of the perceptual cues around us based on previous knowledge and experience.
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We have an overall schema about education and how to interpret experiences with teachers and classmates. This schema started developing before we even went to preschool based on things that parents, peers, and the media told us about school. For example, you learned that certain symbols and objects like an apple, a ruler, a calculator, and a notebook are associated with being a student or teacher. You learned new concepts like grades and recess, and you engaged in new practices like doing homework, studying, and taking tests. You also formed new relationships with teachers, administrators, and classmates. As you progressed through your education, your schema adapted to the changing environment. How smooth or troubling schema reevaluation and revision is varies from situation to situation and person to person. For example, some students adapt their schema relatively easily as they move from elementary, to middle, to high school, and on to college and are faced with new expectations for behavior and academic engagement. Other students don’t adapt as easily, and holding onto their old schema creates problems as they try to interpret new information through old, incompatible schema. We’ve all been in a similar situation at some point in our lives, so we know that revising our schemata can be stressful and that such revision takes effort and usually involves some mistakes, disappointments, and frustrations. But being able to adapt our schemata is a sign of cognitive complexity, which is an important part of communication competence. So, even though the process may be challenging, it can also be a time for learning and growth.
It’s important to be aware of schemata because our interpretations affect our behavior. For example, if you are doing a group project for class and you perceive a group member to be shy based on your schema of how shy people communicate, you may avoid giving him presentation responsibilities in your group project because you do not think shy people make good public speakers. Schemata also guide our interactions, providing a script for our behaviors. We know, in general, how to act and communicate in a waiting room, in a classroom, on a first date, and on a game show. Even a person who has never been on a game show can develop a schema for how to act in that environment by watching The Price Is Right, for example. People go to great lengths to make shirts with clever sayings or act enthusiastically in hopes of being picked to be a part of the studio audience and hopefully become a contestant on the show.
We often include what we do for a living in our self-introductions, which then provides a schema through which others interpret our communication.
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As we have seen, schemata are used to interpret others’ behavior and form impressions about who they are as a person. To help this process along, we often solicit information from people to help us place them into a preexisting schema. In the United States and many other Western cultures, people’s identities are often closely tied to what they do for a living. When we introduce others, or ourselves, occupation is usually one of the first things we mention. Think about how your communication with someone might differ if he or she were introduced to you as an artist versus a doctor. We make similar interpretations based on where people are from, their age, their race, and other social and cultural factors. We will learn more about how culture, gender, and other factors influence our perceptions as we continue through the chapter. In summary, we have schemata about individuals, groups, places, and things, and these schemata filter our perceptions before, during, and after interactions. As schemata are retrieved from memory, they are executed, like computer programs or apps on your smartphone, to help us interpret the world around us. Just like computer programs and apps must be regularly updated to improve their functioning, competent communicators update and adapt their schemata as they have new experiences.
“Getting Real”
Police Officers, Schemata, and Perception/Interpretation
Prime-time cable and network television shows like the Law and Order franchise and Southland have long offered viewers a glimpse into the lives of law enforcement officers. COPS, the first and longest-running prime-time reality television show, and newer reality-themed and educational shows like The First 48 and Lockdown, offer a more realistic look into techniques used by law enforcement. Perception is a crucial part of an officer’s skill set. Specifically, during police-citizen encounters, where tensions may be high and time for decision making limited, officers rely on schemata developed through personal experience off the job and training and experience on the job. Richard M. Rozelle and James C. Baxter, “Impression Formation and Danger Recognition in Experienced Police Officers,” Journal of Social Psychology 96 (1975): 54. Moreover, police officers often have to make perceptions based on incomplete and sometimes unreliable information. So, how do police officers use perception to help them do their jobs?
Research has examined how police officers use perception to make judgments about personality traits, credibility, deception, and the presence or absence of a weapon, among others things, and just like you and me, officers use the same process of selection, organization, and interpretation. This research has found that officers, like us, rely on schema to help them make decisions under time and situational constraints. In terms of selection, expectations influence officer perception. At preshift meetings, officers are briefed on ongoing issues and “things to be on the lookout for,” which provides them with a set of expectations—for example, the make and model of a stolen car—that can guide their selection process. They must also be prepared for things that defy their expectations, which is not a job skill that many other professionals have to consider every day. They never know when a traffic stop could turn into a pursuit or a seemingly gentle person could turn violent. These expectations can then connect to organization strategies. For example, if an officer knows to be alert for a criminal suspect, they will actively organize incoming perceptual information into categories based on whether or not people look similar to or different from the suspect description. Proximity also plays into police work. If a person is in a car with a driver who has an unregistered handgun, the officer is likely to assume that the other person also has criminal intent. While these practices are not inherently bad, there are obvious problems that can develop when these patterns become rigid schema. Some research has shown that certain prejudices based on racial schema can lead to perceptual errors—in this case, police officers mistakenly perceiving a weapon in the possession of black suspects more often than white suspects. B. Keith Payne, “Prejudice and Perception: The Role of Automatic and Controlled Processes in Misperceiving a Weapon,” Journal of Personality and Social Psychology 81, no. 2 (2001): 181–92. Additionally, racial profiling (think of how profiles are similar to schemata) has become an issue that’s gotten much attention since the September 11, 2001, terrorist attacks and the passage of immigration laws in states like Arizona and Alabama that have been critiqued as targeting migrant workers and other undocumented immigrants. As you can see, law enforcement officers and civilians use the same perception process, but such a career brings with it responsibilities and challenges that highlight the imperfect nature of the perception process.
What communication skills do you think are key for a law enforcement officer to have in order to do their job effectively and why?
Describe an encounter that you have had with a law enforcement officer (if you haven’t had a direct experience you can use a hypothetical or fictional example). What were your perceptions of the officer? What do you think his or her perceptions were of you? What schemata do you think contributed to each of your interpretations?
What perceptual errors create potential ethical challenges in law enforcement? For example, how should the organizing principles of proximity, similarity, and difference be employed?
Key Takeaways
Perception is the process of selecting, organizing, and interpreting information. This process affects our communication because we respond to stimuli differently, whether they are objects or persons, based on how we perceive them.
Given the massive amounts of stimuli taken in by our senses, we only select a portion of the incoming information to organize and interpret. We select information based on salience. We tend to find salient things that are visually or aurally stimulating and things that meet our needs and interests. Expectations also influence what information we select.
We organize information that we select into patterns based on proximity, similarity, and difference.
We interpret information using schemata, which allow us to assign meaning to information based on accumulated knowledge and previous experience.
Exercises
Take a moment to look around wherever you are right now. Take in the perceptual field around you. What is salient for you in this moment and why? Explain the degree of salience using the three reasons for salience discussed in this section.
As we organize information (sensory information, objects, and people) we simplify and categorize information into patterns. Identify some cases in which this aspect of the perception process is beneficial. Identify some cases in which it could be harmful or negative.
Getting integrated: Think about some of the schemata you have that help you make sense of the world around you. For each of the following contexts—academic, professional, personal, and civic—identify a schema that you commonly rely on or think you will rely on. For each schema you identified note a few ways that it has already been challenged or may be challenged in the future. | msmarco_doc_00_9529830 |
http://2012books.lardbucket.org/books/a-primer-on-communication-studies/s04-02-types-of-nonverbal-communicati.html | Types of Nonverbal Communication | 4.2
Types of Nonverbal Communication
4.2 Types of Nonverbal Communication
Learning Objectives
Kinesics
Gestures
Head Movements and Posture
Eye Contact
Facial Expressions
Haptics
“Getting Critical”
Vocalics
Proxemics
Proxemic Distances
Public Space (12 Feet or More)
Social Space (4–12 Feet)
Personal Space (1.5–4 Feet)
Intimate Space
Territoriality
Chronemics
Personal Presentation and Environment
“Getting Plugged In”
Key Takeaways
Exercises
| Types of Nonverbal Communication
4.2 Types of Nonverbal Communication
Learning Objectives
Define kinesics.
Define haptics.
Define vocalics.
Define proxemics.
Define chronemics.
Provide examples of types of nonverbal communication that fall under these categories.
Discuss the ways in which personal presentation and environment provide nonverbal cues.
Just as verbal language is broken up into various categories, there are also different types of nonverbal communication. As we learn about each type of nonverbal signal, keep in mind that nonverbals often work in concert with each other, combining to repeat, modify, or contradict the verbal message being sent.
Kinesics
The word kinesics
Refers to the study of hand, arm, body, and face movements.
comes from the root word kinesis, which means “movement,” and refers to the study of hand, arm, body, and face movements. Specifically, this section will outline the use of gestures, head movements and posture, eye contact, and facial expressions as nonverbal communication.
Gestures
There are three main types of gestures: adaptors, emblems, and illustrators. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 36. Adaptors
Touching behaviors and movements that indicate internal states typically related to arousal or anxiety and may be directed at the self, others, or objects.
are touching behaviors and movements that indicate internal states typically related to arousal or anxiety. Adaptors can be targeted toward the self, objects, or others. In regular social situations, adaptors result from uneasiness, anxiety, or a general sense that we are not in control of our surroundings. Many of us subconsciously click pens, shake our legs, or engage in other adaptors during classes, meetings, or while waiting as a way to do something with our excess energy. Public speaking students who watch video recordings of their speeches notice nonverbal adaptors that they didn’t know they used. In public speaking situations, people most commonly use self- or object-focused adaptors. Common self-touching behaviors like scratching, twirling hair, or fidgeting with fingers or hands are considered self-adaptors. Some self-adaptors manifest internally, as coughs or throat-clearing sounds. My personal weakness is object adaptors. Specifically, I subconsciously gravitate toward metallic objects like paper clips or staples holding my notes together and catch myself bending them or fidgeting with them while I’m speaking. Other people play with dry-erase markers, their note cards, the change in their pockets, or the lectern while speaking. Use of object adaptors can also signal boredom as people play with the straw in their drink or peel the label off a bottle of beer. Smartphones have become common object adaptors, as people can fiddle with their phones to help ease anxiety. Finally, as noted, other adaptors are more common in social situations than in public speaking situations given the speaker’s distance from audience members. Other adaptors involve adjusting or grooming others, similar to how primates like chimpanzees pick things off each other. It would definitely be strange for a speaker to approach an audience member and pick lint off his or her sweater, fix a crooked tie, tuck a tag in, or pat down a flyaway hair in the middle of a speech.
Emblems
Gestures that have specific agreed-on meanings.
are gestures that have a specific agreed-on meaning. These are still different from the signs used by hearing-impaired people or others who communicate using American Sign Language (ASL). Even though they have a generally agreed-on meaning, they are not part of a formal sign system like ASL that is explicitly taught to a group of people. A hitchhiker’s raised thumb, the “OK” sign with thumb and index finger connected in a circle with the other three fingers sticking up, and the raised middle finger are all examples of emblems that have an agreed-on meaning or meanings with a culture. Emblems can be still or in motion; for example, circling the index finger around at the side of your head says “He or she is crazy,” or rolling your hands over and over in front of you says “Move on.”
Emblems are gestures that have a specific meaning. In the United States, a thumbs-up can mean “I need a ride” or “OK!”
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Just as we can trace the history of a word, or its etymology, we can also trace some nonverbal signals, especially emblems, to their origins. Holding up the index and middle fingers in a “V” shape with the palm facing in is an insult gesture in Britain that basically means “up yours.” This gesture dates back centuries to the period in which the primary weapon of war was the bow and arrow. When archers were captured, their enemies would often cut off these two fingers, which was seen as the ultimate insult and worse than being executed since the archer could no longer shoot his bow and arrow. So holding up the two fingers was a provoking gesture used by archers to show their enemies that they still had their shooting fingers. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 121.
Illustrators
The most common type of gesture, used to illustrate the verbal message they accompany.
are the most common type of gesture and are used to illustrate the verbal message they accompany. For example, you might use hand gestures to indicate the size or shape of an object. Unlike emblems, illustrators do not typically have meaning on their own and are used more subconsciously than emblems. These largely involuntary and seemingly natural gestures flow from us as we speak but vary in terms of intensity and frequency based on context. Although we are never explicitly taught how to use illustrative gestures, we do it automatically. Think about how you still gesture when having an animated conversation on the phone even though the other person can’t see you.
Head Movements and Posture
I group head movements and posture together because they are often both used to acknowledge others and communicate interest or attentiveness. In terms of head movements, a head nod is a universal sign of acknowledgement in cultures where the formal bow is no longer used as a greeting. In these cases, the head nod essentially serves as an abbreviated bow. An innate and universal head movement is the headshake back and forth to signal “no.” This nonverbal signal begins at birth, even before a baby has the ability to know that it has a corresponding meaning. Babies shake their head from side to side to reject their mother’s breast and later shake their head to reject attempts to spoon-feed. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 232. This biologically based movement then sticks with us to be a recognizable signal for “no.” We also move our head to indicate interest. For example, a head up typically indicates an engaged or neutral attitude, a head tilt indicates interest and is an innate submission gesture that exposes the neck and subconsciously makes people feel more trusting of us, and a head down signals a negative or aggressive attitude. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 232–34.
There are four general human postures: standing, sitting, squatting, and lying down. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 63. Within each of these postures there are many variations, and when combined with particular gestures or other nonverbal cues they can express many different meanings. Most of our communication occurs while we are standing or sitting. One interesting standing posture involves putting our hands on our hips and is a nonverbal cue that we use subconsciously to make us look bigger and show assertiveness. When the elbows are pointed out, this prevents others from getting past us as easily and is a sign of attempted dominance or a gesture that says we’re ready for action. In terms of sitting, leaning back shows informality and indifference, straddling a chair is a sign of dominance (but also some insecurity because the person is protecting the vulnerable front part of his or her body), and leaning forward shows interest and attentiveness. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 243–44.
Eye Contact
We also communicate through eye behaviors, primarily eye contact. While eye behaviors are often studied under the category of kinesics, they have their own branch of nonverbal studies called oculesics
The study of eye behaviors as nonverbal communication.
, which comes from the Latin word oculus, meaning “eye.” The face and eyes are the main point of focus during communication, and along with our ears our eyes take in most of the communicative information around us. The saying “The eyes are the window to the soul” is actually accurate in terms of where people typically think others are “located,” which is right behind the eyes. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 40. Certain eye behaviors have become tied to personality traits or emotional states, as illustrated in phrases like “hungry eyes,” “evil eyes,” and “bedroom eyes.” To better understand oculesics, we will discuss the characteristics and functions of eye contact and pupil dilation.
Eye contact serves several communicative functions ranging from regulating interaction to monitoring interaction, to conveying information, to establishing interpersonal connections. In terms of regulating communication, we use eye contact to signal to others that we are ready to speak or we use it to cue others to speak. I’m sure we’ve all been in that awkward situation where a teacher asks a question, no one else offers a response, and he or she looks directly at us as if to say, “What do you think?” In that case, the teacher’s eye contact is used to cue us to respond. During an interaction, eye contact also changes as we shift from speaker to listener. US Americans typically shift eye contact while speaking—looking away from the listener and then looking back at his or her face every few seconds. Toward the end of our speaking turn, we make more direct eye contact with our listener to indicate that we are finishing up. While listening, we tend to make more sustained eye contact, not glancing away as regularly as we do while speaking. Judith N. Martin and Thomas K. Nakayama, Intercultural Communication in Contexts, 5th ed. (Boston, MA: McGraw-Hill, 2010), 276.
Aside from regulating conversations, eye contact is also used to monitor interaction by taking in feedback and other nonverbal cues and to send information. Our eyes bring in the visual information we need to interpret people’s movements, gestures, and eye contact. A speaker can use his or her eye contact to determine if an audience is engaged, confused, or bored and then adapt his or her message accordingly. Our eyes also send information to others. People know not to interrupt when we are in deep thought because we naturally look away from others when we are processing information. Making eye contact with others also communicates that we are paying attention and are interested in what another person is saying. As we will learn in Chapter 5 "Listening", eye contact is a key part of active listening.
Eye contact can also be used to intimidate others. We have social norms about how much eye contact we make with people, and those norms vary depending on the setting and the person. Staring at another person in some contexts could communicate intimidation, while in other contexts it could communicate flirtation. As we learned, eye contact is a key immediacy behavior, and it signals to others that we are available for communication. Once communication begins, if it does, eye contact helps establish rapport or connection. We can also use our eye contact to signal that we do not want to make a connection with others. For example, in a public setting like an airport or a gym where people often make small talk, we can avoid making eye contact with others to indicate that we do not want to engage in small talk with strangers. Another person could use eye contact to try to coax you into speaking, though. For example, when one person continues to stare at another person who is not reciprocating eye contact, the person avoiding eye contact might eventually give in, become curious, or become irritated and say, “Can I help you with something?” As you can see, eye contact sends and receives important communicative messages that help us interpret others’ behaviors, convey information about our thoughts and feelings, and facilitate or impede rapport or connection. This list reviews the specific functions of eye contact:
Regulate interaction and provide turn-taking signals
Monitor communication by receiving nonverbal communication from others
Signal cognitive activity (we look away when processing information)
Express engagement (we show people we are listening with our eyes)
Convey intimidation
Express flirtation
Establish rapport or connection
Pupil dilation is a subtle component of oculesics that doesn’t get as much scholarly attention in communication as eye contact does. Pupil dilation refers to the expansion and contraction of the black part of the center of our eyes and is considered a biometric form of measurement; it is involuntary and therefore seen as a valid and reliable form of data collection as opposed to self-reports on surveys or interviews that can be biased or misleading. Our pupils dilate when there is a lack of lighting and contract when light is plentiful. Laura K. Guerrero and Kory Floyd, Nonverbal Communication in Close Relationships (Mahwah, NJ: Lawrence Erlbaum, 2006): 176. Pain, sexual attraction, general arousal, anxiety/stress, and information processing (thinking) also affect pupil dilation. Researchers measure pupil dilation for a number of reasons. For example, advertisers use pupil dilation as an indicator of consumer preferences, assuming that more dilation indicates arousal and attraction to a product. We don’t consciously read others’ pupil dilation in our everyday interactions, but experimental research has shown that we subconsciously perceive pupil dilation, which affects our impressions and communication. In general, dilated pupils increase a person’s attractiveness. Even though we may not be aware of this subtle nonverbal signal, we have social norms and practices that may be subconsciously based on pupil dilation. Take for example the notion of mood lighting and the common practice of creating a “romantic” ambiance with candlelight or the light from a fireplace. Softer and more indirect light leads to pupil dilation, and although we intentionally manipulate lighting to create a romantic ambiance, not to dilate our pupils, the dilated pupils are still subconsciously perceived, which increases perceptions of attraction. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 40–41.
Facial Expressions
Our faces are the most expressive part of our bodies. Think of how photos are often intended to capture a particular expression “in a flash” to preserve for later viewing. Even though a photo is a snapshot in time, we can still interpret much meaning from a human face caught in a moment of expression, and basic facial expressions are recognizable by humans all over the world. Much research has supported the universality of a core group of facial expressions: happiness, sadness, fear, anger, and disgust. The first four are especially identifiable across cultures. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 35. However, the triggers for these expressions and the cultural and social norms that influence their displays are still culturally diverse. If you’ve spent much time with babies you know that they’re capable of expressing all these emotions. Getting to see the pure and innate expressions of joy and surprise on a baby’s face is what makes playing peek-a-boo so entertaining for adults. As we get older, we learn and begin to follow display rules for facial expressions and other signals of emotion and also learn to better control our emotional expression based on the norms of our culture.
Smiles are powerful communicative signals and, as you’ll recall, are a key immediacy behavior. Although facial expressions are typically viewed as innate and several are universally recognizable, they are not always connected to an emotional or internal biological stimulus; they can actually serve a more social purpose. For example, most of the smiles we produce are primarily made for others and are not just an involuntary reflection of an internal emotional state. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 35. These social smiles, however, are slightly but perceptibly different from more genuine smiles. People generally perceive smiles as more genuine when the other person smiles “with their eyes.” This particular type of smile is difficult if not impossible to fake because the muscles around the eye that are activated when we spontaneously or genuinely smile are not under our voluntary control. It is the involuntary and spontaneous contraction of these muscles that moves the skin around our cheeks, eyes, and nose to create a smile that’s distinct from a fake or polite smile. Dylan Evans, Emotion: The Science of Sentiment (New York: Oxford University Press, 2001), 107. People are able to distinguish the difference between these smiles, which is why photographers often engage in cheesy joking with adults or use props with children to induce a genuine smile before they snap a picture.
Our faces are the most expressive part of our body and can communicate an array of different emotions.
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We will learn more about competent encoding and decoding of facial expressions in Section 4.3 "Nonverbal Communication Competence" and Section 4.4 "Nonverbal Communication in Context", but since you are likely giving speeches in this class, let’s learn about the role of the face in public speaking. Facial expressions help set the emotional tone for a speech. In order to set a positive tone before you start speaking, briefly look at the audience and smile to communicate friendliness, openness, and confidence. Beyond your opening and welcoming facial expressions, facial expressions communicate a range of emotions and can be used to infer personality traits and make judgments about a speaker’s credibility and competence. Facial expressions can communicate that a speaker is tired, excited, angry, confused, frustrated, sad, confident, smug, shy, or bored. Even if you aren’t bored, for example, a slack face with little animation may lead an audience to think that you are bored with your own speech, which isn’t likely to motivate them to be interested. So make sure your facial expressions are communicating an emotion, mood, or personality trait that you think your audience will view favorably, and that will help you achieve your speech goals. Also make sure your facial expressions match the content of your speech. When delivering something light-hearted or humorous, a smile, bright eyes, and slightly raised eyebrows will nonverbally enhance your verbal message. When delivering something serious or somber, a furrowed brow, a tighter mouth, and even a slight head nod can enhance that message. If your facial expressions and speech content are not consistent, your audience could become confused by the mixed messages, which could lead them to question your honesty and credibility.
Haptics
Think of how touch has the power to comfort someone in moment of sorrow when words alone cannot. This positive power of touch is countered by the potential for touch to be threatening because of its connection to sex and violence. To learn about the power of touch, we turn to haptics
The study of communication by touch.
, which refers to the study of communication by touch. We probably get more explicit advice and instruction on how to use touch than any other form of nonverbal communication. A lack of nonverbal communication competence related to touch could have negative interpersonal consequences; for example, if we don’t follow the advice we’ve been given about the importance of a firm handshake, a person might make negative judgments about our confidence or credibility. A lack of competence could have more dire negative consequences, including legal punishment, if we touch someone inappropriately (intentionally or unintentionally). Touch is necessary for human social development, and it can be welcoming, threatening, or persuasive. Research projects have found that students evaluated a library and its staff more favorably if the librarian briefly touched the patron while returning his or her library card, that female restaurant servers received larger tips when they touched patrons, and that people were more likely to sign a petition when the petitioner touched them during their interaction. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 46.
There are several types of touch, including functional-professional, social-polite, friendship-warmth, love-intimacy, and sexual-arousal touch. Richard Heslin and Tari Apler, “Touch: A Bonding Gesture,” in Nonverbal Interaction, eds. John M. Weimann and Randall Harrison (Longon: Sage, 1983), 47–76. At the functional-professional level, touch is related to a goal or part of a routine professional interaction, which makes it less threatening and more expected. For example, we let barbers, hairstylists, doctors, nurses, tattoo artists, and security screeners touch us in ways that would otherwise be seen as intimate or inappropriate if not in a professional context. At the social-polite level, socially sanctioned touching behaviors help initiate interactions and show that others are included and respected. A handshake, a pat on the arm, and a pat on the shoulder are examples of social-polite touching. A handshake is actually an abbreviated hand-holding gesture, but we know that prolonged hand-holding would be considered too intimate and therefore inappropriate at the functional-professional or social-polite level. At the functional-professional and social-polite levels, touch still has interpersonal implications. The touch, although professional and not intimate, between hair stylist and client, or between nurse and patient, has the potential to be therapeutic and comforting. In addition, a social-polite touch exchange plays into initial impression formation, which can have important implications for how an interaction and a relationship unfold.
Of course, touch is also important at more intimate levels. At the friendship-warmth level, touch is more important and more ambiguous than at the social-polite level. At this level, touch interactions are important because they serve a relational maintenance purpose and communicate closeness, liking, care, and concern. The types of touching at this level also vary greatly from more formal and ritualized to more intimate, which means friends must sometimes negotiate their own comfort level with various types of touch and may encounter some ambiguity if their preferences don’t match up with their relational partner’s. In a friendship, for example, too much touch can signal sexual or romantic interest, and too little touch can signal distance or unfriendliness. At the love-intimacy level, touch is more personal and is typically only exchanged between significant others, such as best friends, close family members, and romantic partners. Touching faces, holding hands, and full frontal embraces are examples of touch at this level. Although this level of touch is not sexual, it does enhance feelings of closeness and intimacy and can lead to sexual-arousal touch, which is the most intimate form of touch, as it is intended to physically stimulate another person.
Touch is also used in many other contexts—for example, during play (e.g., arm wrestling), during physical conflict (e.g., slapping), and during conversations (e.g., to get someone’s attention). Stanley E. Jones, “Communicating with Touch,” in The Nonverbal Communication Reader: Classic and Contemporary Readings, 2nd ed., eds. Laura K. Guerrero, Joseph A. Devito, and Michael L. Hecht (Prospect Heights, IL: Waveland Press, 1999). We also inadvertently send messages through accidental touch (e.g., bumping into someone). One of my interpersonal communication professors admitted that she enjoyed going to restaurants to observe “first-date behavior” and boasted that she could predict whether or not there was going to be a second date based on the couple’s nonverbal communication. What sort of touching behaviors would indicate a good or bad first date?
On a first date, it is less likely that you will see couples sitting “school-bus style” (sharing the same side of a table or booth) or touching for an extended time.
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During a first date or less formal initial interactions, quick fleeting touches give an indication of interest. For example, a pat on the back is an abbreviated hug. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 4. In general, the presence or absence of touching cues us into people’s emotions. So as the daters sit across from each other, one person may lightly tap the other’s arm after he or she said something funny. If the daters are sitting side by side, one person may cross his or her legs and lean toward the other person so that each person’s knees or feet occasionally touch. Touching behavior as a way to express feelings is often reciprocal. A light touch from one dater will be followed by a light touch from the other to indicate that the first touch was OK. While verbal communication could also be used to indicate romantic interest, many people feel too vulnerable at this early stage in a relationship to put something out there in words. If your date advances a touch and you are not interested, it is also unlikely that you will come right out and say, “Sorry, but I’m not really interested.” Instead, due to common politeness rituals, you would be more likely to respond with other forms of nonverbal communication like scooting back, crossing your arms, or simply not acknowledging the touch.
I find hugging behavior particularly interesting, perhaps because of my experiences growing up in a very hug-friendly environment in the Southern United States and then living elsewhere where there are different norms. A hug can be obligatory, meaning that you do it because you feel like you have to, not because you want to. Even though you may think that this type of hug doesn’t communicate emotions, it definitely does. A limp, weak, or retreating hug may communicate anger, ambivalence, or annoyance. Think of other types of hugs and how you hug different people. Some types of hugs are the crisscross hug, the neck-waist hug, and the engulfing hug. Kory Floyd, Communicating Affection: Interpersonal Behavior and Social Context (Cambridge: Cambridge University Press, 2006), 33–34. The crisscross hug is a rather typical hug where each person’s arm is below or above the other person’s arm. This hug is common among friends, romantic partners, and family members, and perhaps even coworkers. The neck-waist hug usually occurs in more intimate relationships as it involves one person’s arms around the other’s neck and the other person’s arms around the other’s waist. I think of this type of hug as the “slow-dance hug.” The engulfing hug is similar to a bear hug in that one person completely wraps the arms around the other as that person basically stands there. This hugging behavior usually occurs when someone is very excited and hugs the other person without warning.
Some other types of hugs are the “shake-first-then-tap hug” and the “back-slap hug.” I observe that these hugs are most often between men. The shake-first-then-tap hug involves a modified hand-shake where the hands are joined more with the thumb and fingers than the palm and the elbows are bent so that the shake occurs between the two huggers’ chests. The hug comes after the shake has been initiated with one arm going around the other person for usually just one tap, then a step back and release of the handshake. In this hugging behavior, the handshake that is maintained between the chests minimizes physical closeness and the intimacy that may be interpreted from the crisscross or engulfing hug where the majority of the huggers’ torsos are touching. This move away from physical closeness likely stems from a US norm that restricts men’s physical expression of affection due to homophobia or the worry of being perceived as gay. The slap hug is also a less physically intimate hug and involves a hug with one or both people slapping the other person’s back repeatedly, often while talking to each other. I’ve seen this type of hug go on for many seconds and with varying degrees of force involved in the slap. When the slap is more of a tap, it is actually an indication that one person wants to let go. The video footage of then-president Bill Clinton hugging Monica Lewinsky that emerged as allegations that they had an affair were being investigated shows her holding on, while he was tapping from the beginning of the hug.
“Getting Critical”
Airport Pat-Downs: The Law, Privacy, and Touch
Everyone who has flown over the past ten years has experienced the steady increase in security screenings. Since the terrorist attacks on September 11, 2001, airports around the world have had increased security. While passengers have long been subject to pat-downs if they set off the metal detector or arouse suspicion, recently foiled terrorist plots have made passenger screening more personal. The “shoe bomber” led to mandatory shoe removal and screening, and the more recent use of nonmetallic explosives hidden in clothing or in body cavities led to the use of body scanners that can see through clothing to check for concealed objects. Andrew R. Thomas, Soft Landing: Airline Industry Strategy, Service, and Safety (New York, NY: Apress, 2011), 117–23. Protests against and anxiety about the body scanners, more colloquially known as “naked x-ray machines,” led to the new “enhanced pat-down” techniques for passengers who refuse to go through the scanners or passengers who are randomly selected or arouse suspicion in other ways. The strong reactions are expected given what we’ve learned about the power of touch as a form of nonverbal communication. The new pat-downs routinely involve touching the areas around a passenger’s breasts and/or genitals with a sliding hand motion. The Transportation Security Administration (TSA) notes that the areas being examined haven’t changed, but the degree of the touch has, as screeners now press and rub more firmly but used to use a lighter touch. Derek Kravitz, “Airport ‘Pat-Downs’ Cause Growing Passenger Backlash,” The Washington Post, November 13, 2010, accessed June 23, 2012, http://www.washingtonpost.com/wp-dyn/content/article/2010/11/12/AR2010111206580.html?sid=ST2010113005385. Interestingly, police have long been able to use more invasive pat-downs, but only with probable cause. In the case of random selection at the airport, no probable cause provision has to be met, giving TSA agents more leeway with touch than police officers. Experts in aviation security differ in their assessment of the value of the pat-downs and other security procedures. Several experts have called for a revision of the random selection process in favor of more targeted screenings. What civil rights organizations critique as racial profiling, consumer rights activists and some security experts say allows more efficient use of resources and less inconvenience for the majority of passengers. Andrew R. Thomas, Soft Landing: Airline Industry Strategy, Service, and Safety (New York, NY: Apress, 2011), 120. Although the TSA has made some changes to security screening procedures and have announced more to come, some passengers have started a backlash of their own. There have been multiple cases of passengers stripping down to their underwear or getting completely naked to protest the pat-downs, while several other passengers have been charged with assault for “groping” TSA agents in retaliation. Footage of pat-downs of toddlers and grandmothers in wheelchairs and self-uploaded videos of people recounting their pat-down experiences have gone viral on YouTube.
What limits, if any, do you think there should be on the use of touch in airport screening procedures?
In June of 2012 a passenger was charged with battery after “groping” a TSA supervisor to, as she claims, demonstrate the treatment that she had received while being screened. You can read more about the story and see the video here: http://www.nydailynews.com/news/national/carol-jean-price-accused-groping-tsa-agent-florida-woman-demonstrating-treatment-received- article-1.1098521. Do you think that her actions we justified? Why or why not?
Do you think that more targeted screening, as opposed to random screenings in which each person has an equal chance of being selected for enhanced pat-downs, is a good idea? Why? Do you think such targeted screening could be seen as a case of unethical racial profiling? Why or why not?
Vocalics
We learned earlier that paralanguage refers to the vocalized but nonverbal parts of a message. Vocalics
The study of paralanguage, which includes the vocal qualities that go along with verbal messages, such as pitch, volume, rate, vocal quality, and verbal fillers.
is the study of paralanguage, which includes the vocal qualities that go along with verbal messages, such as pitch, volume, rate, vocal quality, and verbal fillers. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 69–70.
Pitch helps convey meaning, regulate conversational flow, and communicate the intensity of a message. Even babies recognize a sentence with a higher pitched ending as a question. We also learn that greetings have a rising emphasis and farewells have falling emphasis. Of course, no one ever tells us these things explicitly; we learn them through observation and practice. We do not pick up on some more subtle and/or complex patterns of paralanguage involving pitch until we are older. Children, for example, have a difficult time perceiving sarcasm, which is usually conveyed through paralinguistic characteristics like pitch and tone rather than the actual words being spoken. Adults with lower than average intelligence and children have difficulty reading sarcasm in another person’s voice and instead may interpret literally what they say. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 26.
Paralanguage provides important context for the verbal content of speech. For example, volume helps communicate intensity. A louder voice is usually thought of as more intense, although a soft voice combined with a certain tone and facial expression can be just as intense. We typically adjust our volume based on our setting, the distance between people, and the relationship. In our age of computer-mediated communication, TYPING IN ALL CAPS is usually seen as offensive, as it is equated with yelling. A voice at a low volume or a whisper can be very appropriate when sending a covert message or flirting with a romantic partner, but it wouldn’t enhance a person’s credibility if used during a professional presentation.
Speaking rate refers to how fast or slow a person speaks and can lead others to form impressions about our emotional state, credibility, and intelligence. As with volume, variations in speaking rate can interfere with the ability of others to receive and understand verbal messages. A slow speaker could bore others and lead their attention to wander. A fast speaker may be difficult to follow, and the fast delivery can actually distract from the message. Speaking a little faster than the normal 120–150 words a minute, however, can be beneficial, as people tend to find speakers whose rate is above average more credible and intelligent. David B. Buller and Judee K. Burgoon, “The Effects of Vocalics and Nonverbal Sensitivity on Compliance,” Human Communication Research 13, no. 1 (1986): 126–44. When speaking at a faster-than-normal rate, it is important that a speaker also clearly articulate and pronounce his or her words. Boomhauer, a character on the show King of the Hill, is an example of a speaker whose fast rate of speech combines with a lack of articulation and pronunciation to create a stream of words that only he can understand. A higher rate of speech combined with a pleasant tone of voice can also be beneficial for compliance gaining and can aid in persuasion.
Our tone of voice can be controlled somewhat with pitch, volume, and emphasis, but each voice has a distinct quality known as a vocal signature. Voices vary in terms of resonance, pitch, and tone, and some voices are more pleasing than others. People typically find pleasing voices that employ vocal variety and are not monotone, are lower pitched (particularly for males), and do not exhibit particular regional accents. Many people perceive nasal voices negatively and assign negative personality characteristics to them. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 71. Think about people who have very distinct voices. Whether they are a public figure like President Bill Clinton, a celebrity like Snooki from the Jersey Shore, or a fictional character like Peter Griffin from Family Guy, some people’s voices stick with us and make a favorable or unfavorable impression.
Verbal fillers are sounds that fill gaps in our speech as we think about what to say next. They are considered a part of nonverbal communication because they are not like typical words that stand in for a specific meaning or meanings. Verbal fillers such as “um,” “uh,” “like,” and “ah” are common in regular conversation and are not typically disruptive. As we learned earlier, the use of verbal fillers can help a person “keep the floor” during a conversation if they need to pause for a moment to think before continuing on with verbal communication. Verbal fillers in more formal settings, like a public speech, can hurt a speaker’s credibility.
The following is a review of the various communicative functions of vocalics:
Repetition. Vocalic cues reinforce other verbal and nonverbal cues (e.g., saying “I’m not sure” with an uncertain tone).
Complementing. Vocalic cues elaborate on or modify verbal and nonverbal meaning (e.g., the pitch and volume used to say “I love sweet potatoes” would add context to the meaning of the sentence, such as the degree to which the person loves sweet potatoes or the use of sarcasm).
Accenting. Vocalic cues allow us to emphasize particular parts of a message, which helps determine meaning (e.g., “ She is my friend,” or “She is my friend,” or “She is my friend ”).
Substituting. Vocalic cues can take the place of other verbal or nonverbal cues (e.g., saying “uh huh” instead of “I am listening and understand what you’re saying”).
Regulating. Vocalic cues help regulate the flow of conversations (e.g., falling pitch and slowing rate of speaking usually indicate the end of a speaking turn).
Contradicting. Vocalic cues may contradict other verbal or nonverbal signals (e.g., a person could say “I’m fine” in a quick, short tone that indicates otherwise).
Proxemics
Proxemics
The study of how space and distance influence communication.
refers to the study of how space and distance influence communication. We only need look at the ways in which space shows up in common metaphors to see that space, communication, and relationships are closely related. For example, when we are content with and attracted to someone, we say we are “close” to him or her. When we lose connection with someone, we may say he or she is “distant.” In general, space influences how people communicate and behave. Smaller spaces with a higher density of people often lead to breaches of our personal space bubbles. If this is a setting in which this type of density is expected beforehand, like at a crowded concert or on a train during rush hour, then we make various communicative adjustments to manage the space issue. Unexpected breaches of personal space can lead to negative reactions, especially if we feel someone has violated our space voluntarily, meaning that a crowding situation didn’t force them into our space. Additionally, research has shown that crowding can lead to criminal or delinquent behavior, known as a “mob mentality.” Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 44. To better understand how proxemics functions in nonverbal communication, we will more closely examine the proxemic distances associated with personal space and the concept of territoriality.
Proxemic Distances
We all have varying definitions of what our “personal space” is, and these definitions are contextual and depend on the situation and the relationship. Although our bubbles are invisible, people are socialized into the norms of personal space within their cultural group. Scholars have identified four zones for US Americans, which are public, social, personal, and intimate distance. Edward T. Hall, “Proxemics,” Current Anthropology 9, no. 2 (1968): 83–95. The zones are more elliptical than circular, taking up more space in our front, where our line of sight is, than at our side or back where we can’t monitor what people are doing. You can see how these zones relate to each other and to the individual in Figure 4.1 "Proxemic Zones of Personal Space". Even within a particular zone, interactions may differ depending on whether someone is in the outer or inner part of the zone.
Figure 4.1 Proxemic Zones of Personal Space
Public Space (12 Feet or More)
Public and social zones refer to the space four or more feet away from our body, and the communication that typically occurs in these zones is formal and not intimate. Public space starts about twelve feet from a person and extends out from there. This is the least personal of the four zones and would typically be used when a person is engaging in a formal speech and is removed from the audience to allow the audience to see or when a high-profile or powerful person like a celebrity or executive maintains such a distance as a sign of power or for safety and security reasons. In terms of regular interaction, we are often not obligated or expected to acknowledge or interact with people who enter our public zone. It would be difficult to have a deep conversation with someone at this level because you have to speak louder and don’t have the physical closeness that is often needed to promote emotional closeness and/or establish rapport.
Social Space (4–12 Feet)
Communication that occurs in the social zone, which is four to twelve feet away from our body, is typically in the context of a professional or casual interaction, but not intimate or public. This distance is preferred in many professional settings because it reduces the suspicion of any impropriety. The expression “keep someone at an arm’s length” means that someone is kept out of the personal space and kept in the social/professional space. If two people held up their arms and stood so just the tips of their fingers were touching, they would be around four feet away from each other, which is perceived as a safe distance because the possibility for intentional or unintentional touching doesn’t exist. It is also possible to have people in the outer portion of our social zone but not feel obligated to interact with them, but when people come much closer than six feet to us then we often feel obligated to at least acknowledge their presence. In many typically sized classrooms, much of your audience for a speech will actually be in your social zone rather than your public zone, which is actually beneficial because it helps you establish a better connection with them. Students in large lecture classes should consider sitting within the social zone of the professor, since students who sit within this zone are more likely to be remembered by the professor, be acknowledged in class, and retain more information because they are close enough to take in important nonverbal and visual cues. Students who talk to me after class typically stand about four to five feet away when they speak to me, which keeps them in the outer part of the social zone, typical for professional interactions. When students have more personal information to discuss, they will come closer, which brings them into the inner part of the social zone.
Personal Space (1.5–4 Feet)
Personal and intimate zones refer to the space that starts at our physical body and extends four feet. These zones are reserved for friends, close acquaintances, and significant others. Much of our communication occurs in the personal zone, which is what we typically think of as our “personal space bubble” and extends from 1.5 feet to 4 feet away from our body. Even though we are getting closer to the physical body of another person, we may use verbal communication at this point to signal that our presence in this zone is friendly and not intimate. Even people who know each other could be uncomfortable spending too much time in this zone unnecessarily. This zone is broken up into two subzones, which helps us negotiate close interactions with people we may not be close to interpersonally. Matthew McKay, Martha Davis, and Patrick Fanning, Messages: Communication Skills Book, 2nd ed. (Oakland, CA: New Harbinger Publications, 1995), 59. The outer-personal zone extends from 2.5 feet to 4 feet and is useful for conversations that need to be private but that occur between people who are not interpersonally close. This zone allows for relatively intimate communication but doesn’t convey the intimacy that a closer distance would, which can be beneficial in professional settings. The inner-personal zone extends from 1.5 feet to 2.5 feet and is a space reserved for communication with people we are interpersonally close to or trying to get to know. In this subzone, we can easily touch the other person as we talk to them, briefly placing a hand on his or her arm or engaging in other light social touching that facilitates conversation, self-disclosure, and feelings of closeness.
Intimate Space
As we breach the invisible line that is 1.5 feet from our body, we enter the intimate zone, which is reserved for only the closest friends, family, and romantic/intimate partners. It is impossible to completely ignore people when they are in this space, even if we are trying to pretend that we’re ignoring them. A breach of this space can be comforting in some contexts and annoying or frightening in others. We need regular human contact that isn’t just verbal but also physical. We have already discussed the importance of touch in nonverbal communication, and in order for that much-needed touch to occur, people have to enter our intimate space. Being close to someone and feeling their physical presence can be very comforting when words fail. There are also social norms regarding the amount of this type of closeness that can be displayed in public, as some people get uncomfortable even seeing others interacting in the intimate zone. While some people are comfortable engaging in or watching others engage in PDAs (public displays of affection) others are not.
So what happens when our space is violated? Although these zones are well established in research for personal space preferences of US Americans, individuals vary in terms of their reactions to people entering certain zones, and determining what constitutes a “violation” of space is subjective and contextual. For example, another person’s presence in our social or public zones doesn’t typically arouse suspicion or negative physical or communicative reactions, but it could in some situations or with certain people. However, many situations lead to our personal and intimate space being breached by others against our will, and these breaches are more likely to be upsetting, even when they are expected. We’ve all had to get into a crowded elevator or wait in a long line. In such situations, we may rely on some verbal communication to reduce immediacy and indicate that we are not interested in closeness and are aware that a breach has occurred. People make comments about the crowd, saying, “We’re really packed in here like sardines,” or use humor to indicate that they are pleasant and well adjusted and uncomfortable with the breach like any “normal” person would be. Interestingly, as we will learn in our discussion of territoriality, we do not often use verbal communication to defend our personal space during regular interactions. Instead, we rely on more nonverbal communication like moving, crossing our arms, or avoiding eye contact to deal with breaches of space.
Territoriality
Territoriality
An innate drive to take up and defend spaces.
is an innate drive to take up and defend spaces. This drive is shared by many creatures and entities, ranging from packs of animals to individual humans to nations. Whether it’s a gang territory, a neighborhood claimed by a particular salesperson, your preferred place to sit in a restaurant, your usual desk in the classroom, or the seat you’ve marked to save while getting concessions at a sporting event, we claim certain spaces as our own. There are three main divisions for territory: primary, secondary, and public. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 70–71. Sometimes our claim to a space is official. These spaces are known as our primary territories because they are marked or understood to be exclusively ours and under our control. A person’s house, yard, room, desk, side of the bed, or shelf in the medicine cabinet could be considered primary territories.
Secondary territories don’t belong to us and aren’t exclusively under our control, but they are associated with us, which may lead us to assume that the space will be open and available to us when we need it without us taking any further steps to reserve it. This happens in classrooms regularly. Students often sit in the same desk or at least same general area as they did on the first day of class. There may be some small adjustments during the first couple of weeks, but by a month into the semester, I don’t notice students moving much voluntarily. When someone else takes a student’s regular desk, she or he is typically annoyed. I do classroom observations for the graduate teaching assistants I supervise, which means I come into the classroom toward the middle of the semester and take a seat in the back to evaluate the class session. Although I don’t intend to take someone’s seat, on more than one occasion, I’ve been met by the confused or even glaring eyes of a student whose routine is suddenly interrupted when they see me sitting in “their seat.”
Public territories are open to all people. People are allowed to mark public territory and use it for a limited period of time, but space is often up for grabs, which makes public space difficult to manage for some people and can lead to conflict. To avoid this type of situation, people use a variety of objects that are typically recognized by others as nonverbal cues that mark a place as temporarily reserved—for example, jackets, bags, papers, or a drink. There is some ambiguity in the use of markers, though. A half-empty cup of coffee may be seen as trash and thrown away, which would be an annoying surprise to a person who left it to mark his or her table while visiting the restroom. One scholar’s informal observations revealed that a full drink sitting on a table could reserve a space in a university cafeteria for more than an hour, but a cup only half full usually only worked as a marker of territory for less than ten minutes. People have to decide how much value they want their marker to have. Obviously, leaving a laptop on a table indicates that the table is occupied, but it could also lead to the laptop getting stolen. A pencil, on the other hand, could just be moved out of the way and the space usurped.
Chronemics
Chronemics
The study of how time affects communication.
refers to the study of how time affects communication. Time can be classified into several different categories, including biological, personal, physical, and cultural time. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 65–66. Biological time refers to the rhythms of living things. Humans follow a circadian rhythm, meaning that we are on a daily cycle that influences when we eat, sleep, and wake. When our natural rhythms are disturbed, by all-nighters, jet lag, or other scheduling abnormalities, our physical and mental health and our communication competence and personal relationships can suffer. Keep biological time in mind as you communicate with others. Remember that early morning conversations and speeches may require more preparation to get yourself awake enough to communicate well and a more patient or energetic delivery to accommodate others who may still be getting warmed up for their day.
Personal time refers to the ways in which individuals experience time. The way we experience time varies based on our mood, our interest level, and other factors. Think about how quickly time passes when you are interested in and therefore engaged in something. I have taught fifty-minute classes that seemed to drag on forever and three-hour classes that zipped by. Individuals also vary based on whether or not they are future or past oriented. People with past-time orientations may want to reminisce about the past, reunite with old friends, and put considerable time into preserving memories and keepsakes in scrapbooks and photo albums. People with future-time orientations may spend the same amount of time making career and personal plans, writing out to-do lists, or researching future vacations, potential retirement spots, or what book they’re going to read next.
Physical time refers to the fixed cycles of days, years, and seasons. Physical time, especially seasons, can affect our mood and psychological states. Some people experience seasonal affective disorder that leads them to experience emotional distress and anxiety during the changes of seasons, primarily from warm and bright to dark and cold (summer to fall and winter).
Cultural time refers to how a large group of people view time. Polychronic people do not view time as a linear progression that needs to be divided into small units and scheduled in advance. Polychronic people keep more flexible schedules and may engage in several activities at once. Monochronic people tend to schedule their time more rigidly and do one thing at a time. A polychronic or monochronic orientation to time influences our social realities and how we interact with others.
Additionally, the way we use time depends in some ways on our status. For example, doctors can make their patients wait for extended periods of time, and executives and celebrities may run consistently behind schedule, making others wait for them. Promptness and the amount of time that is socially acceptable for lateness and waiting varies among individuals and contexts. Chronemics also covers the amount of time we spend talking. We’ve already learned that conversational turns and turn-taking patterns are influenced by social norms and help our conversations progress. We all know how annoying it can be when a person dominates a conversation or when we can’t get a person to contribute anything.
Personal Presentation and Environment
Personal presentation involves two components: our physical characteristics and the artifacts with which we adorn and surround ourselves. Physical characteristics include body shape, height, weight, attractiveness, and other physical features of our bodies. We do not have as much control over how these nonverbal cues are encoded as we do with many other aspects of nonverbal communication. As Chapter 2 "Communication and Perception" noted, these characteristics play a large role in initial impression formation even though we know we “shouldn’t judge a book by its cover.” Although ideals of attractiveness vary among cultures and individuals, research consistently indicates that people who are deemed attractive based on physical characteristics have distinct advantages in many aspects of life. This fact, along with media images that project often unrealistic ideals of beauty, have contributed to booming health and beauty, dieting, gym, and plastic surgery industries. While there have been some controversial reality shows that seek to transform people’s physical characteristics, like Extreme Makeover, The Swan, and The Biggest Loser, the relative ease with which we can change the artifacts that send nonverbal cues about us has led to many more style and space makeover shows.
Have you ever tried to consciously change your “look?” I can distinctly remember two times in my life when I made pretty big changes in how I presented myself in terms of clothing and accessories. In high school, at the height of the “thrift store” craze, I started wearing clothes from the local thrift store daily. Of course, most of them were older clothes, so I was basically going for a “retro” look, which I thought really suited me at the time. Then in my junior year of college, as graduation finally seemed on the horizon and I felt myself entering a new stage of adulthood, I started wearing business-casual clothes to school every day, embracing the “dress for the job you want” philosophy. In both cases, these changes definitely impacted how others perceived me. Television programs like What Not to Wear seek to show the power of wardrobe and personal style changes in how people communicate with others.
Aside from clothes, jewelry, visible body art, hairstyles, and other political, social, and cultural symbols send messages to others about who we are. In the United States, body piercings and tattoos have been shifting from subcultural to mainstream over the past few decades. The physical location, size, and number of tattoos and piercings play a large role in whether or not they are deemed appropriate for professional contexts, and many people with tattoos and/or piercings make conscious choices about when and where they display their body art. Hair also sends messages whether it is on our heads or our bodies. Men with short hair are generally judged to be more conservative than men with long hair, but men with shaved heads may be seen as aggressive. Whether a person has a part in their hair, a mohawk, faux-hawk, ponytail, curls, or bright pink hair also sends nonverbal signals to others.
Jewelry can also send messages with varying degrees of direct meaning. A ring on the “ring finger” of a person’s left hand typically indicates that they are married or in an otherwise committed relationship. A thumb ring or a right-hand ring on the “ring finger” doesn’t send such a direct message. People also adorn their clothes, body, or belongings with religious or cultural symbols, like a cross to indicate a person’s Christian faith or a rainbow flag to indicate that a person is gay, lesbian, bisexual, transgender, queer, or an ally to one or more of those groups. People now wear various types of rubber bracelets, which have become a popular form of social cause marketing, to indicate that they identify with the “Livestrong” movement or support breast cancer awareness and research.
The objects that surround us send nonverbal cues that may influence how people perceive us. What impression does a messy, crowded office make?
© Thinkstock
Last, the environment in which we interact affects our verbal and nonverbal communication. This is included because we can often manipulate the nonverbal environment similar to how we would manipulate our gestures or tone of voice to suit our communicative needs. The books that we display on our coffee table, the magazines a doctor keeps in his or her waiting room, the placement of fresh flowers in a foyer, or a piece of mint chocolate on a hotel bed pillow all send particular messages and can easily be changed. The placement of objects and furniture in a physical space can help create a formal, distant, friendly, or intimate climate. In terms of formality, we can use nonverbal communication to convey dominance and status, which helps define and negotiate power and roles within relationships. Fancy cars and expensive watches can serve as symbols that distinguish a CEO from an entry-level employee. A room with soft lighting, a small fountain that creates ambient sounds of water flowing, and a comfy chair can help facilitate interactions between a therapist and a patient. In summary, whether we know it or not, our physical characteristics and the artifacts that surround us communicate much.
“Getting Plugged In”
Avatars
Avatars are computer-generated images that represent users in online environments or are created to interact with users in online and offline situations. Avatars can be created in the likeness of humans, animals, aliens, or other nonhuman creatures. Katrin Allmendinger, “Social Presence in Synchronous Virtual Learning Situations: The Role of Nonverbal Signals Displayed by Avatars,” Educational Psychology Review 22, no. 1 (2010): 42. Avatars vary in terms of functionality and technical sophistication and can include stationary pictures like buddy icons, cartoonish but humanlike animations like a Mii character on the Wii, or very humanlike animations designed to teach or assist people in virtual environments. More recently, 3-D holographic avatars have been put to work helping travelers at airports in Paris and New York. Steve Strunksy, “New Airport Service Rep Is Stiff and Phony, but She’s Friendly,” NJ.COM, May 22, 2012, accessed June 28, 2012, http://www.nj.com/news/index.ssf/2012/05/new_airport_service_rep_is_sti.html; Tecca, “New York City Airports Install New, Expensive Holograms to Help You Find Your Way,” Y! Tech: A Yahoo! News Blog, May 22, 2012, accessed June 28, 2012, http://news.yahoo.com/blogs/technology-blog/york-city-airports-install-expensive-holograms-help-way-024937526.html. Research has shown, though, that humanlike avatars influence people even when they are not sophisticated in terms of functionality and adaptability. Amy L. Baylor, “The Design of Motivational Agents and Avatars,” Educational Technology Research and Development 59, no. 2 (2011): 291–300. Avatars are especially motivating and influential when they are similar to the observer or user but more closely represent the person’s ideal self. Appearance has been noted as one of the most important attributes of an avatar designed to influence or motivate. Attractiveness, coolness (in terms of clothing and hairstyle), and age were shown to be factors that increase or decrease the influence an avatar has over users. Amy L. Baylor, “The Design of Motivational Agents and Avatars,” Educational Technology Research and Development 59, no. 2 (2011): 291–300.
People also create their own avatars as self-representations in a variety of online environments ranging from online role-playing games like World of Warcraft and Second Life to some online learning management systems used by colleges and universities. Research shows that the line between reality and virtual reality can become blurry when it comes to avatar design and identification. This can become even more pronounced when we consider that some users, especially of online role-playing games, spend about twenty hours a week as their avatar.
Avatars do more than represent people in online worlds; they also affect their behaviors offline. For example, one study found that people who watched an avatar that looked like them exercising and losing weight in an online environment exercised more and ate healthier in the real world. Jesse Fox and Jeremy M. Bailenson, “Virtual Self-Modeling: The Effects of Vicarious Reinforcement and Identification on Exercise Behaviors,” Media Psychology 12, no. 1 (2009): 1–25. Seeing an older version of them online led participants to form a more concrete social and psychological connection with their future selves, which led them to invest more money in a retirement account. People’s actions online also mirror the expectations for certain physical characteristics, even when the user doesn’t exhibit those characteristics and didn’t get to choose them for his or her avatar. For example, experimental research showed that people using more attractive avatars were more extroverted and friendly than those with less attractive avatars, which is also a nonverbal communication pattern that exists among real people. In summary, people have the ability to self-select physical characteristics and personal presentation for their avatars in a way that they can’t in their real life. People come to see their avatars as part of themselves, which opens the possibility for avatars to affect users’ online and offline communication. Changsoo Kim, Sang-Gun Lee, and Minchoel Kang, “I Became an Attractive Person in the Virtual World: Users’ Identification with Virtual Communities and Avatars,” Computers in Human Behavior, 28, no. 5 (2012): 1663–69
Describe an avatar that you have created for yourself. What led you to construct the avatar the way you did, and how do you think your choices reflect your typical nonverbal self-presentation? If you haven’t ever constructed an avatar, what would you make your avatar look like and why?
In 2009, a man in Japan became the first human to marry an avatar (that we know of). Although he claims that his avatar is better than any human girlfriend, he has been criticized as being out of touch with reality. You can read more about this human-avatar union through the following link: http://articles.cnn.com/2009-12-16/world/japan.virtual.wedding_1_virtual-world-sal-marry?_s=PM:WORLD. Do you think the boundaries between human reality and avatar fantasy will continue to fade as we become a more technologically fused world? How do you feel about interacting more with avatars in customer service situations like the airport avatar mentioned above? What do you think about having avatars as mentors, role models, or teachers?
Key Takeaways
Kinesics refers to body movements and posture and includes the following components:
Gestures are arm and hand movements and include adaptors like clicking a pen or scratching your face, emblems like a thumbs-up to say “OK,” and illustrators like bouncing your hand along with the rhythm of your speaking.
Head movements and posture include the orientation of movements of our head and the orientation and positioning of our body and the various meanings they send. Head movements such as nodding can indicate agreement, disagreement, and interest, among other things. Posture can indicate assertiveness, defensiveness, interest, readiness, or intimidation, among other things.
Eye contact is studied under the category of oculesics and specifically refers to eye contact with another person’s face, head, and eyes and the patterns of looking away and back at the other person during interaction. Eye contact provides turn-taking signals, signals when we are engaged in cognitive activity, and helps establish rapport and connection, among other things.
Facial expressions refer to the use of the forehead, brow, and facial muscles around the nose and mouth to convey meaning. Facial expressions can convey happiness, sadness, fear, anger, and other emotions.
Haptics refers to touch behaviors that convey meaning during interactions. Touch operates at many levels, including functional-professional, social-polite, friendship-warmth, and love-intimacy.
Vocalics refers to the vocalized but not verbal aspects of nonverbal communication, including our speaking rate, pitch, volume, tone of voice, and vocal quality. These qualities, also known as paralanguage, reinforce the meaning of verbal communication, allow us to emphasize particular parts of a message, or can contradict verbal messages.
Proxemics refers to the use of space and distance within communication. US Americans, in general, have four zones that constitute our personal space: the public zone (12 or more feet from our body), social zone (4–12 feet from our body), the personal zone (1.5–4 feet from our body), and the intimate zone (from body contact to 1.5 feet away). Proxemics also studies territoriality, or how people take up and defend personal space.
Chronemics refers the study of how time affects communication and includes how different time cycles affect our communication, including the differences between people who are past or future oriented and cultural perspectives on time as fixed and measured (monochronic) or fluid and adaptable (polychronic).
Personal presentation and environment refers to how the objects we adorn ourselves and our surroundings with, referred to as artifacts, provide nonverbal cues that others make meaning from and how our physical environment—for example, the layout of a room and seating positions and arrangements—influences communication.
Exercises
Provide some examples of how eye contact plays a role in your communication throughout the day.
One of the key functions of vocalics is to add emphasis to our verbal messages to influence the meaning. Provide a meaning for each of the following statements based on which word is emphasized: “ She is my friend.” “She is my friend.” “She is my friend .”
Getting integrated: Many people do not think of time as an important part of our nonverbal communication. Provide an example of how chronemics sends nonverbal messages in academic settings, professional settings, and personal settings. | msmarco_doc_00_9560653 |
http://2012books.lardbucket.org/books/a-primer-on-communication-studies/s04-nonverbal-communication.html | Nonverbal Communication | Chapter 4
Nonverbal Communication
Chapter 4 Nonverbal Communication
4.1 Principles and Functions of Nonverbal Communication
Learning Objectives
Principles of Nonverbal Communication
Nonverbal Communication Conveys Important Interpersonal and Emotional Messages
Nonverbal Communication Is More Involuntary than Verbal
Nonverbal Communication Is More Ambiguous
Nonverbal Communication Is More Credible
Functions of Nonverbal Communication
Nonverbal Communication Conveys Meaning
Nonverbal Communication Influences Others
Nonverbal Communication Regulates Conversational Flow
Nonverbal Communication Affects Relationships
“Getting Real”
Nonverbal Communication Expresses Our Identities
Key Takeaways
Exercises
4.2 Types of Nonverbal Communication
Learning Objectives
Kinesics
Gestures
Head Movements and Posture
Eye Contact
Facial Expressions
Haptics
“Getting Critical”
Vocalics
Proxemics
Proxemic Distances
Public Space (12 Feet or More)
Social Space (4–12 Feet)
Personal Space (1.5–4 Feet)
Intimate Space
Territoriality
Chronemics
Personal Presentation and Environment
“Getting Plugged In”
Key Takeaways
Exercises
4.3 Nonverbal Communication Competence
Learning Objectives
Guidelines for Sending Nonverbal Messages
Understand That Nonverbal Communication Is Multichannel
Understand That Nonverbal Communication Affects Our Interactions
Understand How Nonverbal Communication Creates Rapport
Understand How Nonverbal Communication Regulates Conversations
Understand How Nonverbal Communication Relates to Listening
Understand How Nonverbal Communication Relates to Impression Management
Increase Competence in Specific Channels of Nonverbal Communication
Kinesics
Gestures
Eye Contact
Facial Expressions
Haptics
Vocalics
Proxemics
Chronemics
Personal Presentation and Environment
Guidelines for Interpreting Nonverbal Messages
There Is No Nonverbal Dictionary
Recognize That Certain Nonverbal Signals Are Related
Read Nonverbal Cues in Context
Interpreting Cues within Specific Channels
Kinesics
Head Movements and Posture
Eye Contact
Facial Expressions
Haptics
Vocalics
Proxemics
Personal Presentation and Environment
Detecting Deception
“Getting Competent”
Key Takeaways
Exercises
4.4 Nonverbal Communication in Context
Learning Objectives
Nonverbal Communication in Relational Contexts
Nonverbal Communication in Professional Contexts
Nonverbal Communication and Culture
Kinesics
Gestures
Video Clip 4.1
Head Movements
Eye Contact
Haptics
Vocalics
Proxemics
Chronemics
Nonverbal Communication and Gender
Kinesics
Gestures
Posture
Eye Contact
Facial Expressions
Haptics
Vocalics
Proxemics
Self-Presentation
Key Takeaways
Exercises
| Nonverbal Communication
Chapter 4 Nonverbal Communication
When we think about communication, we most often focus on how we exchange information using words. While verbal communication is important, humans relied on nonverbal communication for thousands of years before we developed the capability to communicate with words. Nonverbal communication
A process of generating meaning using behavior other than words.
is a process of generating meaning using behavior other than words. Rather than thinking of nonverbal communication as the opposite of or as separate from verbal communication, it’s more accurate to view them as operating side by side—as part of the same system. Yet, as part of the same system, they still have important differences, including how the brain processes them. For instance, nonverbal communication is typically governed by the right side of the brain and verbal, the left. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 2–8. This hemispheric distinction has been clearly evidenced, as people who suffer trauma to the right side of their brain lose the ability to recognize facial expressions but can still process verbal communication. Conversely, people whose left hemisphere of the brain is damaged lose the ability to speak, read, and understand language. Interestingly, a person with damage to the left hemisphere of the brain who loses the ability to speak can often still sing since the creation, but not the reading, of music is governed by the right brain. The content and composition of verbal and nonverbal communication also differs. In terms of content, nonverbal communication tends to do the work of communicating emotions more than verbal. In terms of composition, although there are rules of grammar that structure our verbal communication, no such official guides govern our use of nonverbal signals. Likewise, there aren’t dictionaries and thesauruses of nonverbal communication like there are with verbal symbols. Finally, whereas we humans are unique in our capacity to abstract and transcend space and time using verbal symbols, we are not the only creatures that engage in nonverbal communication. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 49. These are just some of the characteristics that differentiate verbal communication from nonverbal, and in the remainder of this chapter we will discuss in more detail the principles, functions, and types of nonverbal communication and conclude with some guidance on how to improve our nonverbal communication competence.
4.1 Principles and Functions of Nonverbal Communication
Learning Objectives
Define nonverbal communication.
Compare and contrast verbal communication and nonverbal communication.
Discuss the principles of nonverbal communication.
Provide examples of the functions of nonverbal communication.
As you’ll recall from our introductory chapter, a channel is the sensory route on which a message travels. Oral communication only relies on one channel, because spoken language is transmitted through sound and picked up by our ears. Nonverbal communication, on the other hand, can be taken in by all five of our senses. Since most of our communication relies on visual and auditory channels, those will be the focus of this chapter. But we can also receive messages and generate meaning through touch, taste, and smell. Touch is an especially powerful form of nonverbal communication that we will discuss in this chapter, but we will not get into taste and smell, which have not received as much scholarly attention in relation to nonverbal communication as the other senses.
To further define nonverbal communication, we need to distinguish between vocal and verbal aspects of communication. Verbal and nonverbal communication include both vocal and nonvocal elements, and Table 4.1 "Vocal and Nonvocal Elements of Communication" shows the relationship among vocal, nonvocal, verbal, and nonverbal aspects of communication. A vocal element of verbal communication is spoken words—for example, “Come back here.” A vocal element of nonverbal communication is paralanguage
The vocalized but not verbal part of a spoken message, such as speaking rate, volume, and pitch.
, which is the vocalized but not verbal part of a spoken message, such as speaking rate, volume, and pitch. Nonvocal elements of verbal communication include the use of unspoken symbols to convey meaning. Writing and American Sign Language (ASL) are nonvocal examples of verbal communication and are not considered nonverbal communication. Nonvocal elements of nonverbal communication include body language such as gestures, facial expressions, and eye contact. Gestures are nonvocal and nonverbal since most of them do not refer to a specific word like a written or signed symbol does.
Table 4.1 Vocal and Nonvocal Elements of Communication
Verbal Communication
Nonverbal Communication
Vocal
Spoken words
Paralanguage (pitch, volume, speaking rate, etc.)
Nonvocal
Writing, sign language
Body language (gestures, facial expressions, eye contact, etc.)
Source: Adapted from Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 45.
Principles of Nonverbal Communication
Nonverbal communication has a distinct history and serves separate evolutionary functions from verbal communication. For example, nonverbal communication is primarily biologically based while verbal communication is primarily culturally based. This is evidenced by the fact that some nonverbal communication has the same meaning across cultures while no verbal communication systems share that same universal recognizability. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 17. Nonverbal communication also evolved earlier than verbal communication and served an early and important survival function that helped humans later develop verbal communication. While some of our nonverbal communication abilities, like our sense of smell, lost strength as our verbal capacities increased, other abilities like paralanguage and movement have grown alongside verbal complexity. The fact that nonverbal communication is processed by an older part of our brain makes it more instinctual and involuntary than verbal communication.
Nonverbal Communication Conveys Important Interpersonal and Emotional Messages
You’ve probably heard that more meaning is generated from nonverbal communication than from verbal. Some studies have claimed that 90 percent of our meaning is derived from nonverbal signals, but more recent and reliable findings claim that it is closer to 65 percent. Laura K. Guerrero and Kory Floyd, Nonverbal Communication in Close Relationships (Mahwah, NJ: Lawrence Erlbaum, 2006): 2. We may rely more on nonverbal signals in situations where verbal and nonverbal messages conflict and in situations where emotional or relational communication is taking place. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 47. For example, when someone asks a question and we’re not sure about the “angle” they are taking, we may hone in on nonverbal cues to fill in the meaning. For example, the question “What are you doing tonight?” could mean any number of things, but we could rely on posture, tone of voice, and eye contact to see if the person is just curious, suspicious, or hinting that they would like company for the evening. We also put more weight on nonverbal communication when determining a person’s credibility. For example, if a classmate delivers a speech in class and her verbal content seems well-researched and unbiased, but her nonverbal communication is poor (her voice is monotone, she avoids eye contact, she fidgets), she will likely not be viewed as credible. Conversely, in some situations, verbal communication might carry more meaning than nonverbal. In interactions where information exchange is the focus, at a briefing at work, for example, verbal communication likely accounts for much more of the meaning generated. Despite this exception, a key principle of nonverbal communication is that it often takes on more meaning in interpersonal and/or emotional exchanges.
About 65 percent of the meaning we derive during interactions comes from nonverbal communication.
© Thinkstock
Nonverbal Communication Is More Involuntary than Verbal
There are some instances in which we verbally communicate involuntarily. These types of exclamations are often verbal responses to a surprising stimulus. For example, we say “owww!” when we stub our toe or scream “stop!” when we see someone heading toward danger. Involuntary nonverbal signals are much more common, and although most nonverbal communication isn’t completely involuntary, it is more below our consciousness than verbal communication and therefore more difficult to control.
The involuntary nature of much nonverbal communication makes it more difficult to control or “fake.” For example, although you can consciously smile a little and shake hands with someone when you first see them, it’s difficult to fake that you’re “happy” to meet someone. Nonverbal communication leaks out in ways that expose our underlying thoughts or feelings. Spokespeople, lawyers, or other public representatives who are the “face” of a politician, celebrity, corporation, or organization must learn to control their facial expressions and other nonverbal communication so they can effectively convey the message of their employer or client without having their personal thoughts and feelings leak through. Poker players, therapists, police officers, doctors, teachers, and actors are also in professions that often require them to have more awareness of and control over their nonverbal communication.
Have you ever tried to conceal your surprise, suppress your anger, or act joyful even when you weren’t? Most people whose careers don’t involve conscious manipulation of nonverbal signals find it difficult to control or suppress them. While we can consciously decide to stop sending verbal messages, our nonverbal communication always has the potential of generating meaning for another person. The teenager who decides to shut out his dad and not communicate with him still sends a message with his “blank” stare (still a facial expression) and lack of movement (still a gesture). In this sense, nonverbal communication is “irrepressible.” Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 21.
Nonverbal Communication Is More Ambiguous
In Chapter 3 "Verbal Communication", we learn that the symbolic and abstract nature of language can lead to misunderstandings, but nonverbal communication is even more ambiguous. As with verbal communication, most of our nonverbal signals can be linked to multiple meanings, but unlike words, many nonverbal signals do not have any one specific meaning. If you’ve ever had someone wink at you and didn’t know why, you’ve probably experienced this uncertainty. Did they wink to express their affection for you, their pleasure with something you just did, or because you share some inside knowledge or joke?
Just as we look at context clues in a sentence or paragraph to derive meaning from a particular word, we can look for context clues in various sources of information like the physical environment, other nonverbal signals, or verbal communication to make sense of a particular nonverbal cue. Unlike verbal communication, however, nonverbal communication doesn’t have explicit rules of grammar that bring structure, order, and agreed-on patterns of usage. Instead, we implicitly learn norms of nonverbal communication, which leads to greater variance. In general, we exhibit more idiosyncrasies in our usage of nonverbal communication than we do with verbal communication, which also increases the ambiguity of nonverbal communication.
Nonverbal Communication Is More Credible
Although we can rely on verbal communication to fill in the blanks sometimes left by nonverbal expressions, we often put more trust into what people do over what they say. This is especially true in times of stress or danger when our behaviors become more instinctual and we rely on older systems of thinking and acting that evolved before our ability to speak and write. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 18. This innateness creates intuitive feelings about the genuineness of nonverbal communication, and this genuineness relates back to our earlier discussion about the sometimes involuntary and often subconscious nature of nonverbal communication. An example of the innateness of nonverbal signals can be found in children who have been blind since birth but still exhibit the same facial expressions as other children. In short, the involuntary or subconscious nature of nonverbal communication makes it less easy to fake, which makes it seem more honest and credible. We will learn more about the role that nonverbal communication plays in deception later in this chapter.
Functions of Nonverbal Communication
A primary function of nonverbal communication is to convey meaning by reinforcing, substituting for, or contradicting verbal communication. Nonverbal communication is also used to influence others and regulate conversational flow. Perhaps even more important are the ways in which nonverbal communication functions as a central part of relational communication and identity expression.
Nonverbal Communication Conveys Meaning
Nonverbal communication conveys meaning by reinforcing, substituting for, or contradicting verbal communication. As we’ve already learned, verbal and nonverbal communication are two parts of the same system that often work side by side, helping us generate meaning. In terms of reinforcing verbal communication, gestures can help describe a space or shape that another person is unfamiliar with in ways that words alone cannot. Gestures also reinforce basic meaning—for example, pointing to the door when you tell someone to leave. Facial expressions reinforce the emotional states we convey through verbal communication. For example, smiling while telling a funny story better conveys your emotions. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 51. Vocal variation can help us emphasize a particular part of a message, which helps reinforce a word or sentence’s meaning. For example, saying “How was your weekend?” conveys a different meaning than “How was your weekend ?”
Nonverbal communication can substitute for verbal communication in a variety of ways. Nonverbal communication can convey much meaning when verbal communication isn’t effective because of language barriers. Language barriers are present when a person hasn’t yet learned to speak or loses the ability to speak. For example, babies who have not yet developed language skills make facial expressions, at a few months old, that are similar to those of adults and therefore can generate meaning. Harriet Oster, Douglas Hegley, and Linda Nagel, “Adult Judgments and Fine-Grained Analysis of Infant Facial Expressions: Testing the Validity of A Priori Coding Formulas,” Developmental Psychology 28, no. 6 (1992): 1115–31. People who have developed language skills but can’t use them because they have temporarily or permanently lost them or because they are using incompatible language codes, like in some cross-cultural encounters, can still communicate nonverbally. Although it’s always a good idea to learn some of the local language when you travel, gestures such as pointing or demonstrating the size or shape of something may suffice in basic interactions.
Nonverbal communication is also useful in a quiet situation where verbal communication would be disturbing; for example, you may use a gesture to signal to a friend that you’re ready to leave the library. Crowded or loud places can also impede verbal communication and lead people to rely more on nonverbal messages. Getting a server or bartender’s attention with a hand gesture is definitely more polite than yelling, “Hey you!” Finally, there are just times when we know it’s better not to say something aloud. If you want to point out a person’s unusual outfit or signal to a friend that you think his or her date is a loser, you’re probably more likely to do that nonverbally.
Last, nonverbal communication can convey meaning by contradicting verbal communication. As we learned earlier, we often perceive nonverbal communication to be more credible than verbal communication. This is especially true when we receive mixed messages
Messages in which verbal and nonverbal signals contradict each other.
, or messages in which verbal and nonverbal signals contradict each other. For example, a person may say, “You can’t do anything right!” in a mean tone but follow that up with a wink, which could indicate the person is teasing or joking. Mixed messages lead to uncertainty and confusion on the part of receivers, which leads us to look for more information to try to determine which message is more credible. If we are unable to resolve the discrepancy, we are likely to react negatively and potentially withdraw from the interaction. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 52. Persistent mixed messages can lead to relational distress and hurt a person’s credibility in professional settings.
We send mixed messages when our verbal and nonverbal communication contradict each other. If this woman said she was excited about seeing you, would you believe her?
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Nonverbal Communication Influences Others
Nonverbal communication can be used to influence people in a variety of ways, but the most common way is through deception. Deception is typically thought of as the intentional act of altering information to influence another person, which means that it extends beyond lying to include concealing, omitting, or exaggerating information. While verbal communication is to blame for the content of the deception, nonverbal communication partners with the language through deceptive acts to be more convincing. Since most of us intuitively believe that nonverbal communication is more credible than verbal communication, we often intentionally try to control our nonverbal communication when we are engaging in deception. Likewise, we try to evaluate other people’s nonverbal communication to determine the veracity of their messages. Students initially seem surprised when we discuss the prevalence of deception, but their surprise diminishes once they realize that deception isn’t always malevolent, mean, or hurtful. Deception obviously has negative connotations, but people engage in deception for many reasons, including to excuse our own mistakes, to be polite to others, or to influence others’ behaviors or perceptions.
The fact that deception served an important evolutionary purpose helps explain its prevalence among humans today. Species that are capable of deception have a higher survival rate. Other animals engage in nonverbal deception that helps them attract mates, hide from predators, and trap prey. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 276. To put it bluntly, the better at deception a creature is, the more likely it is to survive. So, over time, the humans that were better liars were the ones that got their genes passed on. But the fact that lying played a part in our survival as a species doesn’t give us a license to lie.
Aside from deception, we can use nonverbal communication to “take the edge off” a critical or unpleasant message in an attempt to influence the reaction of the other person. We can also use eye contact and proximity to get someone to move or leave an area. For example, hungry diners waiting to snag a first-come-first-serve table in a crowded restaurant send messages to the people who have already eaten and paid that it’s time to go. People on competition reality television shows like Survivor and Big Brother play what they’ve come to term a “social game.” The social aspects of the game involve the manipulation of verbal and nonverbal cues to send strategic messages about oneself in an attempt to influence others. Nonverbal cues such as length of conversational turn, volume, posture, touch, eye contact, and choices of clothing and accessories can become part of a player’s social game strategy. Although reality television isn’t a reflection of real life, people still engage in competition and strategically change their communication to influence others, making it important to be aware of how we nonverbally influence others and how they may try to influence us.
Nonverbal Communication Regulates Conversational Flow
Conversational interaction has been likened to a dance, where each person has to make moves and take turns without stepping on the other’s toes. Nonverbal communication helps us regulate our conversations so we don’t end up constantly interrupting each other or waiting in awkward silences between speaker turns. Pitch, which is a part of vocalics, helps us cue others into our conversational intentions. A rising pitch typically indicates a question and a falling pitch indicates the end of a thought or the end of a conversational turn. We can also use a falling pitch to indicate closure, which can be very useful at the end of a speech to signal to the audience that you are finished, which cues the applause and prevents an awkward silence that the speaker ends up filling with “That’s it” or “Thank you.” We also signal our turn is coming to an end by stopping hand gestures and shifting our eye contact to the person who we think will speak next. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 53. Conversely, we can “hold the floor” with nonverbal signals even when we’re not exactly sure what we’re going to say next. Repeating a hand gesture or using one or more verbal fillers can extend our turn even though we are not verbally communicating at the moment.
Nonverbal Communication Affects Relationships
To successfully relate to other people, we must possess some skill at encoding and decoding nonverbal communication. The nonverbal messages we send and receive influence our relationships in positive and negative ways and can work to bring people together or push them apart. Nonverbal communication in the form of tie signs, immediacy behaviors, and expressions of emotion are just three of many examples that illustrate how nonverbal communication affects our relationships.
Tie signs
Nonverbal cues that communicate intimacy and signal the connection between two people.
are nonverbal cues that communicate intimacy and signal the connection between two people. These relational indicators can be objects such as wedding rings or tattoos that are symbolic of another person or the relationship, actions such as sharing the same drinking glass, or touch behaviors such as hand-holding. Walid A. Afifi and Michelle L. Johnson, “The Nature and Function of Tie-Signs,” in The Sourcebook of Nonverbal Measures: Going beyond Words, ed. Valerie Manusov (Mahwah, NJ: Lawrence Erlbaum, 2005): 190. Touch behaviors are the most frequently studied tie signs and can communicate much about a relationship based on the area being touched, the length of time, and the intensity of the touch. Kisses and hugs, for example, are considered tie signs, but a kiss on the cheek is different from a kiss on the mouth and a full embrace is different from a half embrace. If you consider yourself a “people watcher,” take note of the various tie signs you see people use and what they might say about the relationship.
Immediacy behaviors play a central role in bringing people together and have been identified by some scholars as the most important function of nonverbal communication. Peter A. Andersen and Janis F. Andersen, “Measures of Perceived Nonverbal Immediacy,” in The Sourcebook of Nonverbal Measures: Going beyond Words, ed. Valerie Manusov (Mahwah, NJ: Lawrence Erlbaum, 2005): 113–26. Immediacy behaviors
Verbal and nonverbal behaviors that lessen real or perceived physical and psychological distance between communicators.
are verbal and nonverbal behaviors that lessen real or perceived physical and psychological distance between communicators and include things like smiling, nodding, making eye contact, and occasionally engaging in social, polite, or professional touch. Mark E. Comadena, Stephen K. Hunt, and Cheri J. Simonds, “The Effects of Teacher Clarity, Nonverbal Immediacy, and Caring on Student Motivation, Affective and Cognitive Learning,” Communication Research Reports 24, no. 3 (2007): 241. Immediacy behaviors are a good way of creating rapport, or a friendly and positive connection between people. Skilled nonverbal communicators are more likely to be able to create rapport with others due to attention-getting expressiveness, warm initial greetings, and an ability to get “in tune” with others, which conveys empathy. Ronald E. Riggio, “Social Interaction Skills and Nonverbal Behavior,” in Applications of Nonverbal Behavior Theories and Research, ed. Robert S. Feldman (Hillsdale, NJ: Lawrence Erlbaum, 1992), 12. These skills are important to help initiate and maintain relationships.
While verbal communication is our primary tool for solving problems and providing detailed instructions, nonverbal communication is our primary tool for communicating emotions. This makes sense when we remember that nonverbal communication emerged before verbal communication and was the channel through which we expressed anger, fear, and love for thousands of years of human history. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 27. Touch and facial expressions are two primary ways we express emotions nonverbally. Love is a primary emotion that we express nonverbally and that forms the basis of our close relationships. Although no single facial expression for love has been identified, it is expressed through prolonged eye contact, close interpersonal distances, increased touch, and increased time spent together, among other things. Given many people’s limited emotional vocabulary, nonverbal expressions of emotion are central to our relationships.
“Getting Real”
Teachers and Immediacy Behaviors
A considerable amount of research has been done on teachers’ use of immediacy behaviors, which points to the importance of this communication concept in teaching professions. Virginia P. Richmond, Derek R. Lane, and James C. McCroskey, “Teacher Immediacy and the Teacher-Student Relationship,” in Handbook of Instructional Communication: Rhetorical and Relational Perspectives, eds. Timothy P. Mottet, Virginia P. Richmond, and James C. McCroskey (Boston, MA: Pearson, 2006), 168. Immediacy behaviors are verbal and nonverbal behaviors that lessen real or perceived physical and psychological distance between communicators. Mark E. Comadena, Stephen K. Hunt, and Cheri J. Simonds, “The Effects of Teacher Clarity, Nonverbal Immediacy, and Caring on Student Motivation, Affective and Cognitive Learning,” Communication Research Reports 24, no. 3 (2007): 241. Specific nonverbal behaviors have been found to increase or decrease perceived levels of immediacy, and such behaviors impact student learning, teacher’s evaluations, and the teacher-student relationship. Virginia P. Richmond, Derek R. Lane, and James C. McCroskey, “Teacher Immediacy and the Teacher-Student Relationship,” in Handbook of Instructional Communication: Rhetorical and Relational Perspectives, eds. Timothy P. Mottet, Virginia P. Richmond, and James C. McCroskey (Boston, MA: Pearson, 2006), 169, 184–85. Even those who do not plan on going into teaching as a career can benefit from learning about immediacy behaviors, as they can also be used productively in other interpersonal contexts such as between a manager and employee, a salesperson and a client, or a politician and constituent. Much of this research in teaching contexts has focused on the relationship between immediacy behaviors and student learning, and research consistently shows that effective use of immediacy behaviors increases learning in various contexts and at various levels. Aside from enhancing student learning, the effective use of immediacy behaviors also leads to better evaluations by students, which can have a direct impact on a teacher’s career. While student evaluations of teachers take various factors into consideration, judgments of personality may be formed, as we learned in Chapter 2 "Communication and Perception", after only brief initial impressions. Research shows that students make character assumptions about teachers after only brief exposure to their nonverbal behaviors. Based on nonverbal cues such as frowning, head nodding, pointing, sitting, smiling, standing, strong gestures, weak gestures, and walking, students may or may not evaluate a teacher as open, attentive, confident, dominant, honest, likable, anxious, professional, supportive, or enthusiastic. The following are examples of immediacy behaviors that can be effectively used by teachers:
Moving around the classroom during class activities, lectures, and discussions (reduces physical distance)
Keeping the line of sight open between the teacher’s body and the students by avoiding or only briefly standing behind lecterns / computer tables or sitting behind a desk while directly interacting with students (reduces physical distance)
Being expressive and animated with facial expressions, gestures, and voice (demonstrates enthusiasm)
Smiling (creates a positive and open climate)
Making frequent eye contact with students (communicates attentiveness and interest)
Calling students by name (reduces perceived psychological distance)
Making appropriate self-disclosures to students about personal thoughts, feelings, or experiences (reduces perceived psychological distance, creates open climate)
Teachers who are judged as less immediate are more likely to sit, touch their heads, shake instead of nod their heads, use sarcasm, avoid eye contact, and use less expressive nonverbal behaviors. Finally, immediacy behaviors affect the teacher-student relationship. Immediacy behaviors help establish rapport, which is a personal connection that increases students’ investment in the class and material, increases motivation, increases communication between teacher and student, increases liking, creates a sense of mutual respect, reduces challenging behavior by students, and reduces anxiety.
Recall a teacher you have had that exhibited effective immediacy behaviors. Recall a teacher you have had that didn’t exhibit immediacy behaviors. Make a column for each teacher and note examples of specific behaviors of each. Discuss your list with a classmate and compare and contrast your lists.
Think about the teachers that you listed in the previous question. Discuss how their behaviors affected your learning and your relationship.
How much should immediacy behaviors, relative to other characteristics such as professionalism, experience, training, and content knowledge, factor into the evaluation of teachers by their students, peers, and supervisors? What, if anything, should schools do to enhance teachers’ knowledge of immediacy behaviors?
Nonverbal Communication Expresses Our Identities
Nonverbal communication expresses who we are. Our identities (the groups to which we belong, our cultures, our hobbies and interests, etc.) are conveyed nonverbally through the way we set up our living and working spaces, the clothes we wear, the way we carry ourselves, and the accents and tones of our voices. Our physical bodies give others impressions about who we are, and some of these features are more under our control than others. Height, for example, has been shown to influence how people are treated and perceived in various contexts. Our level of attractiveness also influences our identities and how people perceive us. Although we can temporarily alter our height or looks—for example, with different shoes or different color contact lenses—we can only permanently alter these features using more invasive and costly measures such as cosmetic surgery. We have more control over some other aspects of nonverbal communication in terms of how we communicate our identities. For example, the way we carry and present ourselves through posture, eye contact, and tone of voice can be altered to present ourselves as warm or distant depending on the context.
Aside from our physical body, artifacts
Possessions that communicate our identities.
, which are the objects and possessions that surround us, also communicate our identities. Examples of artifacts include our clothes, jewelry, and space decorations. In all the previous examples, implicit norms or explicit rules can affect how we nonverbally present ourselves. For example, in a particular workplace it may be a norm (implicit) for people in management positions to dress casually, or it may be a rule (explicit) that different levels of employees wear different uniforms or follow particular dress codes. We can also use nonverbal communication to express identity characteristics that do not match up with who we actually think we are. Through changes to nonverbal signals, a capable person can try to appear helpless, a guilty person can try to appear innocent, or an uninformed person can try to appear credible.
Key Takeaways
Nonverbal communication is a process of generating meaning using behavior other than words. Nonverbal communication includes vocal elements, which is referred to as paralanguage and includes pitch, volume, and rate, and nonvocal elements, which are usually referred to as body language and includes gestures, facial expressions, and eye contact, among other things.
Although verbal communication and nonverbal communication work side by side as part of a larger language system, there are some important differences between the two. They are processed by different hemispheres of the brain, nonverbal communication conveys more emotional and affective meaning than does verbal communication, nonverbal communication isn’t governed by an explicit system of rules in the same way that grammar guides verbal communication, and while verbal communication is a uniquely human ability, many creatures including plants, birds, and mammals communicate nonverbally.
Nonverbal communication operates on the following principles: nonverbal communication typically conveys more meaning than verbal communication, nonverbal communication is more involuntary than verbal communication, nonverbal communication is often more ambiguous than verbal communication, and nonverbal communication is often more credible than verbal communication.
Nonverbal communication serves several functions.
Nonverbal communication affects verbal communication in that it can complement, reinforce, substitute, or contradict verbal messages.
Nonverbal communication influences others, as it is a key component of deception and can be used to assert dominance or to engage in compliance gaining.
Nonverbal communication regulates conversational flow, as it provides important cues that signal the beginning and end of conversational turns and facilitates the beginning and end of an interaction.
Nonverbal communication affects relationships, as it is a primary means through which we communicate emotions, establish social bonds, and engage in relational maintenance.
Nonverbal communication expresses our identities, as who we are is conveyed through the way we set up our living and working spaces, the clothes we wear, our personal presentation, and the tones in our voices.
Exercises
Getting integrated: To better understand nonverbal communication, try to think of an example to illustrate each of the four principles discussed in the chapter. Be integrative in your approach by including at least one example from an academic, professional, civic, and personal context.
When someone sends you a mixed message in which the verbal and nonverbal messages contradict each other, which one do you place more meaning on? Why?
Our personal presentation, style of dress, and surroundings such as a dorm room, apartment, car, or office send nonverbal messages about our identities. Analyze some of the nonverbal signals that your personal presentation or environment send. What do they say about who you are? Do they create the impression that you desire?
4.2 Types of Nonverbal Communication
Learning Objectives
Define kinesics.
Define haptics.
Define vocalics.
Define proxemics.
Define chronemics.
Provide examples of types of nonverbal communication that fall under these categories.
Discuss the ways in which personal presentation and environment provide nonverbal cues.
Just as verbal language is broken up into various categories, there are also different types of nonverbal communication. As we learn about each type of nonverbal signal, keep in mind that nonverbals often work in concert with each other, combining to repeat, modify, or contradict the verbal message being sent.
Kinesics
The word kinesics
Refers to the study of hand, arm, body, and face movements.
comes from the root word kinesis, which means “movement,” and refers to the study of hand, arm, body, and face movements. Specifically, this section will outline the use of gestures, head movements and posture, eye contact, and facial expressions as nonverbal communication.
Gestures
There are three main types of gestures: adaptors, emblems, and illustrators. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 36. Adaptors
Touching behaviors and movements that indicate internal states typically related to arousal or anxiety and may be directed at the self, others, or objects.
are touching behaviors and movements that indicate internal states typically related to arousal or anxiety. Adaptors can be targeted toward the self, objects, or others. In regular social situations, adaptors result from uneasiness, anxiety, or a general sense that we are not in control of our surroundings. Many of us subconsciously click pens, shake our legs, or engage in other adaptors during classes, meetings, or while waiting as a way to do something with our excess energy. Public speaking students who watch video recordings of their speeches notice nonverbal adaptors that they didn’t know they used. In public speaking situations, people most commonly use self- or object-focused adaptors. Common self-touching behaviors like scratching, twirling hair, or fidgeting with fingers or hands are considered self-adaptors. Some self-adaptors manifest internally, as coughs or throat-clearing sounds. My personal weakness is object adaptors. Specifically, I subconsciously gravitate toward metallic objects like paper clips or staples holding my notes together and catch myself bending them or fidgeting with them while I’m speaking. Other people play with dry-erase markers, their note cards, the change in their pockets, or the lectern while speaking. Use of object adaptors can also signal boredom as people play with the straw in their drink or peel the label off a bottle of beer. Smartphones have become common object adaptors, as people can fiddle with their phones to help ease anxiety. Finally, as noted, other adaptors are more common in social situations than in public speaking situations given the speaker’s distance from audience members. Other adaptors involve adjusting or grooming others, similar to how primates like chimpanzees pick things off each other. It would definitely be strange for a speaker to approach an audience member and pick lint off his or her sweater, fix a crooked tie, tuck a tag in, or pat down a flyaway hair in the middle of a speech.
Emblems
Gestures that have specific agreed-on meanings.
are gestures that have a specific agreed-on meaning. These are still different from the signs used by hearing-impaired people or others who communicate using American Sign Language (ASL). Even though they have a generally agreed-on meaning, they are not part of a formal sign system like ASL that is explicitly taught to a group of people. A hitchhiker’s raised thumb, the “OK” sign with thumb and index finger connected in a circle with the other three fingers sticking up, and the raised middle finger are all examples of emblems that have an agreed-on meaning or meanings with a culture. Emblems can be still or in motion; for example, circling the index finger around at the side of your head says “He or she is crazy,” or rolling your hands over and over in front of you says “Move on.”
Emblems are gestures that have a specific meaning. In the United States, a thumbs-up can mean “I need a ride” or “OK!”
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Just as we can trace the history of a word, or its etymology, we can also trace some nonverbal signals, especially emblems, to their origins. Holding up the index and middle fingers in a “V” shape with the palm facing in is an insult gesture in Britain that basically means “up yours.” This gesture dates back centuries to the period in which the primary weapon of war was the bow and arrow. When archers were captured, their enemies would often cut off these two fingers, which was seen as the ultimate insult and worse than being executed since the archer could no longer shoot his bow and arrow. So holding up the two fingers was a provoking gesture used by archers to show their enemies that they still had their shooting fingers. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 121.
Illustrators
The most common type of gesture, used to illustrate the verbal message they accompany.
are the most common type of gesture and are used to illustrate the verbal message they accompany. For example, you might use hand gestures to indicate the size or shape of an object. Unlike emblems, illustrators do not typically have meaning on their own and are used more subconsciously than emblems. These largely involuntary and seemingly natural gestures flow from us as we speak but vary in terms of intensity and frequency based on context. Although we are never explicitly taught how to use illustrative gestures, we do it automatically. Think about how you still gesture when having an animated conversation on the phone even though the other person can’t see you.
Head Movements and Posture
I group head movements and posture together because they are often both used to acknowledge others and communicate interest or attentiveness. In terms of head movements, a head nod is a universal sign of acknowledgement in cultures where the formal bow is no longer used as a greeting. In these cases, the head nod essentially serves as an abbreviated bow. An innate and universal head movement is the headshake back and forth to signal “no.” This nonverbal signal begins at birth, even before a baby has the ability to know that it has a corresponding meaning. Babies shake their head from side to side to reject their mother’s breast and later shake their head to reject attempts to spoon-feed. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 232. This biologically based movement then sticks with us to be a recognizable signal for “no.” We also move our head to indicate interest. For example, a head up typically indicates an engaged or neutral attitude, a head tilt indicates interest and is an innate submission gesture that exposes the neck and subconsciously makes people feel more trusting of us, and a head down signals a negative or aggressive attitude. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 232–34.
There are four general human postures: standing, sitting, squatting, and lying down. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 63. Within each of these postures there are many variations, and when combined with particular gestures or other nonverbal cues they can express many different meanings. Most of our communication occurs while we are standing or sitting. One interesting standing posture involves putting our hands on our hips and is a nonverbal cue that we use subconsciously to make us look bigger and show assertiveness. When the elbows are pointed out, this prevents others from getting past us as easily and is a sign of attempted dominance or a gesture that says we’re ready for action. In terms of sitting, leaning back shows informality and indifference, straddling a chair is a sign of dominance (but also some insecurity because the person is protecting the vulnerable front part of his or her body), and leaning forward shows interest and attentiveness. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 243–44.
Eye Contact
We also communicate through eye behaviors, primarily eye contact. While eye behaviors are often studied under the category of kinesics, they have their own branch of nonverbal studies called oculesics
The study of eye behaviors as nonverbal communication.
, which comes from the Latin word oculus, meaning “eye.” The face and eyes are the main point of focus during communication, and along with our ears our eyes take in most of the communicative information around us. The saying “The eyes are the window to the soul” is actually accurate in terms of where people typically think others are “located,” which is right behind the eyes. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 40. Certain eye behaviors have become tied to personality traits or emotional states, as illustrated in phrases like “hungry eyes,” “evil eyes,” and “bedroom eyes.” To better understand oculesics, we will discuss the characteristics and functions of eye contact and pupil dilation.
Eye contact serves several communicative functions ranging from regulating interaction to monitoring interaction, to conveying information, to establishing interpersonal connections. In terms of regulating communication, we use eye contact to signal to others that we are ready to speak or we use it to cue others to speak. I’m sure we’ve all been in that awkward situation where a teacher asks a question, no one else offers a response, and he or she looks directly at us as if to say, “What do you think?” In that case, the teacher’s eye contact is used to cue us to respond. During an interaction, eye contact also changes as we shift from speaker to listener. US Americans typically shift eye contact while speaking—looking away from the listener and then looking back at his or her face every few seconds. Toward the end of our speaking turn, we make more direct eye contact with our listener to indicate that we are finishing up. While listening, we tend to make more sustained eye contact, not glancing away as regularly as we do while speaking. Judith N. Martin and Thomas K. Nakayama, Intercultural Communication in Contexts, 5th ed. (Boston, MA: McGraw-Hill, 2010), 276.
Aside from regulating conversations, eye contact is also used to monitor interaction by taking in feedback and other nonverbal cues and to send information. Our eyes bring in the visual information we need to interpret people’s movements, gestures, and eye contact. A speaker can use his or her eye contact to determine if an audience is engaged, confused, or bored and then adapt his or her message accordingly. Our eyes also send information to others. People know not to interrupt when we are in deep thought because we naturally look away from others when we are processing information. Making eye contact with others also communicates that we are paying attention and are interested in what another person is saying. As we will learn in Chapter 5 "Listening", eye contact is a key part of active listening.
Eye contact can also be used to intimidate others. We have social norms about how much eye contact we make with people, and those norms vary depending on the setting and the person. Staring at another person in some contexts could communicate intimidation, while in other contexts it could communicate flirtation. As we learned, eye contact is a key immediacy behavior, and it signals to others that we are available for communication. Once communication begins, if it does, eye contact helps establish rapport or connection. We can also use our eye contact to signal that we do not want to make a connection with others. For example, in a public setting like an airport or a gym where people often make small talk, we can avoid making eye contact with others to indicate that we do not want to engage in small talk with strangers. Another person could use eye contact to try to coax you into speaking, though. For example, when one person continues to stare at another person who is not reciprocating eye contact, the person avoiding eye contact might eventually give in, become curious, or become irritated and say, “Can I help you with something?” As you can see, eye contact sends and receives important communicative messages that help us interpret others’ behaviors, convey information about our thoughts and feelings, and facilitate or impede rapport or connection. This list reviews the specific functions of eye contact:
Regulate interaction and provide turn-taking signals
Monitor communication by receiving nonverbal communication from others
Signal cognitive activity (we look away when processing information)
Express engagement (we show people we are listening with our eyes)
Convey intimidation
Express flirtation
Establish rapport or connection
Pupil dilation is a subtle component of oculesics that doesn’t get as much scholarly attention in communication as eye contact does. Pupil dilation refers to the expansion and contraction of the black part of the center of our eyes and is considered a biometric form of measurement; it is involuntary and therefore seen as a valid and reliable form of data collection as opposed to self-reports on surveys or interviews that can be biased or misleading. Our pupils dilate when there is a lack of lighting and contract when light is plentiful. Laura K. Guerrero and Kory Floyd, Nonverbal Communication in Close Relationships (Mahwah, NJ: Lawrence Erlbaum, 2006): 176. Pain, sexual attraction, general arousal, anxiety/stress, and information processing (thinking) also affect pupil dilation. Researchers measure pupil dilation for a number of reasons. For example, advertisers use pupil dilation as an indicator of consumer preferences, assuming that more dilation indicates arousal and attraction to a product. We don’t consciously read others’ pupil dilation in our everyday interactions, but experimental research has shown that we subconsciously perceive pupil dilation, which affects our impressions and communication. In general, dilated pupils increase a person’s attractiveness. Even though we may not be aware of this subtle nonverbal signal, we have social norms and practices that may be subconsciously based on pupil dilation. Take for example the notion of mood lighting and the common practice of creating a “romantic” ambiance with candlelight or the light from a fireplace. Softer and more indirect light leads to pupil dilation, and although we intentionally manipulate lighting to create a romantic ambiance, not to dilate our pupils, the dilated pupils are still subconsciously perceived, which increases perceptions of attraction. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 40–41.
Facial Expressions
Our faces are the most expressive part of our bodies. Think of how photos are often intended to capture a particular expression “in a flash” to preserve for later viewing. Even though a photo is a snapshot in time, we can still interpret much meaning from a human face caught in a moment of expression, and basic facial expressions are recognizable by humans all over the world. Much research has supported the universality of a core group of facial expressions: happiness, sadness, fear, anger, and disgust. The first four are especially identifiable across cultures. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 35. However, the triggers for these expressions and the cultural and social norms that influence their displays are still culturally diverse. If you’ve spent much time with babies you know that they’re capable of expressing all these emotions. Getting to see the pure and innate expressions of joy and surprise on a baby’s face is what makes playing peek-a-boo so entertaining for adults. As we get older, we learn and begin to follow display rules for facial expressions and other signals of emotion and also learn to better control our emotional expression based on the norms of our culture.
Smiles are powerful communicative signals and, as you’ll recall, are a key immediacy behavior. Although facial expressions are typically viewed as innate and several are universally recognizable, they are not always connected to an emotional or internal biological stimulus; they can actually serve a more social purpose. For example, most of the smiles we produce are primarily made for others and are not just an involuntary reflection of an internal emotional state. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 35. These social smiles, however, are slightly but perceptibly different from more genuine smiles. People generally perceive smiles as more genuine when the other person smiles “with their eyes.” This particular type of smile is difficult if not impossible to fake because the muscles around the eye that are activated when we spontaneously or genuinely smile are not under our voluntary control. It is the involuntary and spontaneous contraction of these muscles that moves the skin around our cheeks, eyes, and nose to create a smile that’s distinct from a fake or polite smile. Dylan Evans, Emotion: The Science of Sentiment (New York: Oxford University Press, 2001), 107. People are able to distinguish the difference between these smiles, which is why photographers often engage in cheesy joking with adults or use props with children to induce a genuine smile before they snap a picture.
Our faces are the most expressive part of our body and can communicate an array of different emotions.
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We will learn more about competent encoding and decoding of facial expressions in Section 4.3 "Nonverbal Communication Competence" and Section 4.4 "Nonverbal Communication in Context", but since you are likely giving speeches in this class, let’s learn about the role of the face in public speaking. Facial expressions help set the emotional tone for a speech. In order to set a positive tone before you start speaking, briefly look at the audience and smile to communicate friendliness, openness, and confidence. Beyond your opening and welcoming facial expressions, facial expressions communicate a range of emotions and can be used to infer personality traits and make judgments about a speaker’s credibility and competence. Facial expressions can communicate that a speaker is tired, excited, angry, confused, frustrated, sad, confident, smug, shy, or bored. Even if you aren’t bored, for example, a slack face with little animation may lead an audience to think that you are bored with your own speech, which isn’t likely to motivate them to be interested. So make sure your facial expressions are communicating an emotion, mood, or personality trait that you think your audience will view favorably, and that will help you achieve your speech goals. Also make sure your facial expressions match the content of your speech. When delivering something light-hearted or humorous, a smile, bright eyes, and slightly raised eyebrows will nonverbally enhance your verbal message. When delivering something serious or somber, a furrowed brow, a tighter mouth, and even a slight head nod can enhance that message. If your facial expressions and speech content are not consistent, your audience could become confused by the mixed messages, which could lead them to question your honesty and credibility.
Haptics
Think of how touch has the power to comfort someone in moment of sorrow when words alone cannot. This positive power of touch is countered by the potential for touch to be threatening because of its connection to sex and violence. To learn about the power of touch, we turn to haptics
The study of communication by touch.
, which refers to the study of communication by touch. We probably get more explicit advice and instruction on how to use touch than any other form of nonverbal communication. A lack of nonverbal communication competence related to touch could have negative interpersonal consequences; for example, if we don’t follow the advice we’ve been given about the importance of a firm handshake, a person might make negative judgments about our confidence or credibility. A lack of competence could have more dire negative consequences, including legal punishment, if we touch someone inappropriately (intentionally or unintentionally). Touch is necessary for human social development, and it can be welcoming, threatening, or persuasive. Research projects have found that students evaluated a library and its staff more favorably if the librarian briefly touched the patron while returning his or her library card, that female restaurant servers received larger tips when they touched patrons, and that people were more likely to sign a petition when the petitioner touched them during their interaction. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 46.
There are several types of touch, including functional-professional, social-polite, friendship-warmth, love-intimacy, and sexual-arousal touch. Richard Heslin and Tari Apler, “Touch: A Bonding Gesture,” in Nonverbal Interaction, eds. John M. Weimann and Randall Harrison (Longon: Sage, 1983), 47–76. At the functional-professional level, touch is related to a goal or part of a routine professional interaction, which makes it less threatening and more expected. For example, we let barbers, hairstylists, doctors, nurses, tattoo artists, and security screeners touch us in ways that would otherwise be seen as intimate or inappropriate if not in a professional context. At the social-polite level, socially sanctioned touching behaviors help initiate interactions and show that others are included and respected. A handshake, a pat on the arm, and a pat on the shoulder are examples of social-polite touching. A handshake is actually an abbreviated hand-holding gesture, but we know that prolonged hand-holding would be considered too intimate and therefore inappropriate at the functional-professional or social-polite level. At the functional-professional and social-polite levels, touch still has interpersonal implications. The touch, although professional and not intimate, between hair stylist and client, or between nurse and patient, has the potential to be therapeutic and comforting. In addition, a social-polite touch exchange plays into initial impression formation, which can have important implications for how an interaction and a relationship unfold.
Of course, touch is also important at more intimate levels. At the friendship-warmth level, touch is more important and more ambiguous than at the social-polite level. At this level, touch interactions are important because they serve a relational maintenance purpose and communicate closeness, liking, care, and concern. The types of touching at this level also vary greatly from more formal and ritualized to more intimate, which means friends must sometimes negotiate their own comfort level with various types of touch and may encounter some ambiguity if their preferences don’t match up with their relational partner’s. In a friendship, for example, too much touch can signal sexual or romantic interest, and too little touch can signal distance or unfriendliness. At the love-intimacy level, touch is more personal and is typically only exchanged between significant others, such as best friends, close family members, and romantic partners. Touching faces, holding hands, and full frontal embraces are examples of touch at this level. Although this level of touch is not sexual, it does enhance feelings of closeness and intimacy and can lead to sexual-arousal touch, which is the most intimate form of touch, as it is intended to physically stimulate another person.
Touch is also used in many other contexts—for example, during play (e.g., arm wrestling), during physical conflict (e.g., slapping), and during conversations (e.g., to get someone’s attention). Stanley E. Jones, “Communicating with Touch,” in The Nonverbal Communication Reader: Classic and Contemporary Readings, 2nd ed., eds. Laura K. Guerrero, Joseph A. Devito, and Michael L. Hecht (Prospect Heights, IL: Waveland Press, 1999). We also inadvertently send messages through accidental touch (e.g., bumping into someone). One of my interpersonal communication professors admitted that she enjoyed going to restaurants to observe “first-date behavior” and boasted that she could predict whether or not there was going to be a second date based on the couple’s nonverbal communication. What sort of touching behaviors would indicate a good or bad first date?
On a first date, it is less likely that you will see couples sitting “school-bus style” (sharing the same side of a table or booth) or touching for an extended time.
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During a first date or less formal initial interactions, quick fleeting touches give an indication of interest. For example, a pat on the back is an abbreviated hug. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 4. In general, the presence or absence of touching cues us into people’s emotions. So as the daters sit across from each other, one person may lightly tap the other’s arm after he or she said something funny. If the daters are sitting side by side, one person may cross his or her legs and lean toward the other person so that each person’s knees or feet occasionally touch. Touching behavior as a way to express feelings is often reciprocal. A light touch from one dater will be followed by a light touch from the other to indicate that the first touch was OK. While verbal communication could also be used to indicate romantic interest, many people feel too vulnerable at this early stage in a relationship to put something out there in words. If your date advances a touch and you are not interested, it is also unlikely that you will come right out and say, “Sorry, but I’m not really interested.” Instead, due to common politeness rituals, you would be more likely to respond with other forms of nonverbal communication like scooting back, crossing your arms, or simply not acknowledging the touch.
I find hugging behavior particularly interesting, perhaps because of my experiences growing up in a very hug-friendly environment in the Southern United States and then living elsewhere where there are different norms. A hug can be obligatory, meaning that you do it because you feel like you have to, not because you want to. Even though you may think that this type of hug doesn’t communicate emotions, it definitely does. A limp, weak, or retreating hug may communicate anger, ambivalence, or annoyance. Think of other types of hugs and how you hug different people. Some types of hugs are the crisscross hug, the neck-waist hug, and the engulfing hug. Kory Floyd, Communicating Affection: Interpersonal Behavior and Social Context (Cambridge: Cambridge University Press, 2006), 33–34. The crisscross hug is a rather typical hug where each person’s arm is below or above the other person’s arm. This hug is common among friends, romantic partners, and family members, and perhaps even coworkers. The neck-waist hug usually occurs in more intimate relationships as it involves one person’s arms around the other’s neck and the other person’s arms around the other’s waist. I think of this type of hug as the “slow-dance hug.” The engulfing hug is similar to a bear hug in that one person completely wraps the arms around the other as that person basically stands there. This hugging behavior usually occurs when someone is very excited and hugs the other person without warning.
Some other types of hugs are the “shake-first-then-tap hug” and the “back-slap hug.” I observe that these hugs are most often between men. The shake-first-then-tap hug involves a modified hand-shake where the hands are joined more with the thumb and fingers than the palm and the elbows are bent so that the shake occurs between the two huggers’ chests. The hug comes after the shake has been initiated with one arm going around the other person for usually just one tap, then a step back and release of the handshake. In this hugging behavior, the handshake that is maintained between the chests minimizes physical closeness and the intimacy that may be interpreted from the crisscross or engulfing hug where the majority of the huggers’ torsos are touching. This move away from physical closeness likely stems from a US norm that restricts men’s physical expression of affection due to homophobia or the worry of being perceived as gay. The slap hug is also a less physically intimate hug and involves a hug with one or both people slapping the other person’s back repeatedly, often while talking to each other. I’ve seen this type of hug go on for many seconds and with varying degrees of force involved in the slap. When the slap is more of a tap, it is actually an indication that one person wants to let go. The video footage of then-president Bill Clinton hugging Monica Lewinsky that emerged as allegations that they had an affair were being investigated shows her holding on, while he was tapping from the beginning of the hug.
“Getting Critical”
Airport Pat-Downs: The Law, Privacy, and Touch
Everyone who has flown over the past ten years has experienced the steady increase in security screenings. Since the terrorist attacks on September 11, 2001, airports around the world have had increased security. While passengers have long been subject to pat-downs if they set off the metal detector or arouse suspicion, recently foiled terrorist plots have made passenger screening more personal. The “shoe bomber” led to mandatory shoe removal and screening, and the more recent use of nonmetallic explosives hidden in clothing or in body cavities led to the use of body scanners that can see through clothing to check for concealed objects. Andrew R. Thomas, Soft Landing: Airline Industry Strategy, Service, and Safety (New York, NY: Apress, 2011), 117–23. Protests against and anxiety about the body scanners, more colloquially known as “naked x-ray machines,” led to the new “enhanced pat-down” techniques for passengers who refuse to go through the scanners or passengers who are randomly selected or arouse suspicion in other ways. The strong reactions are expected given what we’ve learned about the power of touch as a form of nonverbal communication. The new pat-downs routinely involve touching the areas around a passenger’s breasts and/or genitals with a sliding hand motion. The Transportation Security Administration (TSA) notes that the areas being examined haven’t changed, but the degree of the touch has, as screeners now press and rub more firmly but used to use a lighter touch. Derek Kravitz, “Airport ‘Pat-Downs’ Cause Growing Passenger Backlash,” The Washington Post, November 13, 2010, accessed June 23, 2012, http://www.washingtonpost.com/wp-dyn/content/article/2010/11/12/AR2010111206580.html?sid=ST2010113005385. Interestingly, police have long been able to use more invasive pat-downs, but only with probable cause. In the case of random selection at the airport, no probable cause provision has to be met, giving TSA agents more leeway with touch than police officers. Experts in aviation security differ in their assessment of the value of the pat-downs and other security procedures. Several experts have called for a revision of the random selection process in favor of more targeted screenings. What civil rights organizations critique as racial profiling, consumer rights activists and some security experts say allows more efficient use of resources and less inconvenience for the majority of passengers. Andrew R. Thomas, Soft Landing: Airline Industry Strategy, Service, and Safety (New York, NY: Apress, 2011), 120. Although the TSA has made some changes to security screening procedures and have announced more to come, some passengers have started a backlash of their own. There have been multiple cases of passengers stripping down to their underwear or getting completely naked to protest the pat-downs, while several other passengers have been charged with assault for “groping” TSA agents in retaliation. Footage of pat-downs of toddlers and grandmothers in wheelchairs and self-uploaded videos of people recounting their pat-down experiences have gone viral on YouTube.
What limits, if any, do you think there should be on the use of touch in airport screening procedures?
In June of 2012 a passenger was charged with battery after “groping” a TSA supervisor to, as she claims, demonstrate the treatment that she had received while being screened. You can read more about the story and see the video here: http://www.nydailynews.com/news/national/carol-jean-price-accused-groping-tsa-agent-florida-woman-demonstrating-treatment-received- article-1.1098521. Do you think that her actions we justified? Why or why not?
Do you think that more targeted screening, as opposed to random screenings in which each person has an equal chance of being selected for enhanced pat-downs, is a good idea? Why? Do you think such targeted screening could be seen as a case of unethical racial profiling? Why or why not?
Vocalics
We learned earlier that paralanguage refers to the vocalized but nonverbal parts of a message. Vocalics
The study of paralanguage, which includes the vocal qualities that go along with verbal messages, such as pitch, volume, rate, vocal quality, and verbal fillers.
is the study of paralanguage, which includes the vocal qualities that go along with verbal messages, such as pitch, volume, rate, vocal quality, and verbal fillers. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 69–70.
Pitch helps convey meaning, regulate conversational flow, and communicate the intensity of a message. Even babies recognize a sentence with a higher pitched ending as a question. We also learn that greetings have a rising emphasis and farewells have falling emphasis. Of course, no one ever tells us these things explicitly; we learn them through observation and practice. We do not pick up on some more subtle and/or complex patterns of paralanguage involving pitch until we are older. Children, for example, have a difficult time perceiving sarcasm, which is usually conveyed through paralinguistic characteristics like pitch and tone rather than the actual words being spoken. Adults with lower than average intelligence and children have difficulty reading sarcasm in another person’s voice and instead may interpret literally what they say. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 26.
Paralanguage provides important context for the verbal content of speech. For example, volume helps communicate intensity. A louder voice is usually thought of as more intense, although a soft voice combined with a certain tone and facial expression can be just as intense. We typically adjust our volume based on our setting, the distance between people, and the relationship. In our age of computer-mediated communication, TYPING IN ALL CAPS is usually seen as offensive, as it is equated with yelling. A voice at a low volume or a whisper can be very appropriate when sending a covert message or flirting with a romantic partner, but it wouldn’t enhance a person’s credibility if used during a professional presentation.
Speaking rate refers to how fast or slow a person speaks and can lead others to form impressions about our emotional state, credibility, and intelligence. As with volume, variations in speaking rate can interfere with the ability of others to receive and understand verbal messages. A slow speaker could bore others and lead their attention to wander. A fast speaker may be difficult to follow, and the fast delivery can actually distract from the message. Speaking a little faster than the normal 120–150 words a minute, however, can be beneficial, as people tend to find speakers whose rate is above average more credible and intelligent. David B. Buller and Judee K. Burgoon, “The Effects of Vocalics and Nonverbal Sensitivity on Compliance,” Human Communication Research 13, no. 1 (1986): 126–44. When speaking at a faster-than-normal rate, it is important that a speaker also clearly articulate and pronounce his or her words. Boomhauer, a character on the show King of the Hill, is an example of a speaker whose fast rate of speech combines with a lack of articulation and pronunciation to create a stream of words that only he can understand. A higher rate of speech combined with a pleasant tone of voice can also be beneficial for compliance gaining and can aid in persuasion.
Our tone of voice can be controlled somewhat with pitch, volume, and emphasis, but each voice has a distinct quality known as a vocal signature. Voices vary in terms of resonance, pitch, and tone, and some voices are more pleasing than others. People typically find pleasing voices that employ vocal variety and are not monotone, are lower pitched (particularly for males), and do not exhibit particular regional accents. Many people perceive nasal voices negatively and assign negative personality characteristics to them. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 71. Think about people who have very distinct voices. Whether they are a public figure like President Bill Clinton, a celebrity like Snooki from the Jersey Shore, or a fictional character like Peter Griffin from Family Guy, some people’s voices stick with us and make a favorable or unfavorable impression.
Verbal fillers are sounds that fill gaps in our speech as we think about what to say next. They are considered a part of nonverbal communication because they are not like typical words that stand in for a specific meaning or meanings. Verbal fillers such as “um,” “uh,” “like,” and “ah” are common in regular conversation and are not typically disruptive. As we learned earlier, the use of verbal fillers can help a person “keep the floor” during a conversation if they need to pause for a moment to think before continuing on with verbal communication. Verbal fillers in more formal settings, like a public speech, can hurt a speaker’s credibility.
The following is a review of the various communicative functions of vocalics:
Repetition. Vocalic cues reinforce other verbal and nonverbal cues (e.g., saying “I’m not sure” with an uncertain tone).
Complementing. Vocalic cues elaborate on or modify verbal and nonverbal meaning (e.g., the pitch and volume used to say “I love sweet potatoes” would add context to the meaning of the sentence, such as the degree to which the person loves sweet potatoes or the use of sarcasm).
Accenting. Vocalic cues allow us to emphasize particular parts of a message, which helps determine meaning (e.g., “ She is my friend,” or “She is my friend,” or “She is my friend ”).
Substituting. Vocalic cues can take the place of other verbal or nonverbal cues (e.g., saying “uh huh” instead of “I am listening and understand what you’re saying”).
Regulating. Vocalic cues help regulate the flow of conversations (e.g., falling pitch and slowing rate of speaking usually indicate the end of a speaking turn).
Contradicting. Vocalic cues may contradict other verbal or nonverbal signals (e.g., a person could say “I’m fine” in a quick, short tone that indicates otherwise).
Proxemics
Proxemics
The study of how space and distance influence communication.
refers to the study of how space and distance influence communication. We only need look at the ways in which space shows up in common metaphors to see that space, communication, and relationships are closely related. For example, when we are content with and attracted to someone, we say we are “close” to him or her. When we lose connection with someone, we may say he or she is “distant.” In general, space influences how people communicate and behave. Smaller spaces with a higher density of people often lead to breaches of our personal space bubbles. If this is a setting in which this type of density is expected beforehand, like at a crowded concert or on a train during rush hour, then we make various communicative adjustments to manage the space issue. Unexpected breaches of personal space can lead to negative reactions, especially if we feel someone has violated our space voluntarily, meaning that a crowding situation didn’t force them into our space. Additionally, research has shown that crowding can lead to criminal or delinquent behavior, known as a “mob mentality.” Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 44. To better understand how proxemics functions in nonverbal communication, we will more closely examine the proxemic distances associated with personal space and the concept of territoriality.
Proxemic Distances
We all have varying definitions of what our “personal space” is, and these definitions are contextual and depend on the situation and the relationship. Although our bubbles are invisible, people are socialized into the norms of personal space within their cultural group. Scholars have identified four zones for US Americans, which are public, social, personal, and intimate distance. Edward T. Hall, “Proxemics,” Current Anthropology 9, no. 2 (1968): 83–95. The zones are more elliptical than circular, taking up more space in our front, where our line of sight is, than at our side or back where we can’t monitor what people are doing. You can see how these zones relate to each other and to the individual in Figure 4.1 "Proxemic Zones of Personal Space". Even within a particular zone, interactions may differ depending on whether someone is in the outer or inner part of the zone.
Figure 4.1 Proxemic Zones of Personal Space
Public Space (12 Feet or More)
Public and social zones refer to the space four or more feet away from our body, and the communication that typically occurs in these zones is formal and not intimate. Public space starts about twelve feet from a person and extends out from there. This is the least personal of the four zones and would typically be used when a person is engaging in a formal speech and is removed from the audience to allow the audience to see or when a high-profile or powerful person like a celebrity or executive maintains such a distance as a sign of power or for safety and security reasons. In terms of regular interaction, we are often not obligated or expected to acknowledge or interact with people who enter our public zone. It would be difficult to have a deep conversation with someone at this level because you have to speak louder and don’t have the physical closeness that is often needed to promote emotional closeness and/or establish rapport.
Social Space (4–12 Feet)
Communication that occurs in the social zone, which is four to twelve feet away from our body, is typically in the context of a professional or casual interaction, but not intimate or public. This distance is preferred in many professional settings because it reduces the suspicion of any impropriety. The expression “keep someone at an arm’s length” means that someone is kept out of the personal space and kept in the social/professional space. If two people held up their arms and stood so just the tips of their fingers were touching, they would be around four feet away from each other, which is perceived as a safe distance because the possibility for intentional or unintentional touching doesn’t exist. It is also possible to have people in the outer portion of our social zone but not feel obligated to interact with them, but when people come much closer than six feet to us then we often feel obligated to at least acknowledge their presence. In many typically sized classrooms, much of your audience for a speech will actually be in your social zone rather than your public zone, which is actually beneficial because it helps you establish a better connection with them. Students in large lecture classes should consider sitting within the social zone of the professor, since students who sit within this zone are more likely to be remembered by the professor, be acknowledged in class, and retain more information because they are close enough to take in important nonverbal and visual cues. Students who talk to me after class typically stand about four to five feet away when they speak to me, which keeps them in the outer part of the social zone, typical for professional interactions. When students have more personal information to discuss, they will come closer, which brings them into the inner part of the social zone.
Personal Space (1.5–4 Feet)
Personal and intimate zones refer to the space that starts at our physical body and extends four feet. These zones are reserved for friends, close acquaintances, and significant others. Much of our communication occurs in the personal zone, which is what we typically think of as our “personal space bubble” and extends from 1.5 feet to 4 feet away from our body. Even though we are getting closer to the physical body of another person, we may use verbal communication at this point to signal that our presence in this zone is friendly and not intimate. Even people who know each other could be uncomfortable spending too much time in this zone unnecessarily. This zone is broken up into two subzones, which helps us negotiate close interactions with people we may not be close to interpersonally. Matthew McKay, Martha Davis, and Patrick Fanning, Messages: Communication Skills Book, 2nd ed. (Oakland, CA: New Harbinger Publications, 1995), 59. The outer-personal zone extends from 2.5 feet to 4 feet and is useful for conversations that need to be private but that occur between people who are not interpersonally close. This zone allows for relatively intimate communication but doesn’t convey the intimacy that a closer distance would, which can be beneficial in professional settings. The inner-personal zone extends from 1.5 feet to 2.5 feet and is a space reserved for communication with people we are interpersonally close to or trying to get to know. In this subzone, we can easily touch the other person as we talk to them, briefly placing a hand on his or her arm or engaging in other light social touching that facilitates conversation, self-disclosure, and feelings of closeness.
Intimate Space
As we breach the invisible line that is 1.5 feet from our body, we enter the intimate zone, which is reserved for only the closest friends, family, and romantic/intimate partners. It is impossible to completely ignore people when they are in this space, even if we are trying to pretend that we’re ignoring them. A breach of this space can be comforting in some contexts and annoying or frightening in others. We need regular human contact that isn’t just verbal but also physical. We have already discussed the importance of touch in nonverbal communication, and in order for that much-needed touch to occur, people have to enter our intimate space. Being close to someone and feeling their physical presence can be very comforting when words fail. There are also social norms regarding the amount of this type of closeness that can be displayed in public, as some people get uncomfortable even seeing others interacting in the intimate zone. While some people are comfortable engaging in or watching others engage in PDAs (public displays of affection) others are not.
So what happens when our space is violated? Although these zones are well established in research for personal space preferences of US Americans, individuals vary in terms of their reactions to people entering certain zones, and determining what constitutes a “violation” of space is subjective and contextual. For example, another person’s presence in our social or public zones doesn’t typically arouse suspicion or negative physical or communicative reactions, but it could in some situations or with certain people. However, many situations lead to our personal and intimate space being breached by others against our will, and these breaches are more likely to be upsetting, even when they are expected. We’ve all had to get into a crowded elevator or wait in a long line. In such situations, we may rely on some verbal communication to reduce immediacy and indicate that we are not interested in closeness and are aware that a breach has occurred. People make comments about the crowd, saying, “We’re really packed in here like sardines,” or use humor to indicate that they are pleasant and well adjusted and uncomfortable with the breach like any “normal” person would be. Interestingly, as we will learn in our discussion of territoriality, we do not often use verbal communication to defend our personal space during regular interactions. Instead, we rely on more nonverbal communication like moving, crossing our arms, or avoiding eye contact to deal with breaches of space.
Territoriality
Territoriality
An innate drive to take up and defend spaces.
is an innate drive to take up and defend spaces. This drive is shared by many creatures and entities, ranging from packs of animals to individual humans to nations. Whether it’s a gang territory, a neighborhood claimed by a particular salesperson, your preferred place to sit in a restaurant, your usual desk in the classroom, or the seat you’ve marked to save while getting concessions at a sporting event, we claim certain spaces as our own. There are three main divisions for territory: primary, secondary, and public. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 70–71. Sometimes our claim to a space is official. These spaces are known as our primary territories because they are marked or understood to be exclusively ours and under our control. A person’s house, yard, room, desk, side of the bed, or shelf in the medicine cabinet could be considered primary territories.
Secondary territories don’t belong to us and aren’t exclusively under our control, but they are associated with us, which may lead us to assume that the space will be open and available to us when we need it without us taking any further steps to reserve it. This happens in classrooms regularly. Students often sit in the same desk or at least same general area as they did on the first day of class. There may be some small adjustments during the first couple of weeks, but by a month into the semester, I don’t notice students moving much voluntarily. When someone else takes a student’s regular desk, she or he is typically annoyed. I do classroom observations for the graduate teaching assistants I supervise, which means I come into the classroom toward the middle of the semester and take a seat in the back to evaluate the class session. Although I don’t intend to take someone’s seat, on more than one occasion, I’ve been met by the confused or even glaring eyes of a student whose routine is suddenly interrupted when they see me sitting in “their seat.”
Public territories are open to all people. People are allowed to mark public territory and use it for a limited period of time, but space is often up for grabs, which makes public space difficult to manage for some people and can lead to conflict. To avoid this type of situation, people use a variety of objects that are typically recognized by others as nonverbal cues that mark a place as temporarily reserved—for example, jackets, bags, papers, or a drink. There is some ambiguity in the use of markers, though. A half-empty cup of coffee may be seen as trash and thrown away, which would be an annoying surprise to a person who left it to mark his or her table while visiting the restroom. One scholar’s informal observations revealed that a full drink sitting on a table could reserve a space in a university cafeteria for more than an hour, but a cup only half full usually only worked as a marker of territory for less than ten minutes. People have to decide how much value they want their marker to have. Obviously, leaving a laptop on a table indicates that the table is occupied, but it could also lead to the laptop getting stolen. A pencil, on the other hand, could just be moved out of the way and the space usurped.
Chronemics
Chronemics
The study of how time affects communication.
refers to the study of how time affects communication. Time can be classified into several different categories, including biological, personal, physical, and cultural time. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 65–66. Biological time refers to the rhythms of living things. Humans follow a circadian rhythm, meaning that we are on a daily cycle that influences when we eat, sleep, and wake. When our natural rhythms are disturbed, by all-nighters, jet lag, or other scheduling abnormalities, our physical and mental health and our communication competence and personal relationships can suffer. Keep biological time in mind as you communicate with others. Remember that early morning conversations and speeches may require more preparation to get yourself awake enough to communicate well and a more patient or energetic delivery to accommodate others who may still be getting warmed up for their day.
Personal time refers to the ways in which individuals experience time. The way we experience time varies based on our mood, our interest level, and other factors. Think about how quickly time passes when you are interested in and therefore engaged in something. I have taught fifty-minute classes that seemed to drag on forever and three-hour classes that zipped by. Individuals also vary based on whether or not they are future or past oriented. People with past-time orientations may want to reminisce about the past, reunite with old friends, and put considerable time into preserving memories and keepsakes in scrapbooks and photo albums. People with future-time orientations may spend the same amount of time making career and personal plans, writing out to-do lists, or researching future vacations, potential retirement spots, or what book they’re going to read next.
Physical time refers to the fixed cycles of days, years, and seasons. Physical time, especially seasons, can affect our mood and psychological states. Some people experience seasonal affective disorder that leads them to experience emotional distress and anxiety during the changes of seasons, primarily from warm and bright to dark and cold (summer to fall and winter).
Cultural time refers to how a large group of people view time. Polychronic people do not view time as a linear progression that needs to be divided into small units and scheduled in advance. Polychronic people keep more flexible schedules and may engage in several activities at once. Monochronic people tend to schedule their time more rigidly and do one thing at a time. A polychronic or monochronic orientation to time influences our social realities and how we interact with others.
Additionally, the way we use time depends in some ways on our status. For example, doctors can make their patients wait for extended periods of time, and executives and celebrities may run consistently behind schedule, making others wait for them. Promptness and the amount of time that is socially acceptable for lateness and waiting varies among individuals and contexts. Chronemics also covers the amount of time we spend talking. We’ve already learned that conversational turns and turn-taking patterns are influenced by social norms and help our conversations progress. We all know how annoying it can be when a person dominates a conversation or when we can’t get a person to contribute anything.
Personal Presentation and Environment
Personal presentation involves two components: our physical characteristics and the artifacts with which we adorn and surround ourselves. Physical characteristics include body shape, height, weight, attractiveness, and other physical features of our bodies. We do not have as much control over how these nonverbal cues are encoded as we do with many other aspects of nonverbal communication. As Chapter 2 "Communication and Perception" noted, these characteristics play a large role in initial impression formation even though we know we “shouldn’t judge a book by its cover.” Although ideals of attractiveness vary among cultures and individuals, research consistently indicates that people who are deemed attractive based on physical characteristics have distinct advantages in many aspects of life. This fact, along with media images that project often unrealistic ideals of beauty, have contributed to booming health and beauty, dieting, gym, and plastic surgery industries. While there have been some controversial reality shows that seek to transform people’s physical characteristics, like Extreme Makeover, The Swan, and The Biggest Loser, the relative ease with which we can change the artifacts that send nonverbal cues about us has led to many more style and space makeover shows.
Have you ever tried to consciously change your “look?” I can distinctly remember two times in my life when I made pretty big changes in how I presented myself in terms of clothing and accessories. In high school, at the height of the “thrift store” craze, I started wearing clothes from the local thrift store daily. Of course, most of them were older clothes, so I was basically going for a “retro” look, which I thought really suited me at the time. Then in my junior year of college, as graduation finally seemed on the horizon and I felt myself entering a new stage of adulthood, I started wearing business-casual clothes to school every day, embracing the “dress for the job you want” philosophy. In both cases, these changes definitely impacted how others perceived me. Television programs like What Not to Wear seek to show the power of wardrobe and personal style changes in how people communicate with others.
Aside from clothes, jewelry, visible body art, hairstyles, and other political, social, and cultural symbols send messages to others about who we are. In the United States, body piercings and tattoos have been shifting from subcultural to mainstream over the past few decades. The physical location, size, and number of tattoos and piercings play a large role in whether or not they are deemed appropriate for professional contexts, and many people with tattoos and/or piercings make conscious choices about when and where they display their body art. Hair also sends messages whether it is on our heads or our bodies. Men with short hair are generally judged to be more conservative than men with long hair, but men with shaved heads may be seen as aggressive. Whether a person has a part in their hair, a mohawk, faux-hawk, ponytail, curls, or bright pink hair also sends nonverbal signals to others.
Jewelry can also send messages with varying degrees of direct meaning. A ring on the “ring finger” of a person’s left hand typically indicates that they are married or in an otherwise committed relationship. A thumb ring or a right-hand ring on the “ring finger” doesn’t send such a direct message. People also adorn their clothes, body, or belongings with religious or cultural symbols, like a cross to indicate a person’s Christian faith or a rainbow flag to indicate that a person is gay, lesbian, bisexual, transgender, queer, or an ally to one or more of those groups. People now wear various types of rubber bracelets, which have become a popular form of social cause marketing, to indicate that they identify with the “Livestrong” movement or support breast cancer awareness and research.
The objects that surround us send nonverbal cues that may influence how people perceive us. What impression does a messy, crowded office make?
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Last, the environment in which we interact affects our verbal and nonverbal communication. This is included because we can often manipulate the nonverbal environment similar to how we would manipulate our gestures or tone of voice to suit our communicative needs. The books that we display on our coffee table, the magazines a doctor keeps in his or her waiting room, the placement of fresh flowers in a foyer, or a piece of mint chocolate on a hotel bed pillow all send particular messages and can easily be changed. The placement of objects and furniture in a physical space can help create a formal, distant, friendly, or intimate climate. In terms of formality, we can use nonverbal communication to convey dominance and status, which helps define and negotiate power and roles within relationships. Fancy cars and expensive watches can serve as symbols that distinguish a CEO from an entry-level employee. A room with soft lighting, a small fountain that creates ambient sounds of water flowing, and a comfy chair can help facilitate interactions between a therapist and a patient. In summary, whether we know it or not, our physical characteristics and the artifacts that surround us communicate much.
“Getting Plugged In”
Avatars
Avatars are computer-generated images that represent users in online environments or are created to interact with users in online and offline situations. Avatars can be created in the likeness of humans, animals, aliens, or other nonhuman creatures. Katrin Allmendinger, “Social Presence in Synchronous Virtual Learning Situations: The Role of Nonverbal Signals Displayed by Avatars,” Educational Psychology Review 22, no. 1 (2010): 42. Avatars vary in terms of functionality and technical sophistication and can include stationary pictures like buddy icons, cartoonish but humanlike animations like a Mii character on the Wii, or very humanlike animations designed to teach or assist people in virtual environments. More recently, 3-D holographic avatars have been put to work helping travelers at airports in Paris and New York. Steve Strunksy, “New Airport Service Rep Is Stiff and Phony, but She’s Friendly,” NJ.COM, May 22, 2012, accessed June 28, 2012, http://www.nj.com/news/index.ssf/2012/05/new_airport_service_rep_is_sti.html; Tecca, “New York City Airports Install New, Expensive Holograms to Help You Find Your Way,” Y! Tech: A Yahoo! News Blog, May 22, 2012, accessed June 28, 2012, http://news.yahoo.com/blogs/technology-blog/york-city-airports-install-expensive-holograms-help-way-024937526.html. Research has shown, though, that humanlike avatars influence people even when they are not sophisticated in terms of functionality and adaptability. Amy L. Baylor, “The Design of Motivational Agents and Avatars,” Educational Technology Research and Development 59, no. 2 (2011): 291–300. Avatars are especially motivating and influential when they are similar to the observer or user but more closely represent the person’s ideal self. Appearance has been noted as one of the most important attributes of an avatar designed to influence or motivate. Attractiveness, coolness (in terms of clothing and hairstyle), and age were shown to be factors that increase or decrease the influence an avatar has over users. Amy L. Baylor, “The Design of Motivational Agents and Avatars,” Educational Technology Research and Development 59, no. 2 (2011): 291–300.
People also create their own avatars as self-representations in a variety of online environments ranging from online role-playing games like World of Warcraft and Second Life to some online learning management systems used by colleges and universities. Research shows that the line between reality and virtual reality can become blurry when it comes to avatar design and identification. This can become even more pronounced when we consider that some users, especially of online role-playing games, spend about twenty hours a week as their avatar.
Avatars do more than represent people in online worlds; they also affect their behaviors offline. For example, one study found that people who watched an avatar that looked like them exercising and losing weight in an online environment exercised more and ate healthier in the real world. Jesse Fox and Jeremy M. Bailenson, “Virtual Self-Modeling: The Effects of Vicarious Reinforcement and Identification on Exercise Behaviors,” Media Psychology 12, no. 1 (2009): 1–25. Seeing an older version of them online led participants to form a more concrete social and psychological connection with their future selves, which led them to invest more money in a retirement account. People’s actions online also mirror the expectations for certain physical characteristics, even when the user doesn’t exhibit those characteristics and didn’t get to choose them for his or her avatar. For example, experimental research showed that people using more attractive avatars were more extroverted and friendly than those with less attractive avatars, which is also a nonverbal communication pattern that exists among real people. In summary, people have the ability to self-select physical characteristics and personal presentation for their avatars in a way that they can’t in their real life. People come to see their avatars as part of themselves, which opens the possibility for avatars to affect users’ online and offline communication. Changsoo Kim, Sang-Gun Lee, and Minchoel Kang, “I Became an Attractive Person in the Virtual World: Users’ Identification with Virtual Communities and Avatars,” Computers in Human Behavior, 28, no. 5 (2012): 1663–69
Describe an avatar that you have created for yourself. What led you to construct the avatar the way you did, and how do you think your choices reflect your typical nonverbal self-presentation? If you haven’t ever constructed an avatar, what would you make your avatar look like and why?
In 2009, a man in Japan became the first human to marry an avatar (that we know of). Although he claims that his avatar is better than any human girlfriend, he has been criticized as being out of touch with reality. You can read more about this human-avatar union through the following link: http://articles.cnn.com/2009-12-16/world/japan.virtual.wedding_1_virtual-world-sal-marry?_s=PM:WORLD. Do you think the boundaries between human reality and avatar fantasy will continue to fade as we become a more technologically fused world? How do you feel about interacting more with avatars in customer service situations like the airport avatar mentioned above? What do you think about having avatars as mentors, role models, or teachers?
Key Takeaways
Kinesics refers to body movements and posture and includes the following components:
Gestures are arm and hand movements and include adaptors like clicking a pen or scratching your face, emblems like a thumbs-up to say “OK,” and illustrators like bouncing your hand along with the rhythm of your speaking.
Head movements and posture include the orientation of movements of our head and the orientation and positioning of our body and the various meanings they send. Head movements such as nodding can indicate agreement, disagreement, and interest, among other things. Posture can indicate assertiveness, defensiveness, interest, readiness, or intimidation, among other things.
Eye contact is studied under the category of oculesics and specifically refers to eye contact with another person’s face, head, and eyes and the patterns of looking away and back at the other person during interaction. Eye contact provides turn-taking signals, signals when we are engaged in cognitive activity, and helps establish rapport and connection, among other things.
Facial expressions refer to the use of the forehead, brow, and facial muscles around the nose and mouth to convey meaning. Facial expressions can convey happiness, sadness, fear, anger, and other emotions.
Haptics refers to touch behaviors that convey meaning during interactions. Touch operates at many levels, including functional-professional, social-polite, friendship-warmth, and love-intimacy.
Vocalics refers to the vocalized but not verbal aspects of nonverbal communication, including our speaking rate, pitch, volume, tone of voice, and vocal quality. These qualities, also known as paralanguage, reinforce the meaning of verbal communication, allow us to emphasize particular parts of a message, or can contradict verbal messages.
Proxemics refers to the use of space and distance within communication. US Americans, in general, have four zones that constitute our personal space: the public zone (12 or more feet from our body), social zone (4–12 feet from our body), the personal zone (1.5–4 feet from our body), and the intimate zone (from body contact to 1.5 feet away). Proxemics also studies territoriality, or how people take up and defend personal space.
Chronemics refers the study of how time affects communication and includes how different time cycles affect our communication, including the differences between people who are past or future oriented and cultural perspectives on time as fixed and measured (monochronic) or fluid and adaptable (polychronic).
Personal presentation and environment refers to how the objects we adorn ourselves and our surroundings with, referred to as artifacts, provide nonverbal cues that others make meaning from and how our physical environment—for example, the layout of a room and seating positions and arrangements—influences communication.
Exercises
Provide some examples of how eye contact plays a role in your communication throughout the day.
One of the key functions of vocalics is to add emphasis to our verbal messages to influence the meaning. Provide a meaning for each of the following statements based on which word is emphasized: “ She is my friend.” “She is my friend.” “She is my friend .”
Getting integrated: Many people do not think of time as an important part of our nonverbal communication. Provide an example of how chronemics sends nonverbal messages in academic settings, professional settings, and personal settings.
4.3 Nonverbal Communication Competence
Learning Objectives
Identify and employ strategies for improving competence with sending nonverbal messages.
Identify and employ strategies for improving competence with interpreting nonverbal messages.
As we age, we internalize social and cultural norms related to sending (encoding) and interpreting (decoding) nonverbal communication. In terms of sending, the tendency of children to send unmonitored nonverbal signals reduces as we get older and begin to monitor and perhaps censor or mask them. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 125. Likewise, as we become more experienced communicators we tend to think that we become better at interpreting nonverbal messages. In this section we will discuss some strategies for effectively encoding and decoding nonverbal messages. As we’ve already learned, we receive little, if any, official instruction in nonverbal communication, but you can think of this chapter as a training manual to help improve your own nonverbal communication competence. As with all aspects of communication, improving your nonverbal communication takes commitment and continued effort. However, research shows that education and training in nonverbal communication can lead to quick gains in knowledge and skill. Ronald E. Riggio, “Social Interaction Skills and Nonverbal Behavior,” in Applications of Nonverbal Behavior Theories and Research, ed. Robert S. Feldman (Hillsdale, NJ: Lawrence Erlbaum, 1992), 23. Additionally, once the initial effort is put into improving your nonverbal encoding and decoding skills and those new skills are put into practice, people are encouraged by the positive reactions from others. Remember that people enjoy interacting with others who are skilled at nonverbal encoding and decoding, which will be evident in their reactions, providing further motivation and encouragement to hone your skills.
Guidelines for Sending Nonverbal Messages
As is stressed in Chapter 2 "Communication and Perception", first impressions matter. Nonverbal cues account for much of the content from which we form initial impressions, so it’s important to know that people make judgments about our identities and skills after only brief exposure. Our competence regarding and awareness of nonverbal communication can help determine how an interaction will proceed and, in fact, whether it will take place at all. People who are skilled at encoding nonverbal messages are more favorably evaluated after initial encounters. This is likely due to the fact that people who are more nonverbally expressive are also more attention getting and engaging and make people feel more welcome and warm due to increased immediacy behaviors, all of which enhance perceptions of charisma.
People who are more nonverbally expressive typically form more positive initial impressions, because expressivity in the form of immediacy behaviors is attention getting and welcoming.
© Thinkstock
Understand That Nonverbal Communication Is Multichannel
Be aware of the multichannel nature of nonverbal communication. We rarely send a nonverbal message in isolation. For example, a posture may be combined with a touch or eye behavior to create what is called a nonverbal cluster. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 21. Nonverbal congruence
Consistency among different nonverbal expressions within a cluster.
refers to consistency among different nonverbal expressions within a cluster. Congruent nonverbal communication is more credible and effective than ambiguous or conflicting nonverbal cues. Even though you may intend for your nonverbal messages to be congruent, they could still be decoded in a way that doesn’t match up with your intent, especially since nonverbal expressions vary in terms of their degree of conscious encoding. In this sense, the multichannel nature of nonverbal communication creates the potential of both increased credibility and increased ambiguity.
When we become more aware of the messages we are sending, we can monitor for nonverbal signals that are incongruent with other messages or may be perceived as such. If a student is talking to his professor about his performance in the class and concerns about his grade, the professor may lean forward and nod, encoding a combination of a body orientation and a head movement that conveys attention. If the professor, however, regularly breaks off eye contact and looks anxiously at her office door, then she is sending a message that could be perceived as disinterest, which is incongruent with the overall message of care and concern she probably wants to encode. Increasing our awareness of the multiple channels through which we send nonverbal cues can help us make our signals more congruent in the moment.
Understand That Nonverbal Communication Affects Our Interactions
Nonverbal communication affects our own and others’ behaviors and communication. Changing our nonverbal signals can affect our thoughts and emotions. Knowing this allows us to have more control over the trajectory of our communication, possibly allowing us to intervene in a negative cycle. For example, if you are waiting in line to get your driver’s license renewed and the agents in front of you are moving slower than you’d like and the man in front of you doesn’t have his materials organized and is asking unnecessary questions, you might start to exhibit nonverbal clusters that signal frustration. You might cross your arms, a closing-off gesture, and combine that with wrapping your fingers tightly around one bicep and occasionally squeezing, which is a self-touch adaptor that results from anxiety and stress. The longer you stand like that, the more frustrated and defensive you will become, because that nonverbal cluster reinforces and heightens your feelings. Increased awareness about these cycles can help you make conscious moves to change your nonverbal communication and, subsequently, your cognitive and emotional states. Matthew McKay, Martha Davis, and Patrick Fanning, Messages: Communication Skills Book, 2nd ed. (Oakland, CA: New Harbinger Publications, 1995), 54.
As your nonverbal encoding competence increases, you can strategically manipulate your behaviors. During my years as a restaurant server I got pretty good at knowing what tables to engage with and “schmooze” a little more to get a better tip. Restaurant servers, bartenders, car salespeople, realtors, exotic dancers, and many others who work in a service or sales capacity know that part of “sealing the deal” is making people feel liked, valued, and important. The strategic use of nonverbal communication to convey these messages is largely accepted and expected in our society, and as customers or patrons, we often play along because it feels good in the moment to think that the other person actually cares about us. Using nonverbals that are intentionally deceptive and misleading can have negative consequences and cross the line into unethical communication.
As you get better at monitoring and controlling your nonverbal behaviors and understanding how nonverbal cues affect our interaction, you may show more competence in multiple types of communication. For example, people who are more skilled at monitoring and controlling nonverbal displays of emotion report that they are more comfortable public speakers. Ronald E. Riggio, “Social Interaction Skills and Nonverbal Behavior,” in Applications of Nonverbal Behavior Theories and Research, ed. Robert S. Feldman (Hillsdale, NJ: Lawrence Erlbaum, 1992), 12. Since speakers become more nervous when they think that audience members are able to detect their nervousness based on outwardly visible, mostly nonverbal cues, it is logical that confidence in one’s ability to control those outwardly visible cues would result in a lessening of that common fear.
Understand How Nonverbal Communication Creates Rapport
Humans have evolved an innate urge to mirror each other’s nonverbal behavior, and although we aren’t often aware of it, this urge influences our behavior daily. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 251. Think, for example, about how people “fall into formation” when waiting in a line. Our nonverbal communication works to create an unspoken and subconscious cooperation, as people move and behave in similar ways. When one person leans to the left the next person in line may also lean to the left, and this shift in posture may continue all the way down the line to the end, until someone else makes another movement and the whole line shifts again. This phenomenon is known as mirroring
The often subconscious practice of using nonverbal cues that match those of others around us.
, which refers to the often subconscious practice of using nonverbal cues in a way that match those of others around us. Mirroring sends implicit messages to others that say, “Look! I’m just like you.” Mirroring evolved as an important social function in that it allowed early humans to more easily fit in with larger groups. Logically, early humans who were more successful at mirroring were more likely to secure food, shelter, and security and therefore passed that genetic disposition on down the line to us.
Last summer, during a backyard game of “corn hole” with my family, my mom and sister were standing at the other board and kept whispering to each other and laughing at my dad and me. Corn hole, which is also called “bags,” involves throwing a cloth sack filled with corn toward another team’s board with the goal of getting it in the hole or on the board to score points. They later told us that they were amazed at how we stood, threw our bags, and shifted position between rounds in unison. Although my dad and I didn’t realize we were doing it, our subconscious mirroring was obviously noticeable to others. Mirroring is largely innate and subconscious, but we can more consciously use it and a variety of other nonverbal signals, like the immediacy behaviors we discussed earlier, to help create social bonds and mutual liking.
Understand How Nonverbal Communication Regulates Conversations
The ability to encode appropriate turn-taking signals can help ensure that we can hold the floor when needed in a conversation or work our way into a conversation smoothly, without inappropriately interrupting someone or otherwise being seen as rude. People with nonverbal encoding competence are typically more “in control” of conversations. This regulating function can be useful in initial encounters when we are trying to learn more about another person and in situations where status differentials are present or compliance gaining or dominance are goals. Although close friends, family, and relational partners can sometimes be an exception, interrupting is generally considered rude and should be avoided. Even though verbal communication is most often used to interrupt another person, interruptions are still studied as a part of chronemics because it interferes with another person’s talk time. Instead of interrupting, you can use nonverbal signals like leaning in, increasing your eye contact, or using a brief gesture like subtly raising one hand or the index finger to signal to another person that you’d like to soon take the floor.
Understand How Nonverbal Communication Relates to Listening
Part of being a good listener involves nonverbal-encoding competence, as nonverbal feedback in the form of head nods, eye contact, and posture can signal that a listener is paying attention and the speaker’s message is received and understood. Active listening, for example, combines good cognitive listening practices with outwardly visible cues that signal to others that we are listening. We will learn more about active listening in Chapter 5 "Listening", but we all know from experience which nonverbal signals convey attentiveness and which convey a lack of attentiveness. Listeners are expected to make more eye contact with the speaker than the speaker makes with them, so it’s important to “listen with your eyes” by maintaining eye contact, which signals attentiveness. Listeners should also avoid distracting movements in the form of self, other, and object adaptors. Being a higher self-monitor can help you catch nonverbal signals that might signal that you aren’t listening, at which point you could consciously switch to more active listening signals.
Understand How Nonverbal Communication Relates to Impression Management
The nonverbal messages we encode also help us express our identities and play into impression management, which as we learned in Chapter 1 "Introduction to Communication Studies" is a key part of communicating to achieve identity goals. Being able to control nonverbal expressions and competently encode them allows us to better manage our persona and project a desired self to others—for example, a self that is perceived as competent, socially attractive, and engaging. Being nonverbally expressive during initial interactions usually leads to more favorable impressions. So smiling, keeping an attentive posture, and offering a solid handshake help communicate confidence and enthusiasm that can be useful on a first date, during a job interview, when visiting family for the holidays, or when running into an acquaintance at the grocery store. Nonverbal communication can also impact the impressions you make as a student. Research has also found that students who are more nonverbally expressive are liked more by their teachers and are more likely to have their requests met by their teachers. Timothy P. Mottet, Steven A. Beebe, Paul C. Raffeld, and Michelle L. Paulsel, “The Effects of Student Verbal and Nonverbal Responsiveness on Teachers’ Liking of Students and Willingness to Comply with Student Requests,” Communication Quarterly 52, no. 1 (2004): 27–38.
Increase Competence in Specific Channels of Nonverbal Communication
While it is important to recognize that we send nonverbal signals through multiple channels simultaneously, we can also increase our nonverbal communication competence by becoming more aware of how it operates in specific channels. Although no one can truly offer you a rulebook on how to effectively send every type of nonverbal signal, there are several nonverbal guidebooks that are written from more anecdotal and less academic perspectives. While these books vary tremendously in terms of their credibility and quality, some, like Allan Pease and Barbara Pease’s The Definitive Book of Body Language, are informative and interesting to read.
Kinesics
The following guidelines may help you more effectively encode nonverbal messages sent using your hands, arms, body, and face.
Gestures
Illustrators make our verbal communication more engaging. I recommend that people doing phone interviews or speaking on the radio make an effort to gesture as they speak, even though people can’t see the gestures, because it will make their words sound more engaging.
Remember that adaptors can hurt your credibility in more formal or serious interactions. Figure out what your common adaptors are and monitor them so you can avoid creating unfavorable impressions.
Gestures send messages about your emotional state. Since many gestures are spontaneous or subconscious, it is important to raise your awareness of them and monitor them. Be aware that clenched hands may signal aggression or anger, nail biting or fidgeting may signal nervousness, and finger tapping may signal boredom.
Eye Contact
Eye contact is useful for initiating and regulating conversations. To make sure someone is available for interaction and to avoid being perceived as rude, it is usually a good idea to “catch their eye” before you start talking to them.
Avoiding eye contact or shifting your eye contact from place to place can lead others to think you are being deceptive or inattentive. Minimize distractions by moving a clock, closing a door, or closing window blinds to help minimize distractions that may lure your eye contact away.
Although avoiding eye contact can be perceived as sign of disinterest, low confidence, or negative emotionality, eye contact avoidance can be used positively as a face-saving strategy. The notion of civil inattention
A social norm that leads us to avoid making eye contact with people in situations that deviate from expected social norms.
refers to a social norm that leads us to avoid making eye contact with people in situations that deviate from expected social norms, such as witnessing someone fall or being in close proximity to a stranger expressing negative emotions (like crying). We also use civil inattention when we avoid making eye contact with others in crowded spaces. Erving Goffman, Relations in Public: Microstudies of the Public Order (New Brunswick, NJ: Transaction Publishers, 2010), 322–31.
Facial Expressions
You can use facial expressions to manage your expressions of emotions to intensify what you’re feeling, to diminish what you’re feeling, to cover up what you’re feeling, to express a different emotion than you’re feeling, or to simulate an emotion that you’re not feeling. Sandra Metts and Sally Planlap, “Emotional Communication,” in Handbook of Interpersonal Communication, 3rd ed., eds. Mark L. Knapp and Kerry J. Daly (Thousand Oaks, CA: Sage, 2002): 339–73.
Be aware of the power of emotional contagion, or the spread of emotion from one person to another. Since facial expressions are key for emotional communication, you may be able to strategically use your facial expressions to cheer someone up, lighten a mood, or create a more serious and somber tone.
Smiles are especially powerful as an immediacy behavior and a rapport-building tool. Smiles can also help to disarm a potentially hostile person or deescalate conflict. When I have a problem or complain in a customer service situation, I always make sure to smile at the clerk, manager, or other person before I begin talking to help minimize my own annoyance and set a more positive tone for the interaction.
Haptics
The following guidelines may help you more effectively encode nonverbal signals using touch:
Remember that culture, status, gender, age, and setting influence how we send and interpret touch messages.
In professional and social settings, it is generally OK to touch others on the arm or shoulder. Although we touch others on the arm or shoulder with our hand, it is often too intimate to touch your hand to another person’s hand in a professional or social/casual setting.
These are types of touch to avoid: Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 49.
Avoid touching strangers unless being introduced or offering assistance.
Avoid hurtful touches and apologize if they occur, even if accidentally.
Avoid startling/surprising another person with your touch.
Avoid interrupting touches such as hugging someone while they are talking to someone else.
Avoid moving people out of the way with only touch—pair your touch with a verbal message like “excuse me.”
Avoid overly aggressive touch, especially when disguised as playful touch (e.g., horseplay taken too far).
Avoid combining touch with negative criticism; a hand on the shoulder during a critical statement can increase a person’s defensiveness and seem condescending or aggressive.
Vocalics
The following guidelines may help you more effectively encode nonverbal signals using paralanguage.
Verbal fillers are often used subconsciously and can negatively affect your credibility and reduce the clarity of your message when speaking in more formal situations. In fact, verbal fluency is one of the strongest predictors of persuasiveness. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 81. Becoming a higher self-monitor can help you notice your use of verbal fillers and begin to eliminate them. Beginner speakers can often reduce their use of verbal fillers noticeably over just a short period of time.
Vocal variety increases listener and speaker engagement, understanding, information recall, and motivation. So having a more expressive voice that varies appropriately in terms of rate, pitch, and volume can help you achieve communication goals related to maintaining attention, effectively conveying information, and getting others to act in a particular way.
Proxemics
The following may help you more effectively encode nonverbal signals related to interpersonal distances.
When breaches of personal space occur, it is a social norm to make nonverbal adjustments such as lowering our level of immediacy, changing our body orientations, and using objects to separate ourselves from others. To reduce immediacy, we engage in civil inattention and reduce the amount of eye contact we make with others. We also shift the front of our body away from others since it has most of our sensory inputs and also allows access to body parts that are considered vulnerable, such as the stomach, face, and genitals. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 45. When we can’t shift our bodies, we often use coats, bags, books, or our hands to physically separate or block off the front of our bodies from others.
Although pets and children are often granted more leeway to breach other people’s space, since they are still learning social norms and rules, as a pet owner, parent, or temporary caretaker, be aware of this possibility and try to prevent such breaches or correct them when they occur.
Chronemics
The following guideline may help you more effectively encode nonverbal signals related to time.
In terms of talk time and turn taking, research shows that people who take a little longer with their turn, holding the floor slightly longer than normal, are actually seen as more credible than people who talk too much or too little. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 64.
Our lateness or promptness can send messages about our professionalism, dependability, or other personality traits. Formal time
Applies to professional situations in which we are expected to be on time or even a few minutes early.
usually applies to professional situations in which we are expected to be on time or even a few minutes early. You generally wouldn’t want to be late for work, a job interview, a medical appointment, and so on. Informal time
Applies to casual and interpersonal situations in which there is much more variation in terms of expectations for promptness.
applies to casual and interpersonal situations in which there is much more variation in terms of expectations for promptness. For example, when I lived in a large city, people often arrived to dinner parties or other social gatherings about thirty minutes after the announced time, given the possibility of interference by heavy traffic or people’s hectic schedules. Now that I live in a smaller town in the Midwest, I’ve learned that people are expected to arrive at or close to the announced time. For most social meetings with one other person or a small group, you can be five minutes late without having to offer much of an apology or explanation. For larger social gatherings you can usually be fifteen minutes late as long as your late arrival doesn’t interfere with the host’s plans or preparations.
Quality time is an important part of interpersonal relationships, and sometimes time has to be budgeted so that it can be saved and spent with certain people or on certain occasions—like date nights for couples or family time for parents and children or other relatives.
Personal Presentation and Environment
The following guidelines may help you more effectively encode nonverbal signals related to personal presentation and environment.
Recognize that personal presentation carries much weight in terms of initial impressions, so meeting the expectations and social norms for dress, grooming, and other artifactual communication is especially important for impression management.
Recognize that some environments facilitate communication and some do not. A traditional front-facing business or educational setup is designed for one person to communicate with a larger audience. People in the audience cannot as easily interact with each other because they can’t see each other face-to-face without turning. A horseshoe or circular arrangement allows everyone to make eye contact and facilitates interaction. Even close proximity doesn’t necessarily facilitate interaction. For example, a comfortable sofa may bring four people together, but eye contact among all four is nearly impossible if they’re all facing the same direction.
Where you choose to sit can also impact perceived characteristics and leadership decisions. People who sit at the head or center of a table are often chosen to be leaders by others because of their nonverbal accessibility—a decision which may have more to do with where the person chose to sit than the person’s perceived or actual leadership abilities. Research has found that juries often select their foreperson based on where he or she happens to sit. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 57–58. Keep this in mind the next time you take your seat at a meeting.
Guidelines for Interpreting Nonverbal Messages
We learn to decode or interpret nonverbal messages through practice and by internalizing social norms. Following the suggestions to become a better encoder of nonverbal communication will lead to better decoding competence through increased awareness. Since nonverbal communication is more ambiguous than verbal communication, we have to learn to interpret these cues as clusters within contexts. My favorite way to increase my knowledge about nonverbal communication is to engage in people watching. Just by consciously taking in the variety of nonverbal signals around us, we can build our awareness and occasionally be entertained. Skilled decoders of nonverbal messages are said to have nonverbal sensitivity, which, very similarly to skilled encoders, leads them to have larger social networks, be more popular, and exhibit less social anxiety. Ronald E. Riggio, “Social Interaction Skills and Nonverbal Behavior,” in Applications of Nonverbal Behavior Theories and Research, ed. Robert S. Feldman (Hillsdale, NJ: Lawrence Erlbaum, 1992), 15.
There Is No Nonverbal Dictionary
The first guideline for decoding nonverbal communication is to realize that there is no nonverbal dictionary. Some nonverbal scholars and many nonverbal skill trainers have tried to catalog nonverbal communication like we do verbal communication to create dictionary-like guides that people can use to interpret nonverbal signals. Although those guides may contain many valid “rules” of nonverbal communication, those rules are always relative to the individual, social, and cultural contexts in which an interaction takes place. In short, you can’t read people’s nonverbal communication like a book, and there are no A -to- Z guides that capture the complexity of nonverbal communication. Peter J. DePaulo, “Applications of Nonverbal Behavior Research in Marketing and Management,” Applications of Nonverbal Behavior Theories and Research, ed. Robert S. Feldman (Hillsdale, NJ: Lawrence Erlbaum, 1992), 64. Rather than using a list of specific rules, I suggest people develop more general tools that will be useful in and adaptable to a variety of contexts.
Recognize That Certain Nonverbal Signals Are Related
The second guideline for decoding nonverbal signals is to recognize that certain nonverbal signals are related. Nonverbal rulebooks aren’t effective because they typically view a nonverbal signal in isolation, similar to how dictionaries separately list denotative definitions of words. To get a more nuanced understanding of the meaning behind nonverbal cues, we can look at them as progressive or layered. For example, people engaging in negative critical evaluation of a speaker may cross their legs, cross one arm over their stomach, and put the other arm up so the index finger is resting close to the eye while the chin rests on the thumb. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 22. A person wouldn’t likely perform all those signals simultaneously. Instead, he or she would likely start with one and then layer more cues on as the feelings intensified. If we notice that a person is starting to build related signals like the ones above onto one another, we might be able to intervene in the negative reaction that is building. Of course, as nonverbal cues are layered on, they may contradict other signals, in which case we can turn to context clues to aid our interpretation.
Although cultural patterns exist, people also exhibit idiosyncratic nonverbal behavior, meaning they don’t always follow the norms of the group.
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Read Nonverbal Cues in Context
We will learn more specifics about nonverbal communication in relational, professional, and cultural contexts in Section 4.1 "Principles and Functions of Nonverbal Communication", but we can also gain insight into how to interpret nonverbal cues through personal contexts. People have idiosyncratic nonverbal behaviors, which create an individual context that varies with each person. Even though we generally fit into certain social and cultural patterns, some people deviate from those norms. For example, some cultures tend toward less touching and greater interpersonal distances during interactions. The United States falls into this general category, but there are people who were socialized into these norms who as individuals deviate from them and touch more and stand closer to others while conversing. As the idiosyncratic communicator inches toward his or her conversational partner, the partner may inch back to reestablish the interpersonal distance norm. Such deviations may lead people to misinterpret sexual or romantic interest or feel uncomfortable. While these actions could indicate such interest, they could also be idiosyncratic. As this example shows, these individual differences can increase the ambiguity of nonverbal communication, but when observed over a period of time, they can actually help us generate meaning. Try to compare observed nonverbal cues to a person’s typical or baseline nonverbal behavior to help avoid misinterpretation. In some instances it is impossible to know what sorts of individual nonverbal behaviors or idiosyncrasies people have because there isn’t a relational history. In such cases, we have to turn to our knowledge about specific types of nonverbal communication or draw from more general contextual knowledge.
Interpreting Cues within Specific Channels
When nonverbal cues are ambiguous or contextual clues aren’t useful in interpreting nonverbal clusters, we may have to look at nonverbal behaviors within specific channels. Keep in mind that the following tips aren’t hard and fast rules and are usually more meaningful when adapted according to a specific person or context. In addition, many of the suggestions in the section on encoding competence can be adapted usefully to decoding.
Kinesics
GesturesAllan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004).
While it doesn’t always mean a person is being honest, displaying palms is largely unconsciously encoded and decoded as a sign of openness and truthfulness. Conversely, crossing your arms in front of your chest is decoded almost everywhere as a negative gesture that conveys defensiveness.
We typically decode people putting their hands in their pocket as a gesture that indicates shyness or discomfort. Men often subconsciously put their hands in their pockets when they don’t want to participate in a conversation. But displaying the thumb or thumbs while the rest of the hand is in the pocket is a signal of a dominant or authoritative attitude.
Nervous communicators may have distracting mannerisms in the form of adaptors that you will likely need to tune out in order to focus more on other verbal and nonverbal cues.
Head Movements and Posture
The head leaning over and being supported by a hand can typically be decoded as a sign of boredom, the thumb supporting the chin and the index finger touching the head close to the temple or eye as a sign of negative evaluative thoughts, and the chin stroke as a sign that a person is going through a decision-making process. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 155–59.
In terms of seated posture, leaning back is usually decoded as a sign of informality and indifference, straddling a chair as a sign of dominance (but also some insecurity because the person is protecting the vulnerable front part of his or her body), and leaning forward as a signal of interest and attentiveness.
Eye Contact
When someone is avoiding eye contact, don’t immediately assume they are not listening or are hiding something, especially if you are conveying complex or surprising information. Since looking away also signals cognitive activity, they may be processing information, and you may need to pause and ask if they need a second to think or if they need you to repeat or explain anything more.
A “sideways glance,” which entails keeping the head and face pointed straight ahead while focusing the eyes to the left or right, has multiple contradictory meanings ranging from interest, to uncertainty, to hostility. When the sideways glance is paired with a slightly raised eyebrow or smile, it is sign of interest. When combined with a furrowed brow it generally conveys uncertainty. But add a frown to that mix and it can signal hostility. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 179.
Facial Expressions
Be aware of discrepancies between facial expressions and other nonverbal gestures and verbal communication. Since facial expressions are often subconscious, they may be an indicator of incongruency within a speaker’s message, and you may need to follow up with questions or consider contextual clues to increase your understanding.
Haptics
Consider the status and power dynamics involved in a touch. In general, people who have or feel they have more social power in a situation typically engage in more touching behaviors with those with less social power. So you may decode a touch from a supervisor differently from the touch of an acquaintance.
Vocalics
People often decode personality traits from a person’s vocal quality. In general, a person’s vocal signature is a result of the physiology of his or her neck, head, and mouth. Therefore a nasal voice or a deep voice may not have any relevant meaning within an interaction. Try not to focus on something you find unpleasant or pleasant about someone’s voice; focus on the content rather than the vocal quality.
Proxemics
The size of a person’s “territory” often speaks to that person’s status. At universities, deans may have suites, department chairs may have large offices with multiple sitting areas, lower-ranked professors may have “cozier” offices stuffed with books and file cabinets, and adjunct instructors may have a shared office or desk or no office space at all.
Since infringements on others’ territory can arouse angry reactions and even lead to violence (think of the countless stories of neighbors fighting over a fence or tree), be sensitive to territorial markers. In secondary and public territories, look for informal markers such as drinks, books, or jackets and be respectful of them when possible.
Personal Presentation and Environment
Be aware of the physical attractiveness bias, which leads people to sometimes mistakenly equate attractiveness with goodness. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 75. A person’s attractive or unattractive physical presentation can lead to irrelevant decoding that is distracting from other more meaningful nonverbal cues.
Detecting Deception
Although people rely on nonverbal communication more than verbal to determine whether or not a person is being deceptive, there is no set profile of deceptive behaviors that you can use to create your own nonverbally based lie detector. Research finds that people generally perceive themselves as good detectors of deception, but when tested people only accurately detect deception at levels a little higher than what we would by random chance. Given that deception is so widespread and common, it is estimated that we actually only detect about half the lies that we are told, meaning we all operate on false information without even being aware of it. Although this may be disappointing to those of you reading who like to think of yourselves as human lie detectors, there are some forces working against our deception detecting abilities. One such force is the truth bias
Our tendency to believe that people are telling the truth, especially if we know and like them.
, which leads us to believe that a person is telling the truth, especially if we know and like that person. Conversely, people who have interpersonal trust issues and people in occupations like law enforcement may also have a lie bias, meaning they assume people are lying to them more often than not. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 293.
It is believed that deceptive nonverbal behaviors result from nonverbal leakage
Nonverbal behaviors that occur as we try to control the cognitive and physical changes that happen during states of cognitive and physical arousal.
, which refers to nonverbal behaviors that occur as we try to control the cognitive and physical changes that happen during states of cognitive and physical arousal. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice, 5th ed. (London: Routledge, 2011), 52. Anxiety is a form of arousal that leads to bodily reactions like those we experience when we perceive danger or become excited for some other reason. Some of these reactions are visible, such as increased movements, and some are audible, such as changes in voice pitch, volume, or rate. Other reactions, such as changes in the electrical conductivity of the skin, increased breathing, and increased heart rate, are not always detectable. Polygraph machines, or lie detectors, work on the principle that the presence of signs of arousal is a reliable indicator of deception in situations where other factors that would also evoke such signals are absent.
So the nonverbal behaviors that we associate with deception don’t actually stem from the deception but the attempts to control the leakage that results from the cognitive and physiological changes. These signals appear and increase because we are conflicted about the act of deception, since we are conditioned to believe that being honest is better than lying, we are afraid of getting caught and punished, and we are motivated to succeed with the act of deception—in essence, to get away with it. Leakage also occurs because of the increased cognitive demands associated with deception. Our cognitive activity increases when we have to decide whether to engage in deception or not, which often involves some internal debate. If we decide to engage in deception, we then have to compose a fabrication or execute some other manipulation strategy that we think is believable. To make things more complicated, we usually tailor our manipulation strategy to the person to whom we are speaking. In short, lying isn’t easy, as it requires us to go against social norms and deviate from our comfortable and familiar communication scripts that we rely on for so much of our interaction. Of course, skilled and experienced deceivers develop new scripts that can also become familiar and comfortable and allow them to engage in deception without arousing as much anxiety or triggering the physical reactions to it. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 288.
There is no one “tell” that gives away when someone is lying.
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There are certain nonverbal cues that have been associated with deception, but the problem is that these cues are also associated with other behaviors, which could lead you to assume someone is being deceptive when they are actually nervous, guilty, or excited. In general, people who are more expressive are better deceivers and people who are typically anxious are not good liars. Also, people who are better self-monitors are better deceivers, because they are aware of verbal and nonverbal signals that may “give them away” and may be better able to control or account for them. Research also shows that people get better at lying as they get older, because they learn more about the intricacies of communication signals and they also get more time to practice. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 281. Studies have found that actors, politicians, lawyers, and salespeople are also better liars, because they are generally higher self-monitors and have learned how to suppress internal feelings and monitor their external behaviors.
“Getting Competent”
Deception and Communication Competence
The research on deception and nonverbal communication indicates that heightened arousal and increased cognitive demands contribute to the presence of nonverbal behaviors that can be associated with deception. Remember, however, that these nonverbal behaviors are not solely related to deception and also manifest as a result of other emotional or cognitive states. Additionally, when people are falsely accused of deception, the signs that they exhibit as a result of the stress of being falsely accused are very similar to the signals exhibited by people who are actually engaging in deception.
There are common misconceptions about what behaviors are associated with deception. Behaviors mistakenly linked to deception include longer response times, slower speech rates, decreased eye contact, increased body movements, excessive swallowing, and less smiling. None of these have consistently been associated with deception. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 296. As we’ve learned, people also tend to give more weight to nonverbal than verbal cues when evaluating the truthfulness of a person or her or his message. This predisposition can lead us to focus on nonverbal cues while overlooking verbal signals of deception. A large study found that people were better able to detect deception by sound alone than they were when exposed to both auditory and visual cues. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 297. Aside from nonverbal cues, also listen for inconsistencies in or contradictions between statements, which can also be used to tell when others are being deceptive. The following are some nonverbal signals that have been associated with deception in research studies, but be cautious about viewing these as absolutes since individual and contextual differences should also be considered.
Gestures. One of the most powerful associations between nonverbal behaviors and deception is the presence of adaptors. Self-touches like wringing hands and object-adaptors like playing with a pencil or messing with clothing have been shown to correlate to deception. Some highly experienced deceivers, however, can control the presence of adaptors. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 284.
Eye contact. Deceivers tend to use more eye contact when lying to friends, perhaps to try to increase feelings of immediacy or warmth, and less eye contact when lying to strangers. A review of many studies of deception indicates that increased eye blinking is associated with deception, probably because of heightened arousal and cognitive activity. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 282–83.
Facial expressions. People can intentionally use facial expressions to try to deceive, and there are five primary ways that this may occur. People may show feelings that they do not actually have, show a higher intensity of feelings than they actually have, try to show no feelings, try to show less feeling than they actually have, or mask one feeling with another.
Vocalics. One of the most common nonverbal signs of deception is speech errors. As you’ll recall, verbal fillers and other speech disfluencies are studied as part of vocalics; examples include false starts, stutters, and fillers. Studies also show that an increase in verbal pitch is associated with deception and is likely caused by heightened arousal and tension.
Chronemics. Speech turns are often thought to correspond to deception, but there is no consensus among researchers as to the exact relationship. Most studies reveal that deceivers talk less, especially in response to direct questions. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 283.
Studies show that people engage in deception much more than they care to admit. Do you consider yourself a good deceiver? Why or why not? Which, if any, of the nonverbal cues discussed do you think help you deceive others or give you away?
For each of the following scenarios, note (1) what behaviors may indicate deception, (2) alternative explanations for the behaviors (aside from deception), and (3) questions you could ask to get more information before making a judgment.
Scenario 1. A politician is questioned by a reporter about allegations that she used taxpayer money to fund personal vacations. She looks straight at the reporter, crosses one leg over the other, and says, “I’ve worked for the people of this community for ten years and no one has ever questioned my ethics until now.” As she speaks, she points her index finger at the politician and uses a stern and clear tone of voice.
Scenario 2. You ask your roommate if you can borrow his car to go pick up a friend from the train station about ten miles away. He says, “Um, well…I had already made plans to go to dinner with Cal and he drove last time so it’s kind of my turn to drive this time. I mean, is there someone else you could ask or someone else who could get her? You know I don’t mind sharing things with you, and I would totally let you, you know, if I didn’t have this thing to do. Sorry.” As he says, “Sorry,” he raises both of his hands, with his palms facing toward you, and shrugs.
Scenario 3. A professor asks a student to explain why he didn’t cite sources for several passages in his paper that came from various websites. The student scratches his head and says, “What do you mean? Those were my ideas. I did look at several websites, but I didn’t directly quote anything so I didn’t think I needed to put the citations in parentheses.” As he says this, he rubs the back of his neck and then scratches his face and only makes minimal eye contact with the professor.
Key Takeaways
To improve your competence encoding nonverbal messages, increase your awareness of the messages you are sending and receiving and the contexts in which your communication is taking place. Since nonverbal communication is multichannel, it is important to be aware that nonverbal cues can complement, enhance, or contradict each other. Also realize that the norms and expectations for sending nonverbal messages, especially touch and personal space, vary widely between relational and professional contexts.
To improve your competence decoding nonverbal messages, look for multiple nonverbal cues, avoid putting too much weight on any one cue, and evaluate nonverbal messages in relation to the context and your previous experiences with the other person. Although we put more weight on nonverbal communication than verbal when trying to detect deception, there is no set guide that can allow us to tell whether or not another person is being deceptive.
Exercises
Getting integrated: As was indicated earlier, research shows that instruction in nonverbal communication can lead people to make gains in their nonverbal communication competence. List some nonverbal skills that you think are important in each of the following contexts: academic, professional, personal, and civic.
Using concepts from this section, analyze your own nonverbal encoding competence. What are your strengths and weaknesses? Do the same for your nonverbal decoding competence
To understand how chronemics relates to nonverbal communication norms, answer the following questions: In what situations is it important to be early? In what situations can you arrive late? How long would you wait on someone you were meeting for a group project for a class? A date? A job interview?
4.4 Nonverbal Communication in Context
Learning Objectives
Discuss the role of nonverbal communication in relational contexts.
Discuss the role of nonverbal communication in professional contexts.
Provide examples of cultural differences in nonverbal communication.
Provide examples of gender differences in nonverbal communication.
Nonverbal communication receives less attention than verbal communication as a part of our everyday lives. Learning more about nonverbal communication and becoming more aware of our own and others’ use of nonverbal cues can help us be better relational partners and better professionals. In addition, learning about cultural differences in nonverbal communication is important for people traveling abroad but also due to our increasingly multinational business world and the expanding diversity and increased frequency of intercultural communication within our own borders.
Nonverbal Communication in Relational Contexts
A central, if not primary, function of nonverbal communication is the establishment and maintenance of interpersonal relationships. Further, people who are skilled at encoding nonverbal messages have various interpersonal advantages, including being more popular, having larger social networks consisting of both acquaintances and close friends, and being less likely to be lonely or socially anxious. Ronald E. Riggio, “Social Interaction Skills and Nonverbal Behavior,” in Applications of Nonverbal Behavior Theories and Research, ed. Robert S. Feldman (Hillsdale, NJ: Lawrence Erlbaum, 1992), 15.
Nonverbal communication increases our expressivity, and people generally find attractive and want to pay more attention to things that are expressive. This increases our chances of initiating interpersonal relationships. Relationships then form as a result of some initial exchanges of verbal and nonverbal information through mutual self-disclosure. As the depth of self-disclosure increases, messages become more meaningful if they are accompanied by congruent nonverbal cues. Impressions formed at this stage of interaction help determine whether or not a relationship will progress. As relationships progress from basic information exchange and the establishment of early interpersonal bonds to more substantial emotional connections, nonverbal communication plays a more central role. As we’ve learned, nonverbal communication conveys much emotional meaning, so the ability to effectively encode and decode appropriate nonverbal messages sent through facial expressions, gestures, eye contact, and touch leads to high-quality interactions that are rewarding for the communicators involved.
Nonverbal communication helps maintain relationships once they have moved beyond the initial stages by helping us communicate emotions and seek and provide social and emotional support. In terms of communicating emotions, competent communicators know when it is appropriate to express emotions and when more self-regulation is needed. They also know how to adjust their emotional expressions to fit various contexts and individuals, which is useful in preventing emotional imbalances within a relationship. Emotional imbalances occur when one relational partner expresses too much emotion in a way that becomes a burden for the other person. Ideally, each person in a relationship is able to express his or her emotions in a way that isn’t too taxing for the other person. Occasionally, one relational partner may be going through an extended period of emotional distress, which can become very difficult for other people in his or her life. Since people with nonverbal communication competence are already more likely to have larger social support networks, it is likely that they will be able to spread around their emotional communication, specifically related to negative emotions, in ways that do not burden others. Unfortunately, since people with less nonverbal skill are likely to have smaller social networks, they may end up targeting one or two people for their emotional communication, which could lead the other people to withdraw from the relationship.
Nonverbal communication allows us to give and request emotional support, which is a key part of relational communication.
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Expressing the need for support is also an important part of relational maintenance. People who lack nonverbal encoding skills may send unclear or subtle cues requesting support that are not picked up on by others, which can lead to increased feelings of loneliness. Skilled encoders of nonverbal messages, on the other hand, are able to appropriately communicate the need for support in recognizable ways. As relationships progress in terms of closeness and intimacy, nonverbal signals become a shorthand form of communicating, as information can be conveyed with a particular look, gesture, tone of voice, or posture. Family members, romantic couples, close friends, and close colleagues can bond over their familiarity with each other’s nonverbal behaviors, which creates a shared relational reality that is unique to the relationship.
Nonverbal Communication in Professional Contexts
Surveys of current professionals and managers have found that most report that nonverbal skills are important to their jobs. Peter J. DePaulo, “Applications of Nonverbal Behavior Research in Marketing and Management,” Applications of Nonverbal Behavior Theories and Research, ed. Robert S. Feldman (Hillsdale, NJ: Lawrence Erlbaum, 1992), 63. Although important, there is rarely any training or instruction related to nonverbal communication, and a consistent issue that has been reported by employees has been difficulty with mixed messages coming from managers. Interpreting contradictory verbal and nonverbal messages is challenging in any context and can have negative effects on job satisfaction and productivity. As a supervisor who gives positive and negative feedback regularly and/or in periodic performance evaluations, it is important to be able to match nonverbal signals with the content of the message. For example, appropriate nonverbal cues can convey the seriousness of a customer or coworker complaint, help ease the delivery of constructive criticism, or reinforce positive feedback. Professionals also need to be aware of how context, status, and power intersect with specific channels of nonverbal communication. For example, even casual touching of supervisees, mentees, or employees may be considered condescending or inappropriate in certain situations. A well-deserved pat on the back is different from an unnecessary hand on the shoulder to say hello at the start of a business meeting.
In professional contexts, managers and mentors with nonverbal decoding skills can exhibit sensitivity to others’ nonverbal behavior and better relate to employees and mentees. In general, interpreting emotions from nonverbal cues can have interpersonal and professional benefits. One study found that salespeople who were skilled at recognizing emotions through nonverbal cues sold more products and earned higher salaries. Kristin Byron, Sophia Terranova, and Stephen Nowicki Jr., “Nonverbal Emotion Recognition and Salespersons: Linking Ability to Perceived and Actual Success,” Journal of Applied Social Psychology 37, no. 11 (2007): 2600–2619. Aside from bringing financial rewards, nonverbal communication also helps create supportive climates. Bosses, supervisors, and service providers like therapists can help create rapport and a positive climate by consciously mirroring the nonverbal communication of their employees or clients. In addition, mirroring the nonverbal communication of others during a job interview, during a sales pitch, or during a performance evaluation can help put the other person at ease and establish rapport. Much of the mirroring we do is natural, so trying to overcompensate may actually be detrimental, but engaging in self-monitoring and making small adjustments could be beneficial. Peter J. DePaulo, “Applications of Nonverbal Behavior Research in Marketing and Management,” in Applications of Nonverbal Behavior Theories and Research, ed. Robert S. Feldman (Hillsdale, NJ: Lawrence Erlbaum, 1992), 71–73.
You can also use nonverbal communication to bring positive attention to yourself. Being able to nonverbally encode turn-taking cues can allow people to contribute to conversations at relevant times, and getting an idea or a piece of information or feedback in at the right time can help bring attention to your professional competence. Being able to encode an appropriate amount of professionalism and enthusiasm during a job interview can also aid in desired impression formation since people make judgments about others’ personalities based on their nonverbal cues. A person who comes across as too enthusiastic may be seen as pushy or fake, and a person who comes across as too relaxed may be seen as unprofessional and unmotivated.
Nonverbal Communication and Culture
As with other aspects of communication, norms for nonverbal communication vary from country to country and also among cultures within a particular country. We’ve already learned that some nonverbal communication behaviors appear to be somewhat innate because they are universally recognized. Two such universal signals are the “eyebrow flash” of recognition when we see someone we know and the open hand and the palm up gesture that signals a person would like something or needs help. Judith N. Martin and Thomas K. Nakayama, Intercultural Communication in Contexts, 5th ed. (Boston, MA: McGraw-Hill, 2010), 271. Smiling is also a universal nonverbal behavior, but the triggers that lead a person to smile vary from culture to culture. The expansion of media, particularly from the United States and other Western countries around the world, is leading to more nonverbal similarities among cultures, but the biggest cultural differences in nonverbal communication occur within the categories of eye contact, touch, and personal space. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 112–13. Next, we will overview some interesting and instructive differences within several channels of nonverbal communication that we have discussed so far. As you read, remember that these are not absolute, in that nonverbal communication like other forms of communication is influenced by context and varies among individuals within a particular cultural group as well.
Kinesics
Cultural variations in the way we gesture, use head movements, and use eye contact fall under the nonverbal category of kinesics.
Gestures
Remember that emblems are gestures that correspond to a word and an agreed-on meaning. When we use our fingers to count, we are using emblematic gestures, but even our way of counting varies among cultures. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 108. I could fairly accurately separate British people and US Americans from French, Greek, and German people based on a simple and common gesture. Let’s try this exercise: First, display with your hand the number five. Second, keeping the five displayed, change it to a two. If you are from the United States or Britain you are probably holding up your index finder and your middle finger. If you are from another European country you are probably holding up your thumb and index finger. While Americans and Brits start counting on their index finger and end with five on their thumb, other Europeans start counting on their thumb and end with five on their pinky finger.
This common gesture for “five” or as a signal to get someone’s attention is called a moutza in Greece and is an insult gesture that means you want to rub excrement in someone’s face. See example in Note 4.38 "Video Clip 4.1".
© Thinkstock
How you use your hands can also get you into trouble if you’re unaware of cultural differences. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 110–11. For example, the “thumbs up” gesture, as we just learned, can mean “one” in mainland Europe, but it also means “up yours” in Greece (when thrust forward) and is recognized as a signal for hitchhiking or “good,” “good job / way to go,” or “OK” in many other cultures. Two hands up with the palms out can signal “ten” in many Western countries and is recognized as a signal for “I’m telling the truth” or “I surrender” in many cultures. The same gesture, however, means “up yours twice” in Greece. So using that familiar gesture to say you surrender might actually end up escalating rather than ending a conflict if used in Greece.
You can take a cross-cultural awareness quiz to learn some more interesting cultural variations in gestures at the following link: http://www.kwintessential.co.uk/resources/quiz/gestures.php.
Video Clip 4.1
Soccer Player Directs Insult Gesture to Referee
(click to see video)
Head Movements
Bowing is a nonverbal greeting ritual that is more common in Asian cultures than Western cultures, but the head nod, which is a common form of acknowledgement in many cultures, is actually an abbreviated bow. Japan is considered a noncontact culture
Cultural groups in which people stand farther apart while talking, make less eye contact, and touch less during regular interactions.
, which refers to cultural groups in which people stand farther apart while talking, make less eye contact, and touch less during regular interactions. Because of this, bowing is the preferred nonverbal greeting over handshaking. Bows vary based on status, with higher status people bowing the least. For example, in order to indicate the status of another person, a Japanese businessperson may bow deeply. An interesting ritual associated with the bow is the exchange of business cards when greeting someone in Japan. This exchange allows each person to view the other’s occupation and title, which provides useful information about the other’s status and determines who should bow more. Since bowing gives each person a good view of the other person’s shoes, it is very important to have clean shoes that are in good condition, since they play an important part of initial impression formation.
Eye Contact
In some cultures, avoiding eye contact is considered a sign of respect. Such eye contact aversion, however, could be seen as a sign that the other person is being deceptive, is bored, or is being rude. Some Native American nations teach that people should avoid eye contact with elders, teachers, and other people with status. This can create issues in classrooms when teachers are unaware of this norm and may consider a Native American student’s lack of eye contact as a sign of insubordination or lack of engagement, which could lead to false impressions that the student is a troublemaker or less intelligent.
Haptics
As we’ve learned, touch behaviors are important during initial interactions, and cultural differences in these nonverbal practices can lead to miscommunication and misunderstanding. Shaking hands as a typical touch greeting, for example, varies among cultures. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 114. It is customary for British, Australian, German, and US American colleagues to shake hands when seeing each other for the first time and then to shake again when departing company. In the United States, the colleagues do not normally shake hands again if they see each other again later in the day, but European colleagues may shake hands with each other several times a day. Once a certain level of familiarity and closeness is reached, US American colleagues will likely not even shake hands daily unless engaging in some more formal interaction, but many European colleagues will continue to shake each time they see each other. Some French businesspeople have been known to spend up to thirty minutes a day shaking hands. The squeezes and up-and-down shakes used during handshakes are often called “pumps,” and the number of pumps used in a handshake also varies among cultures. Although the Germans and French shake hands more often throughout the day, they typically only give one or two pumps and then hold the shake for a couple seconds before letting go. Brits tend to give three to five pumps, and US Americans tend to give five to seven pumps. This can be humorous to watch at a multinational business event, but it also affects the initial impressions people make of each other. A US American may think that a German is being unfriendly or distant because of his or her single hand pump, while a German may think that a US American is overdoing it with seven.
Contact cultures
Cultural groups in which people stand closer together, engage in more eye contact, touch more frequently, and speak more loudly.
are cultural groups in which people stand closer together, engage in more eye contact, touch more frequently, and speak more loudly. Italians are especially known for their vibrant nonverbal communication in terms of gestures, volume, eye contact, and touching, which not surprisingly places them in the contact culture category. Italians use hand motions and touching to regulate the flow of conversations, and when non-Italians don’t know how to mirror an Italian’s nonverbals they may not get to contribute much to the conversation, which likely feeds into the stereotype of Italians as domineering in conversations or overexpressive. For example, Italians speak with their hands raised as a way to signal that they are holding the floor for their conversational turn. If their conversational partner starts to raise his or her hands, the Italian might gently touch the other person and keep on talking. Conversational partners often interpret this as a sign of affection or of the Italian’s passion for what he or she is saying. In fact, it is a touch intended to keep the partner from raising his or her hands, which would signal that the Italian’s conversational turn is over and the other person now has the floor. It has been suggested that in order to get a conversational turn, you must physically grab their hands in midair and pull them down. While this would seem very invasive and rude to northern Europeans and US Americans, it is a nonverbal norm in Italian culture and may be the only way to get to contribute to a conversation. Allan Pease and Barbara Pease, The Definitive Book of Body Language (New York, NY: Bantam, 2004), 115.
Vocalics
The volume at which we speak is influenced by specific contexts and is more generally influenced by our culture. In European countries like France, England, Sweden, and Germany, it is not uncommon to find restaurants that have small tables very close together. In many cases, two people dining together may be sitting at a table that is actually touching the table of another pair of diners. Most US Americans would consider this a violation of personal space, and Europeans often perceive US Americans to be rude in such contexts because they do not control the volume of their conversations more. Since personal space is usually more plentiful in the United States, Americans are used to speaking at a level that is considered loud to many cultures that are used to less personal space. I have personally experienced both sides of this while traveling abroad. One time, my friends and I were asked to leave a restaurant in Sweden because another table complained that we were being loud. Another time, at a restaurant in Argentina, I was disturbed, as were the others dining around me, by a “loud” table of Americans seated on the other side of the dining area. In this case, even though we were also Americans, we were bothered by the lack of cultural awareness being exhibited by the other Americans at the restaurant. These examples show how proxemics and vocalics can combine to make for troubling, but hopefully informative, nonverbal intercultural encounters.
Proxemics
Cultural norms for personal space vary much more than some other nonverbal communication channels such as facial expressions, which have more universal similarity and recognizability. We’ve already learned that contact and noncontact cultures differ in their preferences for touch and interpersonal distance. Countries in South America and southern Europe exhibit characteristics of contact cultures, while countries in northern Europe and Southeast Asia exhibit noncontact cultural characteristics. Because of the different comfort levels with personal space, a Guatemalan and a Canadian might come away with differing impressions of each other because of proxemic differences. The Guatemalan may feel the Canadian is standoffish, and the Canadian may feel the Guatemalan is pushy or aggressive.
Chronemics
The United States and many northern and western European countries have a monochronic
A fixed and precise orientation toward time in which time is seen as a commodity that can be budgeted, saved, spent, and wasted and events are to be scheduled in advance and have set beginning and ending times.
orientation to time, meaning time is seen as a commodity that can be budgeted, saved, spent, and wasted. Events are to be scheduled in advance and have set beginning and ending times. Countries like Spain and Mexico have a polychronic
A flexible cultural orientation toward time in which relationships are often valued above schedules and scheduling appointments at the same time and being late for or missing appointments may not be a violation of norms.
orientation to time. Appointments may be scheduled at overlapping times, making an “orderly” schedule impossible. People may also miss appointments or deadlines without offering an apology, which would be considered very rude by a person with a monochronic orientation to time. People from cultures with a monochronic orientation to time are frustrated when people from polychromic cultures cancel appointments or close businesses for family obligations. Conversely, people from polychromic cultures feel that US Americans, for example, follow their schedules at the expense of personal relationships. Judith N. Martin and Thomas K. Nakayama, Intercultural Communication in Contexts, 5th ed. (Boston, MA: McGraw-Hill, 2010), 278.
Nonverbal Communication and Gender
Gender and communication scholar Kathryn Dindia contests the notion that men and women are from different planets and instead uses another analogy. She says men are from South Dakota and women are from North Dakota. Although the states border each other and are similar in many ways, state pride and in-group identifications lead the people of South Dakota to perceive themselves to be different from the people of North Dakota and vice versa. But if we expand our perspective and take the position of someone from California or Illinois, North Dakotans and South Dakotans are pretty much alike. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 106. This comparison is intended to point out that in our daily lives we do experience men and women to be fairly different, but when we look at the differences between men and women compared to the differences between humans and other creatures, men and women are much more similar than different. For example, in terms of nonverbal communication, men and women all over the world make similar facial expressions and can recognize those facial expressions in one another. We use similar eye contact patterns, gestures, and, within cultural groups, have similar notions of the use of time and space. As I will reiterate throughout this book, it’s important to understand how gender influences communication, but it’s also important to remember that in terms of communication, men and women are about 99 percent similar and 1 percent different.
Kinesics
Although men and women are mostly similar in terms of nonverbal communication, we can gain a better understanding of the role that gender plays in influencing our social realities by exploring some of the channel-specific differences. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 118–21. Within the category of kinesics, we will discuss some gender differences in how men and women use gestures, posture, eye contact, and facial expressions.
Gestures
Women use more gestures in regular conversation than do men, but men tend to use larger gestures than women when they do use them.
Men are, however, more likely to use physical adaptors like restless foot and hand movements, probably because girls are socialized to avoid such movements because they are not “ladylike.”
Posture
Men are more likely to lean in during an interaction than are women.
Women are more likely to have a face-to-face body orientation while interacting than are men.
Women’s tendency to use a face-to-face body orientation influences the general conclusion that women are better at sending and receiving nonverbal messages than men. Women’s more direct visual engagement during interactions allows them to take in more nonverbal cues, which allows them to better reflect on and more accurately learn from experience what particular nonverbal cues mean in what contexts.
Eye Contact
In general, women make more eye contact than men. As we learned, women use face-to-face body orientations in conversations more often than men, which likely facilitates more sustained eye contact.
Overall, women tend to do more looking and get looked at more than men.
Facial Expressions
Women reveal emotion through facial expressions more frequently and more accurately than men.
Men are more likely than women to exhibit angry facial expressions.
Men are often socialized to believe it is important to hide their emotions. This is especially evident in the case of smiling, with women smiling more than men. This also contributes to the stereotype of the more emotionally aware and nurturing woman, since people tend to like and view as warmer others who show positive emotion. Gender socialization plays a role in facial displays as girls are typically rewarded for emotional displays, especially positive ones, and boys are rewarded when they conceal emotions—for instance, when they are told to “suck it up,” “take it like a man,” or “show sportsmanship” by not gloating or celebrating openly.
Haptics
Although it is often assumed that men touch women more than women touch men, this hasn’t been a consistent research finding. In fact, differences in touch in cross-gender interactions are very small.
Women do engage in more touching when interacting with same-gender conversational partners than do men.
In general, men tend to read more sexual intent into touch than do women, who often underinterpret sexual intent. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 125.
There is a touch taboo for men in the United States. In fact, research supports the claim that men’s aversion to same-gender touching is higher in the United States than in other cultures, which shows that this taboo is culturally relative. For example, seeing two adult men holding hands in public in Saudi Arabia would signal that the men are close friends and equals, but it wouldn’t signal that they are sexually attracted to each other. Judith N. Martin and Thomas K. Nakayama, Intercultural Communication in Contexts, 5th ed. (Boston, MA: McGraw-Hill, 2010), 274. The touch taboo also extends to cross-gender interactions in certain contexts. It’s important to be aware of the potential interpretations of touch, especially as they relate to sexual and aggressive interpretations.
Vocalics
Women are socialized to use more vocal variety, which adds to the stereotype that women are more expressive than men.
In terms of pitch, women tend more than men to end their sentences with an upward inflection of pitch, which implies a lack of certainty, even when there isn’t.
A biological difference between men and women involves vocal pitch, with men’s voices being lower pitched and women’s being higher. Varying degrees of importance and social meaning are then placed on these biological differences, which lead some men and women to consciously or unconsciously exaggerate the difference. Men may speak in a lower register than they would naturally and women may speak in more soft, breathy tones to accentuate the pitch differences. These ways of speaking often start as a conscious choice after adolescence to better fit into socially and culturally proscribed gender performances, but they can become so engrained that people spend the rest of their lives speaking in a voice that is a modified version of their natural tone.
Proxemics
Men are implicitly socialized to take up as much space as possible, and women are explicitly socialized to take up less space.
In terms of interpersonal distance, research shows that women interact in closer proximity to one another than do men.
Men do not respond as well as women in situations involving crowding. High-density environments evoke more negative feelings from men, which can even lead to physical violence in very crowded settings.
Men are generally larger than women, which is a biological difference that gains social and cultural meaning when certain behaviors and norms are associated with it. For example, women are told to sit in a “ladylike” way, which usually means to cross and/or close their legs and keep their limbs close to their body. Men, on the other hand, sprawl out in casual, professional, and formal situations without their use of space being reprimanded or even noticed in many cases.
If you’ll recall our earlier discussion of personal space, we identified two subzones within the personal zone that extends from 1.5 to 4 feet from our body. Men seem to be more comfortable with casual and social interactions that are in the outer subzone, which is 2.5 to 4 feet away, meaning men prefer to interact at an arm’s length from another person. This also plays into the stereotypes of women as more intimate and nurturing and men as more distant and less intimate.
Men’s displays of intimacy are often different from women’s due to gender socialization that encourages females’ expressions of intimacy and discourages males’.
© Thinkstock
Self-Presentation
Men and women present themselves differently, with women, in general, accentuating their physical attractiveness more and men accentuating signs of their status and wealth more.
Men and women may engage in self-presentation that exaggerates existing biological differences between male and female bodies.
Most people want to present themselves in ways that accentuate their attractiveness, at least in some situations where impression management is important to fulfill certain instrumental, relational, or identity needs. Gender socialization over many years has influenced how we present ourselves in terms of attractiveness. Research shows that women’s physical attractiveness is more important to men than men’s physical attractiveness is to women. Women do take physical attractiveness into account, but a man’s social status and wealth has been shown to be more important.
Men and women also exaggerate biological and socially based sex and gender differences on their own. In terms of biology, men and women’s bodies are generally different, which contributes to the nonverbal area related to personal appearance. Many men and women choose clothing that accentuates these bodily differences. For example, women may accentuate their curves with specific clothing choices and men may accentuate their size—for example, by wearing a suit with shoulder padding to enhance the appearance of broad shoulders. These choices vary in terms of the level of consciousness at which they are made. Men are also hairier than women, and although it isn’t always the case and grooming varies by culture, many women shave their legs and remove body hair while men may grow beards or go to great lengths to reverse baldness to accentuate these differences. Of course, the more recent trend of “manscaping” now has some men trimming or removing body hair from their chests, arms, and/or legs.
Key Takeaways
A central function of nonverbal communication is the establishment and maintenance of interpersonal relationships. Nonverbal communication helps initiate relationships through impression management and self-disclosure and then helps maintain relationships as it aids in emotional expressions that request and give emotional support.
Professionals indicate that nonverbal communication is an important part of their jobs. Organizational leaders can use nonverbal decoding skills to tell when employees are under stress and in need of support and can then use encoding skills to exhibit nonverbal sensitivity. Nonverbal signals can aid in impression management in professional settings, such as in encoding an appropriate amount of enthusiasm and professionalism.
Although some of our nonverbal signals appear to be more innate and culturally universal, many others vary considerably among cultures, especially in terms of the use of space (proxemics), eye contact (oculesics), and touch (haptics). Rather than learning a list of rules for cultural variations in nonverbal cues, it is better to develop more general knowledge about how nonverbal norms vary based on cultural values and to view this knowledge as tools that can be adapted for use in many different cultural contexts.
In terms of gender, most of the nonverbal differences between men and women are exaggerations of biological differences onto which we have imposed certain meanings and values. Men and women’s nonverbal communication, as with other aspects of communication, is much more similar than different. Research has consistently found, however, that women gesture, make eye contact, touch and stand close to same-gender conversational partners, and use positive facial expressions more than men.
Exercises
Identify some nonverbal behaviors that would signal a positive interaction on a first date and on a job interview. Then identify some nonverbal behaviors that would signal a negative interaction in each of those contexts.
Discuss an experience where you have had some kind of miscommunication or misunderstanding because of cultural or gender differences in encoding and decoding nonverbal messages. What did you learn in this chapter that could help you in similar future interactions? | msmarco_doc_00_9633454 |
http://2012books.lardbucket.org/books/a-primer-on-communication-studies/s05-listening.html | Listening | Chapter 5
Listening
Chapter 5 Listening
5.1 Understanding How and Why We Listen
Learning Objectives
The Listening Process
Receiving
Interpreting
Recalling
Evaluating
Responding
The Importance of Listening
Listening Types
Discriminative Listening
Informational Listening
Critical Listening
Empathetic Listening
Listening Styles
People-Oriented Listeners
Action-Oriented Listeners
Content-Oriented Listeners
Time-Oriented Listeners
Key Takeaways
Exercises
5.2 Barriers to Effective Listening
Learning Objectives
Environmental and Physical Barriers to Listening
Cognitive and Personal Barriers to Listening
Difference between Speech and Thought Rate
“Getting Plugged In”
Lack of Listening Preparation
Bad Messages and/or Speakers
Prejudice
Bad Listening Practices
Interrupting
Distorted Listening
Eavesdropping
Aggressive Listening
Narcissistic Listening
Pseudo-listening
Key Takeaways
Exercises
5.3 Improving Listening Competence
Learning Objectives
Listening Competence at Each Stage of the Listening Process
Active Listening
Active Listening Can Help Overcome Barriers to Effective Listening
Active Listening Behaviors
“Getting Competent”
Becoming a Better Critical Listener
Other Tips to Help You Become a Better Critical Listener
“Getting Critical”
Becoming a Better Empathetic Listener
Becoming a Better Contextual Listener
Listening in Professional Contexts
“Getting Real”
Listening in Relational Contexts
Listening and Culture
Listening and Gender
Key Takeaways
Exercises
5.4 Listenable Messages and Effective Feedback
Learning Objectives
Creating Listenable Messages
Giving Formal Feedback to Others
When Giving Feedback to Others
Giving Formal Feedback to Yourself
When Giving Feedback to Yourself
Key Takeaways
Exercises
| Listening
Chapter 5 Listening
In our sender-oriented society, listening is often overlooked as an important part of the communication process. Yet research shows that adults spend about 45 percent of their time listening, which is more than any other communicative activity. In some contexts, we spend even more time listening than that. On average, workers spend 55 percent of their workday listening, and managers spend about 63 percent of their day listening. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 177.
Listening is a primary means through which we learn new information, which can help us meet instrumental needs as we learn things that helps us complete certain tasks at work or school and get things done in general. The act of listening to our relational partners provides support, which is an important part of relational maintenance and helps us meet our relational needs. Listening to what others say about us helps us develop an accurate self-concept, which can help us more strategically communicate for identity needs in order to project to others our desired self. Overall, improving our listening skills can help us be better students, better relational partners, and more successful professionals.
5.1 Understanding How and Why We Listen
Learning Objectives
Describe the stages of the listening process.
Discuss the four main types of listening.
Compare and contrast the four main listening styles.
Listening
The learned process of receiving, interpreting, recalling, evaluating, and responding to verbal and nonverbal messages.
is the learned process of receiving, interpreting, recalling, evaluating, and responding to verbal and nonverbal messages. We begin to engage with the listening process long before we engage in any recognizable verbal or nonverbal communication. It is only after listening for months as infants that we begin to consciously practice our own forms of expression. In this section we will learn more about each stage of the listening process, the main types of listening, and the main listening styles.
The Listening Process
Listening is a process and as such doesn’t have a defined start and finish. Like the communication process, listening has cognitive, behavioral, and relational elements and doesn’t unfold in a linear, step-by-step fashion. Models of processes are informative in that they help us visualize specific components, but keep in mind that they do not capture the speed, overlapping nature, or overall complexity of the actual process in action. The stages of the listening process are receiving, interpreting, recalling, evaluating, and responding.
Receiving
Before we can engage other steps in the listening process, we must take in stimuli through our senses. In any given communication encounter, it is likely that we will return to the receiving stage many times as we process incoming feedback and new messages. This part of the listening process is more physiological than other parts, which include cognitive and relational elements. We primarily take in information needed for listening through auditory and visual channels. Although we don’t often think about visual cues as a part of listening, they influence how we interpret messages. For example, seeing a person’s face when we hear their voice allows us to take in nonverbal cues from facial expressions and eye contact. The fact that these visual cues are missing in e-mail, text, and phone interactions presents some difficulties for reading contextual clues into meaning received through only auditory channels.
The first stage of the listening process is receiving stimuli through auditory and visual channels.
© Thinkstock
Our chapter on perception discusses some of the ways in which incoming stimuli are filtered. These perceptual filters also play a role in listening. Some stimuli never make it in, some are filtered into subconsciousness, and others are filtered into various levels of consciousness based on their salience. Recall that salience is the degree to which something attracts our attention in a particular context and that we tend to find salient things that are visually or audibly stimulating and things that meet our needs or interests. Think about how it’s much easier to listen to a lecture on a subject that you find very interesting.
It is important to consider noise as a factor that influences how we receive messages. Some noise interferes primarily with hearing, which is the physical process of receiving stimuli through internal and external components of the ears and eyes, and some interferes with listening, which is the cognitive process of processing the stimuli taken in during hearing. While hearing leads to listening, they are not the same thing. Environmental noise such as other people talking, the sounds of traffic, and music interfere with the physiological aspects of hearing. Psychological noise like stress and anger interfere primarily with the cognitive processes of listening. We can enhance our ability to receive, and in turn listen, by trying to minimize noise.
Interpreting
During the interpreting stage of listening, we combine the visual and auditory information we receive and try to make meaning out of that information using schemata. The interpreting stage engages cognitive and relational processing as we take in informational, contextual, and relational cues and try to connect them in meaningful ways to previous experiences. It is through the interpreting stage that we may begin to understand the stimuli we have received. When we understand something, we are able to attach meaning by connecting information to previous experiences. Through the process of comparing new information with old information, we may also update or revise particular schemata if we find the new information relevant and credible. If we have difficulty interpreting information, meaning we don’t have previous experience or information in our existing schemata to make sense of it, then it is difficult to transfer the information into our long-term memory for later recall. In situations where understanding the information we receive isn’t important or isn’t a goal, this stage may be fairly short or even skipped. After all, we can move something to our long-term memory by repetition and then later recall it without ever having understood it. I remember earning perfect scores on exams in my anatomy class in college because I was able to memorize and recall, for example, all the organs in the digestive system. In fact, I might still be able to do that now over a decade later. But neither then nor now could I tell you the significance or function of most of those organs, meaning I didn’t really get to a level of understanding but simply stored the information for later recall.
Recalling
Our ability to recall information is dependent on some of the physiological limits of how memory works. Overall, our memories are known to be fallible. We forget about half of what we hear immediately after hearing it, recall 35 percent after eight hours, and recall 20 percent after a day. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 189–99. Our memory consists of multiple “storage units,” including sensory storage, short-term memory, working memory, and long-term memory. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 184.
Our sensory storage is very large in terms of capacity but limited in terms of length of storage. We can hold large amounts of unsorted visual information but only for about a tenth of a second. By comparison, we can hold large amounts of unsorted auditory information for longer—up to four seconds. This initial memory storage unit doesn’t provide much use for our study of communication, as these large but quickly expiring chunks of sensory data are primarily used in reactionary and instinctual ways.
As stimuli are organized and interpreted, they make their way to short-term memory where they either expire and are forgotten or are transferred to long-term memory. Short-term memory
A mental storage capability that can retain stimuli for twenty seconds to one minute.
is a mental storage capability that can retain stimuli for twenty seconds to one minute. Long-term memory
A mental storage capability to which stimuli in short-term memory can be transferred if they are connected to existing schema. Once there, they can be stored indefinitely.
is a mental storage capability to which stimuli in short-term memory can be transferred if they are connected to existing schema and in which information can be stored indefinitely. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 184. Working memory is a temporarily accessed memory storage space that is activated during times of high cognitive demand. When using working memory, we can temporarily store information and process and use it at the same time. This is different from our typical memory function in that information usually has to make it to long-term memory before we can call it back up to apply to a current situation. People with good working memories are able to keep recent information in mind and process it and apply it to other incoming information. This can be very useful during high-stress situations. A person in control of a command center like the White House Situation Room should have a good working memory in order to take in, organize, evaluate, and then immediately use new information instead of having to wait for that information to make it to long-term memory and then be retrieved and used.
Although recall is an important part of the listening process, there isn’t a direct correlation between being good at recalling information and being a good listener. Some people have excellent memories and recall abilities and can tell you a very accurate story from many years earlier during a situation in which they should actually be listening and not showing off their recall abilities. Recall is an important part of the listening process because it is most often used to assess listening abilities and effectiveness. Many quizzes and tests in school are based on recall and are often used to assess how well students comprehended information presented in class, which is seen as an indication of how well they listened. When recall is our only goal, we excel at it. Experiments have found that people can memorize and later recall a set of faces and names with near 100 percent recall when sitting in a quiet lab and asked to do so. But throw in external noise, more visual stimuli, and multiple contextual influences, and we can’t remember the name of the person we were just introduced to one minute earlier. Even in interpersonal encounters, we rely on recall to test whether or not someone was listening. Imagine that Azam is talking to his friend Belle, who is sitting across from him in a restaurant booth. Azam, annoyed that Belle keeps checking her phone, stops and asks, “Are you listening?” Belle inevitably replies, “Yes,” since we rarely fess up to our poor listening habits, and Azam replies, “Well, what did I just say?”
Evaluating
When we evaluate something, we make judgments about its credibility, completeness, and worth. In terms of credibility, we try to determine the degree to which we believe a speaker’s statements are correct and/or true. In terms of completeness, we try to “read between the lines” and evaluate the message in relation to what we know about the topic or situation being discussed. We evaluate the worth of a message by making a value judgment about whether we think the message or idea is good/bad, right/wrong, or desirable/undesirable. All these aspects of evaluating require critical thinking skills, which we aren’t born with but must develop over time through our own personal and intellectual development.
Studying communication is a great way to build your critical thinking skills, because you learn much more about the taken-for-granted aspects of how communication works, which gives you tools to analyze and critique messages, senders, and contexts. Critical thinking and listening skills also help you take a more proactive role in the communication process rather than being a passive receiver of messages that may not be credible, complete, or worthwhile. One danger within the evaluation stage of listening is to focus your evaluative lenses more on the speaker than the message. This can quickly become a barrier to effective listening if we begin to prejudge a speaker based on his or her identity or characteristics rather than on the content of his or her message. We will learn more about how to avoid slipping into a person-centered rather than message-centered evaluative stance later in the chapter.
Responding
Responding entails sending verbal and nonverbal messages that indicate attentiveness and understanding or a lack thereof. From our earlier discussion of the communication model, you may be able to connect this part of the listening process to feedback. Later, we will learn more specifics about how to encode and decode the verbal and nonverbal cues sent during the responding stage, but we all know from experience some signs that indicate whether a person is paying attention and understanding a message or not.
We send verbal and nonverbal feedback while another person is talking and after they are done. Back-channel cues
Verbal and nonverbal signals we send while someone is talking, which can consist of verbal cues like “uh-huh,” “oh,” and “right,” and/or nonverbal cues like direct eye contact, head nods, and leaning forward.
are the verbal and nonverbal signals we send while someone is talking and can consist of verbal cues like “uh-huh,” “oh,” and “right,” and/or nonverbal cues like direct eye contact, head nods, and leaning forward. Back-channel cues are generally a form of positive feedback that indicates others are actively listening. People also send cues intentionally and unintentionally that indicate they aren’t listening. If another person is looking away, fidgeting, texting, or turned away, we will likely interpret those responses negatively.
Listeners respond to speakers nonverbally during a message using back-channel cues and verbally after a message using paraphrasing and clarifying questions.
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Paraphrasing is a responding behavior that can also show that you understand what was communicated. When you paraphrase
A message that is rephrased in your own words.
information, you rephrase the message into your own words. For example, you might say the following to start off a paraphrased response: “What I heard you say was…” or “It seems like you’re saying…” You can also ask clarifying questions to get more information. It is often a good idea to pair a paraphrase with a question to keep a conversation flowing. For example, you might pose the following paraphrase and question pair: “It seems like you believe you were treated unfairly. Is that right?” Or you might ask a standalone question like “What did your boss do that made you think he was ‘playing favorites?’” Make sure to paraphrase and/or ask questions once a person’s turn is over, because interrupting can also be interpreted as a sign of not listening. Paraphrasing is also a good tool to use in computer-mediated communication, especially since miscommunication can occur due to a lack of nonverbal and other contextual cues.
The Importance of Listening
Understanding how listening works provides the foundation we need to explore why we listen, including various types and styles of listening. In general, listening helps us achieve all the communication goals (physical, instrumental, relational, and identity) that we learned about in Chapter 1 "Introduction to Communication Studies". Listening is also important in academic, professional, and personal contexts.
In terms of academics, poor listening skills were shown to contribute significantly to failure in a person’s first year of college. Wendy S. Zabava and Andrew D. Wolvin, “The Differential Impact of a Basic Communication Course on Perceived Communication Competencies in Class, Work, and Social Contexts,” Communication Education 42 (1993): 215–17. In general, students with high scores for listening ability have greater academic achievement. Interpersonal communication skills including listening are also highly sought after by potential employers, consistently ranking in the top ten in national surveys. National Association of Colleges and Employers, Job Outlook 2011 (2010): 25.
Poor listening skills, lack of conciseness, and inability to give constructive feedback have been identified as potential communication challenges in professional contexts. Even though listening education is lacking in our society, research has shown that introductory communication courses provide important skills necessary for functioning in entry-level jobs, including listening, writing, motivating/persuading, interpersonal skills, informational interviewing, and small-group problem solving. Vincent S. DiSalvo, “A Summary of Current Research Identifying Communication Skills in Various Organizational Contexts,” Communication Education 29 (1980), 283–90. Training and improvements in listening will continue to pay off, as employers desire employees with good communication skills, and employees who have good listening skills are more likely to get promoted.
Listening also has implications for our personal lives and relationships. We shouldn’t underestimate the power of listening to make someone else feel better and to open our perceptual field to new sources of information. Empathetic listening can help us expand our self and social awareness by learning from other people’s experiences and by helping us take on different perspectives. Emotional support in the form of empathetic listening and validation during times of conflict can help relational partners manage common stressors of relationships that may otherwise lead a partnership to deteriorate. Robert M. Milardo and Heather Helms-Erikson, “Network Overlap and Third-Party Influence in Close Relationships,” in Close Relationships: A Sourcebook, eds. Clyde Hendrick and Susan S. Hendrick (Thousand Oaks, CA: Sage, 2000), 37. The following list reviews some of the main functions of listening that are relevant in multiple contexts.
The main purposes of listening areOwen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 182.
to focus on messages sent by other people or noises coming from our surroundings;
to better our understanding of other people’s communication;
to critically evaluate other people’s messages;
to monitor nonverbal signals;
to indicate that we are interested or paying attention;
to empathize with others and show we care for them (relational maintenance); and
to engage in negotiation, dialogue, or other exchanges that result in shared understanding of or agreement on an issue.
Listening Types
Listening serves many purposes, and different situations require different types of listening. The type of listening we engage in affects our communication and how others respond to us. For example, when we listen to empathize with others, our communication will likely be supportive and open, which will then lead the other person to feel “heard” and supported and hopefully view the interaction positively. Graham D. Bodie and William A. Villaume, “Aspects of Receiving Information: The Relationships between Listening Preferences, Communication Apprehension, Receiver Apprehension, and Communicator Style,” International Journal of Listening 17, no. 1 (2003): 48. The main types of listening we will discuss are discriminative, informational, critical, and empathetic. Kittie W. Watson, Larry L. Barker, and James B. Weaver III, “The Listening Styles Profile (LS-16): Development and Validation of an Instrument to Assess Four Listening Styles,” International Journal of Listening 9 (1995): 1–13.
Discriminative Listening
Discriminative listening
A focused and usually instrumental type of listening that is primarily physiological and occurs mostly at the receiving stage of the listening process.
is a focused and usually instrumental type of listening that is primarily physiological and occurs mostly at the receiving stage of the listening process. Here we engage in listening to scan and monitor our surroundings in order to isolate particular auditory or visual stimuli. For example, we may focus our listening on a dark part of the yard while walking the dog at night to determine if the noise we just heard presents us with any danger. Or we may look for a particular nonverbal cue to let us know our conversational partner received our message. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 185. In the absence of a hearing impairment, we have an innate and physiological ability to engage in discriminative listening. Although this is the most basic form of listening, it provides the foundation on which more intentional listening skills are built. This type of listening can be refined and honed. Think of how musicians, singers, and mechanics exercise specialized discriminative listening to isolate specific aural stimuli and how actors, detectives, and sculptors discriminate visual cues that allow them to analyze, make meaning from, or recreate nuanced behavior. Andrew D. Wolvin and Carolyn Gwynn Coakley, “A Listening Taxonomy,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 18–19.
Informational Listening
Informational listening
Listening with the goal of comprehending and retaining information.
entails listening with the goal of comprehending and retaining information. This type of listening is not evaluative and is common in teaching and learning contexts ranging from a student listening to an informative speech to an out-of-towner listening to directions to the nearest gas station. We also use informational listening when we listen to news reports, voice mail, and briefings at work. Since retention and recall are important components of informational listening, good concentration and memory skills are key. These also happen to be skills that many college students struggle with, at least in the first years of college, but will be expected to have mastered once they get into professional contexts. In many professional contexts, informational listening is important, especially when receiving instructions. I caution my students that they will be expected to process verbal instructions more frequently in their profession than they are in college. Most college professors provide detailed instructions and handouts with assignments so students can review them as needed, but many supervisors and managers will expect you to take the initiative to remember or record vital information. Additionally, many bosses are not as open to questions or requests to repeat themselves as professors are.
Critical Listening
Critical listening
Listening with the goal of analyzing or evaluating a message.
entails listening with the goal of analyzing or evaluating a message based on information presented verbally and information that can be inferred from context. A critical listener evaluates a message and accepts it, rejects it, or decides to withhold judgment and seek more information. As constant consumers of messages, we need to be able to assess the credibility of speakers and their messages and identify various persuasive appeals and faulty logic (known as fallacies), which you can learn more about in Chapter 11 "Informative and Persuasive Speaking". Critical listening is important during persuasive exchanges, but I recommend always employing some degree of critical listening, because you may find yourself in a persuasive interaction that you thought was informative. As is noted in Chapter 4 "Nonverbal Communication", people often disguise inferences as facts. Critical-listening skills are useful when listening to a persuasive speech in this class and when processing any of the persuasive media messages we receive daily. You can see judges employ critical listening, with varying degrees of competence, on talent competition shows like Rupaul’s Drag Race, America’s Got Talent, and The Voice. While the exchanges between judge and contestant on these shows is expected to be subjective and critical, critical listening is also important when listening to speakers that have stated or implied objectivity, such as parents, teachers, political leaders, doctors, and religious leaders. We will learn more about how to improve your critical thinking skills later in this chapter.
Empathetic Listening
We support others through empathetic listening by trying to “feel with” them.
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Empathetic listening
The most challenging form of listening, which occurs when we try to understand or experience what a speaker is thinking or feeling.
is the most challenging form of listening and occurs when we try to understand or experience what a speaker is thinking or feeling. Empathetic listening is distinct from sympathetic listening. While the word empathy means to “feel into” or “feel with” another person, sympathy means to “feel for” someone. Sympathy is generally more self-oriented and distant than empathy. Tom Bruneau, “Empathy and Listening,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 188. Empathetic listening is other oriented and should be genuine. Because of our own centrality in our perceptual world, empathetic listening can be difficult. It’s often much easier for us to tell our own story or to give advice than it is to really listen to and empathize with someone else. We should keep in mind that sometimes others just need to be heard and our feedback isn’t actually desired.
Empathetic listening is key for dialogue and helps maintain interpersonal relationships. In order to reach dialogue, people must have a degree of open-mindedness and a commitment to civility that allows them to be empathetic while still allowing them to believe in and advocate for their own position. An excellent example of critical and empathetic listening in action is the international Truth and Reconciliation movement. The most well-known example of a Truth and Reconciliation Commission (TRC) occurred in South Africa as a way to address the various conflicts that occurred during apartheid. Department of Justice and Constitutional Development, Truth and Reconciliation Commission website, accessed July 13, 2012, http://www.justice.gov.za/trc. The first TRC in the United States occurred in Greensboro, North Carolina, as a means of processing the events and aftermath of November 3, 1979, when members of the Ku Klux Klan shot and killed five members of the Communist Worker’s Party during a daytime confrontation witnessed by news crews and many bystanders. The goal of such commissions is to allow people to tell their stories, share their perspectives in an open environment, and be listened to. The Greensboro TRC states its purpose as such: “About,” Greensboro Truth and Reconciliation Commission website, accessed July 13, 2012, http://www.greensborotrc.org/truth_reconciliation.php.
The truth and reconciliation process seeks to heal relations between opposing sides by uncovering all pertinent facts, distinguishing truth from lies, and allowing for acknowledgement, appropriate public mourning, forgiveness and healing…The focus often is on giving victims, witnesses and even perpetrators a chance to publicly tell their stories without fear of prosecution.
Listening Styles
Just as there are different types of listening, there are also different styles of listening. People may be categorized as one or more of the following listeners: people-oriented, action-oriented, content-oriented, and time-oriented listeners. Research finds that 40 percent of people have more than one preferred listening style, and that they choose a style based on the listening situation. Graham D. Bodie and William A. Villaume, “Aspects of Receiving Information: The Relationships between Listening Preferences, Communication Apprehension, Receiver Apprehension, and Communicator Style,” International Journal of Listening 17, no. 1 (2003): 50. Other research finds that people often still revert back to a single preferred style in times of emotional or cognitive stress, even if they know a different style of listening would be better. Debra L. Worthington, “Exploring the Relationship between Listening Style Preference and Personality,” International Journal of Listening 17, no. 1 (2003): 82. Following a brief overview of each listening style, we will explore some of their applications, strengths, and weaknesses.
People-oriented listeners are concerned about the needs and feelings of others and may get distracted from a specific task or the content of a message in order to address feelings.
Action-oriented listeners prefer well-organized, precise, and accurate information. They can become frustrated with they perceive communication to be unorganized or inconsistent, or a speaker to be “long-winded.”
Content-oriented listeners are analytic and enjoy processing complex messages. They like in-depth information and like to learn about multiple sides of a topic or hear multiple perspectives on an issue. Their thoroughness can be difficult to manage if there are time constraints.
Time-oriented listeners are concerned with completing tasks and achieving goals. They do not like information perceived as irrelevant and like to stick to a timeline. They may cut people off and make quick decisions (taking short cuts or cutting corners) when they think they have enough information.
People-Oriented Listeners
People-oriented listeners
Listeners who are concerned about the emotional states of others and listen with the purpose of offering support in interpersonal relationships.
are concerned about the emotional states of others and listen with the purpose of offering support in interpersonal relationships. People-oriented listeners can be characterized as “supporters” who are caring and understanding. These listeners are sought out because they are known as people who will “lend an ear.” They may or may not be valued for the advice they give, but all people often want is a good listener. This type of listening may be especially valuable in interpersonal communication involving emotional exchanges, as a person-oriented listener can create a space where people can make themselves vulnerable without fear of being cut off or judged. People-oriented listeners are likely skilled empathetic listeners and may find success in supportive fields like counseling, social work, or nursing. Interestingly, such fields are typically feminized, in that people often associate the characteristics of people-oriented listeners with roles filled by women. We will learn more about how gender and listening intersect in Section 5 "Listening and Gender".
Action-Oriented Listeners
Action-oriented listeners
Listeners who focus on what action needs to take place in regards to a received message and try to formulate an organized way to initiate that action.
focus on what action needs to take place in regards to a received message and try to formulate an organized way to initiate that action. These listeners are frustrated by disorganization, because it detracts from the possibility of actually doing something. Action-oriented listeners can be thought of as “builders”—like an engineer, a construction site foreperson, or a skilled project manager. This style of listening can be very effective when a task needs to be completed under time, budgetary, or other logistical constraints. One research study found that people prefer an action-oriented style of listening in instructional contexts. Margarete Imhof, “Who Are We as We Listen? Individual Listening Profiles in Varying Contexts,” International Journal of Listening 18, no. 1 (2004): 39. In other situations, such as interpersonal communication, action-oriented listeners may not actually be very interested in listening, instead taking a “What do you want me to do?” approach. A friend and colleague of mine who exhibits some qualities of an action-oriented listener once told me about an encounter she had with a close friend who had a stillborn baby. My friend said she immediately went into “action mode.” Although it was difficult for her to connect with her friend at an emotional/empathetic level, she was able to use her action-oriented approach to help out in other ways as she helped make funeral arrangements, coordinated with other family and friends, and handled the details that accompanied this tragic emotional experience. As you can see from this example, the action-oriented listening style often contrasts with the people-oriented listening style.
Content-Oriented Listeners
Content-oriented listeners
Listeners who like to listen to complex information and evaluate the content of a message, often from multiple perspectives, before drawing conclusions.
like to listen to complex information and evaluate the content of a message, often from multiple perspectives, before drawing conclusions. These listeners can be thought of as “learners,” and they also ask questions to solicit more information to fill out their understanding of an issue. Content-oriented listeners often enjoy high perceived credibility because of their thorough, balanced, and objective approach to engaging with information. Content-oriented listeners are likely skilled informational and critical listeners and may find success in academic careers in the humanities, social sciences, or sciences. Ideally, judges and politicians would also possess these characteristics.
Time-Oriented Listeners
Time-oriented listeners
Listeners who are more concerned about time limits and time lines than they are with the content or senders of a message.
are more concerned about time limits and timelines than they are with the content or senders of a message. These listeners can be thought of as “executives,” and they tend to actually verbalize the time constraints under which they are operating.
Time-oriented listeners listen on a schedule, often giving people limits on their availability by saying, for example, “I only have about five minutes.”
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For example, a time-oriented supervisor may say the following to an employee who has just entered his office and asked to talk: “Sure, I can talk, but I only have about five minutes.” These listeners may also exhibit nonverbal cues that indicate time and/or attention shortages, such as looking at a clock, avoiding eye contact, or nonverbally trying to close down an interaction. Time-oriented listeners are also more likely to interrupt others, which may make them seem insensitive to emotional/personal needs. People often get action-oriented and time-oriented listeners confused. Action-oriented listeners would be happy to get to a conclusion or decision quickly if they perceive that they are acting on well-organized and accurate information. They would, however, not mind taking longer to reach a conclusion when dealing with a complex topic, and they would delay making a decision if the information presented to them didn’t meet their standards of organization. Unlike time-oriented listeners, action-oriented listeners are not as likely to cut people off (especially if people are presenting relevant information) and are not as likely to take short cuts.
Key Takeaways
Getting integrated: Listening is a learned process and skill that we can improve on with concerted effort. Improving our listening skills can benefit us in academic, professional, personal, and civic contexts.
Listening is the process of receiving, interpreting, recalling, evaluating, and responding to verbal and nonverbal messages. In the receiving stage, we select and attend to various stimuli based on salience. We then interpret auditory and visual stimuli in order to make meaning out of them based on our existing schemata. Short-term and long-term memory store stimuli until they are discarded or processed for later recall. We then evaluate the credibility, completeness, and worth of a message before responding with verbal and nonverbal signals.
Discriminative listening is the most basic form of listening, and we use it to distinguish between and focus on specific sounds. We use informational listening to try to comprehend and retain information. Through critical listening, we analyze and evaluate messages at various levels. We use empathetic listening to try to understand or experience what a speaker is feeling.
People-oriented listeners are concerned with others’ needs and feelings, which may distract from a task or the content of a message. Action-oriented listeners prefer listening to well-organized and precise information and are more concerned about solving an issue than they are about supporting the speaker. Content-oriented listeners enjoy processing complicated information and are typically viewed as credible because they view an issue from multiple perspectives before making a decision. Although content-oriented listeners may not be very effective in situations with time constraints, time-oriented listeners are fixated on time limits and listen in limited segments regardless of the complexity of the information or the emotions involved, which can make them appear cold and distant to some.
Exercises
The recalling stage of the listening process is a place where many people experience difficulties. What techniques do you use or could you use to improve your recall of certain information such as people’s names, key concepts from your classes, or instructions or directions given verbally?
Getting integrated: Identify how critical listening might be useful for you in each of the following contexts: academic, professional, personal, and civic.
Listening scholars have noted that empathetic listening is the most difficult type of listening. Do you agree? Why or why not?
Which style of listening best describes you and why? Which style do you have the most difficulty with or like the least and why?
5.2 Barriers to Effective Listening
Learning Objectives
Discuss some of the environmental and physical barriers to effective listening.
Explain how cognitive and personal factors can present barriers to effective listening.
Discuss common bad listening practices.
Barriers to effective listening are present at every stage of the listening process. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 200. At the receiving stage, noise can block or distort incoming stimuli. At the interpreting stage, complex or abstract information may be difficult to relate to previous experiences, making it difficult to reach understanding. At the recalling stage, natural limits to our memory and challenges to concentration can interfere with remembering. At the evaluating stage, personal biases and prejudices can lead us to block people out or assume we know what they are going to say. At the responding stage, a lack of paraphrasing and questioning skills can lead to misunderstanding. In the following section, we will explore how environmental and physical factors, cognitive and personal factors, and bad listening practices present barriers to effective listening.
Environmental and Physical Barriers to Listening
Environmental factors such as lighting, temperature, and furniture affect our ability to listen. A room that is too dark can make us sleepy, just as a room that is too warm or cool can raise awareness of our physical discomfort to a point that it is distracting. Some seating arrangements facilitate listening, while others separate people. In general, listening is easier when listeners can make direct eye contact with and are in close physical proximity to a speaker. You may recall from Chapter 4 "Nonverbal Communication" that when group members are allowed to choose a leader, they often choose the person who is sitting at the center or head of the table. Peter A. Andersen, Nonverbal Communication: Forms and Functions (Mountain View, CA: Mayfield, 1999), 57–58. Even though the person may not have demonstrated any leadership abilities, people subconsciously gravitate toward speakers that are nonverbally accessible. The ability to effectively see and hear a person increases people’s confidence in their abilities to receive and process information. Eye contact and physical proximity can still be affected by noise. As we learned in Chapter 1 "Introduction to Communication Studies", environmental noises such as a whirring air conditioner, barking dogs, or a ringing fire alarm can obviously interfere with listening despite direct lines of sight and well-placed furniture.
Physiological noise, like environmental noise, can interfere with our ability to process incoming information. This is considered a physical barrier to effective listening because it emanates from our physical body. Physiological noise
Noise stemming from a physical illness, injury, or bodily stress.
is noise stemming from a physical illness, injury, or bodily stress. Ailments such as a cold, a broken leg, a headache, or a poison ivy outbreak can range from annoying to unbearably painful and impact our listening relative to their intensity. Another type of noise, psychological noise, bridges physical and cognitive barriers to effective listening. Psychological noise
Noise stemming from our psychological states, including moods and level of arousal, that can impede listening.
, or noise stemming from our psychological states including moods and level of arousal, can facilitate or impede listening. Any mood or state of arousal, positive or negative, that is too far above or below our regular baseline creates a barrier to message reception and processing. The generally positive emotional state of being in love can be just as much of a barrier as feeling hatred. Excited arousal can also distract as much as anxious arousal. Stress about an upcoming events ranging from losing a job, to having surgery, to wondering about what to eat for lunch can overshadow incoming messages. While we will explore cognitive barriers to effective listening more in the next section, psychological noise is relevant here given that the body and mind are not completely separate. In fact, they can interact in ways that further interfere with listening. Fatigue, for example, is usually a combination of psychological and physiological stresses that manifests as stress (psychological noise) and weakness, sleepiness, and tiredness (physiological noise). Additionally, mental anxiety (psychological noise) can also manifest itself in our bodies through trembling, sweating, blushing, or even breaking out in rashes (physiological noise).
Cognitive and Personal Barriers to Listening
Aside from the barriers to effective listening that may be present in the environment or emanate from our bodies, cognitive limits, a lack of listening preparation, difficult or disorganized messages, and prejudices can interfere with listening. Whether you call it multitasking, daydreaming, glazing over, or drifting off, we all cognitively process other things while receiving messages. If you think of your listening mind as a wall of ten televisions, you may notice that in some situations five of the ten televisions are tuned into one channel. If that one channel is a lecture being given by your professor, then you are exerting about half of your cognitive processing abilities on one message. In another situation, all ten televisions may be on different channels. The fact that we have the capability to process more than one thing at a time offers some advantages and disadvantages. But unless we can better understand how our cognitive capacities and personal preferences affect our listening, we are likely to experience more barriers than benefits.
Difference between Speech and Thought Rate
Our ability to process more information than what comes from one speaker or source creates a barrier to effective listening. While people speak at a rate of 125 to 175 words per minute, we can process between 400 and 800 words per minute. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 195. This gap between speech rate and thought rate gives us an opportunity to side-process any number of thoughts that can be distracting from a more important message. Because of this gap, it is impossible to give one message our “undivided attention,” but we can occupy other channels in our minds with thoughts related to the central message. For example, using some of your extra cognitive processing abilities to repeat, rephrase, or reorganize messages coming from one source allows you to use that extra capacity in a way that reinforces the primary message.
The difference between speech and thought rate connects to personal barriers to listening, as personal concerns are often the focus of competing thoughts that can take us away from listening and challenge our ability to concentrate on others’ messages. Two common barriers to concentration are self-centeredness and lack of motivation. Judi Brownell, “Listening Environment: A Perspective,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 245. For example, when our self-consciousness is raised, we may be too busy thinking about how we look, how we’re sitting, or what others think of us to be attentive to an incoming message. Additionally, we are often challenged when presented with messages that we do not find personally relevant. In general, we employ selective attention
Our tendency to pay attention to the messages that benefit us in some way and filter others out.
, which refers to our tendency to pay attention to the messages that benefit us in some way and filter others out. So the student who is checking his or her Twitter feed during class may suddenly switch his or her attention back to the previously ignored professor when the following words are spoken: “This will be important for the exam.”
Drifting attention is a common barrier to listening. Try to find personal relevance in the message to help maintain concentration.
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Another common barrier to effective listening that stems from the speech and thought rate divide is response preparation. Response preparation
Our tendency to rehearse what we are going to say next while a speaker is still talking.
refers to our tendency to rehearse what we are going to say next while a speaker is still talking. Rehearsal of what we will say once a speaker’s turn is over is an important part of the listening process that takes place between the recalling and evaluation and/or the evaluation and responding stage. Rehearsal becomes problematic when response preparation begins as someone is receiving a message and hasn’t had time to engage in interpretation or recall. In this sense, we are listening with the goal of responding instead of with the goal of understanding, which can lead us to miss important information that could influence our response.
“Getting Plugged In”
Technology, Multitasking, and Listening
Do you like to listen to music while you do homework? Do you clean your apartment while talking to your mom on the phone? Do you think students should be allowed to use laptops in all college classrooms? Your answers to these questions will point to your preferences for multitasking. If you answered “yes” to most of them, then you are in line with the general practices of the “net generation” of digital natives for whom multitasking, especially with various forms of media, is a way of life. Multitasking is a concept that has been around for a while and emerged along with the increasing expectation that we will fill multiple role demands throughout the day. Multitasking can be pretty straightforward and beneficial—for example, if we listen to motivating music while working out. But multitasking can be very inefficient, especially when one or more of our concurrent tasks are complex or unfamiliar to us. Fleura Bardhi, Andres J. Rohm, and Fareena Sultan, “Tuning in and Tuning out: Media Multitasking among Young Consumers,” Journal of Consumer Behaviour 9 (2010): 318.
Media multitasking specifically refers to the use of multiple forms of media at the same time, and it can have positive and negative effects on listening. Fleura Bardhi, Andres J. Rohm, and Fareena Sultan, “Tuning in and Tuning out: Media Multitasking among Young Consumers,” Journal of Consumer Behaviour 9 (2010): 322. The negative effects of media multitasking have received much attention in recent years, as people question the decreasing attention span within our society. Media multitasking may promote inefficiency, because it can lead to distractions and plays a prominent role for many in procrastination. The numerous options for media engagement that we have can also lead to a feeling of chaos as our attention is pulled in multiple directions, creating a general sense of disorder. And many of us feel a sense of enslavement when we engage in media multitasking, as we feel like we can’t live without certain personal media outlets.
Media multitasking can also give people a sense of control, as they use multiple technologies to access various points of information to solve a problem or complete a task. An employee may be able to use her iPad to look up information needed to address a concern raised during a business meeting. She could then e-mail that link to the presenter, who could share it with the room through his laptop and a LCD projector. Media multitasking can also increase efficiency, as people can carry out tasks faster. The links to videos and online articles that I’ve included in this textbook allow readers like you to quickly access additional information about a particular subject to prepare for a presentation or complete a paper assignment. Media multitasking can also increase engagement. Aside from just reading material in a textbook, students can now access information through an author’s blog or Twitter account.
Media multitasking can produce an experience that feels productive, but is it really? What are the consequences of our media- and technology-saturated world? Although many of us like to think that we’re good multitaskers, some research indicates otherwise. For example, student laptop use during class has been connected to lower academic performance. Carrie B. Fried, “In-Class Laptop Use and Its Effects on Student Learning,” Computers and Education 50 (2008): 906–14. This is because media multitasking has the potential to interfere with listening at multiple stages of the process. The study showed that laptop use interfered with receiving, as students using them reported that they paid less attention to the class lectures. This is because students used the laptops for purposes other than taking notes or exploring class content. Of the students using laptops, 81 percent checked e-mail during lectures, 68 percent used instant messaging, and 43 percent surfed the web. Students using laptops also had difficulty with the interpretation stage of listening, as they found less clarity in the parts of the lecture they heard and did not understand the course material as much as students who didn’t use a laptop. The difficulties with receiving and interpreting obviously create issues with recall that can lead to lower academic performance in the class. Laptop use also negatively affected the listening abilities of students not using laptops. These students reported that they were distracted, as their attention was drawn to the laptop screens of other students.
What are some common ways that you engage in media multitasking? What are some positive and negative consequences of your media multitasking?
What strategies do you or could you use to help minimize the negative effects of media multitasking?
Should laptops, smartphones, and other media devices be used by students during college classes? Why or why not? What restrictions or guidelines for use could instructors provide that would capitalize on the presence of such media to enhance student learning and help minimize distractions?
Lack of Listening Preparation
Another barrier to effective listening is a general lack of listening preparation. Unfortunately, most people have never received any formal training or instruction related to listening. Although some people think listening skills just develop over time, competent listening is difficult, and enhancing listening skills takes concerted effort. Even when listening education is available, people do not embrace it as readily as they do opportunities to enhance their speaking skills. After teaching communication courses for several years, I have consistently found that students and teachers approach the listening part of the course less enthusiastically than some of the other parts. Listening is often viewed as an annoyance or a chore, or just ignored or minimized as part of the communication process. In addition, our individualistic society values speaking more than listening, as it’s the speakers who are sometimes literally in the spotlight. Although listening competence is a crucial part of social interaction and many of us value others we perceive to be “good listeners,” listening just doesn’t get the same kind of praise, attention, instruction, or credibility as speaking. Teachers, parents, and relational partners explicitly convey the importance of listening through statements like “You better listen to me,” “Listen closely,” and “Listen up,” but these demands are rarely paired with concrete instruction. So unless you plan on taking more communication courses in the future (and I hope you do), this chapter may be the only instruction you receive on the basics of the listening process, some barriers to effective listening, and how we can increase our listening competence.
Bad Messages and/or Speakers
Bad messages and/or speakers also present a barrier to effective listening. Sometimes our trouble listening originates in the sender. In terms of message construction, poorly structured messages or messages that are too vague, too jargon filled, or too simple can present listening difficulties. In terms of speakers’ delivery, verbal fillers, monotone voices, distracting movements, or a disheveled appearance can inhibit our ability to cognitively process a message. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 196. As we will learn in Section 5.2.3 "Bad Listening Practices", speakers can employ particular strategies to create listenable messages that take some of the burden off the listener by tailoring a message to be heard and processed easily. Chapter 9 "Preparing a Speech" also discusses many strategies for creating messages tailored for oral delivery, including things like preview and review statements, transitions, and parallel wording. Listening also becomes difficult when a speaker tries to present too much information. Information overload is a common barrier to effective listening that good speakers can help mitigate by building redundancy into their speeches and providing concrete examples of new information to help audience members interpret and understand the key ideas.
Prejudice
Oscar Wilde said, “Listening is a very dangerous thing. If one listens one may be convinced.” Unfortunately, some of our default ways of processing information and perceiving others lead us to rigid ways of thinking. When we engage in prejudiced listening, we are usually trying to preserve our ways of thinking and avoid being convinced of something different. This type of prejudice is a barrier to effective listening, because when we prejudge a person based on his or her identity or ideas, we usually stop listening in an active and/or ethical way.
We exhibit prejudice in our listening in several ways, some of which are more obvious than others. For example, we may claim to be in a hurry and only selectively address the parts of a message that we agree with or that aren’t controversial. We can also operate from a state of denial where we avoid a subject or person altogether so that our views are not challenged. Prejudices that are based on a person’s identity, such as race, age, occupation, or appearance, may lead us to assume that we know what he or she will say, essentially closing down the listening process. Keeping an open mind and engaging in perception checking can help us identify prejudiced listening and hopefully shift into more competent listening practices.
Bad Listening Practices
The previously discussed barriers to effective listening may be difficult to overcome because they are at least partially beyond our control. Physical barriers, cognitive limitations, and perceptual biases exist within all of us, and it is more realistic to believe that we can become more conscious of and lessen them than it is to believe that we can eliminate them altogether. Other “bad listening” practices may be habitual, but they are easier to address with some concerted effort. These bad listening practices include interrupting, distorted listening, eavesdropping, aggressive listening, narcissistic listening, and pseudo-listening.
Interrupting
Conversations unfold as a series of turns, and turn taking is negotiated through a complex set of verbal and nonverbal signals that are consciously and subconsciously received. In this sense, conversational turn taking has been likened to a dance where communicators try to avoid stepping on each other’s toes. One of the most frequent glitches in the turn-taking process is interruption, but not all interruptions are considered “bad listening.” An interruption could be unintentional if we misread cues and think a person is done speaking only to have him or her start up again at the same time we do. Sometimes interruptions are more like overlapping statements that show support (e.g., “I think so too.”) or excitement about the conversation (e.g., “That’s so cool!”). Back-channel cues like “uh-huh,” as we learned earlier, also overlap with a speaker’s message. We may also interrupt out of necessity if we’re engaged in a task with the other person and need to offer directions (e.g., “Turn left here.”), instructions (e.g., “Will you whisk the eggs?”), or warnings (e.g., “Look out behind you!”). All these interruptions are not typically thought of as evidence of bad listening unless they become distracting for the speaker or are unnecessary.
Unintentional interruptions can still be considered bad listening if they result from mindless communication. As we’ve already learned, intended meaning is not as important as the meaning that is generated in the interaction itself. So if you interrupt unintentionally, but because you were only half-listening, then the interruption is still evidence of bad listening. The speaker may form a negative impression of you that can’t just be erased by you noting that you didn’t “mean to interrupt.” Interruptions can also be used as an attempt to dominate a conversation. A person engaging in this type of interruption may lead the other communicator to try to assert dominance, too, resulting in a competition to see who can hold the floor the longest or the most often. More than likely, though, the speaker will form a negative impression of the interrupter and may withdraw from the conversation.
Distorted Listening
Distorted listening occurs in many ways. Sometimes we just get the order of information wrong, which can have relatively little negative effects if we are casually recounting a story, annoying effects if we forget the order of turns (left, right, left or right, left, right?) in our driving directions, or very negative effects if we recount the events of a crime out of order, which leads to faulty testimony at a criminal trial. Rationalization is another form of distorted listening through which we adapt, edit, or skew incoming information to fit our existing schemata. We may, for example, reattribute the cause of something to better suit our own beliefs. If a professor is explaining to a student why he earned a “D” on his final paper, the student could reattribute the cause from “I didn’t follow the paper guidelines” to “this professor is an unfair grader.” Sometimes we actually change the words we hear to make them better fit what we are thinking. This can easily happen if we join a conversation late, overhear part of a conversation, or are being a lazy listener and miss important setup and context. Passing along distorted information can lead to negative consequences ranging from starting a false rumor about someone to passing along incorrect medical instructions from one health-care provider to the next. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 191. Last, the addition of material to a message is a type of distorted listening that actually goes against our normal pattern of listening, which involves reducing the amount of information and losing some meaning as we take it in. The metaphor of “weaving a tall tale” is related to the practice of distorting through addition, as inaccurate or fabricated information is added to what was actually heard. Addition of material is also a common feature of gossip. An excellent example of the result of distorted listening is provided by the character Anthony Crispino on Saturday Night Live, who passes along distorted news on the “Weekend Update” segment. In past episodes, he has noted that Lebron James turned down the Cleveland Show to be on Miami Vice (instead of left the Cleveland Cavaliers to play basketball for the Miami Heat) and that President Obama planned on repealing the “Bush haircuts” (instead of the Bush tax cuts).
Eavesdropping
Eavesdropping
A bad listening practice that involves a planned attempt to secretly listen to a conversation.
is a bad listening practice that involves a calculated and planned attempt to secretly listen to a conversation. There is a difference between eavesdropping on and overhearing a conversation. Many if not most of the interactions we have throughout the day occur in the presence of other people. However, given that our perceptual fields are usually focused on the interaction, we are often unaware of the other people around us or don’t think about the fact that they could be listening in on our conversation. We usually only become aware of the fact that other people could be listening in when we’re discussing something private.
Eavesdropping entails intentionally listening in on a conversation that you are not a part of.
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People eavesdrop for a variety of reasons. People might think another person is talking about them behind their back or that someone is engaged in illegal or unethical behavior. Sometimes people eavesdrop to feed the gossip mill or out of curiosity. Steven McCornack, Reflect and Relate: An Introduction to Interpersonal Communication (Boston, MA: Bedford/St Martin’s, 2007), 208. In any case, this type of listening is considered bad because it is a violation of people’s privacy. Consequences for eavesdropping may include an angry reaction if caught, damage to interpersonal relationships, or being perceived as dishonest and sneaky. Additionally, eavesdropping may lead people to find out information that is personally upsetting or hurtful, especially if the point of the eavesdropping is to find out what people are saying behind their back.
Aggressive Listening
Aggressive listening
A bad listening practice in which people pay attention in order to attack something a speaker says.
is a bad listening practice in which people pay attention in order to attack something that a speaker says. Steven McCornack, Reflect and Relate: An Introduction to Interpersonal Communication (Boston, MA: Bedford/St Martin’s, 2007), 209. Aggressive listeners like to ambush speakers in order to critique their ideas, personality, or other characteristics. Such behavior often results from built-up frustration within an interpersonal relationship. Unfortunately, the more two people know each other, the better they will be at aggressive listening. Take the following exchange between long-term partners:
Deb:
I’ve been thinking about making a salsa garden next to the side porch. I think it would be really good to be able to go pick our own tomatoes and peppers and cilantro to make homemade salsa.
Summer:
Really? When are you thinking about doing it?
Deb:
Next weekend. Would you like to help?
Summer:
I won’t hold my breath. Every time you come up with some “idea of the week” you get so excited about it. But do you ever follow through with it? No. We’ll be eating salsa from the store next year, just like we are now.
Although Summer’s initial response to Deb’s idea is seemingly appropriate and positive, she asks the question because she has already planned her upcoming aggressive response. Summer’s aggression toward Deb isn’t about a salsa garden; it’s about a building frustration with what Summer perceives as Deb’s lack of follow-through on her ideas. Aside from engaging in aggressive listening because of built-up frustration, such listeners may also attack others’ ideas or mock their feelings because of their own low self-esteem and insecurities.
Narcissistic Listening
Narcissistic listening
Self-centered and self-absorbed listening in which listeners try to make the interaction about them.
is a form of self-centered and self-absorbed listening in which listeners try to make the interaction about them. Steven McCornack, Reflect and Relate: An Introduction to Interpersonal Communication (Boston, MA: Bedford/St Martin’s, 2007), 212. Narcissistic listeners redirect the focus of the conversation to them by interrupting or changing the topic. When the focus is taken off them, narcissistic listeners may give negative feedback by pouting, providing negative criticism of the speaker or topic, or ignoring the speaker. A common sign of narcissistic listening is the combination of a “pivot,” when listeners shift the focus of attention back to them, and “one-upping,” when listeners try to top what previous speakers have said during the interaction. You can see this narcissistic combination in the following interaction:
Bryce:
My boss has been really unfair to me lately and hasn’t been letting me work around my class schedule. I think I may have to quit, but I don’t know where I’ll find another job.
Toby:
Why are you complaining? I’ve been working with the same stupid boss for two years. He doesn’t even care that I’m trying to get my degree and work at the same time. And you should hear the way he talks to me in front of the other employees.
Narcissistic listeners, given their self-centeredness, may actually fool themselves into thinking that they are listening and actively contributing to a conversation. We all have the urge to share our own stories during interactions, because other people’s communication triggers our own memories about related experiences. It is generally more competent to withhold sharing our stories until the other person has been able to speak and we have given the appropriate support and response. But we all shift the focus of a conversation back to us occasionally, either because we don’t know another way to respond or because we are making an attempt at empathy. Narcissistic listeners consistently interrupt or follow another speaker with statements like “That reminds me of the time…,” “Well, if I were you…,” and “That’s nothing…” Michael P. Nichols, The Lost Art of Listening (New York, NY: Guilford Press, 1995), 68–72. As we’ll learn later, matching stories isn’t considered empathetic listening, but occasionally doing it doesn’t make you a narcissistic listener.
Pseudo-listening
Do you have a friend or family member who repeats stories? If so, then you’ve probably engaged in pseudo-listening as a politeness strategy. Pseudo-listening
Behaving as if you’re paying attention to a speaker when you’re actually not.
is behaving as if you’re paying attention to a speaker when you’re actually not. Steven McCornack, Reflect and Relate: An Introduction to Interpersonal Communication (Boston, MA: Bedford/St Martin’s, 2007), 208. Outwardly visible signals of attentiveness are an important part of the listening process, but when they are just an “act,” the pseudo-listener is engaging in bad listening behaviors. She or he is not actually going through the stages of the listening process and will likely not be able to recall the speaker’s message or offer a competent and relevant response. Although it is a bad listening practice, we all understandably engage in pseudo-listening from time to time. If a friend needs someone to talk but you’re really tired or experiencing some other barrier to effective listening, it may be worth engaging in pseudo-listening as a relational maintenance strategy, especially if the friend just needs a sounding board and isn’t expecting advice or guidance. We may also pseudo-listen to a romantic partner or grandfather’s story for the fifteenth time to prevent hurting their feelings. We should avoid pseudo-listening when possible and should definitely avoid making it a listening habit. Although we may get away with it in some situations, each time we risk being “found out,” which could have negative relational consequences.
Key Takeaways
Environmental and physical barriers to effective listening include furniture placement, environmental noise such as sounds of traffic or people talking, physiological noise such as a sinus headache or hunger, and psychological noise such as stress or anger.
Cognitive barriers to effective listening include the difference between speech and thought rate that allows us “extra room” to think about other things while someone is talking and limitations in our ability or willingness to concentrate or pay attention. Personal barriers to effective listening include a lack of listening preparation, poorly structured and/or poorly delivered messages, and prejudice.
There are several bad listening practices that we should avoid, as they do not facilitate effective listening:
Interruptions that are unintentional or serve an important or useful purpose are not considered bad listening. When interrupting becomes a habit or is used in an attempt to dominate a conversation, then it is a barrier to effective listening.
Distorted listening occurs when we incorrectly recall information, skew information to fit our expectations or existing schemata, or add material to embellish or change information.
Eavesdropping is a planned attempt to secretly listen to a conversation, which is a violation of the speakers’ privacy.
Aggressive listening is a bad listening practice in which people pay attention to a speaker in order to attack something they say.
Narcissistic listening is self-centered and self-absorbed listening in which listeners try to make the interaction about them by interrupting, changing the subject, or drawing attention away from others.
Pseudo-listening is “fake listening,” in that people behave like they are paying attention and listening when they actually are not.
Exercises
We are capable of thinking faster than the speed at which the average person speaks, which allows us some room to put mental faculties toward things other than listening. What typically makes your mind wander?
Bad speakers and messages are a common barrier to effective listening. Describe a time recently when your ability to listen was impaired by the poor delivery and/or content of another person.
Of the bad listening practices listed, which do you use the most? Why do you think you use this one more than the others? What can you do to help prevent or lessen this barrier?
5.3 Improving Listening Competence
Learning Objectives
Identify strategies for improving listening competence at each stage of the listening process.
Summarize the characteristics of active listening.
Apply critical-listening skills in interpersonal, educational, and mediated contexts.
Practice empathetic listening skills.
Discuss ways to improve listening competence in relational, professional, and cultural contexts.
Many people admit that they could stand to improve their listening skills. This section will help us do that. In this section, we will learn strategies for developing and improving competence at each stage of the listening process. We will also define active listening and the behaviors that go along with it. Looking back to the types of listening discussed earlier, we will learn specific strategies for sharpening our critical and empathetic listening skills. In keeping with our focus on integrative learning, we will also apply the skills we have learned in academic, professional, and relational contexts and explore how culture and gender affect listening.
Listening Competence at Each Stage of the Listening Process
We can develop competence within each stage of the listening process, as the following list indicates: Alice Ridge, “A Perspective of Listening Skills,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 5–6.
To improve listening at the receiving stage,
prepare yourself to listen,
discern between intentional messages and noise,
concentrate on stimuli most relevant to your listening purpose (s) or goal (s),
be mindful of the selection and attention process as much as possible,
pay attention to turn-taking signals so you can follow the conversational flow, and
avoid interrupting someone while they are speaking in order to maintain your ability to receive stimuli and listen.
To improve listening at the interpreting stage,
identify main points and supporting points;
use contextual clues from the person or environment to discern additional meaning;
be aware of how a relational, cultural, or situational context can influence meaning;
be aware of the different meanings of silence; and
note differences in tone of voice and other paralinguistic cues that influence meaning.
To improve listening at the recalling stage,
use multiple sensory channels to decode messages and make more complete memories;
repeat, rephrase, and reorganize information to fit your cognitive preferences; and
use mnemonic devices as a gimmick to help with recall.
To improve listening at the evaluating stage,
separate facts, inferences, and judgments;
be familiar with and able to identify persuasive strategies and fallacies of reasoning;
assess the credibility of the speaker and the message; and
be aware of your own biases and how your perceptual filters can create barriers to effective listening.
To improve listening at the responding stage,
ask appropriate clarifying and follow-up questions and paraphrase information to check understanding,
give feedback that is relevant to the speaker’s purpose/motivation for speaking,
adapt your response to the speaker and the context, and
do not let the preparation and rehearsal of your response diminish earlier stages of listening.
Active Listening
Active listening
The process of pairing outwardly visible positive listening behaviors with positive cognitive listening practices.
refers to the process of pairing outwardly visible positive listening behaviors with positive cognitive listening practices. Active listening can help address many of the environmental, physical, cognitive, and personal barriers to effective listening that we discussed earlier. The behaviors associated with active listening can also enhance informational, critical, and empathetic listening.
Active Listening Can Help Overcome Barriers to Effective Listening
Being an active listener starts before you actually start receiving a message. Active listeners make strategic choices and take action in order to set up ideal listening conditions. Physical and environmental noises can often be managed by moving locations or by manipulating the lighting, temperature, or furniture. When possible, avoid important listening activities during times of distracting psychological or physiological noise. For example, we often know when we’re going to be hungry, full, more awake, less awake, more anxious, or less anxious, and advance planning can alleviate the presence of these barriers. For college students, who often have some flexibility in their class schedules, knowing when you best listen can help you make strategic choices regarding what class to take when. And student options are increasing, as some colleges are offering classes in the overnight hours to accommodate working students and students who are just “night owls.” Greg Toppo, “Colleges Start Offering ‘Midnight Classes’ for Offbeat Needs,” USA Today, October 27, 2011, accessed July 13, 2012, http://www.usatoday.com/news/education/story/2011–10–26/college-midnight-classes/50937996/1. Of course, we don’t always have control over our schedule, in which case we will need to utilize other effective listening strategies that we will learn more about later in this chapter.
In terms of cognitive barriers to effective listening, we can prime ourselves to listen by analyzing a listening situation before it begins. For example, you could ask yourself the following questions:
“What are my goals for listening to this message?”
“How does this message relate to me / affect my life?”
“What listening type and style are most appropriate for this message?”
As we learned earlier, the difference between speech and thought processing rate means listeners’ level of attention varies while receiving a message. Effective listeners must work to maintain focus as much as possible and refocus when attention shifts or fades. Andrew D. Wolvin and Carolyn Gwynn Coakley, “A Listening Taxonomy,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 19. One way to do this is to find the motivation to listen. If you can identify intrinsic and or extrinsic motivations for listening to a particular message, then you will be more likely to remember the information presented. Ask yourself how a message could impact your life, your career, your intellect, or your relationships. This can help overcome our tendency toward selective attention. As senders of messages, we can help listeners by making the relevance of what we’re saying clear and offering well-organized messages that are tailored for our listeners. We will learn much more about establishing relevance, organizing a message, and gaining the attention of an audience in public speaking contexts later in the book.
Given that we can process more words per minute than people can speak, we can engage in internal dialogue, making good use of our intrapersonal communication, to become a better listener. Three possibilities for internal dialogue include covert coaching, self-reinforcement, and covert questioning; explanations and examples of each follow: Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 193.
Covert coaching involves sending yourself messages containing advice about better listening, such as “You’re getting distracted by things you have to do after work. Just focus on what your supervisor is saying now.”
Self-reinforcement involves sending yourself affirmative and positive messages: “You’re being a good active listener. This will help you do well on the next exam.”
Covert questioning involves asking yourself questions about the content in ways that focus your attention and reinforce the material: “What is the main idea from that PowerPoint slide?” “Why is he talking about his brother in front of our neighbors?”
Internal dialogue is a more structured way to engage in active listening, but we can use more general approaches as well. I suggest that students occupy the “extra” channels in their mind with thoughts that are related to the primary message being received instead of thoughts that are unrelated. We can use those channels to resort, rephrase, and repeat what a speaker says. When we resort, we can help mentally repair disorganized messages. When we rephrase, we can put messages into our own words in ways that better fit our cognitive preferences. When we repeat, we can help messages transfer from short-term to long-term memory.
Other tools can help with concentration and memory. Mental bracketing
The process of intentionally separating out intrusive or irrelevant thoughts that may distract you from listening.
refers to the process of intentionally separating out intrusive or irrelevant thoughts that may distract you from listening. Steven McCornack, Reflect and Relate: An Introduction to Interpersonal Communication (Boston, MA: Bedford/St Martin’s, 2007), 192. This requires that we monitor our concentration and attention and be prepared to let thoughts that aren’t related to a speaker’s message pass through our minds without us giving them much attention. Mnemonic devices
Techniques that can aid in information recall.
are techniques that can aid in information recall. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 190. Starting in ancient Greece and Rome, educators used these devices to help people remember information. They work by imposing order and organization on information. Three main mnemonic devices are acronyms, rhymes, and visualization, and examples of each follow:
Acronyms. HOMES—to help remember the Great Lakes (Huron, Ontario, Michigan, Erie, and Superior).
Rhyme. “Righty tighty, lefty loosey”—to remember which way most light bulbs, screws, and other coupling devices turn to make them go in or out.
Visualization. Imagine seeing a glass of port wine (which is red) and the red navigation light on a boat to help remember that the red light on a boat is always on the port side, which will also help you remember that the blue light must be on the starboard side.
Active Listening Behaviors
From the suggestions discussed previously, you can see that we can prepare for active listening in advance and engage in certain cognitive strategies to help us listen better. We also engage in active listening behaviors as we receive and process messages.
Eye contact is a key sign of active listening. Speakers usually interpret a listener’s eye contact as a signal of attentiveness. While a lack of eye contact may indicate inattentiveness, it can also signal cognitive processing. When we look away to process new information, we usually do it unconsciously. Be aware, however, that your conversational partner may interpret this as not listening. If you really do need to take a moment to think about something, you could indicate that to the other person by saying, “That’s new information to me. Give me just a second to think through it.” We already learned the role that back-channel cues play in listening. An occasional head nod and “uh-huh” signal that you are paying attention. However, when we give these cues as a form of “autopilot” listening, others can usually tell that we are pseudo-listening, and whether they call us on it or not, that impression could lead to negative judgments.
A more direct way to indicate active listening is to reference previous statements made by the speaker. Norms of politeness usually call on us to reference a past statement or connect to the speaker’s current thought before starting a conversational turn. Being able to summarize what someone said to ensure that the topic has been satisfactorily covered and understood or being able to segue in such a way that validates what the previous speaker said helps regulate conversational flow. Asking probing questions is another way to directly indicate listening and to keep a conversation going, since they encourage and invite a person to speak more. You can also ask questions that seek clarification and not just elaboration. Speakers should present complex information at a slower speaking rate than familiar information, but many will not. Remember that your nonverbal feedback can be useful for a speaker, as it signals that you are listening but also whether or not you understand. If a speaker fails to read your nonverbal feedback, you may need to follow up with verbal communication in the form of paraphrased messages and clarifying questions.
As active listeners, we want to be excited and engaged, but don’t let excitement manifest itself in interruptions. Being an active listener means knowing when to maintain our role as listener and resist the urge to take a conversational turn. Research shows that people with higher social status are more likely to interrupt others, so keep this in mind and be prepared for it if you are speaking to a high-status person, or try to resist it if you are the high-status person in an interaction. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 197.
Good note-taking skills allow listeners to stay engaged with a message and aid in recall of information.
© Thinkstock
Note-taking can also indicate active listening. Translating information through writing into our own cognitive structures and schemata allows us to better interpret and assimilate information. Of course, note-taking isn’t always a viable option. It would be fairly awkward to take notes during a first date or a casual exchange between new coworkers. But in some situations where we wouldn’t normally consider taking notes, a little awkwardness might be worth it for the sake of understanding and recalling the information. For example, many people don’t think about taking notes when getting information from their doctor or banker. I actually invite students to take notes during informal meetings because I think they sometimes don’t think about it or don’t think it’s appropriate. But many people would rather someone jot down notes instead of having to respond to follow-up questions on information that was already clearly conveyed. To help facilitate your note-taking, you might say something like “Do you mind if I jot down some notes? This seems important.”
In summary, active listening is exhibited through verbal and nonverbal cues, including steady eye contact with the speaker; smiling; slightly raised eyebrows; upright posture; body position that is leaned in toward the speaker; nonverbal back-channel cues such as head nods; verbal back-channel cues such as “OK,” “mmhum,” or “oh”; and a lack of distracting mannerisms like doodling or fidgeting. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 207.
“Getting Competent”
Listening in the Classroom
The following statistic illustrates the importance of listening in academic contexts: four hundred first-year students were given a listening test before they started classes. At the end of that year, 49 percent of the students with low scores were on academic probation, while only 4 percent of those who scored high were. Martha S. Conaway, “Listening: Learning Tool and Retention Agent,” in Improving Reading and Study Skills, eds. Anne S. Algier and Keith W. Algier (San Francisco, CA: Jossey-Bass, 1982). Listening effectively isn’t something that just happens; it takes work on the part of students and teachers. One of the most difficult challenges for teachers is eliciting good listening behaviors from their students, and the method of instruction teachers use affects how a student will listen and learn. Melissa L. Beall et al., “State of the Context: Listening in Education,” The International Journal of Listening 22 (2008): 124. Given that there are different learning styles, we know that to be effective, teachers may have to find some way to appeal to each learning style. Although teachers often make this attempt, it is also not realistic or practical to think that this practice can be used all the time. Therefore, students should also think of ways they can improve their listening competence, because listening is an active process that we can exert some control over. The following tips will help you listen more effectively in the classroom:
Be prepared to process challenging messages. You can use the internal dialogue strategy we discussed earlier to “mentally repair” messages that you receive to make them more listenable. Donald L. Rubin, “Listenability = Oral-Based Discourse + Considerateness,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 277. For example, you might say, “It seems like we’ve moved on to a different main point now. See if you can pull out the subpoints to help stay on track.”
Act like a good listener. While I’m not advocating that you engage in pseudo-listening, engaging in active listening behaviors can help you listen better when you are having difficulty concentrating or finding motivation to listen. Make eye contact with the instructor and give appropriate nonverbal feedback. Students often take notes only when directed to by the instructor or when there is an explicit reason to do so (e.g., to recall information for an exam or some other purpose). Since you never know what information you may want to recall later, take notes even when it’s not required that you do so. As a caveat, however, do not try to transcribe everything your instructor says or includes on a PowerPoint, because you will likely miss information related to main ideas that is more important than minor details. Instead, listen for main ideas.
Figure out from where the instructor most frequently speaks and sit close to that area. Being able to make eye contact with an instructor facilitates listening, increases rapport, allows students to benefit more from immediacy behaviors, and minimizes distractions since the instructor is the primary stimulus within the student’s field of vision.
Figure out your preferred learning style and adopt listening strategies that complement it.
Let your instructor know when you don’t understand something. Instead of giving a quizzical look that says “What?” or pretending you know what’s going on, let your instructor know when you don’t understand something. Instead of asking the instructor to simply repeat something, ask her or him to rephrase it or provide an example. When you ask questions, ask specific clarifying questions that request a definition, an explanation, or an elaboration.
What are some listening challenges that you face in the classroom? What can you do to overcome them?
Take the Learning Styles Inventory survey at the following link to determine what your primary learning style is: http://www.personal.psu.edu/bxb11/LSI/LSI.htm. Do some research to identify specific listening/studying strategies that work well for your learning style.
Becoming a Better Critical Listener
Critical listening involves evaluating the credibility, completeness, and worth of a speaker’s message. Some listening scholars note that critical listening represents the deepest level of listening. James J. Floyd, Listening, a Practical Approach (Glenview, IL: Scott, Foresman, 1985), 39–40. Critical listening is also important in a democracy that values free speech. The US Constitution grants US citizens the right to free speech, and many people duly protect that right for you and me. Since people can say just about anything they want, we are surrounded by countless messages that vary tremendously in terms of their value, degree of ethics, accuracy, and quality. Therefore it falls on us to responsibly and critically evaluate the messages we receive. Some messages are produced by people who are intentionally misleading, ill informed, or motivated by the potential for personal gain, but such messages can be received as honest, credible, or altruistic even though they aren’t. Being able to critically evaluate messages helps us have more control over and awareness of the influence such people may have on us. In order to critically evaluate messages, we must enhance our critical-listening skills.
Some critical-listening skills include distinguishing between facts and inferences, evaluating supporting evidence, discovering your own biases, and listening beyond the message. Chapter 3 "Verbal Communication" noted that part of being an ethical communicator is being accountable for what we say by distinguishing between facts and inferences. S. I. Hayakawa and Alan R. Hayakawa, Language in Thought and Action, 5th ed. (San Diego, CA: Harcourt Brace, 1990), 22–32. This is an ideal that is not always met in practice, so a critical listener should also make these distinctions, since the speaker may not. Since facts are widely agreed-on conclusions, they can be verified as such through some extra research. Take care in your research to note the context from which the fact emerged, as speakers may take a statistic or quote out of context, distorting its meaning. Inferences are not as easy to evaluate, because they are based on unverifiable thoughts of a speaker or on speculation. Inferences are usually based at least partially on something that is known, so it is possible to evaluate whether an inference was made carefully or not. In this sense, you may evaluate an inference based on several known facts as more credible than an inference based on one fact and more speculation. Asking a question like “What led you to think this?” is a good way to get information needed to evaluate the strength of an inference.
Distinguishing among facts and inferences and evaluating the credibility of supporting material are critical-listening skills that also require good informational-listening skills. In more formal speaking situations, speakers may cite published or publicly available sources to support their messages. When speakers verbally cite their sources, you can use the credibility of the source to help evaluate the credibility of the speaker’s message. For example, a national newspaper would likely be more credible on a major national event than a tabloid magazine or an anonymous blog. In regular interactions, people also have sources for their information but are not as likely to note them within their message. Asking questions like “Where’d you hear that?” or “How do you know that?” can help get information needed to make critical evaluations. You can look to Chapter 11 "Informative and Persuasive Speaking" to learn much more about persuasive strategies and how to evaluate the strength of arguments.
Discovering your own biases can help you recognize when they interfere with your ability to fully process a message. Unfortunately, most people aren’t asked to critically reflect on their identities and their perspectives unless they are in college, and even people who were once critically reflective in college or elsewhere may no longer be so. Biases are also difficult to discover, because we don’t see them as biases; we see them as normal or “the way things are.” Asking yourself “What led you to think this?” and “How do you know that?” can be a good start toward acknowledging your biases. We will also learn more about self-reflection and critical thinking in Chapter 8 "Culture and Communication".
Last, to be a better critical listener, think beyond the message. A good critical listener asks the following questions: What is being said and what is not being said? In whose interests are these claims being made? Whose voices/ideas are included and excluded? These questions take into account that speakers intentionally and unintentionally slant, edit, or twist messages to make them fit particular perspectives or for personal gain. Also ask yourself questions like “What are the speaker’s goals?” You can also rephrase that question and direct it toward the speaker, asking them, “What is your goal in this interaction?” When you feel yourself nearing an evaluation or conclusion, pause and ask yourself what influenced you. Although we like to think that we are most often persuaded through logical evidence and reasoning, we are susceptible to persuasive shortcuts that rely on the credibility or likability of a speaker or on our emotions rather than the strength of his or her evidence. Richard E. Petty and John T. Cacioppo, “The Effects of Involvement on Responses to Argument Quantity and Quality: Central and Peripheral Routes to Persuasion,” Journal of Personality and Social Psychology 46, no. 1 (1984): 69–81. So keep a check on your emotional involvement to be aware of how it may be influencing your evaluation. Also, be aware that how likable, attractive, or friendly you think a person is may also lead you to more positively evaluate his or her messages.
Other Tips to Help You Become a Better Critical Listener
Ask questions to help get more information and increase your critical awareness when you get answers like “Because that’s the way things are,” “It’s always been like that,” “I don’t know; I just don’t like it,” “Everyone believes that,” or “It’s just natural/normal.” These are not really answers that are useful in your critical evaluation and may be an indication that speakers don’t really know why they reached the conclusion they did or that they reached it without much critical thinking on their part.
Be especially critical of speakers who set up “either/or” options, because they artificially limit an issue or situation to two options when there are always more. Also be aware of people who overgeneralize, especially when those generalizations are based on stereotypical or prejudiced views. For example, the world is not just Republican or Democrat, male or female, pro-life or pro-choice, or Christian or atheist.
Evaluate the speaker’s message instead of his or her appearance, personality, or other characteristics. Unless someone’s appearance, personality, or behavior is relevant to an interaction, direct your criticism to the message.
Be aware that critical evaluation isn’t always quick or easy. Sometimes you may have to withhold judgment because your evaluation will take more time. Also keep in mind your evaluation may not be final, and you should be open to critical reflection and possible revision later.
Avoid mind reading, which is assuming you know what the other person is going to say or that you know why they reached the conclusion they did. This leads to jumping to conclusions, which shortcuts the critical evaluation process.
“Getting Critical”
Critical Listening and Political Spin
In just the past twenty years, the rise of political fact checking occurred as a result of the increasingly sophisticated rhetoric of politicians and their representatives. Michael Dobbs, “The Rise of Political Fact-Checking,” New America Foundation (2012): 1. As political campaigns began to adopt communication strategies employed by advertising agencies and public relations firms, their messages became more ambiguous, unclear, and sometimes outright misleading. While there are numerous political fact-checking sources now to which citizens can turn for an analysis of political messages, it is important that we are able to use our own critical-listening skills to see through some of the political spin that now characterizes politics in the United States.
Since we get most of our political messages through the media rather than directly from a politician, the media is a logical place to turn for guidance on fact checking. Unfortunately, the media is often manipulated by political communication strategies as well. Michael Dobbs, “The Rise of Political Fact-Checking,” New America Foundation (2012): 1. Sometimes media outlets transmit messages even though a critical evaluation of the message shows that it lacks credibility, completeness, or worth. Journalists who engage in political fact checking have been criticized for putting their subjective viewpoints into what is supposed to be objective news coverage. These journalists have fought back against what they call the norm of “false equivalence.” One view of journalism sees the reporter as an objective conveyer of political messages. This could be described as the “We report; you decide” brand of journalism. Other reporters see themselves as “truth seekers.” In this sense, the journalists engage in some critical listening and evaluation on the part of the citizen, who may not have the time or ability to do so.
Michael Dobbs, who started the political fact-checking program at the Washington Post, says, “Fairness is preserved not by treating all sides of an argument equally, but through an independent, open-minded approach to the evidence.” Michael Dobbs, “The Rise of Political Fact-Checking,” New America Foundation (2012): 3. He also notes that outright lies are much less common in politics than are exaggeration, spin, and insinuation. This fact puts much of political discourse into an ethical gray area that can be especially difficult for even professional fact checkers to evaluate. Instead of simple “true/false” categories, fact checkers like the Washington Post issue evaluations such as “Half true, mostly true, half-flip, or full-flop” to political statements. Although we all don’t have the time and resources to fact check all the political statements we hear, it may be worth employing some of the strategies used by these professional fact checkers on issues that are very important to us or have major implications for others. Some fact-checking resources include http://www.PolitiFact.com, http://www.factcheck.org, and http://www.washingtonpost.com/blogs/fact-checker. The caution here for any critical listener is to be aware of our tendency to gravitate toward messages with which we agree and avoid or automatically reject messages with which we disagree. In short, it’s often easier for us to critically evaluate the messages of politicians with whom we disagree and uncritically accept messages from those with whom we agree. Exploring the fact-check websites above can help expose ourselves to critical evaluation that we might not otherwise encounter.
One school of thought in journalism says it’s up to the reporters to convey information as it is presented and then up to the viewer/reader to evaluate the message. The other school of thought says that the reporter should investigate and evaluate claims made by those on all sides of an issue equally and share their findings with viewers/readers. Which approach do you think is better and why?
In the lead-up to the war in Iraq, journalists and news outlets did not critically evaluate claims from the Bush administration that there was clear evidence of weapons of mass destruction in Iraq. Many now cite this as an instance of failed fact checking that had global repercussions. Visit one of the fact-checking resources mentioned previously to find other examples of fact checking that exposed manipulated messages. To enhance your critical thinking, find one example that critiques a viewpoint, politician, or political party that you typically agree with and one that you disagree with. Discuss what you learned from the examples you found.
Becoming a Better Empathetic Listener
A prominent scholar of empathetic listening describes it this way: “Empathetic listening is to be respectful of the dignity of others. Empathetic listening is a caring, a love of the wisdom to be found in others whoever they may be.” Tom Bruneau, “Empathy and Listening,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 194. This quote conveys that empathetic listening is more philosophical than the other types of listening. It requires that we are open to subjectivity and that we engage in it because we genuinely see it as worthwhile.
Combining active and empathetic listening leads to active-empathetic listening. During active-empathetic listening
A type of listening in which a listener becomes actively and emotionally involved in an interaction in such a way that it is conscious on the part of the listener and perceived by the speaker.
a listener becomes actively and emotionally involved in an interaction in such a way that it is conscious on the part of the listener and perceived by the speaker. Graham D. Bodie, “The Active-Empathetic Listening Scale (AELS): Conceptualization and Evidence of Validity within the Interpersonal Domain,” Communication Quarterly 59, no. 3 (2011): 278. To be a better empathetic listener, we need to suspend or at least attempt to suppress our judgment of the other person or their message so we can fully attend to both. Paraphrasing is an important part of empathetic listening, because it helps us put the other person’s words into our frame of experience without making it about us. In addition, speaking the words of someone else in our own way can help evoke within us the feelings that the other person felt while saying them. Graham D. Bodie, “The Active-Empathetic Listening Scale (AELS): Conceptualization and Evidence of Validity within the Interpersonal Domain,” Communication Quarterly 59, no. 3 (2011): 278. Active-empathetic listening is more than echoing back verbal messages. We can also engage in mirroring
A listener’s replication of the nonverbal signals of a speaker.
, which refers to a listener’s replication of the nonverbal signals of a speaker. Tom Bruneau, “Empathy and Listening,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 188. Therapists, for example, are often taught to adopt a posture and tone similar to their patients in order to build rapport and project empathy.
Empathetic listeners should not steal the spotlight from the speaker. Offer support without offering your own story or advice.
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Paraphrasing and questioning are useful techniques for empathetic listening because they allow us to respond to a speaker without taking “the floor,” or the attention, away for long. Specifically, questions that ask for elaboration act as “verbal door openers,” and inviting someone to speak more and then validating their speech through active listening cues can help a person feel “listened to.” Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 205. I’ve found that paraphrasing and asking questions are also useful when we feel tempted to share our own stories and experiences rather than maintaining our listening role. These questions aren’t intended to solicit more information, so we can guide or direct the speaker toward a specific course of action. Although it is easier for us to slip into an advisory mode—saying things like “Well if I were you, I would…”—we have to resist the temptation to give unsolicited advice.
Empathetic listening can be worthwhile, but it also brings challenges. In terms of costs, empathetic listening can use up time and effort. Since this type of listening can’t be contained within a proscribed time frame, it may be especially difficult for time-oriented listeners. Tom Bruneau, “Empathy and Listening,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 195. Empathetic listening can also be a test of our endurance, as its orientation toward and focus on supporting the other requires the processing and integration of much verbal and nonverbal information. Because of this potential strain, it’s important to know your limits as an empathetic listener. While listening can be therapeutic, it is not appropriate for people without training and preparation to try to serve as a therapist. Some people have chronic issues that necessitate professional listening for the purposes of evaluation, diagnosis, and therapy. Lending an ear is different from diagnosing and treating. If you have a friend who is exhibiting signs of a more serious issue that needs attention, listen to the extent that you feel comfortable and then be prepared to provide referrals to other resources that have training to help. To face these challenges, good empathetic listeners typically have a generally positive self-concept and self-esteem, are nonverbally sensitive and expressive, and are comfortable with embracing another person’s subjectivity and refraining from too much analytic thought.
Becoming a Better Contextual Listener
Active, critical, and empathetic listening skills can be helpful in a variety of contexts. Understanding the role that listening plays in professional, relational, cultural, and gendered contexts can help us more competently apply these skills. Whether we are listening to or evaluating messages from a supervisor, parent, or intercultural conversational partner, we have much to gain or lose based on our ability to apply listening skills and knowledge in various contexts.
Listening in Professional Contexts
Listening and organizational-communication scholars note that listening is one of the most neglected aspects of organizational-communication research. Jan Flynn, Tuula-Riitta Valikoski, and Jennie Grau, “Listening in the Business Context: Reviewing the State of Research,” The International Journal of Listening 22 (2008): 143. Aside from a lack of research, a study also found that business schools lack curriculum that includes instruction and/or training in communication skills like listening in their master of business administration (MBA) programs. Ron Alsop, Wall Street Journal-Eastern Edition 240, no. 49 (2002): R4. This lack of a focus on listening persists, even though we know that more effective listening skills have been shown to enhance sales performance and that managers who exhibit good listening skills help create open communication climates that can lead to increased feelings of supportiveness, motivation, and productivity. Jan Flynn, Tuula-Riitta Valikoski, and Jennie Grau, “Listening in the Business Context: Reviewing the State of Research,” The International Journal of Listening 22 (2008): 144–46. Specifically, empathetic listening and active listening can play key roles in organizational communication. Managers are wise to enhance their empathetic listening skills, as being able to empathize with employees contributes to a positive communication climate. Active listening among organizational members also promotes involvement and increases motivation, which leads to more cohesion and enhances the communication climate.
Organizational scholars have examined various communication climates specific to listening. Listening environment
Characteristics and norms of an organization and its members that contribute to expectations for and perceptions about listening.
refers to characteristics and norms of an organization and its members that contribute to expectations for and perceptions about listening. Judi Brownell, “Listening Environment: A Perspective,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 243. Positive listening environments are perceived to be more employee centered, which can improve job satisfaction and cohesion. But how do we create such environments?
Positive listening environments are facilitated by the breaking down of barriers to concentration, the reduction of noise, the creation of a shared reality (through shared language, such as similar jargon or a shared vision statement), intentional spaces that promote listening, official opportunities that promote listening, training in listening for all employees, and leaders who model good listening practices and praise others who are successful listeners. Judi Brownell, “Listening Environment: A Perspective,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 245–54. Policies and practices that support listening must go hand in hand. After all, what does an “open-door” policy mean if it is not coupled with actions that demonstrate the sincerity of the policy?
“Getting Real”
Becoming a “Listening Leader”
Dr. Rick Bommelje has popularized the concept of the “listening leader.” Listen-Coach.com, Dr. Rick Listen-Coach, accessed July 13, 2012, http://www.listen-coach.com. As a listening coach, he offers training and resources to help people in various career paths increase their listening competence. For people who are very committed to increasing their listening skills, the International Listening Association has now endorsed a program to become a Certified Listening Professional (CLP), which entails advanced independent study, close work with a listening mentor, and the completion of a written exam. “CLP Training Program,” International Listening Assocation, accessed July 13, 2012, http://www.listen.org/CLPFAQs. There are also training programs to help with empathetic listening that are offered through the Compassionate Listening Project. “Training,” The Compassionate Listening Project, accessed July 13, 2012, http://www.compassionatelistening.org/trainings. These programs evidence the growing focus on the importance of listening in all professional contexts.
Scholarly research has consistently shown that listening ability is a key part of leadership in professional contexts and competence in listening aids in decision making. A survey sent to hundreds of companies in the United States found that poor listening skills create problems at all levels of an organizational hierarchy, ranging from entry-level positions to CEOs. Owen Hargie, Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 178. Leaders such as managers, team coaches, department heads, and executives must be versatile in terms of listening type and style in order to adapt to the diverse listening needs of employees, clients/customers, colleagues, and other stakeholders.
Even if we don’t have the time or money to invest in one of these professional-listening training programs, we can draw inspiration from the goal of becoming a listening leader. By reading this book, you are already taking an important step toward improving a variety of communication competencies, including listening, and you can always take it upon yourself to further your study and increase your skills in a particular area to better prepare yourself to create positive communication climates and listening environments. You can also use these skills to make yourself a more desirable employee.
Make a list of the behaviors that you think a listening leader would exhibit. Which of these do you think you do well? Which do you need to work on?
What do you think has contributed to the perceived shortage of listening skills in professional contexts?
Given your personal career goals, what listening skills do you think you will need to possess and employ in order to be successful?
Listening in Relational Contexts
Listening plays a central role in establishing and maintaining our relationships. Richard Nelson-Jones, Human Relationship Skills, 4th ed. (East Sussex: Routledge, 2006), 37–38. Without some listening competence, we wouldn’t be able to engage in the self-disclosure process, which is essential for the establishment of relationships. Newly acquainted people get to know each other through increasingly personal and reciprocal disclosures of personal information. In order to reciprocate a conversational partner’s disclosure, we must process it through listening. Once relationships are formed, listening to others provides a psychological reward, through the simple act of recognition, that helps maintain our relationships. Listening to our relational partners and being listened to in return is part of the give-and-take of any interpersonal relationship. Our thoughts and experiences “back up” inside of us, and getting them out helps us maintain a positive balance. Richard Nelson-Jones, Human Relationship Skills, 4th ed. (East Sussex: Routledge, 2006), 34–35. So something as routine and seemingly pointless as listening to our romantic partner debrief the events of his or her day or our roommate recount his or her weekend back home shows that we are taking an interest in their lives and are willing to put our own needs and concerns aside for a moment to attend to their needs. Listening also closely ties to conflict, as a lack of listening often plays a large role in creating conflict, while effective listening helps us resolve it.
Listening has relational implications throughout our lives, too. Parents who engage in competent listening behaviors with their children from a very young age make their children feel worthwhile and appreciated, which affects their development in terms of personality and character. Michael P. Nichols, The Lost Art of Listening (New York, NY: Guilford Press, 1995), 25.
Parents who exhibit competent listening behaviors toward their children provide them with a sense of recognition and security that affects their future development.
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A lack of listening leads to feelings of loneliness, which results in lower self-esteem and higher degrees of anxiety. In fact, by the age of four or five years old, the empathy and recognition shown by the presence or lack of listening has molded children’s personalities in noticeable ways. Michael P. Nichols, The Lost Art of Listening (New York, NY: Guilford Press, 1995), 32. Children who have been listened to grow up expecting that others will be available and receptive to them. These children are therefore more likely to interact confidently with teachers, parents, and peers in ways that help develop communication competence that will be built on throughout their lives. Children who have not been listened to may come to expect that others will not want to listen to them, which leads to a lack of opportunities to practice, develop, and hone foundational communication skills. Fortunately for the more-listened-to children and unfortunately for the less-listened-to children, these early experiences become predispositions that don’t change much as the children get older and may actually reinforce themselves and become stronger.
Listening and Culture
Some cultures place more importance on listening than other cultures. In general, collectivistic cultures tend to value listening more than individualistic cultures that are more speaker oriented. The value placed on verbal and nonverbal meaning also varies by culture and influences how we communicate and listen. A low-context communication
Communication style in which much of the meaning generated within an interaction comes from the verbal communication used rather than nonverbal or contextual cues.
style is one in which much of the meaning generated within an interaction comes from the verbal communication used rather than nonverbal or contextual cues. Conversely, much of the meaning generated by a high-context communication
Communication style in which much of the meaning generated within an interaction comes from nonverbal or contextual cues rather than the verbal communication.
style comes from nonverbal and contextual cues. Myron W. Lustig and Jolene Koester, Intercultural Competence: Interpersonal Communication across Cultures, 5th ed. (Boston, MA: Pearson Education, 2006), 110–14. For example, US Americans of European descent generally use a low-context communication style, while people in East Asian and Latin American cultures use a high-context communication style.
Contextual communication styles affect listening in many ways. Cultures with a high-context orientation generally use less verbal communication and value silence as a form of communication, which requires listeners to pay close attention to nonverbal signals and consider contextual influences on a message. Cultures with a low-context orientation must use more verbal communication and provide explicit details, since listeners aren’t expected to derive meaning from the context. Note that people from low-context cultures may feel frustrated by the ambiguity of speakers from high-context cultures, while speakers from high-context cultures may feel overwhelmed or even insulted by the level of detail used by low-context communicators. Cultures with a low-context communication style also tend to have a monochronic orientation toward time, while high-context cultures have a polychronic time orientation, which also affects listening.
As Chapter 8 "Culture and Communication" discusses, cultures that favor a structured and commodified orientation toward time are said to be monochronic, while cultures that favor a more flexible orientation are polychronic. Monochronic cultures like the United States value time and action-oriented listening styles, especially in professional contexts, because time is seen as a commodity that is scarce and must be managed. Steven McCornack, Reflect and Relate: An Introduction to Interpersonal Communication (Boston, MA: Bedford/St Martin’s, 2007), 205. This is evidenced by leaders in businesses and organizations who often request “executive summaries” that only focus on the most relevant information and who use statements like “Get to the point.” Polychronic cultures value people and content-oriented listening styles, which makes sense when we consider that polychronic cultures also tend to be more collectivistic and use a high-context communication style. In collectivistic cultures, indirect communication is preferred in cases where direct communication would be considered a threat to the other person’s face (desired public image). For example, flatly turning down a business offer would be too direct, so a person might reply with a “maybe” instead of a “no.” The person making the proposal, however, would be able to draw on contextual clues that they implicitly learned through socialization to interpret the “maybe” as a “no.”
Listening and Gender
Research on gender and listening has produced mixed results. As we’ve already learned, much of the research on gender differences and communication has been influenced by gender stereotypes and falsely connected to biological differences. More recent research has found that people communicate in ways that conform to gender stereotypes in some situations and not in others, which shows that our communication is more influenced by societal expectations than by innate or gendered “hard-wiring.” For example, through socialization, men are generally discouraged from expressing emotions in public. A woman sharing an emotional experience with a man may perceive the man’s lack of emotional reaction as a sign of inattentiveness, especially if he typically shows more emotion during private interactions. The man, however, may be listening but withholding nonverbal expressiveness because of social norms. He may not realize that withholding those expressions could be seen as a lack of empathetic or active listening. Researchers also dispelled the belief that men interrupt more than women do, finding that men and women interrupt each other with similar frequency in cross-gender encounters. Kathryn Dindia, “The Effect of Sex of Subject and Sex of Partner on Interruptions,” Human Communication Research 13, no. 3 (1987): 345–71. So men may interrupt each other more in same-gender interactions as a conscious or subconscious attempt to establish dominance because such behaviors are expected, as men are generally socialized to be more competitive than women. However, this type of competitive interrupting isn’t as present in cross-gender interactions because the contexts have shifted.
Key Takeaways
You can improve listening competence at the receiving stage by preparing yourself to listen and distinguishing between intentional messages and noise; at the interpreting stage by identifying main points and supporting points and taking multiple contexts into consideration; at the recalling stage by creating memories using multiple senses and repeating, rephrasing, and reorganizing messages to fit cognitive preferences; at the evaluating stage by separating facts from inferences and assessing the credibility of the speaker’s message; and at the responding stage by asking appropriate questions, offering paraphrased messages, and adapting your response to the speaker and the situation.
Active listening is the process of pairing outwardly visible positive listening behaviors with positive cognitive listening practices and is characterized by mentally preparing yourself to listen, working to maintain focus on concentration, using appropriate verbal and nonverbal back-channel cues to signal attentiveness, and engaging in strategies like note taking and mentally reorganizing information to help with recall.
In order to apply critical-listening skills in multiple contexts, we must be able to distinguish between facts and inferences, evaluate a speaker’s supporting evidence, discover our own biases, and think beyond the message.
In order to practice empathetic listening skills, we must be able to support others’ subjective experience; temporarily set aside our own needs to focus on the other person; encourage elaboration through active listening and questioning; avoid the temptation to tell our own stories and/or give advice; effectively mirror the nonverbal communication of others; and acknowledge our limits as empathetic listeners.
Getting integrated: Different listening strategies may need to be applied in different listening contexts.
In professional contexts, listening is considered a necessary skill, but most people do not receive explicit instruction in listening. Members of an organization should consciously create a listening environment that promotes and rewards competent listening behaviors.
In relational contexts, listening plays a central role in initiating relationships, as listening is required for mutual self-disclosure, and in maintaining relationships, as listening to our relational partners provides a psychological reward in the form of recognition. When people aren’t or don’t feel listened to, they may experience feelings of isolation or loneliness that can have negative effects throughout their lives.
In cultural contexts, high- or low-context communication styles, monochronic or polychronic orientations toward time, and individualistic or collectivistic cultural values affect listening preferences and behaviors.
Research regarding listening preferences and behaviors of men and women has been contradictory. While some differences in listening exist, many of them are based more on societal expectations for how men and women should listen rather than biological differences.
Exercises
Keep a “listening log” for part of your day. Note times when you feel like you exhibited competent listening behaviors and note times when listening became challenging. Analyze the log based on what you have learned in this section. Which positive listening skills helped you listen? What strategies could you apply to your listening challenges to improve your listening competence?
Apply the strategies for effective critical listening to a political message (a search for “political speech” or “partisan speech” on YouTube should provide you with many options). As you analyze the speech, make sure to distinguish between facts and inferences, evaluate a speaker’s supporting evidence, discuss how your own biases may influence your evaluation, and think beyond the message.
Discuss and analyze the listening environment of a place you have worked or an organization with which you were involved. Overall, was it positive or negative? What were the norms and expectations for effective listening that contributed to the listening environment? Who helped set the tone for the listening environment?
5.4 Listenable Messages and Effective Feedback
Learning Objectives
List strategies for creating listenable messages.
Evaluate messages produced by others using competent feedback.
Discuss strategies for self-evaluation of communication.
We should not forget that sending messages is an important part of the listening process. Although we often think of listening as the act of receiving messages, that passive view of listening overlooks the importance of message construction and feedback. In the following section, we will learn how speakers can facilitate listening by creating listenable messages and how listeners help continue the listening process through feedback for others and themselves.
Creating Listenable Messages
Some of the listening challenges we all face would be diminished if speakers created listenable messages. Listenable messages
Orally delivered messages that are tailored to be comprehended by a listener.
are orally delivered messages that are tailored to be comprehended by a listener. Donald L. Rubin, “Listenability = Oral-based Discourse + Considerateness,” in Perspectives on Listening, eds. Andrew D. Wolvin and Carolyn Gwynn Coakley (Norwood, NJ: Alex Publishing Corporation, 1993), 269. While most of our communication is in an “oral style,” meaning spoken and intended to be heard, we sometimes create messages that are unnecessarily complex in ways that impede comprehension. Listenable messages can be contrasted with most written messages, which are meant to be read.
The way we visually process written communication is different from the way we process orally delivered and aurally received language. Aside from processing written and spoken messages differently, we also speak and write differently. This becomes a problem for listening when conventions of written language get transferred into oral messages. You may have witnessed or experienced this difficulty if you have ever tried or watched someone else try to orally deliver a message that was written to be read, not spoken. For example, when students in my classes try to deliver a direct quote from one of their research sources or speak verbatim a dictionary definition of a word, they inevitably have fluency hiccups in the form of unintended pauses or verbal trip-ups that interfere with their ability to deliver the content. These hiccups consequently make the message difficult for the audience to receive and comprehend.
This isn’t typically a problem in everyday conversations, because when we speak impromptu we automatically speak in an oral style. We have a tendency, however, to stray from our natural oral style when delivering messages that we have prepared in advance—like speeches. This is because we receive much more training in creating messages to be read than we do in creating messages to be spoken. We are usually just expected to pick up the oral style of communicating through observation and trial and error. Being able to compose and deliver messages in an oral style, as opposed to a written style, is a crucial skill to develop in order to be a successful public speaker. Since most people lack specific instruction in creating messages in an oral rather than written style, you should be prepared to process messages that aren’t as listenable as you would like them to be. The strategies for becoming an active listener discussed earlier in this chapter will also help you mentally repair or restructure a message to make it more listenable. As a speaker, in order to adapt your message to a listening audience and to help facilitate the listening process, you can use the following strategies to create more listenable messages:
Use shorter, actively worded sentences.
Use personal pronouns (“I want to show you…”).
Use lists or other organizational constructions like problem-solution, pro-con, or compare-contrast.
Use transitions and other markers that help a listener navigate your message (time markers like “today”; order indicators like “first, second, third”; previews like “I have two things I’d like to say about that”; and reviews like “So, basically I feel like we should vacation at the lake instead of the beach because…”).
Use examples relevant to you and your listener’s actual experiences.
Giving Formal Feedback to Others
The ability to give effective feedback benefits oneself and others. Whether in professional or personal contexts, positive verbal and nonverbal feedback can boost others’ confidence, and negative feedback, when delivered constructively, can provide important perception checking and lead to improvements. Of course, negative feedback that is not delivered competently can lead to communication difficulties that can affect a person’s self-esteem and self-efficacy. Although we rarely give formal feedback to others in interpersonal contexts, it is important to know how to give this type of feedback, as performance evaluations are common in a variety of professional, academic, and civic contexts.
The ability to give verbal feedback helps personal and professional relationships grow.
© Thinkstock
It is likely that you will be asked at some point to give feedback to another person in an academic, professional, or civic context. As companies and organizations have moved toward more team-based work environments over the past twenty years, peer evaluations are now commonly used to help assess job performance. I, for example, am evaluated every year by two tenured colleagues, my department chair, and my dean. I also evaluate my graduate teaching assistants and peers as requested. Since it’s important for us to know how to give competent and relevant feedback, and since the feedback can be useful for the self-improvement of the receiver, many students are asked to complete peer evaluations verbally and/or in writing for classmates after they deliver a speech. The key to good feedback is to offer constructive criticism
Comments that are specific and descriptive enough for the receiver to apply them for the purpose of self-improvement.
, which consists of comments that are specific and descriptive enough for the receiver to apply them for the purpose of self-improvement. The following are guidelines I provide my students for giving feedback, and they are also adaptable to other contexts.
When Giving Feedback to Others
Be specific. I often see a lack of specific comments when it comes to feedback on speech delivery. Students write things like “Eye contact” on a peer comment sheet, but neither the student nor I know what to do with the comment. While a comment like “Good eye contact” or “Not enough eye contact” is more specific, it’s not descriptive enough to make it useful.
Be descriptive. I’d be hard pressed to think of a descriptive comment that isn’t also specific, because the act of adding detail to something usually makes the point clearer as well. The previous “Not enough eye contact” comment would be more helpful and descriptive like this: “You looked at your notes more than you looked at the audience during the first thirty seconds of your speech.”
Be positive. If you are delivering your feedback in writing, pretend that you are speaking directly to the person and write it the same way. Comments like “Stop fidgeting” or “Get more sources” wouldn’t likely come out during verbal feedback, because we know they sound too harsh. The same tone, however, can be communicated through written feedback. Instead, make comments that are framed in such a way as to avoid defensiveness or hurt feelings.
Be constructive. Although we want to be positive in our feedback, comments like “Good job” aren’t constructive, because a communicator can’t actually take that comment and do something with it. A comment like “You were able to explain our company’s new marketing strategy in a way that even I, as an engineer, could make sense of. The part about our new crisis communication plan wasn’t as clear. Perhaps you could break it down the same way you did the marketing strategy to make it clearer for people like me who are outside the public relations department.” This statement is positively framed, specific, and constructive because the speaker can continue to build on the positively reviewed skill by applying it to another part of the speech that was identified as a place for improvement.
Be realistic. Comments like “Don’t be nervous” aren’t constructive or realistic. Instead, you could say, “I know the first speech is tough, but remember that we’re all in the same situation and we’re all here to learn. I tried the breathing exercises discussed in the book and they helped calm my nerves. Maybe they’ll work for you, too?” I’ve also had students make comments like “Your accent made it difficult for me to understand you,” which could be true but may signal a need for more listening effort since we all technically have accents, and changing them, if possible at all, would take considerable time and effort.
Be relevant. Feedback should be relevant to the assignment, task, and/or context. I’ve had students give feedback like “Rad nail polish” and “Nice smile,” which although meant as compliments are not relevant in formal feedback unless you’re a fashion consultant or a dentist.
Giving Formal Feedback to Yourself
An effective way to improve our communication competence is to give ourselves feedback on specific communication skills. Self-evaluation can be difficult, because people may think their performance was effective and therefore doesn’t need critique, or they may become their own worst critic, which can negatively affect self-efficacy. The key to effective self-evaluation is to identify strengths and weaknesses, to evaluate yourself within the context of the task, and to set concrete goals for future performance. What follows are guidelines that I give my students for self-evaluation of their speeches.
When Giving Feedback to Yourself
Identify strengths and weaknesses. We have a tendency to be our own worst critics, so steer away from nit-picking or overfocusing on one aspect of your communication that really annoys you and sticks out to you. It is likely that the focus of your criticism wasn’t nearly as noticeable or even noticed at all by others. For example, I once had a student write a self-critique of which about 90 percent focused on how his face looked red. Although that was really salient for him when he watched his video, I don’t think it was a big deal for the audience members.
Evaluate yourself within the context of the task or assignment guidelines. If you are asked to speak about your personal life in a creative way, don’t spend the majority of your self-evaluation critiquing your use of gestures. People have a tendency to overanalyze aspects of their delivery, which usually only accounts for a portion of the overall effectiveness of a message, and underanalyze their presentation of key ideas and content. If the expectation was to present complex technical information in a concrete way, you could focus on your use of examples and attempts to make the concepts relevant to the listeners.
Set goals for next time. Goal setting is important because most of us need a concrete benchmark against which to evaluate our progress. Once goals are achieved, they can be “checked off” and added to our ongoing skill set, which can enhance confidence and lead to the achievement of more advanced goals.
Revisit goals and assess progress at regular intervals. We will not always achieve the goals we set, so it is important to revisit the goals periodically to assess our progress. If you did not meet a goal, figure out why and create an action plan to try again. If you did achieve a goal, try to build on that confidence to meet future goals.
Key Takeaways
To create listenable messages, which are orally delivered messages tailored to be comprehended by a listener, avoid long, complex sentences; use personal pronouns; use lists or other organizational constructions; use transitions and other markers to help your listener navigate your message; and use relevant examples.
Getting integrated: Although we rarely give formal feedback in interpersonal contexts, we give informal feedback regularly to our relational partners that can enhance or detract from their self-esteem and affect our relationships. While we also give informal feedback in academic, professional, and civic contexts, it is common practice to give formal feedback in the form of performance evaluations or general comments on an idea, product, or presentation.
When giving feedback to others, be specific, descriptive, positive, constructive, realistic, and relevant.
When giving feedback to yourself, identify strengths and weaknesses, evaluate yourself within the contexts of the task or assignment, set goals for next time, and revisit goals to access progress.
Exercises
Apply the strategies for creating listenable messages to a speech you recently gave or a speech you are currently working on. Which strategies did/will you employ? Why?
Recall an instance in which someone gave you feedback that didn’t meet the guidelines that are listed in this section. In what ways did the person’s feedback fall short of the guidelines, and what could the person have done to improve the feedback?
Using the guidelines for self-evaluation (feedback to self), assess one of your recent speeches. If you haven’t given a speech recently, assess another communication skill using the same guidelines, such as your listening abilities or your skill at providing constructive criticism. | msmarco_doc_00_9831296 |
http://2012books.lardbucket.org/books/a-primer-on-communication-studies/s10-02-delivery-methods-and-practice-.html | Delivery Methods and Practice Sessions | 10.2
Delivery Methods and Practice Sessions
10.2 Delivery Methods and Practice Sessions
Learning Objectives
Delivery Methods
Impromptu Delivery
Strengths of Impromptu Delivery
Weaknesses of Impromptu Delivery
Manuscript Delivery
Strengths of Manuscript Delivery
Weaknesses of Manuscript Delivery
Memorized Delivery
Strengths of Memorized Delivery
Weaknesses of Memorized Delivery
Extemporaneous Delivery
Strengths of Extemporaneous Delivery
Weaknesses of Extemporaneous Delivery
Practicing Your Speech
Some “Dos” and “Don’ts” for Effective Speech Practice Sessions
Key Takeaways
Exercises
| Delivery Methods and Practice Sessions
10.2 Delivery Methods and Practice Sessions
Learning Objectives
Identify the four methods of speech delivery.
Evaluate the strengths and weaknesses of each delivery method.
Discuss strategies for making speech practice sessions more effective.
There are many decisions that must be made during the speech-making process. Making informed decisions about delivery can help boost your confidence and manage speaking anxiety. In this section, we will learn some strengths and weaknesses of various delivery methods and how to make the most of your practice sessions.
Delivery Methods
Different speaking occasions call for different delivery methods. While it may be acceptable to speak from memory in some situations, lengthy notes may be required in others. The four most common delivery methods are impromptu, manuscript, memorized, and extemporaneous.
Impromptu Delivery
When using impromptu delivery
Delivering a speech with little to no time to prepare.
, a speaker has little to no time to prepare for a speech. This means there is little time for research, audience analysis, organizing, and practice. For this reason, impromptu speaking often evokes higher degrees of speaking anxiety than other delivery types. Although impromptu speaking arouses anxiety, it is also a good way to build public speaking skills. Using some of the exercises for managing speaking anxiety that were discussed earlier in this chapter can help a speaker better manage the challenges of impromptu speaking. Only skilled public speakers with much experience are usually able to “pull off” an impromptu delivery without looking unprepared. Otherwise, a speaker who is very familiar with the subject matter can sometimes be a competent impromptu speaker, because their expertise can compensate for the lack of research and organizing time.
When Mark Twain famously said, “It usually takes me more than three weeks to prepare a good impromptu speech,” he was jokingly pointing out the difficulties of giving a good impromptu speech, essentially saying that there is no such thing as a good impromptu speech, as good speeches take time to prepare. We don’t always have the luxury of preparation, though. So when speaking impromptu, be brief, stick to what you know, and avoid rambling. Quickly organize your thoughts into an introduction, body, and conclusion. Try to determine three key ideas that will serve as the basis of your main points.
In what situations would impromptu speaking be used? Since we’ve already started thinking of the similarities between public speaking and conversations, we can clearly see that most of our day-to-day interactions involve impromptu speaking. When your roommate asks you what your plans for the weekend are, you don’t pull a few note cards out of your back pocket to prompt your response. This type of conversational impromptu speaking isn’t anxiety inducing because we’re talking about our lives, experiences, or something we’re familiar with. This is also usually the case when we are asked to speak publicly with little to no advance warning. For example, if you are at a meeting for work and you are representing the public relations department, a colleague may ask you to say a few words about a recent news story involving a public relations misstep of a competing company. In this case, you are being asked to speak on the spot because of your expertise. A competent communicator should anticipate instances like this when they might be called on to speak, so they won’t be so surprised. Of course, being caught completely off guard or being asked to comment on something unfamiliar to you creates more anxiety. In such cases, do not pretend to know something you don’t, as that may come back to hurt you later. You can usually mention that you do not have the necessary background information at that time but will follow up later with your comments.
Salespeople on home-shopping television shows are masters of impromptu speaking. They obviously have sales training and have built up a repertoire of adjectives and sayings that entice an audience to buy. But they are often speaking impromptu when interacting with a guest on the show or the customers who call in. Their ability to remain animated and fluent in their delivery with little time to prepare comes from much experience. Politicians, lawyers, teachers, journalists, and spokespeople engage in impromptu speaking regularly.
Strengths of Impromptu Delivery
Content and delivery are spontaneous, which can make the speech more engaging (if a speaker’s anxiety is under control).
It enhances public speaking skills because speakers have to “think on their feet.”
Weaknesses of Impromptu Delivery
It is typically the most anxiety-inducing delivery method, since speakers do not have time to prepare or practice the speech.
Speakers may get off topic or ramble if they did not set up some structure to guide them.
Speakers may be tempted to overstate or mislead an audience about the extent of their knowledge or expertise if asked to speak about something they aren’t familiar with.
Manuscript Delivery
Speaking from a written or printed document that contains the entirety of a speech is known as manuscript delivery
Delivering a speech from a written or printed document that contains the entirety of the speech.
. Manuscript delivery can be the best choice when a speech has complicated information and/or the contents of the speech are going to be quoted or published. Despite the fact that most novice speakers are not going to find themselves in that situation, many are drawn to this delivery method because of the security they feel with having everything they’re going to say in front of them. Unfortunately, the security of having every word you want to say at your disposal translates to a poorly delivered and unengaging speech. Even with every word written out, speakers can still have fluency hiccups and verbal fillers as they lose their place in the manuscript or get tripped up over their words. The alternative, of course, is that a speaker reads the manuscript the whole time, effectively cutting himself or herself off from the audience. One way to make a manuscript delivery more engaging is through the use of a teleprompter. Almost all politicians who give televised addresses use teleprompters. In Figure 10.1 "President Obama’s Teleprompter System", you can see President Obama’s teleprompter system.
Figure 10.1 President Obama’s Teleprompter System
Newscasters and politicians frequently use teleprompters so they can use manuscript delivery but still engage with the audience.
Source: Photo courtesy of Chad Davis, http://commons.wikimedia.org/wiki/File:20080603_Obama_Speaks_on_Nomination_Victory_Night.jpg.
You may not even notice them, as the technology has improved to give the illusion that a speaker is engaged with the audience and delivering a speech from memory. The Plexiglas sheets on poles that surround the president during the inauguration and State of the Union addresses are cleverly hidden teleprompters. Even these useful devices can fail. A quick search for “teleprompter fail” on YouTube will yield many examples of politicians and newscasters who probably wish they had a paper backup of their speech. Since most of us will likely not have opportunities to speak using a teleprompter, great care should be taken to ensure that the delivery is effective. To make the delivery seem more natural, print the speech out in a larger-than-typical font, triple-space between lines so you can easily find your place, use heavier-than-normal paper so it’s easy to pick up and turn the pages as needed, and use a portfolio so you can carry the manuscript securely.
Strengths of Manuscript Delivery
The speaker can include precise or complex information such as statistics or quotes.
The entire content of the speech is available for reference during the delivery.
The speech will be consistent in terms of content and time length, which is beneficial if a speech will be delivered multiple times.
Weaknesses of Manuscript Delivery
Engagement with the audience is challenging, because the speaker must constantly reference the manuscript (unless a teleprompter is used).
Speakers are unable to adapt information to audience reactions, since they are confined to the content of the manuscript.
Speakers may be tempted to read the entire speech because they didn’t practice enough or because they get nervous.
Speakers who are able to make eye contact with the audience may still sound like they are reading the speech unless they employ proper vocal variety, pacing, and pauses.
Memorized Delivery
Completely memorizing a speech and delivering it without notes is known as memorized delivery
Delivering a speech word for word from memory.
. Some students attempt to memorize their speech because they think it will make them feel more confident to not have to look at their notes; however, when their anxiety level spikes at the beginning of their speech and their mind goes blank for a minute, many admit they should have chosen a different delivery method. When using any of the other delivery methods, speakers still need to rely on their memory. An impromptu speaker must recall facts or experiences related to their topic, and speakers using a manuscript want to have some of their content memorized so they do not read their entire speech to their audience. The problem with memorized delivery overall is that it puts too much responsibility on our memory, which we all know from experience is fallible.
When memorizing, most people use rote memorization techniques, which entail reading and then reciting something over and over until it is committed to memory. One major downfall of this technique is its effect on speaking rate. When we memorize this way, we end up going over the early parts of a speech many more times than the later parts. As you memorize one sentence, you add on another, and so on. By the time you’re adding on later parts of your speech, you are likely speed talking through the earlier parts because you know them by heart at that point. As we’ll discuss more later, to prevent bad habits from practice from hurting our speech delivery, speakers should practice a speech the exact way they want to deliver it to their audience. Fast-paced speaking during practice will likely make its way into the actual delivery of the speech. Delivery also suffers when speaking from memory if the speaker sounds like he or she is reciting the speech. Rote memorization tasks that many of us had to do in school have left their mark on our memorized delivery. Being made to recite the pledge of allegiance, the preamble to the Constitution, and so on didn’t enhance our speaking abilities. I’ve observed many students whose speeches remind me of the sound of school children flatly going through the motions of reciting the Pledge of Allegiance. It’s the “going through the motions” impression that speakers should want to avoid.
Memorized delivery is a good option for people like tour guides, who need to move while speaking and be interactive with an audience.
Source: Photo courtesy of John Lambert Pearson, http://www.flickr.com/photos/orphanjones/896596938.
Even with much practice, our memories can fail. If you do opt to use memorized delivery, make sure you have several “entry points” determined, so you can pick up at spots other than the very beginning of a speech if you lose your place and have to start again. Memorized delivery is very useful for speakers who are going to be moving around during a speech when carrying notes would be burdensome. Think of the tour guide who showed you around your college campus. As someone who used to give college tours, I can attest to the fact that we all had speeches memorized, which was a good thing. It’s already difficult enough to walk backward while facing a group of people and lead them across roads and up stairs. Think about how dangerous it would be if the tour guide were trying to hold onto and reference a stack of note cards at the same time! In summary, I only recommend memorized delivery in cases where the speech is short (only one to two minutes), the speech is personal (like a brief toast), or the speech will be repeated numerous times (like a tour guide’s spiel), and even in these cases, it may be perfectly fine to have notes. Many students think that their anxiety and/or delivery challenges will be fixed if they just memorize their speech only to find that they are more anxious and have more problems.
Strengths of Memorized Delivery
Speakers can include precise or complex information such as statistics or quotes (if they have put the time into memorization).
Speakers can directly engage with the audience without worrying about referencing notes.
The speech will be consistent in terms of content and time-length, which is beneficial if a speech will be delivered multiple times.
Weaknesses of Memorized Delivery
It is the most time-consuming delivery method.
Speakers are unable to adapt information to audience reactions, since they are confined to the content they memorized.
If speakers lose their place in the speech, they will likely have to start over.
Since everything is preplanned, it is difficult to make the speech content and delivery seem genuine (i.e., humor may seem “canned” or corny).
The speech can sound like a recitation if the proper vocal variety and pacing are not used.
Extemporaneous Delivery
Extemporaneous delivery
Delivering a speech using a keyword and/or key-phrase outline after memorizing the general structure and main points of a speech.
entails memorizing the overall structure and main points of a speech and then speaking from keyword/key-phrase notes. This delivery mode brings together many of the strengths of the previous three methods. Since you only internalize and memorize the main structure of a speech, you don’t have to worry as much about the content and delivery seeming stale. Extemporaneous delivery brings in some of the spontaneity of impromptu delivery but still allows a speaker to carefully plan the overall structure of a speech and incorporate supporting materials that include key facts, quotations, and paraphrased information. You can also more freely adapt your speech to fit various audiences and occasions, since every word and sentence isn’t predetermined. This can be especially beneficial when a speech will be delivered multiple times. The minilectures I give in my classes, for example, are good examples of extemporaneous delivery. Even though I’ve presented the basic content of this chapter dozens of times over the years, each presentation has been different, because I can vary the examples and amount of elaboration that I add to the core content that I’ve memorized. For example, I may spend more time discussing speaking anxiety with a class that has expressed more apprehension about public speaking. I also change the example videos I show to connect to ever-changing current events or popular culture.
When preparing a speech that you will deliver extemporaneously, you will want to start practicing your speech early and then continue to practice as you revise your content. Investing quality time and effort into the speech-outlining process helps with extemporaneous delivery. As you put together your outline, you are already doing the work of internalizing the key structure of your speech. Read parts of your outline aloud as you draft them to help ensure they are written in a way that makes sense and is easy for you to deliver. By the time you complete the formal, full-sentence outline, you should have already internalized much of the key information in your speech. Now, you can begin practicing with the full outline. As you become more comfortable with the content of your full outline, start to convert it into your speaking outline. Take out information that you know well and replace it with a keyword or key phrase that prompts your memory. You’ll probably want to leave key quotes, facts, and other paraphrased information, including your verbal source citation information, on your delivery outline so you make sure to include it in your speech. Once you’ve converted your full outline into your speaking outline, practice it a few more times, making sure to take some time between each practice session so you don’t inadvertently start to memorize the speech word for word. The final product should be a confident delivery of a well-organized and structured speech that is conversational and adaptable to various audiences and occasions.
Strengths of Extemporaneous Delivery
Speech content and delivery appear more spontaneous and natural, making it more conversational, since the speaker is using a keyword/key-phrase outline.
Speakers can include quotes or complex information on their speaking outline for easy reference.
Speakers can adapt information and delivery to specific audiences, occasions, and audience reactions, since they are not confined to the content of a manuscript or what they memorized.
Weaknesses of Extemporaneous Delivery
Since the speech is so adaptable, it can be difficult to ensure the speech will be the exact same length each time.
It is perhaps not the best option when exact wording is expected.
Speakers must find a balance between having too much content on their speaking outline, which may cause them to read, and too little content, which may lead to fluency hiccups.
Practicing Your Speech
Practicing a speech is essential, and practice sessions can be more or less useful depending on how you approach them. There are three primary phases to the practice process. In the first phase, you practice as you’re working through your ideas and drafting your outline. In the second, you practice for someone and get feedback. In the third, you put the finishing touches on the speech.
Start practicing your speech early, as you are working through your ideas, by reading sections aloud as you draft them into your working outline. This will help ensure your speech is fluent and sounds good for the audience. Start to envision the audience while you practice and continue to think about them throughout the practicing process. This will help minimize anxiety when you actually have them sitting in front of you. Once you have completed your research and finished a draft of your outline, you will have already practiced your speech several times as you were putting it together. Now, you can get feedback on the speech as a whole.
You begin to solicit feedback from a trusted source in the second phase of practicing your speech. This is the most important phase of practicing, and the one that most speakers do not complete. Beginning speakers may be nervous to practice in front of someone, which is to be expected. But review the strategies for managing anxiety discussed earlier in this chapter and try to face that anxiety. After all, you will have to face a full audience when you deliver the speech, so getting used to speaking in front of someone can only help you at this point. Choose someone who will give you constructive feedback on your speech, not just unconditional praise or criticism. Before you practice for them, explain the assignment or purpose of the speech. When practicing for a classroom speech, you may even want to give the person the assignment guidelines or a feedback sheet that has some key things for them to look for. Ask them for feedback on content and delivery. Almost anyone is good at evaluating delivery, but it’s more difficult to evaluate content. And, in most cases, the content of your speech will be account for more of your grade or what you will be evaluated on for work than the delivery. Also begin to time your speech at this point, so you can determine if it meets any time limits that you have.
In addition to practicing for a trusted source for feedback, you may want to audio or video record your speech. This can be useful because it provides an objective record that you can then compare with the feedback you got from your friend and to your own evaluation of your speech. The most important part of this phase is incorporating the feedback you receive into your speech. If you practice for someone, get feedback, and then don’t do anything with the feedback, then you have wasted your time and their time. Use the feedback to assess whether or not you met your speaking goals. Was your thesis supported? Was your specific purpose met? Did your speech conform to any time limits that were set? Based on your answers to these questions, you may need to make some changes to your content or delivery, so do not put this part of practicing off to the last minute. Once the content has been revised as needed, draft your speaking outline and move on to the next phase of practice.
You can practice your speech in front of a mirror to gauge your use of facial expressions and gestures. In addition, practice in front of a couple people for feedback.
©Thinkstock
During the third and final phase of practice, you are putting the finishing touches on your speech. You should be familiar with the content based on your early practice sessions. You have also gotten feedback and incorporated that feedback into the speech. Your practice sessions at this point should precreate, as much as possible, the conditions in which you will be giving your speech. You should have your speaking outline completed so you can practice with it. It’s important to be familiar with the content on your note cards or speaking outline so you will not need to rely on it so much during the actual delivery. You may also want to practice in the type of clothing you will be wearing on speech day. This can be useful if you are wearing something you don’t typically wear—a suit for example—so you can see how it might affect your posture, gestures, and overall comfort level. If possible, at least one practice session in the place you will be giving the speech can be very helpful, especially if it’s a room you are not familiar with. Make sure you’re practicing with any visual aids or technology you will use so you can be familiar with it and it doesn’t affect your speech fluency. Continue to time each practice round. If you are too short or too long, you will need to go back and adjust your content some more. Always adjust your content to fit the time limit; do not try to adjust your delivery. Trying to speed talk or stretch things out to make a speech faster or longer is a mistake that will ultimately hurt your delivery, which will hurt your credibility. The overall purpose of this phase of practicing is to minimize surprises that might throw you off on speech day.
Some “Dos” and “Don’ts” for Effective Speech Practice Sessions
Do start practicing sections of your speech early, as you draft your outline.
Do practice for someone for feedback.
Do time yourself once a draft of the speech is completed and adjust the speech as needed to conform to time limits.
Do deliver the speech the way you want it to be when you deliver it for your audience (use the rate, volume, vocal variety, pauses, and emphasis you plan to use on speech day).
Don’t only practice in front of a mirror (practicing once in front of a mirror can help you gauge your facial expressions and other aspects of delivery, but that shouldn’t be the only way you practice).
Don’t only practice in your head (we have a tendency to go too fast when we practice in our head, and you need to get practice saying the words of your speech to help lessen fluency hiccups).
Don’t practice too much. It’s best to practice a few times in the days leading up to the speech, making sure to leave several hours between practice sessions. Practicing too much can lead you to become bored with your content, which could lead to delivery that sounds like a recitation.
Key Takeaways
The four methods of delivering a speech are impromptu, manuscript, memorized, and extemporaneous delivery.
Impromptu delivery evokes higher levels of speaking anxiety because a speaker has little to no time to prepare the speech; however, this method can increase public speaking skills for people who enjoy thinking on their feet.
Manuscript delivery entails speaking from a manuscript that contains a word-for-word transcript of your speech. This delivery method can be good for speeches that contain complex information that will be published or quoted but can be challenging because speakers may read their speech, which lessens engagement with the audience.
Memorized delivery entails speaking from memory. Speakers with a reliable memory will be able to include specific information and engage the audience freely. This method is the most time-consuming delivery option and may come across as a recitation instead of an engaging speech.
Extemporaneous delivery entails memorizing the general structure of a speech, not every word, and then delivering the speech from a keyword outline. Having the keyword outline allows a speaker to include specific information and references while remaining adaptable to the occasion and audience since every word isn’t planned out.
Practicing your speech should occur in three phases. First, practice as you are drafting the outline to help you process through your speech ideas. Second, practice for someone and get feedback and record your speech for self-evaluation. Use this feedback to make appropriate changes to your speech. Third, put the finishing touches on the speech: make needed adjustments to the content to meet time limits, become familiar with your speaking outline, and precreate the conditions of speech day for your final few practice sessions.
Exercises
Which delivery methods have you used before? Which did you like the best and why? Which delivery method would you most prefer a speaker to use if you were an audience member and why?
Have you ever had any “surprises” come up during a speech that you could have prevented with more effective practice sessions? If so, explain. If not, list some surprises that good practice sessions could help prevent.
Using the suggestions in the chapter, make a timeline for practicing your next speech. Include specific dates and make a list of things you plan to do during each of the three phases of practice. | msmarco_doc_00_9978587 |
http://2012books.lardbucket.org/books/a-primer-on-social-problems/s04-02-sociological-perspectives-on-s.html | Sociological Perspectives on Social Problems | 1.2
Sociological Perspectives on Social Problems
1.2 Sociological Perspectives on Social Problems
Learning Objectives
The Sociological Imagination
Theoretical Perspectives
Functionalism
Conflict Theory
Symbolic Interactionism
Applying the Three Perspectives
Key Takeaways
| Sociological Perspectives on Social Problems
1.2 Sociological Perspectives on Social Problems
Learning Objectives
Define the sociological imagination.
Explain what is meant by the blaming-the-victim belief.
Summarize the most important beliefs and assumptions of functionalism and conflict theory.
Summarize the most important beliefs and assumptions of symbolic interactionism and exchange theory.
The sociological understanding of social problems rests heavily on the concept of the sociological imagination. We discuss this concept in some detail before turning to various theoretical perspectives that provide a further context for understanding social problems.
The Sociological Imagination
Many individuals experience one or more social problems personally. For example, many people are poor and unemployed, many are in poor health, and many have family problems, drink too much alcohol, or commit crime. When we hear about these individuals, it is easy to think that their problems are theirs alone, and that they and other individuals with the same problems are entirely to blame for their difficulties.
Sociology takes a different approach, as it stresses that individual problems are often rooted in problems stemming from aspects of society itself. This key insight informed C. Wright Mills’s (1959) Mills, C. W. (1959). The sociological imagination. London, United Kingdom: Oxford University Press. classic distinction between personal troubles
C. Wright Mills’s term for the personal problems that many individuals experience.
and public issues
C. Wright Mills’s term for problems in society that underlie personal troubles.
. Personal troubles refer to a problem affecting individuals that the affected individual, as well as other members of society, typically blame on the individual’s own personal and moral failings. Examples include such different problems as eating disorders, divorce, and unemployment. Public issues, whose source lies in the social structure and culture of a society, refer to social problems affecting many individuals. Problems in society thus help account for problems that individuals experience. Mills felt that many problems ordinarily considered private troubles are best understood as public issues, and he coined the term sociological imagination
From C. Wright Mills, the realization that personal troubles are rooted in public issues.
to refer to the ability to appreciate the structural basis for individual problems.
To illustrate Mills’s viewpoint, let’s use our sociological imaginations to understand some contemporary social problems. We will start with unemployment, which Mills himself discussed. If only a few people were unemployed, Mills wrote, we could reasonably explain their unemployment by saying they were lazy, lacked good work habits, and so forth. If so, their unemployment would be their own personal trouble. But when millions of people are out of work, unemployment is best understood as a public issue because, as Mills (1959, p. 9) Mills, C. W. (1959). The sociological imagination. London, United Kingdom: Oxford University Press. put it, “the very structure of opportunities has collapsed. Both the correct statement of the problem and the range of possible solutions require us to consider the economic and political institutions of the society, and not merely the personal situation and character of a scatter of individuals.”
When only a few people are out of work, it is fair to say that their unemployment is their personal trouble. However, when millions of people are out of work, as has been true since the economic downturn began in 2008, this massive unemployment is more accurately viewed as a public issue. As such, its causes lie not in the unemployed individuals but rather in our society’s economic and social systems.
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The high US unemployment rate stemming from the severe economic downturn that began in 2008 provides a telling example of the point Mills was making. Millions of people lost their jobs through no fault of their own. While some individuals are undoubtedly unemployed because they are lazy or lack good work habits, a more structural explanation focusing on lack of opportunity is needed to explain why so many people were out of work. If so, unemployment is best understood as a public issue rather than a personal trouble.
Another social problem is eating disorders. We usually consider a person’s eating disorder to be a personal trouble that stems from a lack of control, low self-esteem, or another personal problem. This explanation may be OK as far as it goes, but it does not help us understand why so many people have the personal problems that lead to eating disorders. Perhaps more important, this belief also neglects the larger social and cultural forces that help explain such disorders. For example, most Americans with eating disorders are women, not men. This gender difference forces us to ask what it is about being a woman in American society that makes eating disorders so much more common. To begin to answer this question, we need to look to the standard of beauty for women that emphasizes a slender body (Boyd, Reynolds, Tillman, & Martin, 2011). Boyd, E. M., Reynolds, J. R., Tillman, K. H., & Martin, P. Y. (2011). Adolescent girls’ race/ethnic status, identities, and drive for thinness. Social Science Research, 40(2), 667–684. If this cultural standard did not exist, far fewer American women would suffer from eating disorders than do now. Because it does exist, even if every girl and woman with an eating disorder were cured, others would take their places unless we could somehow change this standard. Viewed in this way, eating disorders are best understood as a public issue, not just as a personal trouble.
Picking up on Mills’s insights, William Ryan (1976) Ryan, W. (1976). Blaming the victim (Rev. ed.). New York, NY: Vintage Books. pointed out that Americans typically think that social problems such as poverty and unemployment stem from personal failings of the people experiencing these problems, not from structural problems in the larger society. Using Mills’s terms, Americans tend to think of social problems as personal troubles rather than public issues. As Ryan put it, they tend to believe in blaming the victim
The belief that people experiencing difficulties are to blame for these problems.
rather than blaming the system
The belief that personal difficulties stem from problems in society.
.
To help us understand a blaming-the-victim ideology, let’s consider why poor children in urban areas often learn very little in their schools. According to Ryan, a blaming-the-victim approach would say the children’s parents do not care about their learning, fail to teach them good study habits, and do not encourage them to take school seriously. This type of explanation, he wrote, may apply to some parents, but it ignores a much more important reason: the sad shape of America’s urban schools, which, he said, are overcrowded, decrepit structures housing old textbooks and out-of-date equipment. To improve the schooling of children in urban areas, he wrote, we must improve the schools themselves and not just try to “improve” the parents.
As this example suggests, a blaming-the-victim approach points to solutions to social problems such as poverty and illiteracy that are very different from those suggested by a more structural approach that blames the system. If we blame the victim, we would spend our limited dollars to address the personal failings of individuals who suffer from poverty, illiteracy, poor health, eating disorders, and other difficulties. If instead we blame the system, we would focus our attention on the various social conditions (decrepit schools, cultural standards of female beauty, and the like) that account for these difficulties. A sociological understanding suggests that the latter approach is ultimately needed to help us deal successfully with the social problems facing us today.
Theoretical Perspectives
Three theoretical perspectives guide sociological thinking on social problems: functionalist theory, conflict theory, and symbolic interactionist theory. These perspectives look at the same social problems, but they do so in different ways. Their views taken together offer a fuller understanding of social problems than any of the views can offer alone. Table 1.1 "Theory Snapshot" summarizes the three perspectives.
Table 1.1 Theory Snapshot
Theoretical perspective
Major assumptions
Views of social problems
Functionalism
Social stability is necessary for a strong society, and adequate socialization and social integration are necessary for social stability. Society’s social institutions perform important functions to help ensure social stability. Slow social change is desirable, but rapid social change threatens social order.
Social problems weaken a society’s stability but do not reflect fundamental faults in how the society is structured. Solutions to social problems should take the form of gradual social reform rather than sudden and far-reaching change. Despite their negative effects, social problems often also serve important functions for society.
Conflict theory
Society is characterized by pervasive inequality based on social class, race, gender, and other factors. Far-reaching social change is needed to reduce or eliminate social inequality and to create an egalitarian society.
Social problems arise from fundamental faults in the structure of a society and both reflect and reinforce inequalities based on social class, race, gender, and other dimensions. Successful solutions to social problems must involve far-reaching change in the structure of society.
Symbolic interactionism
People construct their roles as they interact; they do not merely learn the roles that society has set out for them. As this interaction occurs, individuals negotiate their definitions of the situations in which they find themselves and socially construct the reality of these situations. In so doing, they rely heavily on symbols such as words and gestures to reach a shared understanding of their interaction.
Social problems arise from the interaction of individuals. People who engage in socially problematic behaviors often learn these behaviors from other people. Individuals also learn their perceptions of social problems from other people.
Functionalism
Functionalism
The view that social institutions are important for their contributions to social stability.
, also known as the functionalist theory or perspective, arose out of two great revolutions of the eighteenth and nineteenth centuries. The first was the French Revolution of 1789, whose intense violence and bloody terror shook Europe to its core. The aristocracy throughout Europe feared that revolution would spread to their own lands, and intellectuals feared that social order was crumbling.
The Industrial Revolution of the nineteenth century reinforced these concerns. Starting first in Europe and then in the United States, the Industrial Revolution led to many changes, including the rise and growth of cities as people left their farms to live near factories. As the cities grew, people lived in increasingly poor, crowded, and decrepit conditions, and crime was rampant. Here was additional evidence, if European intellectuals needed it, of the breakdown of social order.
In response, the intellectuals began to write that a strong society, as exemplified by strong social bonds and rules and effective socialization, was needed to prevent social order from disintegrating. Without a strong society and effective socialization, they warned, social order breaks down, and violence and other signs of social disorder result.
This general framework reached fruition in the writings of Émile Durkheim (1858–1917), a French scholar largely responsible for the sociological perspective, as we now know it. Adopting the conservative intellectuals’ view of the need for a strong society, Durkheim felt that human beings have desires that result in chaos unless society limits them (Durkheim, 1897/1952, p. 274). Durkheim, É. (1952). Suicide (J. Spaulding & G. Simpson, Trans.). New York, NY: Free Press. (Original work published 1897) It does so, he wrote, through two related social mechanisms: socialization and social integration. Socialization helps us learn society’s rules and the need to cooperate, as people end up generally agreeing on important norms and values, while social integration, or our ties to other people and to social institutions such as religion and the family, helps socialize us and integrate us into society and reinforce our respect for its rules.
Today’s functionalist perspective arises out of Durkheim’s work and that of other conservative intellectuals of the nineteenth century. It uses the human body as a model for understanding society. In the human body, our various organs and other body parts serve important functions for the ongoing health and stability of our body. Our eyes help us see, our ears help us hear, our heart circulates our blood, and so forth. Just as we can understand the body by describing and understanding the functions that its parts serve for its health and stability, so can we understand society by describing and understanding the functions that its parts—or, more accurately, its social institutions—serve for the ongoing health and stability of society. Thus functionalism emphasizes the importance of social institutions such as the family, religion, and education for producing a stable society.
Émile Durkheim was a founder of sociology and is largely credited with developing the functionalist perspective.
Source: http://www.marxists.org/glossary/people/d/pics/durkheim.jpg.
Similar to the view of the conservative intellectuals from which it grew, functionalism is skeptical of rapid social change and other major social upheaval. The analogy to the human body helps us understand this skepticism. In our bodies, any sudden, rapid change is a sign of danger to our health. If we break a bone in one of our legs, we have trouble walking; if we lose sight in both our eyes, we can no longer see. Slow changes, such as the growth of our hair and our nails, are fine and even normal, but sudden changes like those just described are obviously troublesome. By analogy, sudden and rapid changes in society and its social institutions are troublesome according to the functionalist perspective. If the human body evolved to its present form and functions because these made sense from an evolutionary perspective, so did society evolve to its present form and functions because these made sense. Any sudden change in society thus threatens its stability and future.
As these comments might suggest, functionalism views social problems as arising from society’s natural evolution. When a social problem does occur, it might threaten a society’s stability, but it does not mean that fundamental flaws in the society exist. Accordingly, gradual social reform should be all that is needed to address the social problem.
Functionalism even suggests that social problems must be functional in some ways for society, because otherwise these problems would not continue. This is certainly a controversial suggestion, but it is true that many social problems do serve important functions for our society. For example, crime is a major social problem, but it is also good for the economy because it creates hundreds of thousands of jobs in law enforcement, courts and corrections, home security, and other sectors of the economy whose major role is to deal with crime. If crime disappeared, many people would be out of work! Similarly, poverty is also a major social problem, but one function that poverty serves is that poor people do jobs that otherwise might not get done because other people would not want to do them (Gans, 1972). Gans, H. J. (1972). The positive functions of poverty. American Journal of Sociology, 78, 275–289. Like crime, poverty also provides employment for people across the nation, such as those who work in social service agencies that help poor people.
Conflict Theory
In many ways, conflict theory
The view that society is composed of groups with different interests arising from their placement in the social structure.
is the opposite of functionalism but ironically also grew out of the Industrial Revolution, thanks largely to Karl Marx (1818–1883) and his collaborator, Friedrich Engels (1820–1895). Whereas conservative intellectuals feared the mass violence resulting from industrialization, Marx and Engels deplored the conditions they felt were responsible for the mass violence and the capitalist society they felt was responsible for these conditions. Instead of fearing the breakdown of social order that mass violence represented, they felt that revolutionary violence was needed to eliminate capitalism and the poverty and misery they saw as its inevitable results (Marx, 1867/1906; Marx & Engels, 1848/1962). Marx, K. (1906). Capital. New York, NY: Random House. (Original work published 1867); Marx, K., & Engels, F. (1962). The communist manifesto. In Marx and Engels: Selected works (Vol. 2, pp. 21–65). Moscow, Russia: Foreign Language Publishing House. (Original work published 1848).
According to Marx and Engels, every society is divided into two classes based on the ownership of the means of production (tools, factories, and the like). In a capitalist society, the bourgeoisie, or ruling class, owns the means of production, while the proletariat, or working class, does not own the means of production and instead is oppressed and exploited by the bourgeoisie. This difference creates an automatic conflict of interests between the two groups. Simply put, the bourgeoisie is interested in maintaining its position at the top of society, while the proletariat’s interest lies in rising up from the bottom and overthrowing the bourgeoisie to create an egalitarian society.
In a capitalist society, Marx and Engels wrote, revolution is inevitable because of structural contradictions arising from the very nature of capitalism. Because profit is the main goal of capitalism, the bourgeoisie’s interest lies in maximizing profit. To do so, capitalists try to keep wages as low as possible and to spend as little money as possible on working conditions. This central fact of capitalism, said Marx and Engels, eventually prompts the rise of class consciousness
Awareness of one’s placement in the social structure and the interests arising from this placement.
, or an awareness of the reasons for their oppression, among workers. Their class consciousness in turn leads them to revolt against the bourgeoisie to eliminate the oppression and exploitation they suffer.
Marx and Engels’ view of conflict arising from unequal positions held by members of society lies at the heart of today’s conflict theory. This theory emphasizes that different groups in society have different interests stemming from their different social positions. These different interests in turn lead to different views on important social issues. Some versions of the theory root conflict in divisions based on race and ethnicity, gender, and other such differences, while other versions follow Marx and Engels in seeing conflict arising out of different positions in the economic structure. In general, however, conflict theory emphasizes that the various parts of society contribute to ongoing inequality, whereas functionalist theory, as we have seen, stresses that they contribute to the ongoing stability of society. Thus while functionalist theory emphasizes the benefits of the various parts of society for ongoing social stability, conflict theory favors social change to reduce inequality.
Karl Marx and his collaborator Friedrich Engels were intense critics of capitalism. Their work inspired the later development of conflict theory in sociology.
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Feminist theory
The view that society is filled with gender inequality characterized by women being the subordinate sex in the social, political, and economic dimensions of society.
has developed in sociology and other disciplines since the 1970s and for our purposes will be considered a specific application of conflict theory. In this case, the conflict concerns gender inequality rather than the class inequality emphasized by Marx and Engels. Although many variations of feminist theory exist, they all emphasize that society is filled with gender inequality such that women are the subordinate sex in many dimensions of social, political, and economic life (Lorber, 2010). Lorber, J. (2010). Gender Inequality: Feminist Theories and Politics. New York, NY: Oxford University Press. Liberal feminists view gender inequality as arising out of gender differences in socialization, while Marxist feminists say that this inequality is a result of the rise of capitalism, which made women dependent on men for economic support. On the other hand, radical feminists view gender inequality as present in all societies, not just capitalist ones. Several chapters in this book emphasize the perspectives of feminist sociologists and other social scientists.
Conflict theory in its various forms views social problems as arising from society’s inherent inequality. Depending on which version of conflict theory is being considered, the inequality contributing to social problems is based on social class, race and ethnicity, gender, or some other dimension of society’s hierarchy. Because any of these inequalities represents a fundamental flaw in society, conflict theory assumes that fundamental social change is needed to address society’s many social problems.
Symbolic Interactionism
Symbolic interactionism
A perspective in sociology that focuses on the meanings people gain from social interaction.
focuses on the interaction of individuals and on how they interpret their interaction. Its roots lie in the work of early 1900s American sociologists, social psychologists, and philosophers who were interested in human consciousness and action. Herbert Blumer (1969), Blumer, H. (1969). Symbolic interactionism: Perspective and Method. Englewood Cliffs, NJ: Prentice Hall. a sociologist at the University of Chicago, built on their writings to develop symbolic interactionism, a term he coined. Drawing on Blumer’s work, symbolic interactionists feel that people do not merely learn the roles that society has set out for them; instead they construct these roles as they interact. As they interact, they negotiate their definitions of the situations in which they find themselves and socially construct the reality of these situations. In doing so, they rely heavily on symbols such as words and gestures to reach a shared understanding of their interaction.
Symbolic interactionism focuses on individuals, such as the people conversing here. Sociologists favoring this approach examine how and why individuals interact and interpret the meanings of their interaction.
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An example is the familiar symbol of shaking hands. In the United States and many other societies, shaking hands is a symbol of greeting and friendship. This simple act indicates that you are a nice, polite person with whom someone should feel comfortable. To reinforce this symbol’s importance for understanding a bit of interaction, consider a situation where someone refuses to shake hands. This action is usually intended as a sign of dislike or as an insult, and the other person interprets it as such. Their understanding of the situation and subsequent interaction will be very different from those arising from the more typical shaking of hands. As the term symbolic interactionism implies, their understanding of this encounter arises from what they do when they interact and from their use and interpretation of the various symbols included in their interaction. According to symbolic interactionists, social order is possible because people learn what various symbols (such as shaking hands) mean and apply these meanings to different kinds of situations. If you visited a society where sticking your right hand out to greet someone was interpreted as a threatening gesture, you would quickly learn the value of common understandings of symbols.
Symbolic interactionism views social problems as arising from the interaction of individuals. This interaction matters in two important respects. First, socially problematic behaviors such as crime and drug use are often learned from our interaction with people who engage in these behaviors; we adopt their attitudes that justify committing these behaviors, and we learn any special techniques that might be needed to commit these behaviors. Second, we also learn our perceptions of a social problem from our interaction with other people, whose perceptions and beliefs influence our own perceptions and beliefs.
Because symbolic interactionism emphasizes the perception of social problems, it is closely aligned with the social constructionist view discussed earlier. Both perspectives emphasize the subjective nature of social problems. By doing so, they remind us that perceptions often matter at least as much as objective reality in determining whether a given condition or behavior rises to the level of a social problem and in the types of possible solutions that various parties might favor for a particular social problem.
Applying the Three Perspectives
To explain armed robbery, symbolic interactionists focus on how armed robbers decide when and where to rob a victim and on how their interactions with other criminals reinforce their own criminal tendencies.
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To help you further understand the different views of these three theoretical perspectives, let’s see what they would probably say about armed robbery, a very serious form of crime, while recognizing that the three perspectives together provide a more comprehensive understanding of armed robbery than any one perspective provides by itself.
A functionalist approach might suggest that armed robbery actually serves positive functions for society, such as the job-creating function mentioned earlier for crime in general. It would still think that efforts should be made to reduce armed robbery, but it would also assume that far-reaching changes in our society would be neither wise nor necessary as part of the effort to reduce crime.
Conflict theory would take a very different approach to understanding armed robbery. It might note that most street criminals are poor and thus emphasize that armed robbery is the result of the despair and frustration of living in poverty and facing a lack of jobs and other opportunities for economic and social success. The roots of street crime, from the perspective of conflict theory, thus lie in society at least as much as they lie in the individuals committing such crime. To reduce armed robbery and other street crime, conflict theory would advocate far-reaching changes in the economic structure of society.
For its part, symbolic interactionism would focus on how armed robbers make such decisions as when and where to rob someone and on how their interactions with other criminals reinforce their own criminal tendencies. It would also investigate how victims of armed robbery behave when confronted by a robber. To reduce armed robbery, it would advocate programs that reduce the opportunities for interaction among potential criminal offenders, for example, after-school programs that keep at-risk youths busy in “conventional” activities so that they have less time to spend with youths who might help them get into trouble.
Key Takeaways
According to C. Wright Mills, the sociological imagination involves the ability to recognize that private troubles are rooted in public issues and structural problems.
Functionalism emphasizes the importance of social institutions for social stability and implies that far-reaching social change will be socially harmful.
Conflict theory emphasizes social inequality and suggests that far-reaching social change is needed to achieve a just society.
Symbolic interactionism emphasizes the social meanings and understandings that individuals derive from their social interaction. | msmarco_doc_00_10006201 |
http://2012books.lardbucket.org/books/a-primer-on-social-problems/s11-03-who-commits-crime.html | Who Commits Crime? | 8.3
Who Commits Crime?
8.3 Who Commits Crime?
Learning Objectives
Gender
Age
Social Class
Urban versus Rural Residence
Race and Ethnicity
Key Takeaways
| Who Commits Crime?
8.3 Who Commits Crime?
Learning Objectives
Explain why males commit more crime than females.
Discuss whether social class differences exist in crime rates.
Discuss whether racial/ethnic differences exist in crime rates.
While people from all walks of life commit street crime, some people are still more likely than others to break the law because of their social backgrounds. These social backgrounds include their gender, age, social class, urban/rural residence, and race and ethnicity. Despite their inaccuracies, the three data sources discussed in the first section of this chapter all provide a similar picture of what kinds of people, in terms of their social backgrounds, are more or less likely to commit street crime. We briefly discuss each background in turn.
Gender
Simply put, males commit much more crime than females. In UCR data, men comprise about 81 percent of all arrests for violent crime and about 63 percent of all arrests for property crime. (See Figure 8.3 "Gender and Arrest (Percentage of All Arrests)" .) In the NCVS, victims report that males commit most of the violent crimes they experienced, and self-report studies find that males far outpace females in the commission of serious street offenses. When it comes to breaking the law, crime is a man’s world.
Figure 8.3 Gender and Arrest (Percentage of All Arrests)
Source: Data from Federal Bureau of Investigation. (2011). Crime in the United States, 2010. Washington, DC: Author.
The key question is why such a large gender difference exists. Some scholars attribute this difference to biological differences between the sexes, but most criminologists attribute it to sociological factors. One of these is gender role socialization: Despite greater recognition of gender roles, we continue to raise our boys to be assertive and aggressive, while we raise our girls to be gentle and nurturing (Lindsey, 2011). Lindsey, L. L. (2011). Gender roles: A sociological perspective (5th ed.). Upper Saddle River, NJ: Prentice Hall. Such gender socialization has many effects, and one of these is a large gender difference in criminal behavior. A second factor is opportunity. Studies find that parents watch their daughters more closely than they watch their sons, who are allowed to stay out later at night and thus have more opportunity to break the law.
Males have higher crime rates than females. An important reason for this gender difference is that boys are socialized to be assertive and aggressive, while girls are socialized to be gentle and nurturing.
© Thinkstock
Age
Age also makes a difference in criminal behavior: Offending rates are highest in the late teens and early twenties and decline thereafter. Accordingly, people in the 15–24 age range account for about 40 percent of all arrests even though they comprise only about 14 percent of the population.
Several factors again seem to account for this pattern (Shoemaker, 2010). Shoemaker, D. J. (2010). Theories of delinquency: An examination of explanations of delinquent behavior (6th ed.). New York, NY: Oxford University Press. First, peer relationships matter more during this time of one’s life than later, and peers are also more likely during this period than later to be offenders themselves. For both reasons, our peer relationships during our teens and early twenties are more likely than those in our later years to draw us into crime. Second, adolescents and young adults are more likely than older adults to lack full-time jobs; for this reason, they are more likely to need money and thus to commit offenses to obtain money and other possessions. Third, as we age out of our early twenties, our ties to conventional society increase: Many people marry, have children, and begin full-time employment, though not necessarily in that order. These events and bonds increase our stakes in conformity, to use some social science jargon, and thus reduce our desire to break the law (Laub, Sampson, & Sweeten, 2006). Laub, J. H., Sampson, R. J., & Sweeten, G. A. (2006). Assessing Sampson and Laub’s life-course theory of crime. In F. T. Cullen (Ed.), Taking stock: The status of criminological theory (Vol. 15, pp. 313–333). New Brunswick, NJ: Transaction.
Social Class
Findings on social class differences in crime are less clear than they are for gender or age differences. Arrests statistics and much research indicate that poor people are much more likely than wealthier people to commit street crime. However, some scholars attribute the greater arrests of poor people to social class bias against them. Despite this possibility, most criminologists would probably agree that social class differences in criminal offending are “unmistakable” (Harris & Shaw, 2000, p. 138). Harris, A. R., & Shaw, J. A. W. (2000). Looking for patterns: Race, class, and crime. In J. F.Sheley (Ed.), Criminology: A contemporary handbook (3rd ed., pp. 129–163). Belmont, CA: Wadsworth. Reflecting this conclusion, one sociologist has even noted, with tongue only partly in cheek, that social scientists know they should not “stroll the streets at night in certain parts of town or even to park there” and that areas of cities that frighten them are “not upper-income neighborhoods” (Stark, 1987, p. 894). Stark, R. (1987). Deviant places: A theory of the ecology of crime. Criminology, 25, 893–911. Thus social class does seem to be associated with street crime, with poor individuals doing more than their fair share.
Explanations of this relationship center on the effects of poverty, which, as the next section will discuss further, is said to produce anger, frustration, and economic need and to be associated with a need for respect and with poor parenting skills and other problems that make children more likely to commit antisocial behavior when they reach adolescence and beyond. These effects combine to lead poor people to be more likely than wealthier people to commit street crime, even if it is true that most poor people do not commit street crime at all.
Although the poor are more likely than the wealthy to commit street crime, it is also true that the wealthy are much more likely than the poor to commit white-collar crime, which, as argued earlier, can be much more harmful than street crime. If we consider both street crime and white-collar crime, then there does not appear to be a social class-crime relationship, since the poor have higher rates of the former and the wealthy have higher rates of the latter.
Urban versus Rural Residence
Where we live also makes a difference for our likelihood of committing crime. We saw earlier that big cities have a much higher homicide rate than small towns. This trend exists for violent crime and property crime more generally. Urban areas have high crime rates in part because they are poor, but poverty by itself does not completely explain the urban-rural difference in crime, since many rural areas are poor as well. A key factor that explains the higher crime rates of urban areas is their greater population density (Stark 1987). Stark, R. (1987). Deviant places: A theory of the ecology of crime. Criminology, 25, 893–911. When many people live close together, they come into contact with one another more often. This fact means that teenagers and young adults have more peers to influence them to commit crime, and it also means that potential criminals have more targets (people and homes) for their criminal activity. Urban areas also have many bars, convenience stores, and other businesses that can become targets for potential criminals, and bars, taverns, and other settings for drinking can obviously become settings where tempers flare and violence ensues.
Race and Ethnicity
In discussing who commits crime, any discussion of race and ethnicity is bound to arouse controversy because of the possibility of racial and ethnic stereotyping. But if we can say that men and younger people have relatively high crime rates without necessarily sounding biased against individuals who are male or younger, then it should be possible to acknowledge that certain racial and ethnic groups have higher crime rates without sounding biased against them.
Keeping this in mind, race and ethnicity do seem to be related to criminal offending. In particular, much research finds that African Americans and Latinos have higher rates of street crime than non-Latino whites. For example, although African Americans comprise about 13 percent of the US population, they account for about 39 percent of all arrests for violent crime (see Figure 8.4 "Race and Arrest for Violent Crime (Percentage of All Violent Crime Arrests)" ).
Figure 8.4 Race and Arrest for Violent Crime (Percentage of All Violent Crime Arrests)
Source: Data from Federal Bureau of Investigation. (2011). Crime in the United States, 2010. Washington, DC: Author.
Latinos also have higher crime rates than non-Latino whites, but lower rates than those for African Americans. Although racial and ethnic bias by the criminal justice system may account for some of these racial/ethnic differences in offending, most criminologists agree that such differences do in fact exist for serious street crimes (Walker, Spohn, & DeLone, 2012). Walker, S., Spohn, C., & DeLone, M. (2012). The color of justice: Race, ethnicity, and crime in America (5th ed.). Belmont, CA: Wadsworth.
Why do these differences exist? A racist explanation would attribute them to biological inferiority of the groups, African Americans and Latinos, with the relatively high rates of offending. Such explanations were popular several generations ago but fortunately lost favor as time passed and attitudes changed. Today, scholars attribute racial/ethnic differences in offending to several sociological factors (Unnever & Gabbidon, 2011). Unnever, J. D., & Gabbidon, S. L. (2011). A theory of African American offending: Race, racism, and crime. New York, NY: Routledge. First, African Americans and Latinos are much poorer than whites on the average, and poverty contributes to higher crime rates. Second, they are also more likely to live in urban areas, which, as we have seen, also contribute to higher crime rates. Third, the racial and ethnic discrimination they experience leads to anger and frustration that in turn can promote criminal behavior. Although there is less research on Native Americans’ criminality, they, too, appear to have higher crime rates than whites because of their much greater poverty and experience of racial discrimination (McCarthy & Hagan, 2003). McCarthy, B., & Hagan, J. (2003). Sanction effects, violence, and native North American street youth. In D. F. Hawkins (Ed.), Violent crime: Assessing race and ethnic differences (pp. 117–137). Cambridge: Cambridge University Press.
In appreciating racial/ethnic differences in street crime rates, it is important to keep in mind that whites commit most white-collar crime, and especially corporate crime, as it is white people who lead and manage our many corporations. Just as social class affects the type of crime that people do, so do race and ethnicity. Wealthy, white people commit much crime, but it is white-collar crime they tend to commit, not street crime.
Key Takeaways
Males commit more street crime than females, in part because of gender role socialization that helps make males more assertive and aggressive.
Young people commit a disproportionate amount of street crime, in part because of the influence of their peers and their lack of stakes in conformity.
The disproportionate involvement of African Americans and Latinos in street crime arises largely from their poverty and urban residence. | msmarco_doc_00_10035344 |
http://2012books.lardbucket.org/books/a-primer-on-social-problems/s13-02-sociological-perspectives-on-t.html | Sociological Perspectives on the Family | 10.2
Sociological Perspectives on the Family
10.2 Sociological Perspectives on the Family
Learning Objective
Social Functions of the Family
The Family and Conflict
Applying Social Research
Families and Social Interaction
Key Takeaways
| Sociological Perspectives on the Family
10.2 Sociological Perspectives on the Family
Learning Objective
Summarize understandings of the family as presented by functional, conflict, and social interactionist theories.
Sociological views on today’s families and their problems generally fall into the functional, conflict, and social interactionist approaches introduced in Chapter 1 "Understanding Social Problems". Let’s review these views, which are summarized in Table 10.1 "Theory Snapshot".
Table 10.1 Theory Snapshot
Theoretical perspective
Major assumptions
Functionalism
The family performs several essential functions for society. It socializes children, it provides emotional and practical support for its members, it helps regulate sexual activity and sexual reproduction, and it provides its members with a social identity. Family problems stem from sudden or far-reaching changes in the family’s structure or processes; these problems threaten the family’s stability and weaken society.
Conflict theory
The family contributes to social inequality by reinforcing economic inequality and by reinforcing patriarchy. Family problems stem from economic inequality and from patriarchal ideology. The family can also be a source of conflict, including physical violence and emotional cruelty, for its own members.
Symbolic interactionism
The interaction of family members and intimate couples involves shared understandings of their situations. Wives and husbands have different styles of communication, and social class affects the expectations that spouses have of their marriages and of each other. Family problems stem from different understandings and expectations that spouses have of their marriage.
Social Functions of the Family
Recall that the functional perspective emphasizes that social institutions perform several important functions to help preserve social stability and otherwise keep a society working. A functional understanding of the family thus stresses the ways in which the family as a social institution helps make society possible. As such, the family performs several important functions.
First, the family is the primary unit for socializing children. No society is possible without adequate socialization of its young. In most societies, the family is the major unit in which socialization happens. Parents, siblings, and, if the family is extended rather than nuclear, other relatives all help socialize children from the time they are born.
One of the most important functions of the family is the socialization of children. In most societies the family is the major unit through which socialization occurs.
© Thinkstock
Second, the family is ideally a major source of practical and emotional support for its members. It provides them food, clothing, shelter, and other essentials, and it also provides them love, comfort, and help in times of emotional distress, and other types of support.
Third, the family helps regulate sexual activity and sexual reproduction. All societies have norms governing with whom and how often a person should have sex. The family is the major unit for teaching these norms and the major unit through which sexual reproduction occurs. One reason for this is to ensure that infants have adequate emotional and practical care when they are born.
Fourth, the family provides its members with a social identity. Children are born into their parents’ social class, race and ethnicity, religion, and so forth. Some children have advantages throughout life because of the social identity they acquire from their parents, while others face many obstacles because the social class or race/ethnicity into which they are born is at the bottom of the social hierarchy.
Beyond discussing the family’s functions, the functional perspective on the family maintains that sudden or far-reaching changes in conventional family structure and processes threaten the family’s stability and thus that of society. For example, most sociology and marriage-and-family textbooks during the 1950s maintained that the male breadwinner–female homemaker nuclear family was the best arrangement for children, as it provided for a family’s economic and child-rearing needs. Any shift in this arrangement, they warned, would harm children and, by extension, the family as a social institution and even society itself. Textbooks no longer contain this warning, but many conservative observers continue to worry about the impact on children of working mothers and one-parent families. We return to their concerns shortly.
The Family and Conflict
Conflict theorists agree that the family serves the important functions just listed, but they also point to problems within the family that the functional perspective minimizes or overlooks altogether.
First, the family as a social institution contributes to social inequality. Because families pass along their wealth to their children, and because families differ greatly in the amount of wealth they have, the family helps reinforce existing inequality. As it developed through the centuries, and especially during industrialization, the family also became more and more of a patriarchal unit (since men made money working in factories while women stayed home), helping to reinforce men’s status at the top of the social hierarchy.
Second, the family can also be a source of conflict for its own members. Although the functional perspective assumes the family provides its members emotional comfort and support, many families do just the opposite and are far from the harmonious, happy groups depicted in the 1950s television shows. Instead, they argue, shout, and use emotional cruelty and physical violence. We return to family violence later in this chapter.
The conflict perspective emphasizes that many of the problems we see in today’s families stem from economic inequality and from patriarchy. The problems that many families experience reflect the fact that they live in poverty or near poverty. Money does not always bring happiness, but a dire lack of money produces stress and other difficulties that impair a family’s functioning and relationships. The Note 10.9 "Applying Social Research" box discusses other ways in which social class influences the family.
Conflict within a family also stems from patriarchy. Husbands usually earn more money than wives, and many men continue to feel that they are the head of their families. When women resist this old-fashioned notion, spousal conflict occurs.
Applying Social Research
Social Class and the Family
A growing amount of social science research documents social class differences in how well a family functions: the quality of its relationships and the cognitive, psychological, and social development of its children. This focus reflects the fact that what happens during the first months and years of life may have profound effects on how well a newborn prospers during childhood, adolescence, and beyond. To the extent this is true, the social class differences that have been found have troublesome implications.
According to sociologist Frank E. Furstenberg Jr., “steep differences exist across social classes” in mothers’ prenatal experiences, such as the quality of their diet and health care, as well as in the health care that their infants receive. As a result, he says, “children enter the world endowed unequally.” This inequality worsens after they are born for several reasons.
First, low-income families are much more likely to experience negative events, such as death, poor health, unemployment, divorce, and criminal victimization. When these negative events do occur, says Furstenberg, “social class affects a family’s ability to cushion their blow…Life is simply harder and more brutish at the bottom.” These negative events produce great amounts of stress; as Chapter 2 "Poverty" discussed, this stress in turn causes children to experience various developmental problems.
Second, low-income parents are much less likely to read and speak regularly to their infants and young children, who thus are slower to develop cognitive and reading skills; this problem in turn impairs their school performance when they enter elementary school.
Third, low-income parents are also less able to expose their children to cultural experiences (e.g., museum visits) outside the home, to develop their talents in the arts and other areas, and to otherwise be involved in the many nonschool activities that are important for a child’s development. In contrast, wealthier parents keep their children very busy in these activities in a pattern that sociologist Annette Lareau calls concerted cultivation. These children’s involvement in these activities provides them various life skills that help enhance their performance in school and later in the workplace.
Fourth, low-income children grow up in low-income neighborhoods, which often have inadequate schools and many other problems, including toxins such as lead paint, that impair a child’s development. In contrast, says Furstenberg, children from wealthier families “are very likely to attend better schools and live in better neighborhoods. It is as if the playing field for families is tilted in ways that are barely visible to the naked eye.”
Fifth, low-income families are less able to afford to send a child to college, and they are more likely to lack the social contacts that wealthier parents can use to help their child get a good job after college.
For all these reasons, social class profoundly shapes how children fare from conception through early adulthood and beyond. Because this body of research documents many negative consequences of living in a low-income family, it reinforces the need for wide-ranging efforts to help such families.
Sources: Bandy, Andrews, & Moore, 2012; Furstenberg, 2010; Lareau, 2010 Bandy, T., Andrews, K.M., & Moore, K.A. (2012). Disadvantaged families and child outcomes: The importance of emotional support for mothers. Washington, DC: Child Trends; Furstenberg, F. E., Jr. (2010). Diverging development: The not-so-invisible hand of social class in the United States. In B. J. Risman (Ed.), Families as they really are (pp. 276–294). New York, NY: W. W. Norton; Lareau, A. (2010). Unequal childhoods: Inequalities in the rhythms of daily life. In B. J. Risman (Ed.), Families as they really are (pp. 295–298). New York: W. W. Norton.
Families and Social Interaction
Social interactionist perspectives on the family examine how family members and intimate couples interact on a daily basis and arrive at shared understandings of their situations. Studies grounded in social interactionism give us a keen understanding of how and why families operate the way they do.
Some studies, for example, focus on how husbands and wives communicate and the degree to which they communicate successfully (Tannen, 2001). Tannen, D. (2001). You just don’t understand: Women and men in conversation. New York, NY: Quill. A classic study by Mirra Komarovsky (1964) Komarovsky, M. (1964). Blue-collar marriage. New York, NY: Random House. found that wives in blue-collar marriages liked to talk with their husbands about problems they were having, while husbands tended to be quiet when problems occurred. Such gender differences are less common in middle-class families, where men are better educated and more emotionally expressive than their working-class counterparts, but gender differences in communication still exist in these families. Another classic study by Lillian Rubin (1976) Rubin, L. B. (1976). Worlds of pain: Life in the working-class family. New York, NY: Basic Books. found that wives in middle-class families say that ideal husbands are ones who communicate well and share their feelings, while wives in working-class families are more apt to say that ideal husbands are ones who do not drink too much and who go to work every day.
According to the symbolic interactionist perspective, family problems often stem from the different understandings, perceptions, and expectations that spouses have of their marriage and of their family. When these differences become too extreme and the spouses cannot reconcile their disagreements, spousal conflict and possibly divorce may occur (Kaufman & Taniguchi, 2006). Kaufman, G., & Taniguchi, H. (2006). Gender and marital happiness in later life. Journal of Family Issues, 27(6), 735–757.
Key Takeaways
The family ideally serves several functions for society. It socializes children, provides practical and emotional support for its members, regulates sexual reproduction, and provides its members with a social identity.
Reflecting conflict theory’s emphases, the family may also produce several problems. In particular, it may contribute for several reasons to social inequality, and it may subject its members to violence, arguments, and other forms of conflict.
Social interactionist understandings of the family emphasize how family members interact on a daily basis. In this regard, several studies find that husbands and wives communicate differently in certain ways that sometimes impede effective communication. | msmarco_doc_00_10047483 |
http://2012books.lardbucket.org/books/accounting-for-managers/s08-03-determining-equivalent-units.html | Determining Equivalent Units | 4.3
Determining Equivalent Units
4.3 Determining Equivalent Units
Learning Objective
Business in Action 4.3
Key Takeaways
| Determining Equivalent Units
4.3 Determining Equivalent Units
Learning Objective
Understand the concept of an equivalent unit.
Question: The beginning of this chapter describes process costing and the flow of costs through accounts used in a process costing system. The challenge is determining the unit cost of products being transferred out of each departmental work-in-process inventory account. We start the process of determining unit cost information with an important concept, the concept of equivalent units. What are equivalent units, and how are equivalent units calculated?
Answer: Units of product in work-in-process inventory are assumed to be partially completed; otherwise, the units would not be in work-in-process inventory. Process costing requires partially completed units in ending work-in-process inventory to be converted to the equivalent completed units (called equivalent units ). Equivalent units
Partially completed units converted to the equivalent completed units; calculated by multiplying the number of physical units on hand by the percentage of completion of the physical units.
are calculated by multiplying the number of physical (or actual) units on hand by the percentage of completion of the units. If the physical units are 100 percent complete, equivalent units will be the same as the physical units. However, if the physical units are not 100 percent complete, the equivalent units will be less than the physical units.
For example, if four physical units of product are 50 percent complete at the end of the period, an equivalent of two units has been completed (2 equivalent units = 4 physical units × 50 percent). The formula used to calculate equivalent units is as follows:
Equivalent units = Number of physical units × Percentage of completion
Figure 4.3 "Concept of Equivalent Units" provides an example of the equivalent unit concept in which four desks, 50 percent complete, are the equivalent of two completed desks.
Figure 4.3 Concept of Equivalent Units
© Thinkstock
Question: With the concept of equivalent units now in hand, we can calculate equivalent units for the three product costs—direct materials, direct labor, and manufacturing overhead. Why do we calculate equivalent units separately for direct materials, direct labor, and manufacturing overhead?
Answer: Equivalent units in work in process are often different for direct materials, direct labor, and manufacturing overhead because these three components of production may enter the process at varying stages. For example, in the Assembly department at Desk Products, Inc., direct materials enter production early in the process while direct labor and overhead are used throughout the process. (Imagine asking workers to assemble desks without materials!) Thus equivalent units must be calculated for each of the three production costs. (Note that direct labor and manufacturing overhead are sometimes combined in a category called conversion costs, which assumes both are added to the process at the same time. In this text, we keep direct labor and manufacturing overhead separate.) The next section presents how we use the equivalent unit concept for product costing purposes. Be sure you understand the concept of equivalent units before moving on.
Business in Action 4.3
© Thinkstock
Calculating Full-Time Equivalent Students
The concept of an equivalent unit can be applied to determine the number of full-time equivalent students (FTES) at a school. Colleges use FTES data to plan and make decisions about course offerings, staffing, and facility needs. Although having information about the number of students enrolled (the headcount) is helpful, headcount data do not provide an indication of whether the students are full time or part time. Clearly, full-time students take more classes each term and generally use more resources than part-time students. Thus administrators often prefer to convert enrollment data to FTES.
Using a simple example to explain this concept, assume 30 students attend school and each takes half a full load of classes. The headcount is 30. However, this is the equivalent of 15 full-time students, or 15 FTES.
To apply this to the real world, let’s look at the enrollment data for Sierra College, a community college located near Sacramento, California. During a recent semester, the student headcount in a specific department at Sierra College was 8,190. Because a large number of students in the department were part time, the full-time equivalent number of students totaled 3,240.
Source: Based on enrollment data from Sierra College.
Key Takeaways
When units of work-in-process (WIP) inventory exist at the end of the reporting period, process costing requires that these partially completed units be converted to the equivalent completed units (called equivalent units). The equation used to calculate equivalent completed units is as follows:
Equivalent units = Number of physical units × Percentage of completion
Because direct materials, direct labor, and manufacturing overhead typically enter the production process at different stages, equivalent units must be calculated separately for each of these production costs.
| msmarco_doc_00_10061301 |
http://2012books.lardbucket.org/books/accounting-for-managers/s08-how-is-process-costing-used-to.html | How Is Process Costing Used to Track Production Costs? | Chapter 4
How Is Process Costing Used to Track Production Costs?
Chapter 4 How Is Process Costing Used to Track Production Costs?
4.1 Comparison of Job Costing with Process Costing
Business in Action 4.1
Key Takeaway
4.2 Product Cost Flows in a Process Costing System
Direct Materials
Direct Labor
Manufacturing Overhead
Transferred-In Costs
Finished Goods
Cost of Goods Sold
Business in Action 4.2
Key Takeaway
4.3 Determining Equivalent Units
Business in Action 4.3
Key Takeaways
4.4 The Weighted Average Method
Step 2. Summarize the costs to be accounted for (separated into direct materials, direct labor, and overhead).
Step 3. Calculate the cost per equivalent unit.
The Four Key Steps of Assigning Costs
Step 2. Summarize the costs to be accounted for (separated into direct materials, direct labor, and overhead).
Step 3. Calculate the cost per equivalent unit.
Key Equation
Journalizing Costs Assigned to Units Completed and Transferred
Business in Action 4.4
Key Takeaways
4.5 Preparing a Production Cost Report
How Do Managers Use Production Cost Report Information?
Beware of Fixed Costs
Key Takeaway
Computer Application
End-of-Chapter Exercises
| How Is Process Costing Used to Track Production Costs?
Chapter 4 How Is Process Costing Used to Track Production Costs?
© Thinkstock
Ann Watkins owns and operates a company that mass produces wood desks used in classrooms throughout the world. Ann’s company, Desk Products, Inc., maintains an advantage over its competitors by producing one desk in large quantities—4,000 to 8,000 desks per month—using a universally accepted design. This enables the company to buy materials in bulk, often leading to volume price discounts from suppliers. Because the exact same desk is produced for all customers, Desk Products purchases precut wood materials from suppliers. As a result, Desk Products can limit the production process to two processing departments—Assembly and Finishing. The Assembly department requisitions precut materials and hardware from the raw materials storeroom, assembles each desk, and moves the assembled desks to the Finishing department. The Finishing department sands and paints each desk and moves completed desks to the finished goods warehouse.
A new competitor recently began producing a similar desk, and Ann is concerned about whether Desk Products’ production costs are reasonable. In particular, Ann is concerned about the costs in the Assembly department since this department is responsible for the majority of the company’s production costs. Ann talks with the accountant at Desk Products, John Fuller, to investigate.
Ann:
John, as you know, we have a new competitor that is aggressively going after our customers. It looks as if we will have to focus on keeping costs low to compete. The Assembly department is my biggest concern, and it would help if I knew the cost of each desk that goes through this department.
John:
Although we don’t track production costs for each desk individually, we do use a process costing system that assigns costs to each batch of desks produced. This system enables us to calculate a cost per unit as the products move through the Assembly department.
Ann:
Excellent! Can you get me the cost information for the Assembly department for last month?
John:
Sure, I’ll put together a production cost report for you by the end of the week.
We return to Desk Products, Inc., throughout the chapter to explain how process costing systems work.
4.1 Comparison of Job Costing with Process Costing
Learning Objective
Compare and contrast job costing and process costing.
Question: A process costing system
A system of assigning costs used by companies that produce similar or identical units of product in batches employing a consistent process.
is used by companies that produce similar or identical units of product in batches employing a consistent process. Examples of companies that use process costing include Chevron Corporation (petroleum products), the Wrigley Company (chewing gum), and Pittsburgh Paints (paint). A job costing system
A system of assigning costs used by companies that produce unique products or jobs.
is used by companies that produce unique products or jobs. Examples of companies that use job costing systems include Boeing (airplanes), Lockheed Martin (advanced technology systems), and Deloitte & Touche (accounting). What are the similarities and differences between job costing and process costing systems?
Answer: Although these systems have marked differences, they are also similar in many ways. (As you read through this section, refer to Chapter 1 "What Is Managerial Accounting?" for a review of important terms if necessary.) Recall the three inventory accounts that accountants use to track product cost information—raw materials inventory, work-in-process inventory, and finished goods inventory. These three inventory accounts are used to record product cost information for both process costing and job costing systems. However, several work-in-process inventory accounts are typically used in a process costing system to track the flow of product costs through each production department. Thus each department has its own work-in-process inventory account. (For the purposes of this chapter, assume each department represents a production process. This explains the term process costing because we are tracking costs by process.) The sum of all work-in-process inventory accounts represents total work in process for the company.
Recall the three components of product costs—direct materials, direct labor, and manufacturing overhead. Assigning these product costs to individual products remains an important goal for process costing, just as with job costing. However, instead of assigning product costs to individual jobs (shown on a job cost sheet), process costing assigns these costs to departments (shown on a departmental production cost report).
Figure 4.1 "A Comparison of Cost Flows for Job Costing and Process Costing" shows how product costs flow through accounts for job costing and process costing systems. Table 4.1 "A Comparison of Process Costing and Job Costing" outlines the similarities and differences between these two costing systems. Review these illustrations carefully before moving on to the next section.
Figure 4.1 A Comparison of Cost Flows for Job Costing and Process Costing
Table 4.1 A Comparison of Process Costing and Job Costing
Product Costs
Similarities
Product costs consist of direct materials, direct labor, and manufacturing overhead.
Differences
Process Costing
Job Costing
Product costs are assigned to departments (or processes).
Product costs are assigned to jobs.
Unit Cost Information
Similarities
Unit cost information is needed by management for decision-making purposes.
Differences
Process Costing
Job Costing
Unit cost information comes from the departmental production cost report.
Unit cost information comes from the job cost sheet.
Inventory Accounts
Similarities
Inventory accounts include raw materials inventory, work-in-process inventory, and finished goods inventory.
Differences
Process Costing
Job Costing
Several different work-in-process inventory accounts are used—one for each department (or process).
One work-in-process inventory account is used—job cost sheets track costs assigned to each job.
Business in Action 4.1
Source: Photo courtesy of Simon Berry, http://www.flickr.com/photos/bezznet/3105213435/.
The Production Process at Coca-Cola
The Coca-Cola Company is one of the world’s largest producers of nonalcoholic beverages. According to the company, more than 11,000 of its soft drinks are consumed every second of every day.
In the first stage of production, Coca-Cola mixes direct materials—water, refined sugar, and secret ingredients—to make the liquid for its beverages. The second stage includes filling cleaned and sanitized bottles before placing a cap on each bottle. In the third stage, filled bottles are inspected, labeled, and packaged.
Work in process begins with the first stage of production (mixing and blending), continues with the second stage (bottling), and ends with the third stage (inspecting, labeling, and packaging). When products have gone through all three stages of production, they are shipped to a warehouse, and the costs are entered into finished goods inventory. Once products are delivered to retail stores, product costs are transferred from finished goods inventory to cost of goods sold.
Source: Coca-Cola Company, “Home Page,” http://www2.coca-cola.com/ourcompany/bottlingtoday.
Key Takeaway
A process costing system is used by companies that produce similar or identical units of product in batches employing a consistent process. A job costing system is used by companies that produce unique products or jobs. Process costing systems track costs by processing department, whereas job costing systems track costs by job.
4.2 Product Cost Flows in a Process Costing System
Learning Objective
Identify how product costs flow through accounts using process costing.
As products physically move through the production process, the product costs associated with these products move through several important accounts as shown back in Figure 4.1 "A Comparison of Cost Flows for Job Costing and Process Costing". In this section, we present a detailed look at how product costs flow through accounts using a process costing system. Later in the chapter, we explain how dollar amounts are established for product costs that flow through the accounts. As you review each of the following cost flows for a process costing system, remember that product costs are now tracked by department rather than by job.
Direct Materials
Question: In a process costing setting, direct materials are often used by several production departments. How do we record direct materials costs for each production department?
Answer: When direct materials are requisitioned from the raw materials storeroom, a journal entry is made to reduce the raw materials inventory account and increase the appropriate work-in-process inventory account. For example, assume the Assembly department of Desk Products, Inc., requisitions direct materials to be used in production. The journal entry to reflect this is as follows:
The use of direct materials is not limited to one production department. Suppose the Finishing department requisitions direct materials for production. The journal entry to reflect this is as follows:
Notice that two different work-in-process inventory accounts are used to track production costs—one for each department.
Direct Labor
Question: Each production department typically has a direct labor work force. How do we record direct labor costs for each production department?
Answer: Direct labor costs are recorded directly in the production department’s work-in-process inventory account. Assume direct labor costs are incurred by the Assembly department. The journal entry to reflect this is as follows:
As with direct materials, the use of direct labor is not limited to one production department. Suppose direct labor costs are incurred by the Finishing department. The journal entry to reflect this is as follows:
Manufacturing Overhead
Question: Manufacturing overhead costs are typically assigned to products using a predetermined overhead rate using a normal costing system as discussed in Chapter 2 "How Is Job Costing Used to Track Production Costs?" (job costing) and Chapter 3 "How Does an Organization Use Activity-Based Costing to Allocate Overhead Costs?" (activity-based costing). How do we record manufacturing overhead costs for each department?
Answer: Assume manufacturing overhead costs (often simply called overhead costs) are being applied to products going through the Assembly department. The journal entry to reflect this is as follows:
The journal entry to reflect manufacturing overhead costs being applied to products going through the Finishing department is as follows:
Transferred-In Costs
Question: At this point, we have discussed how to record product costs (direct materials, direct labor, and manufacturing overhead) related to each production department. As you review Figure 4.1 "A Comparison of Cost Flows for Job Costing and Process Costing", notice that products often flow from one production department to the next. Transferred-in costs
Costs associated with products moving from one department to another.
are the costs associated with products moving from one department to another. How do we record transferred-in costs for each department?
Answer: Assume the Assembly department at Desk Products, Inc., completes a batch of desks and moves the desks to the Finishing department. The costs associated with these desks must be transferred from the work-in-process inventory account for the Assembly department to the work-in-process inventory account for the Finishing department. Thus these costs are being transferred in to the Finishing department. The journal entry to reflect this is as follows:
Finished Goods
Question: Goods are completed and ready to sell once they have gone through the final production department. The final production department at Desk Products, Inc., is the Finishing department. How do we record production costs for products moved from the final production department to the finished goods warehouse?
Answer: When goods go through the final production department and are completed, the related costs are moved to the finished goods inventory account. The journal entry to reflect this is as follows:
Cost of Goods Sold
Question: How do we record production costs for goods that have been sold?
Answer: Once the completed goods are sold, the related costs are moved out of the finished goods inventory account and into the cost of goods sold account. The journal entry to reflect this is as follows:
Figure 4.2 "Flow of Product Costs in a Process Costing System" summarizes the flow of product costs through T-accounts for each of the journal entries presented in this section. Note that when goods are sold and production costs are moved from finished goods inventory to cost of goods sold, an additional entry is made to record the revenue associated with this transaction. We do not show this entry because the focus of this section is on the flow of production costs rather than revenues.
Figure 4.2 Flow of Product Costs in a Process Costing System
Business in Action 4.2
Source: Photo courtesy of Mykl Roventine, http://www.flickr.com/photos/myklroventine/3471836813/.
The Production Process for Wrigley’s Gum
The Wrigley Company has 14 factories located in various parts of the world, including North America, Europe, Africa, India, and the Asia/Pacific region. The gum produced by these factories is sold in 150 countries. According to Wrigley Company, 50 percent of Americans chew gum, and on average, each person consumes 190 sticks per year. The number drops to 130 sticks per person in the United Kingdom and to 100 sticks per person in Taiwan.
The production process at Wrigley involves six sequential stages:
Melting. The gum base, which comes in small round balls, is melted and purified.
Mixing. The melted base is poured into a mixer, to which sweeteners and flavors are added.
Rolling. A large “loaf” of gum is sent through a series of rollers, thereby reducing thickness to the desired size.
Scoring. The gum is cut into the shape of sticks or pellets.
Conditioning. The gum is cooled and “conditioned” to ensure the right consistency before being packaged.
Packaging. The gum is packaged and made ready for shipping.
Because Wrigley produces identical units of product in batches employing a consistent process, it likely uses a process costing system. With such a system, Wrigley would need a separate work-in-process inventory account to track costs for each stage of the production process.
Source: Wrigley’s, “Home Page,” http://www.wrigley.com.
Key Takeaway
The cost flows in a process costing system are similar to the cost flows in a job costing system. The primary difference between the two costing methods is that a process costing system assigns product costs—direct materials, direct labor, and manufacturing overhead—to each production department (or process) rather than to each job. Each production department has its own work-in-process inventory account when using process costing.
4.3 Determining Equivalent Units
Learning Objective
Understand the concept of an equivalent unit.
Question: The beginning of this chapter describes process costing and the flow of costs through accounts used in a process costing system. The challenge is determining the unit cost of products being transferred out of each departmental work-in-process inventory account. We start the process of determining unit cost information with an important concept, the concept of equivalent units. What are equivalent units, and how are equivalent units calculated?
Answer: Units of product in work-in-process inventory are assumed to be partially completed; otherwise, the units would not be in work-in-process inventory. Process costing requires partially completed units in ending work-in-process inventory to be converted to the equivalent completed units (called equivalent units ). Equivalent units
Partially completed units converted to the equivalent completed units; calculated by multiplying the number of physical units on hand by the percentage of completion of the physical units.
are calculated by multiplying the number of physical (or actual) units on hand by the percentage of completion of the units. If the physical units are 100 percent complete, equivalent units will be the same as the physical units. However, if the physical units are not 100 percent complete, the equivalent units will be less than the physical units.
For example, if four physical units of product are 50 percent complete at the end of the period, an equivalent of two units has been completed (2 equivalent units = 4 physical units × 50 percent). The formula used to calculate equivalent units is as follows:
Equivalent units = Number of physical units × Percentage of completion
Figure 4.3 "Concept of Equivalent Units" provides an example of the equivalent unit concept in which four desks, 50 percent complete, are the equivalent of two completed desks.
Figure 4.3 Concept of Equivalent Units
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Question: With the concept of equivalent units now in hand, we can calculate equivalent units for the three product costs—direct materials, direct labor, and manufacturing overhead. Why do we calculate equivalent units separately for direct materials, direct labor, and manufacturing overhead?
Answer: Equivalent units in work in process are often different for direct materials, direct labor, and manufacturing overhead because these three components of production may enter the process at varying stages. For example, in the Assembly department at Desk Products, Inc., direct materials enter production early in the process while direct labor and overhead are used throughout the process. (Imagine asking workers to assemble desks without materials!) Thus equivalent units must be calculated for each of the three production costs. (Note that direct labor and manufacturing overhead are sometimes combined in a category called conversion costs, which assumes both are added to the process at the same time. In this text, we keep direct labor and manufacturing overhead separate.) The next section presents how we use the equivalent unit concept for product costing purposes. Be sure you understand the concept of equivalent units before moving on.
Business in Action 4.3
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Calculating Full-Time Equivalent Students
The concept of an equivalent unit can be applied to determine the number of full-time equivalent students (FTES) at a school. Colleges use FTES data to plan and make decisions about course offerings, staffing, and facility needs. Although having information about the number of students enrolled (the headcount) is helpful, headcount data do not provide an indication of whether the students are full time or part time. Clearly, full-time students take more classes each term and generally use more resources than part-time students. Thus administrators often prefer to convert enrollment data to FTES.
Using a simple example to explain this concept, assume 30 students attend school and each takes half a full load of classes. The headcount is 30. However, this is the equivalent of 15 full-time students, or 15 FTES.
To apply this to the real world, let’s look at the enrollment data for Sierra College, a community college located near Sacramento, California. During a recent semester, the student headcount in a specific department at Sierra College was 8,190. Because a large number of students in the department were part time, the full-time equivalent number of students totaled 3,240.
Source: Based on enrollment data from Sierra College.
Key Takeaways
When units of work-in-process (WIP) inventory exist at the end of the reporting period, process costing requires that these partially completed units be converted to the equivalent completed units (called equivalent units). The equation used to calculate equivalent completed units is as follows:
Equivalent units = Number of physical units × Percentage of completion
Because direct materials, direct labor, and manufacturing overhead typically enter the production process at different stages, equivalent units must be calculated separately for each of these production costs.
4.4 The Weighted Average Method
Learning Objective
Use four steps to assign costs to products using the weighted average method.
Most companies use either the weighted average or first-in-first-out (FIFO) method to assign costs to inventory in a process costing environment. The weighted average method
A method of process costing that includes costs in beginning inventory and current period costs to establish an average cost per unit.
includes costs in beginning inventory and current period costs to establish an average cost per unit. The first-in-first-out (FIFO)
A method of accounting for product costs that assumes that the first units completed within a processing department are the first units transferred out; beginning inventory costs are maintained separately from current period costs.
method keeps beginning inventory costs separate from current period costs and assumes that beginning inventory units are completed and transferred out before the units started during the current period are completed and transferred out. We focus on the weighted average approach here and leave the discussion of the FIFO method to more advanced cost accounting textbooks.
Question: The primary goal stated in Chapter 2 "How Is Job Costing Used to Track Production Costs?" and Chapter 3 "How Does an Organization Use Activity-Based Costing to Allocate Overhead Costs?", and continued in this chapter, is to assign product costs to products. In a process costing system, cost per equivalent unit
The average unit cost for each product.
is the term used to describe the average unit cost for each product. How is the concept of cost per equivalent unit used to assign costs to (1) completed units transferred out and (2) units still in work-in-process (WIP) inventory at the end of the period?
Answer: Costs are assigned to completed units transferred out and units in ending WIP inventory using a four-step process. We list the four steps in the following and then explain them in detail. Review these steps carefully.
Step 1. Summarize the physical flow of units and compute the equivalent units for direct materials, direct labor, and overhead.
Step 2. Summarize the costs to be accounted for (separated into direct materials, direct labor, and overhead).
Step 3. Calculate the cost per equivalent unit.
Step 4. Use the cost per equivalent unit to assign costs to (1) completed units transferred out and (2) units in ending WIP inventory.
The Four Key Steps of Assigning Costs
Recall that Desk Products, Inc., has two departments—Assembly and Finishing. Although this chapter focuses on the Assembly department, the Finishing department would also use the four steps to determine product costs for completed units transferred out and ending WIP inventory. Table 4.2 "Production Information for Desk Products’ Assembly Department" presents information for the Assembly department at Desk Products for the month of May. Review this information carefully as it will be used to illustrate the four key steps.
Table 4.2 Production Information for Desk Products’ Assembly Department
Assembly Department—Month of May
The company had 3,000 units in beginning WIP inventory; all were completed and transferred out during May.
During May, 6,000 units were started. Of the 6,000 units started:
1,000 units were completed and transferred out to the Finishing department (100 percent complete with respect to direct materials, direct labor, and overhead); thus 1,000 units were started and completed during May.
5,000 units were partially completed and remained in ending WIP inventory on May 31 (60 percent complete for direct materials, 30 percent complete for direct labor, and 30 percent complete for overhead, which is applied based on direct labor hours).
Costs in beginning WIP inventory totaled $161,000 (= $95,000 in direct materials + $40,000 in direct labor + $26,000 in overhead).
Costs incurred during May totaled $225,000 (= $115,000 in direct materials + $70,000 in direct labor + $40,000 in overhead).
Question: Costs for the Assembly department totaled $386,000 for the month of May ($386,000 = $161,000 in beginning WIP inventory + $225,000 incurred during May). How much of the $386,000 should be assigned to (1) completed units transferred out to the Finishing department and (2) units remaining in the Assembly department ending WIP inventory?
Answer: Let’s use the four key steps as follows to answer this question.
Step 1. Summarize the physical flow of units and compute the equivalent units for direct materials, direct labor, and overhead.
This step uses the basic cost flow equation presented in Chapter 2 "How Is Job Costing Used to Track Production Costs?" to identify the physical flow of units (the basic cost flow equation applies to costs and to units ):
Beginning balance + Transfers in = Transfers out + Ending balance ( B B) + ( T I) U n i t s t o b e a c c o u n t e d f o r = ( T O) + ( E B) U n i t s a c c o u n t e d f o r
Question: What are the two categories used to summarize the physical flow of units?
Answer: The first category, units to be accounted for, includes the beginning balance (BB) and transfers in (TI). The second category, units accounted for, includes the ending balance (EB) and transfers out (TO). As you can see from the previous equation, units to be accounted for must equal units accounted for. Here is how it looks for the Assembly department for the month of May:
*This information is used in the physical units column of Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department".
This step shows that 3,000 units were in WIP inventory on May 1 and 6,000 units were started during May. Thus 9,000 units must be accounted for. These 9,000 units will end up in one of two places, either completed and transferred out (to the Finishing department) or not completed and therefore in ending WIP inventory. The previous schedule shows that 4,000 units were completed and transferred out (3,000 from beginning WIP inventory and 1,000 from the units started and completed during the month), and 5,000 units remain in ending WIP inventory.
Question: Based on the previous information for Desk Products, Inc., we now know that 4,000 units were completed and transferred out, and 5,000 units were in ending WIP inventory at the end of May. How do we convert this information into equivalent units?
Answer: The units accounted for (4,000 transferred out and 5,000 in ending WIP inventory) must be converted into equivalent units for direct materials, direct labor, and overhead, as shown in Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department". The 4,000 units transferred out are 100 percent complete for direct materials, direct labor, and overhead (otherwise, they would not be transferred out), which results in equivalent units matching the physical units. However, the 5,000 units in ending WIP inventory are at varying levels of completion for direct materials, direct labor, and overhead, and must be converted into equivalent units using the following formula (as described earlier in the chapter):
Equivalent units = Number of physical units × Percentage of completion
Later in step 3, we will use equivalent unit information for the Assembly department to calculate the cost per equivalent unit.
Figure 4.4 Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department
a This column represents actual physical units accounted for before converting to equivalent units.
b Equivalent units = Number of physical units × Percentage of completion. Units completed and transferred out are 100 percent complete. Thus equivalent units are the same as the physical units. (Information is from Table 4.2 "Production Information for Desk Products’ Assembly Department" .)
c Equivalent units = Number of physical units × Percentage of completion. For direct materials, 3,000 equivalent units = 5,000 physical units × 60 percent complete; for direct labor and overhead, 1,500 equivalent units = 5,000 physical units × 30 percent complete. (Information is from Table 4.2 "Production Information for Desk Products’ Assembly Department" .)
Step 2. Summarize the costs to be accounted for (separated into direct materials, direct labor, and overhead).
Question: How do we summarize the costs that are used to calculate the cost per equivalent unit?
Answer: The total costs to be accounted for include the costs in beginning WIP inventory and the costs incurred during the period. Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department" shows these costs for the Assembly department. Notice that the costs are separated into direct materials, direct labor, and overhead.
Figure 4.5 Summary of Costs to Be Accounted for in Desk Products’ Assembly Department
a Information is from Table 4.2 "Production Information for Desk Products’ Assembly Department".
Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department" shows that costs totaling $386,000 must be assigned to (1) completed units transferred out and (2) units in ending WIP inventory.
Step 3. Calculate the cost per equivalent unit.
Question: We now have the costs ( Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department") and equivalent units ( Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department") needed to determine the cost per equivalent unit for direct materials, direct labor, and overhead. How do we use this information to calculate the cost per equivalent unit?
Answer: The formula to calculate the cost per equivalent unit using the weighted average method is as follows:
Key Equation
Cost per equivalent unit = Costs in beginning WIP + Current period costs Equivalent units completed and transferred out + Equivalent units in ending WIP
In summary, the same formula is as follows:
Cost per equivalent unit = Total costs to be accounted for* Total equivalent units accounted for**
*From the bottom of Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department".
**From the bottom of Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department".
Figure 4.6 "Calculation of the Cost per Equivalent Unit for Desk Products’ Assembly Department" presents the cost per equivalent unit calculation for Desk Products’ Assembly department.
Figure 4.6 Calculation of the Cost per Equivalent Unit for Desk Products’ Assembly Department
a Information is from Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department".
b Information is from Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department".
The cost per equivalent unit is calculated for direct materials, direct labor, and overhead. Simply divide total costs to be accounted for by total equivalent units accounted for. It is important to note that the information shown in Figure 4.6 "Calculation of the Cost per Equivalent Unit for Desk Products’ Assembly Department" allows managers to carefully assess the unit cost information in the Assembly department for direct materials, direct labor, and overhead. We discuss this further later in the chapter.
Step 4. Use the cost per equivalent unit to assign costs to (1) completed units transferred out and (2) units in ending WIP inventory.
Question: Recall our primary goal of assigning costs to completed units transferred out and to units in ending WIP inventory. How do we accomplish this goal?
Answer: Costs are assigned by multiplying the cost per equivalent unit (shown in Figure 4.6 "Calculation of the Cost per Equivalent Unit for Desk Products’ Assembly Department") by the number of equivalent units (shown in Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department") for direct materials, direct labor, and overhead. Figure 4.7 "Assigning Costs to Products in Desk Products’ Assembly Department" shows how this is done.
Figure 4.7 Assigning Costs to Products in Desk Products’ Assembly Department
a The total cost assigned to units transferred out equals the cost per equivalent unit times the number of equivalent units. For example, the cost assigned to direct materials of $120,000 = 4,000 equivalents units ( Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department") × $30 per equivalent unit ( Figure 4.6 "Calculation of the Cost per Equivalent Unit for Desk Products’ Assembly Department" ).
b The total cost assigned to units in ending inventory equals the cost per equivalent unit times the number of equivalent units. For example, the cost assigned to direct materials of $90,000 = 3,000 equivalent units ( Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department") × $30 per equivalent unit ( Figure 4.6 "Calculation of the Cost per Equivalent Unit for Desk Products’ Assembly Department" ).
c This must match total costs to be accounted for shown in Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department". Although not an issue in this example, rounding the cost per equivalent unit may cause minor differences between the two amounts.
Figure 4.7 "Assigning Costs to Products in Desk Products’ Assembly Department" shows that total costs of $248,000 are assigned to units completed and transferred out and that $138,000 in costs are assigned to ending WIP inventory.
On completion of step 4, it is important to reconcile the total costs to be accounted for shown at the bottom of Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department" with the total costs accounted for shown at the bottom of Figure 4.7 "Assigning Costs to Products in Desk Products’ Assembly Department". The two balances must match (note that small discrepancies may exist due to rounding the cost per equivalent unit). This reconciliation relates back to the basic cost flow equation as follows:
Beginning balance + Transfers in = Transfers out + Ending balance ( B B) + ( T I) C o s t s t o b e a c c o u n t e d f o r ( $386,000*) = ( T O) + ( E B) C o s t s a c c o u n t e d f o r ( $386,000**)
**From Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department".
***From Figure 4.7 "Assigning Costs to Products in Desk Products’ Assembly Department".
Although the examples in this chapter have been created in a way that minimizes rounding errors, always round the cost per equivalent unit calculations in step 3 to the nearest thousandth (e.g., if the cost per equivalent unit is $2.3739, round this to $2.374 rather than to $2). Although rounding differences still may occur, this will minimize the size of rounding errors when attempting to reconcile costs to be accounted for (step 2) with costs accounted for (step 4).
Journalizing Costs Assigned to Units Completed and Transferred
Question: Once the four-step process is complete, a journal entry must be made to record the transfer of costs out of the Assembly department and into the Finishing department. How do we record the costs associated with units completed and transferred out?
Answer: At Desk Products, Inc., 4,000 units were transferred from the Assembly department to the Finishing department. Costs totaling $248,000 were assigned to these units as shown in Figure 4.7 "Assigning Costs to Products in Desk Products’ Assembly Department". The journal entry to record this at the end of May is as follows:
(Note that this was journal entry number four, presented without dollar amounts earlier in the chapter.)
Figure 4.8 "Flow of Costs through the Work-in-Process Inventory T-Account of Desk Products’ Assembly Department" shows the flow of costs through the work-in-process inventory T-account for the Assembly department. Note that four key steps were performed for the Assembly department to determine the costs assigned to (1) completed units transferred out to the Finishing department ($248,000) and (2) units in Assembly’s WIP inventory ($138,000). Both amounts are highlighted.
Figure 4.8 Flow of Costs through the Work-in-Process Inventory T-Account of Desk Products’ Assembly Department
Business in Action 4.4
© Thinkstock
The Production Process for Hershey’s Chocolate
Hershey Foods Corp. is best known for its chocolate products, including brands like Almond Joy, Hershey’s Kisses, and Reese’s. Hershey’s products are sold in more than 90 countries worldwide. According to Hershey, more than 80 million Kiss-shaped products are made every day!
Several sequential stages of production are required to produce chocolate at Hershey:
Fermentation. Cocoa beans are placed in large heaps for one week to allow the cocoa flavor to develop.
Roasting. The cocoa beans are roasted at very high temperatures.
Hulling. A hulling machine separates the shell from the inside of the bean (called the nib ).
Milling. The nibs are ground into chocolate liquor (a liquid with a pure chocolate flavor that contains no alcohol).
Mixing. The chocolate liquor is mixed with cocoa butter, sugar, and milk. This mixture is dried into a brown powder, called chocolate crumb, and processed into chocolate paste.
Molding. Machines are used to fill more than 1,000 molds per minute with chocolate. The chocolate is then chilled to form solid candy.
Packaging. The candy is wrapped, packaged, and ready to be shipped.
Hershey likely uses a process costing system since it produces identical units of product in batches employing a consistent process. Process costing systems require the use of work-in-process inventory accounts for each process. Thus Hershey would track production costs using separate work-in-process inventory accounts for each stage of production.
Source: Hershey’s, “Home Page,” http://www.hersheys.com.
Key Takeaways
Four steps are used to assign product costs to (1) completed units transferred out and (2) units in work-in-process inventory at the end of the period.
The four-step process must be performed for each processing department and results in a journal entry to record the costs assigned to units transferred out.
4.5 Preparing a Production Cost Report
Learning Objective
Prepare a production cost report for a processing department.
Question: The results of the four key steps are typically presented in a production cost report. The production cost report
A report that summarizes the production and cost activity within a department for a reporting period.
summarizes the production and cost activity within a department for a reporting period. It is simply a formal summary of the four steps performed to assign costs to units transferred out and units in ending work-in-process (WIP) inventory. What does the production cost report look like for the Assembly department at Desk Products, Inc.?
Answer: The production cost report for the month of May for the Assembly department appears in Figure 4.9 "Production Cost Report for Desk Products’ Assembly Department". Notice that each section of this report corresponds with one of the four steps described earlier. We provide references to the following illustrations so you can review the detail supporting calculations.
Figure 4.9 Production Cost Report for Desk Products’ Assembly Department
a Total costs to be accounted for (step 2) must equal total costs accounted for (step 4).
b Data are given.
c This section comes from Figure 4.4 "Flow of Units and Equivalent Unit Calculations for Desk Products’ Assembly Department".
d This section comes from Figure 4.5 "Summary of Costs to Be Accounted for in Desk Products’ Assembly Department".
e This section comes from Figure 4.6 "Calculation of the Cost per Equivalent Unit for Desk Products’ Assembly Department".
f This section comes from Figure 4.7 "Assigning Costs to Products in Desk Products’ Assembly Department".
How Do Managers Use Production Cost Report Information?
Question: Although the production cost report provides information needed to transfer costs from one account to another, managers also use this report for decision-making purposes. What important questions can be answered using the production cost report?
Answer: A production cost report helps managers answer several important questions:
How much does it cost to produce each unit of product for each department?
Which production cost is the highest—direct materials, direct labor, or overhead?
Where are we having difficulties in the production process? In any particular departments?
Are we seeing any significant changes in unit costs for direct materials, direct labor, or overhead? If so, why?
How many units flow through each processing department each month?
Are improvements in the production process being reflected in the cost per unit from one month to the next?
Beware of Fixed Costs
Question: Why might the per unit cost data provided in the production cost report be misleading?
Answer: When using information from the production cost report, managers must be careful not to assume that all production costs are variable costs. The CEO of Desk Products, Inc., Ann Watkins, was told that the Assembly department cost for each desk totaled $62 for the month of May (from Figure 4.9 "Production Cost Report for Desk Products’ Assembly Department", step 3). However, if the company produces more or fewer units than were produced in May, the unit cost will change. This is because the $62 unit cost includes both variable and fixed costs (see Chapter 5 "How Do Organizations Identify Cost Behavior Patterns?" for a detailed discussion of fixed and variable costs).
Assume direct materials and direct labor are variable costs. In the Assembly department, the variable costs per unit associated with direct materials and direct labor of $50 (= $30 direct materials + $20 direct labor) will remain the same regardless of the level of production, within the relevant range. However, the remaining unit product cost of $12 associated with overhead must be analyzed further to determine the amount that is variable (e.g., indirect materials) and the amount that is fixed (e.g., factory rent). Managers must understand that fixed costs per unit will change depending on the level of production. More specifically, Ann Watkins must understand that the $62 unit cost in the Assembly department provided in the production cost report will change depending on the level of production. Chapter 5 "How Do Organizations Identify Cost Behavior Patterns?" provides a detailed presentation of how cost information can be separated into fixed and variable components for the purpose of providing managers with more useful information.
Key Takeaway
The four key steps of assigning costs to units transferred out and units in ending WIP inventory are formally presented in a production cost report. The production cost report summarizes the production and cost activity within a processing department for a reporting period. A separate report is prepared for each processing department. Rounding the cost per equivalent unit to the nearest thousandth will minimize rounding differences when reconciling costs to be accounted for in step 2 with costs accounted for in step 4.
Computer Application
Using Excel to Prepare a Production Cost Report
Managers typically use computer software to prepare production cost reports. They do so for several reasons:
Once the format is established, the template can be used from one period to the next.
Formulas underlie all calculations, thereby minimizing the potential for math errors and speeding up the process.
Changes can be made easily without having to redo the entire report.
Reports can be easily combined to provide a side-by-side analysis from one period to the next.
Review Figure 4.9 "Production Cost Report for Desk Products’ Assembly Department" and then ask yourself: “How can I use Excel to help prepare this report?” Answers will vary widely depending on your experience with Excel. However, Excel has a few basic features that can make the job of creating a production cost report easier. For example, you can use formulas to sum numbers in a column (note that each of the four steps presented in Figure 4.9 "Production Cost Report for Desk Products’ Assembly Department" has column totals) and to calculate the cost per equivalent unit. Also you can establish a separate line to double-check that
the units to be accounted for match the units accounted for; and
the total costs to be accounted for match the total costs accounted for.
For those who want to add more complex features, the basic data (e.g., the data in Table 4.2 "Production Information for Desk Products’ Assembly Department") can be entered at the top of the spreadsheet and pulled down to the production cost report where necessary.
An example of how to use Excel to prepare a production cost report follows. Notice that the basic data are at the top of the spreadsheet, and the rest of the report is driven by formulas. Each month, the data at the top are changed to reflect the current month’s activity, and the production cost report takes care of itself.
End-of-Chapter Exercises
Questions
Which types of companies use a process costing system to account for product costs? Provide at least three examples of products that would require the use of a process costing system.
Describe the similarities between a process costing system and a job costing system.
Describe the differences between a process costing system and a job costing system.
Review Note 4.4 "Business in Action 4.1" What are the three stages of production at Coca-Cola, and what account is used to track production costs for each stage?
What are transferred-in costs?
Review Note 4.9 "Business in Action 4.2" Why is it likely that Wrigley uses a process costing system rather than a job costing system?
Explain the difference between physical units and equivalent units.
Explain the concept of equivalent units assuming the weighted average method is used.
Explain why direct materials, direct labor, and overhead might be at different stages of completion at the end of a reporting period.
Review Note 4.14 "Business in Action 4.3" Why do colleges convert the actual number of students attending school to a full-time equivalent number of students?
Describe the four key steps shown in a production cost report assuming the weighted average method is used.
What two important amounts are determined in step 4 of the production cost report?
Describe the basic cost flow equation and explain how it is used to reconcile units to be accounted for with units accounted for.
Describe the basic cost flow equation and explain how it is used to reconcile costs to be accounted for with costs accounted for.
Review Note 4.22 "Business in Action 4.4" Describe the last two stages of the production process at Hershey.
How does a company determine the number of production cost reports to be prepared for each reporting period?
What is a production cost report, and how is it used by management?
Explain how the cost per equivalent unit might be misleading to managers, particularly when a significant change in production is anticipated.
Brief Exercises
Product Costing at Desk Products, Inc. Refer to the dialogue presented at the beginning of the chapter.
Required:
Why was the owner of Desk Products, Inc., concerned about the Assembly department product cost of each desk?
What did the accountant, John Fuller, promise by the end of the week?
Job Costing Versus Process Costing. For each firm listed in the following, identify whether it would use job costing or process costing.
Chewing gum manufacturer
Custom automobile restorer
Facial tissue manufacturer
Accounting services provider
Electrical services provider
Pool builder
Cereal producer
Architectural design provider
Process Costing Journal Entries. Assume a company has two processing departments—Molding and Packaging. Transactions for the month are shown as follows.
The Molding department requisitioned direct materials totaling $2,000 to be used in production.
Direct labor costs totaling $3,500 were incurred in the Molding department, to be paid the next month.
Manufacturing overhead costs applied to products in the Molding department totaled $2,500.
The cost of goods transferred from the Molding department to the Packaging department totaled $10,000.
Manufacturing overhead costs applied to products in the Packaging department totaled $1,800.
Required:
Prepare journal entries to record transactions 1 through 5.
Calculating Equivalent Units. Complete the requirements for each item in the following.
A university has 500 students enrolled in classes. Each student attends school on a part-time basis. On average, each student takes three-quarters of a full load of classes. Calculate the number of full-time equivalent students (i.e., calculate the number of equivalent units).
A total of 10,000 units of product remain in the Assembly department at the end of the year. Direct materials are 80 percent complete and direct labor is 40 percent complete. Calculate the equivalent units in the Assembly department for direct materials and direct labor.
A local hospital has 60 nurses working on a part-time basis. On average, each nurse works two-thirds of a full load. Calculate the number of full-time equivalent nurses (i.e., calculate the number of equivalent units).
A total of 6,000 units of product remain in the Quality Testing department at the end of the year. Direct materials are 75 percent complete and direct labor is 20 percent complete. Calculate the equivalent units in the Quality Testing department for direct materials and direct labor.
Calculating Cost per Equivalent Unit. The following information pertains to the Finishing department for the month of June.
Direct Materials
Direct Labor
Overhead
Total costs to be accounted for
$100,000
$200,000
$300,000
Total equivalent units accounted for
10,000 units
8,000 units
8,000 units
Required:
Calculate the cost per equivalent unit for direct materials, direct labor, overhead, and in total. Show your calculations.
Assigning Costs to Completed Units and to Units in Ending WIP Inventory. The following information is for the Painting department for the month of January.
Direct Materials
Direct Labor
Overhead
Cost per equivalent unit
$2.10
$1.50
$3.80
Equivalent units completed and transferred out
3,000 units
3,000 units
3,000 units
Equivalent units in ending WIP inventory
1,000 units
1,200 units
1,200 units
Required:
Calculate the costs assigned to units completed and transferred out of the Painting department for direct materials, direct labor, overhead, and in total.
Calculate the costs assigned to ending WIP inventory for the Painting department for direct materials, direct labor, overhead, and in total.
Exercises: Set A
Assigning Costs to Products: Weighted Average Method. Sydney, Inc., uses the weighted average method for its process costing system. The Assembly department at Sydney, Inc., began April with 6,000 units in work-in-process inventory, all of which were completed and transferred out during April. An additional 8,000 units were started during the month, 3,000 of which were completed and transferred out during April. A total of 5,000 units remained in work-in-process inventory at the end of April and were at varying levels of completion, as shown in the following.
Direct materials
40 percent complete
Direct labor
30 percent complete
Overhead
50 percent complete
The following cost information is for the Assembly department at Sydney, Inc., for the month of April.
Direct Materials
Direct Labor
Overhead
Total
Beginning WIP inventory
$300,000
$350,000
$250,000
$900,000
Incurred during the month
$180,000
$200,000
$170,000
$550,000
Required:
Determine the units to be accounted for and units accounted for; then calculate the equivalent units for direct materials, direct labor, and overhead. (Hint: This requires performing step 1 of the four-step process.)
Calculate the cost per equivalent unit for direct materials, direct labor, and overhead. (Hint: This requires performing step 2 and step 3 of the four-step process.)
Assign costs to units transferred out and to units in ending WIP inventory. (Hint: This requires performing step 4 of the four-step process.)
Confirm that total costs to be accounted for (from step 2) equals total costs accounted for (from step 4). Note that minor differences may occur due to rounding the cost per equivalent unit in step 3.
Explain the meaning of equivalent units.
Production Cost Report: Weighted Average Method. Refer to Exercise 25. Prepare a production cost report for Sydney, Inc., for the month of April using the format shown in Figure 4.9 "Production Cost Report for Desk Products’ Assembly Department".
Process Costing Journal Entries. Silva Piping Company produces PVC piping in two processing departments—Fabrication and Packaging. Transactions for the month of July are shown as follows.
Direct materials totaling $15,000 are requisitioned and placed into production—$7,000 for the Fabrication department and $8,000 for the Packaging department.
Direct labor costs (wages payable) are incurred by each department as follows:
Fabrication
$4,500
Packaging
$6,700
Manufacturing overhead costs are applied to each department as follows:
Fabrication
$20,000
Packaging
$14,000
Products with a cost of $22,000 are transferred from the Fabrication department to the Packaging department.
Products with a cost of $35,000 are completed and transferred from the Packaging department to the finished goods warehouse.
Products with a cost of $31,000 are sold to customers.
Required:
Prepare journal entries to record each of the previous transactions.
In general, how does the process costing system used here differ from a job costing system?
Exercises: Set B
Assigning Costs to Products: Weighted Average Method. Varian Company uses the weighted average method for its process costing system. The Molding department at Varian began the month of January with 80,000 units in work-in-process inventory, all of which were completed and transferred out during January. An additional 90,000 units were started during the month, 30,000 of which were completed and transferred out during January. A total of 60,000 units remained in work-in-process inventory at the end of January and were at varying levels of completion, as shown in the following.
Direct materials
80 percent complete
Direct labor
90 percent complete
Overhead
90 percent complete
The following cost information is for the Molding department at Varian Company for the month of January.
Direct Materials
Direct Labor
Overhead
Total
Beginning WIP inventory
$1,400,000
$1,100,000
$1,700,000
$4,200,000
Incurred during the month
$1,210,000
$ 980,000
$1,450,000
$3,640,000
Required:
Determine the units to be accounted for and units accounted for; then calculate the equivalent units for direct materials, direct labor, and overhead. (Hint: This requires performing step 1 of the four-step process.)
Calculate the cost per equivalent unit for direct materials, direct labor, and overhead. (Hint: This requires performing step 2 and step 3 of the four-step process.)
Assign costs to units transferred out and to units in ending WIP inventory. (Hint: This requires performing step 4 of the four-step process.)
Confirm that total costs to be accounted for (from step 2) equals total costs accounted for (from step 4). Note that minor differences may occur due to rounding the cost per equivalent unit in step 3.
Explain the meaning of equivalent units.
Production Cost Report: Weighted Average Method. Refer to Exercise 28. Prepare a production cost report for Varian Company for the month of January using the format shown in Figure 4.9 "Production Cost Report for Desk Products’ Assembly Department".
Process Costing Journal Entries. Westside Chemicals produces paint thinner in three processing departments—Mixing, Testing, and Packaging. Transactions for the month of September are shown as follows.
Direct materials totaling $80,000 are requisitioned and placed into production—$60,000 for the Mixing department, $11,000 for the Testing department, and $9,000 for the Packaging department.
Direct labor costs (wages payable) incurred by each department are as follows:
Mixing
$35,000
Testing
$25,000
Packaging
$18,000
Manufacturing overhead costs are applied to each department as follows:
Mixing
$17,500
Testing
$12,500
Packaging
$ 6,000
Products with a cost of $55,000 are transferred from the Mixing department to the Testing department.
Products with a cost of $86,000 are transferred from the Testing department to the Packaging department.
Products with a cost of $100,000 are completed and transferred from the Packaging department to the finished goods warehouse.
Products with a cost of $81,000 are sold to customers.
Required:
Prepare journal entries to record each of the previous transactions.
In general, how does the process costing system used here differ from a job costing system?
Problems
Production Cost Report: Weighted Average Method. Calvin Chemical Company produces a chemical used in the production of silicon wafers. Calvin Chemical uses the weighted average method for its process costing system. The Mixing department at Calvin Chemical began the month of June with 5,000 units (gallons) in work-in-process inventory, all of which were completed and transferred out during June. An additional 15,000 units were started during the month, 11,000 of which were completed and transferred out during June. A total of 4,000 units remained in work-in-process inventory at the end of June and were at varying levels of completion, as shown in the following.
Direct materials
60 percent complete
Direct labor
40 percent complete
Overhead
40 percent complete
The cost information is as follows:
Costs in beginning work-in-process inventory
Direct materials
$8,000
Direct labor
$3,000
Overhead
$2,800
Costs incurred during the month
Direct materials
$21,000
Direct labor
$ 8,500
Overhead
$ 7,200
Required:
Prepare a production cost report for the Mixing department at Calvin Chemical Company for the month of June.
Confirm that total costs to be accounted for (from step 2) equals total costs accounted for (from step 4). Note that minor differences may occur due to rounding the cost per equivalent unit in step 3.
According to the production cost report, what is the total cost per equivalent unit for the work performed in the Mixing department? Which of the three product cost components is the highest, and what percent of the total does this product cost represent?
Production Cost Report: Weighted Average Method. Quality Confections Company manufactures chocolate bars in two processing departments, Mixing and Packaging, and uses the weighted average method for its process costing system. The table that follows shows information for the Mixing department for the month of March.
Unit Information (Measured in Pounds)
Mixing
Beginning work-in-process inventory
8,000
Started or transferred in during the month
230,000
Ending work-in-process inventory: 80 percent materials, 70 percent labor, and 60 percent overhead
6,000
Cost Information
Beginning Work-in-Process Inventory
Direct materials
$ 3,000
Direct labor
$ 1,500
Overhead
$ 2,200
Costs Incurred during the Period
Direct materials
$103,000
Direct labor
$ 55,000
Overhead
$ 81,000
Required:
Prepare a production cost report for the Mixing department for the month of March.
Confirm that total costs to be accounted for (from step 2) equals total costs accounted for (from step 4); minor differences may occur due to rounding the cost per equivalent unit in step 3.
According to the production cost report, what is the total cost per equivalent unit for the work performed in the Mixing department? Which of the three product cost components is the highest, and what percent of the total does this product cost represent?
Production Cost Report and Journal Entries: Weighted Average Method. Wood Products, Inc., manufactures plywood in two processing departments, Milling and Sanding, and uses the weighted average method for its process costing system. The table that follows shows information for the Milling department for the month of April.
Unit Information (Measured in Feet)
Milling
Beginning work-in-process inventory
24,000
Started or transferred in during the month
110,000
Ending work-in-process inventory: 80 percent materials, 70 percent labor, and 60 percent overhead
32,000
Cost Information
Beginning Work-in-Process Inventory
Direct materials
$ 9,000
Direct labor
$ 3,000
Overhead
$ 3,200
Costs Incurred during the Period
Direct materials
$45,000
Direct labor
$14,000
Overhead
$16,000
Required:
Prepare a production cost report for the Milling department for the month of April.
Confirm that total costs to be accounted for (from step 2) equals total costs accounted for (from step 4); minor differences may occur due to rounding the cost per equivalent unit in step 3.
For the Milling department at Wood Products, Inc., prepare journal entries to record:
The cost of direct materials placed into production during the month (from step 2).
Direct labor costs incurred during the month but not yet paid (from step 2).
The application of overhead costs during the month (from step 2).
The transfer of costs from the Milling department to the Sanding department (from step 4).
One Step Further: Skill-Building Cases
Internet Project: Production Company Plant Tour. Using the Internet, find a company that provides a virtual tour of its production processes. Document your findings by completing the following requirements.
Required:
Summarize each step in the production process.
Which type of costing system (job or process) would you expect the company to use? Why?
Process Costing at Coca-Cola. Refer to Note 4.4 "Business in Action 4.1".
Required:
What type of costing system does Coca-Cola use? Explain.
What is the purpose of preparing a production cost report? What information results from preparing a production cost report for the mixing and blending department at Coca-Cola?
Based on the information provided, what is the minimum number of production cost reports that Coca-Cola prepares each reporting period? Explain.
Process Costing at Wrigley. Refer to Note 4.9 "Business in Action 4.2".
Required:
What type of costing system does Wrigley use? Explain.
What is the purpose of preparing a production cost report? What information results from preparing a production cost report for Wrigley’s Packaging department?
Based on the information provided, what is the minimum number of production cost reports that Wrigley prepares each reporting period? Explain.
Group Activity: Job or Process Costing? Form groups of two to four students. Each group should determine whether a process costing or job costing system is most likely used to calculate product costs for each item listed in the following and should be prepared to explain its answers.
Jetliners produced by Boeing
Gasoline produced by Shell Oil Company
Audit of Intel by Ernst & Young
Oreo cookies produced by Nabisco Brands, Inc.
Frosted Mini-Wheats produced by Kellogg Co.
Construction of suspension bridge in Puget Sound, Washington, by Bechtel Group, Inc.
Aluminum foil produced by Alcoa, Inc.
Potato chips produced by Frito-Lay, Inc.
Comprehensive Cases
Ethics: Manipulating Percentage of Completion Estimates. Computer Tech Corporation produces computer keyboards, and its fiscal year ends on December 31. The weighted average method is used for the company’s process costing system. As the controller of Computer Tech, you present December’s production cost report for the Assembly department to the president of the company. The Assembly department is the last processing department before goods are transferred to finished goods inventory. All 160,000 units completed and transferred out during the month were sold by December 31.
The board of directors at Computer Tech established a compensation incentive plan that includes a substantial bonus for the president of the company if annual net income before taxes exceeds $2,000,000. Preliminary figures show current year net income before taxes totaling $1,970,000, which is short of the target by $30,000. The president approaches you and asks you to increase the percentage of completion for the 40,000 units in ending WIP inventory to 90 percent for direct materials and to 95 percent for direct labor and overhead. Even though you are confident in the percentages used to prepare the production cost report, which appears as follows, the president insists that his change is minor and will have little impact on how investors and creditors view the company.
Required:
Why is the president asking you to increase the percentage of completion estimates?
Prepare another production cost report for Computer Tech Company that includes the president’s revisions. Indicate what impact the president’s request will have on cost of goods sold and on net income (ignore income taxes in your calculations).
As the controller of the company, how would you handle the president’s request? (If necessary, review the presentation of ethics in Chapter 1 "What Is Managerial Accounting?" for additional information.)
Ethics: Increasing Production to Boost Profits. Pacific Siding, Inc., produces synthetic wood siding used in the construction of residential and commercial buildings. Pacific Siding’s fiscal year ends on March 31, and the weighted average method is used for the company’s process costing system.
Financial results for the first 11 months of the current fiscal year (through February 28) are well below expectations of management, owners, and creditors. Halfway through the month of March, the chief executive officer and chief financial officer asked the controller to estimate the production results for the month of March in the form of a production cost report (the company only has one production department). This report is shown as follows.
Armed with the preliminary production cost report for March, and knowing that the company’s production is well below capacity, the CEO and CFO decide to produce as many units as possible for the last half of March even though sales are not expected to increase any time soon. The production manager is told to push his employees to get as far as possible with production, thereby increasing the percentage of completion for ending WIP inventory. However, since the production process takes three weeks to complete, all the units produced in the last half of March will be in WIP inventory at the end of March.
Required:
Explain how the CEO and CFO expect to increase profit (net income) for the year by boosting production at the end of March.
Using the following assumptions, prepare a revised estimate of production results in the form of a production cost report for the month of March.
Assumptions based on the CEO and CFO’s request to boost production
Units started and partially completed during the period will increase to 225,000 (from the initial estimate of 70,000). This is the projected ending WIP inventory at March 31.
Percentage of completion estimates for units in ending WIP inventory will increase to 80 percent for direct materials, 85 percent for direct labor, and 90 percent for overhead.
Costs incurred during the period will increase to $95,000 for direct materials, $102,000 for direct labor, and $150,000 for overhead (most overhead costs are fixed).
All units completed and transferred out during March are sold by March 31.
Compare your new production cost report with the one prepared by the controller. How much do you expect profit to increase as a result of increasing production during the last half of March? (Ignore income taxes in your calculations.)
Is the request made by the CEO and CFO ethical? Explain your answer. | msmarco_doc_00_10066925 |
http://2012books.lardbucket.org/books/accounting-for-managers/s14-05-variable-manufacturing-overhea.html | Variable Manufacturing Overhead Variance Analysis | 10.5
Variable Manufacturing Overhead Variance Analysis
10.5 Variable Manufacturing Overhead Variance Analysis
Learning Objective
Variable Overhead Spending Variance Calculation
Key Equation
Variable Overhead Efficiency Variance Calculation
Key Equation
Key Equation
Possible Causes of Variable Manufacturing Overhead Variances
Business in Action 10.4
Key Takeaway
| Variable Manufacturing Overhead Variance Analysis
10.5 Variable Manufacturing Overhead Variance Analysis
Learning Objective
Calculate and analyze variable manufacturing overhead variances.
Question: Similar to direct materials and direct labor variances, variable manufacturing overhead variance analysis involves two separate variances. What are the two variances used to analyze the difference between actual variable overhead costs and standard variable overhead costs?
Answer: The two variances used to analyze this difference are the spending variance and efficiency variance. The variable overhead spending variance
The difference between actual costs for variable overhead and budgeted costs based on the standards.
is the difference between actual costs for variable overhead and budgeted costs based on the standards. For a company that allocates variable manufacturing overhead to products based on direct labor hours, the variable overhead efficiency variance
The difference between the actual activity level in the allocation base (often direct labor hours or machine hours) and the budgeted activity level in the allocation base according to the standards.
is the difference between the number of direct labor hours actually worked and what should have been worked based on the standards.
At Jerry’s Ice Cream, the actual data for the year are as follows:
Sales volume
210,000 units
Direct labor hours worked
18,900 hours
Total cost of variable overhead
$100,000
Recall from Figure 10.1 "Standard Costs at Jerry’s Ice Cream" that the variable overhead standard rate for Jerry’s is $5 per direct labor hour and the standard direct labor hours is 0.10 per unit. Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream" shows how to calculate the variable overhead spending and efficiency variances given the actual results and standards information. Review this figure carefully before moving on to the next section where these calculations are explained in detail.
Figure 10.8 Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream
Note: AH = Actual hours of direct labor. (This measure will depend on the allocation base that the company uses. Jerry’s uses direct labor hours to allocate variable manufacturing overhead, so AH refers to actual direct labor hours.) SR = Standard variable manufacturing overhead rate per direct labor hour. SH = Standard hours of direct labor for actual level of activity.
*Since variable overhead is not purchased per direct labor hour, the actual rate (AR) is not used in this calculation. Simply use the total cost of variable manufacturing overhead instead.
**Standard hours of 21,000 = Standard of 0.10 hours per unit × 210,000 actual units produced and sold.
† $105,000 standard variable overhead costs matches the flexible budget presented in Figure 10.2 "Flexible Budget for Variable Production Costs at Jerry’s Ice Cream".
‡ $5,500 unfavorable variable overhead spending variance = $100,000 – $94,500. Variance is unfavorable because the actual variable overhead costs are higher than the expected costs given actual hours of 18,900.
§ $ (10,500) favorable variable overhead efficiency variance = $94,500 – $105,000. Variance is favorable because the actual hours of 18,900 are lower than the expected (budgeted) hours of 21,000.
Variable Overhead Spending Variance Calculation
Question: How is the variable overhead spending variance calculated?
Answer: As shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream", the variable overhead spending variance is the difference between what is actually paid for variable overhead and what should have been paid according to the standards:
Key Equation
Variable overhead spending variance = Actual costs − (AH × SR)
Variable overhead spending variance = Actual costs − ( AH × SR) = $1 00,000 − ( 18, 9 00 × $5) = $5,500 unfavorable
As with direct materials and direct labor variances, all positive variances are unfavorable, and all negative variances are favorable. Note that there is no alternative calculation for the variable overhead spending variance because variable overhead costs are not purchased per direct labor hour. Thus actual rate (AR) is not used for this variance.
This variance is unfavorable for Jerry’s Ice Cream because actual costs of $100,000 are higher than expected costs of $94,500.
Variable Overhead Efficiency Variance Calculation
Question: How is the variable overhead efficiency variance calculated?
Answer: As shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream", the variable overhead efficiency variance is the difference between the actual hours worked at the standard rate and the standard hours at the standard rate:
Key Equation
Variable overhead efficiency variance = (AH × SR) − (SH × SR)
Variable overhead efficiency variance = ( AH × SR) − ( SH × SR) = ( 18, 9 00 × $5) − ( 21, 000 × $5) = ( $10,500) favorable
The 21,000 standard hours are the hours allowed given actual production (= 0.10 standard hours allowed per unit × 210,000 units produced). Since actual direct labor hours worked total 18,900, the variable manufacturing overhead costs should be lower than initially anticipated at 21,000 standard hours. (This assumes variable overhead costs are truly driven by direct labor hours!) This results in a favorable variable overhead efficiency variance.
Alternative Calculation. Since we are holding the standard rate constant and evaluating the difference between actual hours worked and standard hours, the variable overhead efficiency variance calculation can be simplified as follows:
Key Equation
Variable overhead efficiency variance = (AH − SH) × SR
Variable overhead efficiency variance = ( AH − SH) × SR = ( 18, 9 00 − 21, 000) × $5 = ( $10,500) favorable
Note that both approaches—the variable overhead efficiency variance calculation and the alternative calculation—yield the same result.
The variable overhead efficiency variance calculation presented previously shows that 18,900 in actual hours worked is lower than the 21,000 budgeted hours. Again, this variance is favorable because working fewer hours than expected should result in lower variable manufacturing overhead costs.
Possible Causes of Variable Manufacturing Overhead Variances
Question: The managerial accountant at Jerry’s Ice Cream is interested in finding the cause of the unfavorable variable overhead spending variance of $5,500. The spending variance can result from variances in the cost of variable overhead items and the usage of these items. What might have caused the $5,500 unfavorable variable overhead spending variance?
Answer: The left panel of Figure 10.9 "Possible Causes of Variable Manufacturing Overhead Variances for Jerry’s Ice Cream" contains some possible explanations for Jerry’s unfavorable overhead spending variance.
Figure 10.9 Possible Causes of Variable Manufacturing Overhead Variances for Jerry’s Ice Cream
Question: Jerry’s Ice Cream might also choose to investigate the $10,500 favorable variable overhead efficiency variance. What might have caused the $10,500 favorable variable overhead efficiency variance?
Answer: The focus here is on the activity base used to allocate overhead. Since Jerry’s uses direct labor hours as the activity base, the possible explanations for this variance are linked to efficiencies or inefficiencies in the use of direct labor. The right panel of Figure 10.9 "Possible Causes of Variable Manufacturing Overhead Variances for Jerry’s Ice Cream" contains some possible explanations for this variance.
Again, this analysis is appropriate assuming direct labor hours truly drives the use of variable overhead activities. That is, we assume that an increase in direct labor hours will increase variable overhead costs and that a decrease in direct labor hours will decrease variable overhead costs.
Business in Action 10.4
Hiding Fraud in Overhead Accounts
The controller of a small, closely held manufacturing company embezzled close to $1,000,000 over a 3-year period. With annual revenues of $30,000,000 and less than 100 employees, the company certainly felt the impact of losing $1,000,000.
The forensic accountant who investigated the fraud identified several suspicious transactions, all of which were charged to the manufacturing overhead account. To prevent this type of fraud in the future, the forensic accountant recommended that “significant manufacturing overhead variances be analyzed both within and across time periods to identify anomalies.” Apparently, the company was not closely monitoring manufacturing overhead variances when the fraud occurred.
Source: John B. MacArthur, Bobby E. Waldrup, and Gary R. Fane, “Caution: Fraud Overhead,” Strategic Finance, October 2004, 28–32.
Key Takeaway
Standard costs are used to establish the flexible budget for variable manufacturing overhead. The flexible budget is compared to actual costs, and the difference is shown in the form of two variances. The variable overhead spending variance represents the difference between actual costs for variable overhead and budgeted costs based on the standards. The variable overhead efficiency variance is the difference between the actual activity level in the allocation base (often direct labor hours or machine hours) and the budgeted activity level in the allocation base according to the standards. | msmarco_doc_00_10137997 |
http://2012books.lardbucket.org/books/accounting-for-managers/s14-09-appendix-recording-standard-co.html | Appendix: Recording Standard Costs and Variances | 10.9
Appendix: Recording Standard Costs and Variances
10.9 Appendix: Recording Standard Costs and Variances
Learning Objective
Recording Direct Materials Transactions
Materials Price Variance
Materials Quantity Variance
Recording Direct Labor Transactions
Labor Rate and Efficiency Variances
Recording Manufacturing Overhead Transactions
Recording Finished Goods Transactions
Recording Cost of Goods Sold Transactions
Closing Manufacturing Overhead and Variance Accounts
Key Takeaway
End-of-Chapter Exercises
| Appendix: Recording Standard Costs and Variances
10.9 Appendix: Recording Standard Costs and Variances
Learning Objective
Explain how to record standard costs and variances using journal entries.
This chapter has focused on performing variance analysis to evaluate and control operations. Standard costing systems assist in this process and often involve recording transactions using standard cost information. When accountants use a standard costing system to record transactions, companies are able to quickly identify variances. In addition, inventory and related cost of goods sold are valued using standard cost information, which simplifies the bookkeeping process.
Recording Direct Materials Transactions
Question: In Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream", we calculated two variances for direct materials at Jerry’s Ice Cream: materials price variance and materials quantity variance. How are these variances recorded for transactions related to direct materials?
Answer: Two journal entries are needed to record direct materials transactions that include these variances. An example of each is shown next. (Typically, many more journal entries would be made throughout the year for direct materials. For the purposes of this example, we will make one journal entry for each variance to summarize the activity for the year.)
Materials Price Variance
The entry to record the purchase of direct materials and related price variance shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream" is
Notice that the raw materials inventory account contains the actual quantity of direct materials purchased at the standard price. Accounts payable reflects the actual cost, and the materials price variance account shows the unfavorable variance. Unfavorable variances are recorded as debits and favorable variances are recorded as credits. Variance accounts are temporary accounts that are closed out at the end of the financial reporting period. We show the process of closing out variance accounts at the end of this appendix.
Materials Quantity Variance
The entry to record the use of direct materials in production and related quantity variance shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream" is
Work-in-process inventory reflects the standard quantity of direct materials allowed at the standard price. The reduction in raw materials inventory reflects the actual quantity used at the standard price, and the materials quantity variance account shows the favorable variance.
Recording Direct Labor Transactions
Question: In Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream", we calculated two variances for direct labor at Jerry’s Ice Cream: labor rate variance and labor efficiency variance. How are these variances recorded for transactions related to direct labor?
Answer: Because labor is not inventoried for later use like materials, only one journal entry is needed to record direct labor transactions that include these variances. (Again, many more journal entries would typically be made throughout the year for direct labor. For the purposes of this example, we will make one journal entry to summarize the activity for the year.)
Labor Rate and Efficiency Variances
The entry to record the cost of direct labor and related variances shown in Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream" is
Work-in-process inventory reflects the standard hours of direct labor allowed at the standard rate. The labor rate and efficiency variances represent the difference between work-in-process inventory (at the standard cost) and actual costs recorded in wages payable.
Recording Manufacturing Overhead Transactions
Question: As discussed in Chapter 2 "How Is Job Costing Used to Track Production Costs?", the manufacturing overhead account is debited for all actual overhead expenditures and credited when overhead is applied to products. At the end of the period, the balance in manufacturing overhead, representing overapplied or underapplied overhead, is closed out to cost of goods sold. This overapplied or underapplied balance can be explained by combining the four overhead variances summarized in this chapter in Figure 10.14 "Comparison of Variable and Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". How are these variances recorded for transactions related to manufacturing overhead?
Answer: Based on the information at the left side of Figure 10.14 "Comparison of Variable and Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream", the entry to record actual overhead expenditures is
The credit goes to several different accounts depending on the nature of the expenditure. For example, if the expenditure is for indirect materials, the credit goes to accounts payable. If the expenditure is for indirect labor, the credit goes to wages payable.
The next entry reflects overhead applied to products. This information comes from the right side of Figure 10.14 "Comparison of Variable and Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream".
At this point, manufacturing overhead has a $16,000 credit balance, which represents overapplied overhead ($16,000 = $252,000 applied overhead – $236,000 actual overhead). The following summary of fixed and variable overhead variances shown in Figure 10.14 "Comparison of Variable and Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream" explains the overapplied amount of $16,000:
Recording Finished Goods Transactions
Question: Review all the debits to work-in-process inventory throughout this appendix and you will see the following costs (all recorded at standard cost):
How are these costs transferred from work-in-process inventory to finished good inventory when the goods are completed?
Answer: When the 210,000 units are completed, the following entry is made to transfer the costs out of work-in-process inventory and into finished goods inventory.
Note that the standard cost per unit was established at $4.50, which includes variable manufacturing costs of $3.80 (see Figure 10.1 "Standard Costs at Jerry’s Ice Cream") and fixed manufacturing costs of $0.70 (see footnote to Figure 10.12 "Fixed Manufacturing Overhead Information for Jerry’s Ice Cream" ). Total production of 210,000 units × Standard cost of $4.50 per unit equals $945,000; the same amount you see in the entry presented previously.
Recording Cost of Goods Sold Transactions
Question: How do we record the costs associated with products that are sold?
Answer: When finished product is sold, the following entry is made:
Note that the entry shown previously uses standard costs, which means cost of goods sold is stated at standard cost until the next entry is made.
Closing Manufacturing Overhead and Variance Accounts
Question: At the end of the period, Jerry’s Ice Cream has balances remaining in manufacturing overhead along with all the variance accounts. These accounts must be closed out at the end of the period. How is this accomplished?
Answer: These accounts are closed out to cost of goods sold, after which point cost of goods sold will reflect actual manufacturing costs for the products sold during the period. The following entry is made to accomplish this goal:
*$61,500 = $88,000 + $37,800 – $21,000 – $27,300 – $16,000.
Key Takeaway
In a standard costing system, all inventory accounts reflect standard cost information. The difference between standard and actual data are recorded in the variance accounts and the manufacturing overhead account, which are ultimately closed out to cost of goods sold at the end of the period.
End-of-Chapter Exercises
Questions
Explain how a flexible budget differs from a master budget.
Assume you are the production manager for a manufacturing company that anticipated selling 40,000 units of product for the master budget and actually sold 50,000 units. Why would you prefer to be evaluated using a flexible budget for direct labor rather than the master budget?
What is a standard cost, and how does it differ from a budgeted cost?
How are standards established for direct materials, direct labor, and variable manufacturing overhead?
Explain what management is trying to evaluate in reviewing the materials price variance and materials quantity variance. Be sure to include the formula for each variance in your explanation.
Explain what management is trying to evaluate in reviewing the labor rate variance and labor efficiency variance. Be sure to include the formula for each variance in your explanation.
Explain how an unfavorable labor rate variance might cause a favorable labor efficiency variance and favorable materials quantity variance.
The production manager just received a report indicating an unfavorable labor rate variance. Further investigation reveals that the sales department accepted a large rush order. Who should be held responsible for the unfavorable variance? Explain.
Refer to Note 10.38 "Business in Action 10.3" Why is direct labor variance analysis particularly important for United Airlines?
Are favorable variances always a result of good management decisions? Explain.
Do most companies investigate all variances? Explain.
How is variable overhead variance analysis similar for companies using activity-based costing and companies using traditional costing?
What causes the fixed overhead production volume variance?
(Appendix). Why are direct materials and direct labor variance accounts needed in a standard costing system? What happens to these accounts at the end of the period?
Brief Exercises
Analyzing Costs at Jerry’s Ice Cream. Refer to the dialogue at Jerry’s Ice Cream presented at the beginning of the chapter. What happened with direct labor and direct materials costs at Jerry’s Ice Cream? What did Jerry, the owner, ask Michelle to do?
Direct Materials Standard Cost and Flexible Budget. Manhattan Company produces high-quality chairs. Each chair requires a standard quantity of 10 board feet of wood at $5 per board foot. Production for July totaled 3,000 units. Calculate (a) standard cost per unit for direct materials and (b) flexible budget amount for direct materials for the month of July.
Direct Labor Standard Cost and Flexible Budget. Manhattan Company produces high-quality chairs. Each chair requires a standard quantity of 8 direct labor hours at $15 per hour. Production for July totaled 3,000 units. Calculate (a) standard cost per unit for direct labor and (b) flexible budget amount for direct labor for the month of July.
Variable Overhead Standard Cost and Flexible Budget. Manhattan Company produces high-quality chairs. Variable manufacturing overhead is applied at a standard rate of $10 per machine hour. Each chair requires a standard quantity of three machine hours. Production for July totaled 3,000 units. Calculate (a) standard cost per unit for variable overhead and (b) flexible budget amount for variable overhead for the month of July.
Materials Price Variance. Sweets Company produces boxes of chocolate. The company expects to pay $5 a pound for chocolate. Sweets purchased 4,000 pounds of chocolate during the month of April for $4.80 per pound. Calculate the materials price variance for the month of April.
Materials Quantity Variance. Sweets Company produces boxes of chocolate. A standard of 2 pounds of material is expected to be used for each box produced, at a cost of $5 per pound. Sweets produced 1,000 boxes of chocolate during the month of April and used 2,200 pounds of chocolate. Calculate the materials quantity variance for the month of April.
Labor Rate Variance. Tech Company produces computer servers. The company’s standards show an expected direct labor rate of $20 per hour. Tech’s direct labor workforce worked 3,200 hours to produce 300 units during the month of August and was paid $22 per direct labor hour. Calculate the labor rate variance for the month of August.
Labor Efficiency Variance. Tech Company produces computer servers. The company’s standards show that each server will require 10 hours of direct labor at $20 per hour. Tech produced 300 units during the month of August and direct labor hours totaled 3,200 for the month. Calculate the labor efficiency variance for the month of August.
Variable Overhead Spending Variance. Tech Company produces computer servers. Variable overhead is allocated to each server based on a standard of $100 per machine hour. A total of 850 machine hours were used during the month of August and variable overhead costs totaled $96,000. Calculate the variable overhead spending variance for the month of August.
Variable Overhead Efficiency Variance. Tech Company produces computer servers. Variable overhead is allocated to each server based on a standard of $100 per machine hour and 3 machine hours per server. A total of 850 machine hours were used during the month of August to produce 300 servers. Calculate the variable overhead efficiency variance for the month of August.
Investigating Variances. Fiber Optic, Inc., investigates all variances above 10 percent of the flexible budget. The flexible budget for direct materials is $50,000. The direct materials price variance is $4,000 unfavorable and the direct materials quantity variance is $ (6,000) favorable. Which variances should be investigated according to company policy? Show calculations to support your answer.
Spending Variance Using Activity-Based Costing. Albany, Inc., uses activity-based costing to allocate variable manufacturing overhead costs to products. One of the activities used to allocate these costs is product testing. The standard rate is $15 per test hour. The cost for this activity during June totaled $2,000, and actual test time during June totaled 120 hours. Calculate the spending variance for this activity for the month of June, and clearly label whether the variance is favorable or unfavorable.
Fixed Overhead Spending Variance. Sampson Company applies fixed manufacturing overhead costs to products based on direct labor hours. Budgeted direct labor hours for the month of January totaled 30,000 hours, with a standard cost per direct labor hour of $12. Actual fixed overhead costs totaled $350,000 for January. Calculate the fixed overhead spending variance for January, and clearly label whether the variance is favorable or unfavorable.
(Appendix) Journalizing the Purchase of Raw Materials. Mill Company purchased 40,000 pounds of raw materials on account for $3.40 per pound. The standard price is $3 per pound. Prepare a journal entry to record this transaction assuming the company uses a standard costing system.
Exercises: Set A
Standard Cost and Flexible Budget. Hal’s Heating produces furnaces for commercial buildings. The company’s master budget shows the following standards information.
Expected production for January
300 furnaces
Direct materials
3 heating elements at $40 per element
Direct labor
35 hours per furnace at $18 per hour
Variable manufacturing overhead
35 direct labor hours per furnace at $15 per hour
Required:
Calculate the standard cost per unit for direct materials, direct labor, and variable manufacturing overhead using the format shown in Figure 10.1 "Standard Costs at Jerry’s Ice Cream".
Assume Hal’s Heating produced 320 furnaces during January. Prepare a flexible budget for direct materials, direct labor, and variable manufacturing overhead using the format shown in Figure 10.2 "Flexible Budget for Variable Production Costs at Jerry’s Ice Cream".
Materials and Labor Variances. Hal’s Heating produces furnaces for commercial buildings. (This is the same company as the previous exercise. This exercise can be assigned independently.)
For direct materials, the standard price for a heating element part is $40. A standard quantity of 3 heating elements is expected to be used in each furnace produced. During January, Hal’s Heating purchased 1,000 heating elements for $38,000 and used 980 heating elements to produce 320 furnaces.
For direct labor, Hal’s Heating established a standard number of direct labor hours at 35 hours per furnace. The standard rate is $18 per hour. A total of 10,000 direct labor hours were worked during January, at a cost of $190,000, to produce 320 furnaces.
Required:
Calculate the materials price variance and materials quantity variance using the format shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the labor rate variance and labor efficiency variance using the format shown in Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Variable Overhead Variances. Hal’s Heating produces furnaces for commercial buildings. (This is the same company as the previous exercises. This exercise can be assigned independently.) The company applies variable manufacturing overhead at a standard rate of $15 per direct labor hour. The standard quantity of direct labor is 35 hours per unit. Variable overhead costs totaled $190,000 for the month of January. A total of 10,000 direct labor hours were worked during January to produce 320 furnaces.
Required:
Calculate the variable overhead spending variance and variable overhead efficiency variance using the format shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Fixed Overhead Variance Analysis. Hal’s Heating produces furnaces for commercial buildings. (This is the same company as the previous exercises. This exercise can be assigned independently.) The company applies fixed manufacturing overhead costs to products based on direct labor hours. Information for the month of January appears as follows. Hal’s expected to produce and sell 300 units for the month.
Required:
Calculate the fixed overhead spending variance and production volume variance using the format shown in Figure 10.13 "Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Journalizing Direct Materials and Direct Labor Transactions (Appendix). Hal’s Heating produces furnaces for commercial buildings. (This is the same company as the previous exercises. This exercise can be assigned independently.)
Direct materials and direct labor variances for the month of January are shown as follows.
Materials price variance
$ (2,000) favorable
Materials quantity variance
$ 800 unfavorable
Labor rate variance
$ 10,000 unfavorable
Labor efficiency variance
$ (21,600) favorable
Required:
The company purchased 1,000 elements during the month for $38 each. Assuming a standard price of $40 per element, prepare a journal entry to record the purchase of raw materials for the month.
The company used 980 elements in production for the month, and the flexible budget shows the company expected to use 960 elements. Assuming a standard price of $40 per element, prepare a journal entry to record the usage of raw materials in production for the month.
The company used 10,000 direct labor hours during the month with an actual rate of $19 per hour. The flexible budget shows the company expected to use 11,200 direct labor hours at a standard rate of $18 per hour. Prepare a journal entry to record direct labor costs for the month.
Investigating Variances. Quality Tables, Inc., produces high-end coffee tables. Standard cost information for each table is presented as follows.
Quality Tables produced and sold 2,000 tables for the year and encountered the following production variances:
Required:
Company policy is to investigate all unfavorable variances above 10 percent of the flexible budget amount for direct materials, direct labor, and variable overhead.
Identify the variances that should be investigated according to company policy. Show calculations to support your answer.
What potential weakness exists in the company’s current policy?
Variance Analysis with Activity-Based Costing. Assume Mammoth Company uses activity-based costing to allocate variable manufacturing overhead costs to products. The company identified three activities with the following information for last quarter.
Activity
Standard Rate
Standard Quantity per Unit Produced
Actual Costs
Actual Quantity
Indirect materials
$2.40 per yard
7 yards per unit
$691,650
265,000 yards
Product testing
$1.50 per test minute
5 minutes per unit
$301,000
215,000 test minutes
Indirect labor
$4.50 per direct labor hour
4 hours per unit
$930,000
180,000 direct labor hours
Required:
Assume Mammoth Company produced 40,000 units last quarter. Prepare a variance analysis using the format shown in Figure 10.11 "Variable Overhead Variance Analysis for Jerry’s Ice Cream Using Activity-Based Costing". Clearly label each variance as favorable or unfavorable.
Closing Variance and Overhead Accounts (Appendix). Gonzaga Products had the following balances at the end of its fiscal year.
Debit
Credit
Materials price variance
$10,000
Materials quantity variance
$8,000
Labor rate variance
6,000
Labor efficiency variance
5,000
Manufacturing overhead
14,000
Required:
Prepare a journal entry to close the variance and manufacturing overhead accounts. Assume the balances are not significant and thus are closed to cost of goods sold.
Assume all products were sold and the company has no ending inventories. After making the entry in requirement a, does the balance of cost of goods sold on the income statement reflect standard costs or actual costs? Explain.
Exercises: Set B
Standard Cost and Flexible Budget. Outdoor Products, Inc., produces extreme-weather sleeping bags. The company’s master budget shows the following standards information.
Expected production for September
5,000 units
Direct materials
8 yards per unit at $5 per yard
Direct labor
3 hours per unit at $16 per hour
Variable manufacturing overhead
3 direct labor hours per unit at $2 per hour
Required:
Calculate the standard cost per unit for direct materials, direct labor, and variable manufacturing overhead using the format shown in Figure 10.1 "Standard Costs at Jerry’s Ice Cream".
Assume Outdoor Products produced 5,100 sleeping bags during the month of September. Prepare a flexible budget for direct materials, direct labor, and variable manufacturing overhead using the format shown in Figure 10.2 "Flexible Budget for Variable Production Costs at Jerry’s Ice Cream".
Materials and Labor Variances. Outdoor Products, Inc., produces extreme-weather sleeping bags. (This is the same company as the previous exercise. This exercise can be assigned independently.)
For direct materials, the standard price for 1 yard of material is $5 per yard. A standard quantity of 8 yards of material is expected to be used for each sleeping bag produced. During September, Outdoor Products, Inc., purchased 45,000 yards of material for $238,500 and used 39,000 yards to produce 5,100 sleeping bags.
For direct labor, Outdoor Products, Inc., established a standard number of direct labor hours at three hours per sleeping bag. The standard rate is $16 per hour. A total of 14,700 direct labor hours were worked during September, at a cost of $238,140, to produce 5,100 sleeping bags.
Required:
Calculate the materials price variance and materials quantity variance using the format shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the labor rate variance and labor efficiency variance using the format shown in Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Variable Overhead Variances. Outdoor Products, Inc., produces extreme-weather sleeping bags. (This is the same company as the previous exercises. This exercise can be assigned independently.) The company applies variable manufacturing overhead at a standard rate of $2 per direct labor hour. The standard quantity of direct labor is three hours per unit. Variable overhead costs totaled $32,000 for the month of September. A total of 14,700 direct labor hours were worked during September to produce 5,100 sleeping bags.
Required:
Calculate the variable overhead spending variance and variable overhead efficiency variance using the format shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Fixed Overhead Variance Analysis. Outdoor Products, Inc., produces extreme-weather sleeping bags. (This is the same company as the previous exercises. This exercise can be assigned independently.) The company applies fixed manufacturing overhead costs to products based on direct labor hours. Information for the month of September appears as follows. Outdoor Products expected to produce and sell 5,000 units for the month.
Required:
Calculate the fixed overhead spending variance and production volume variance using the format shown in Figure 10.13 "Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Journalizing Direct Materials and Direct Labor Transactions (Appendix). Outdoor Products, Inc., produces extreme-weather sleeping bags. (This is the same company as the previous exercises. This exercise can be assigned independently.)
Direct materials and direct labor variances for the month of September are shown as follows.
Materials price variance
$13,500 unfavorable
Materials quantity variance
$ (9,000) favorable
Labor rate variance
$ 2,940 unfavorable
Labor efficiency variance
$ (9,600) favorable
Required:
The company purchased 45,000 yards of material during the month for $5.30 per yard. Assuming a standard price of $5 per yard, prepare a journal entry to record the purchase of raw materials for the month.
The company used 39,000 yards of material in production for the month, and the flexible budget shows the company expected to use 40,800 yards. Assuming a standard price of $5 per yard, prepare a journal entry to record the usage of raw materials in production for the month.
The company used 14,700 direct labor hours during the month with an actual rate of $16.20 per hour. The flexible budget shows the company expected to use 15,300 direct labor hours at a standard rate of $16 per hour. Prepare a journal entry to record direct labor costs for the month.
Investigating Variances. Tool Box, Inc., produces tool boxes sold at a variety of retail stores throughout the world. Standard cost information for each toolbox is presented as follows.
Tool Box produced and sold 100,000 toolboxes for the year and encountered the following production variances:
Required:
Company policy is to investigate all unfavorable variances above 5 percent of the flexible budget amount for direct materials, direct labor, and variable overhead.
Identify the variances that should be investigated according to company policy. Show calculations to support your answer.
What recommendations would you make for the company’s current policy?
Variance Analysis with Activity-Based Costing. Assume Hillside Hats, LLC, uses activity-based costing to allocate variable manufacturing overhead costs to products. The company identified three activities with the following information for last month.
Activity
Standard Rate
Standard Quantity per Unit Produced
Actual Costs
Actual Quantity
Purchase orders
$50 per order
0.10 order per unit
$65,000
1,600 orders
Product testing
$2 per test minute
0.50 minutes per unit
$17,000
8,000 test minutes
Indirect labor
$3 per direct labor hour
1 hour per unit
$43,000
13,000 direct labor hours
Required:
Assume Hillside Hats produced 15,000 units last month. Prepare a variance analysis using the format shown in Figure 10.11 "Variable Overhead Variance Analysis for Jerry’s Ice Cream Using Activity-Based Costing". Clearly label each variance as favorable or unfavorable.
Closing Variance and Overhead Accounts (Appendix). Shasta Company had the following balances at the end of its fiscal year.
Debit
Credit
Materials price variance
$8,000
Materials quantity variance
2,000
Labor rate variance
$12,000
Labor efficiency variance
5,000
Manufacturing overhead
4,000
Required:
Prepare a journal entry to close the variance and manufacturing overhead accounts. Assume the balances are not significant and thus are closed to cost of goods sold.
Assume all products were sold and the company has no ending inventories. After making the entry in requirement a, does the balance of cost of goods sold on the income statement reflect standard costs or actual costs? Explain.
Problems
Variance Analysis for Direct Materials, Direct Labor, and Variable Overhead. Rain Gear, Inc., produces rain jackets. The master budget shows the following standards information and indicates the company expected to produce and sell 28,000 units for the year.
Direct materials
4 yards per unit at $3 per yard
Direct labor
2 hours per unit at $10 per hour
Variable manufacturing overhead
2 direct labor hours per unit at $4 per hour
Rain Gear actually produced and sold 30,000 units for the year. During the year, the company purchased 130,000 yards of material for $429,000 and used 118,000 yards in production. A total of 65,000 labor hours were worked during the year at a cost of $637,000. Variable overhead costs totaled $231,000 for the year.
Required:
Calculate the materials price variance and materials quantity variance using the format shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the labor rate variance and labor efficiency variance using the format shown in Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the variable overhead spending variance and variable overhead efficiency variance using the format shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Company policy is to investigate all variances greater than 10 percent of the flexible budget amount for each of the three variable production costs: direct materials, direct labor, and variable overhead. Identify which of the six variances calculated in requirements a through c should be investigated.
Provide two possible explanations for each variance identified in requirement d.
Fixed Overhead Variance Analysis. (This problem is a continuation of the previous problem but can also be worked independently.) Rain Gear, Inc., produces rain jackets and applies fixed manufacturing overhead costs to products based on direct labor hours. Information for the year appears as follows. Rain Gear expected to produce and sell 28,000 units for the year.
Required:
Calculate the fixed overhead spending variance and production volume variance using the format shown in Figure 10.13 "Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Company policy is to investigate all variances greater than 5 percent of the flexible budget amount. Identify whether either of the two fixed overhead variances calculated in requirement a should be investigated.
Provide one possible explanation for variance (s) identified in requirement b.
Journalizing Direct Materials, Direct Labor, and Overhead Transactions (Appendix). Complete the following requirements for Rain Gear, Inc., using your solutions to the previous two problems.
Required:
Prepare a journal entry to record the purchase of raw materials.
Prepare a journal entry to record the use of raw materials.
Prepare a journal entry to record direct labor costs.
Prepare a journal entry to record actual variable and fixed manufacturing overhead expenditures.
Prepare a journal entry to record variable and fixed manufacturing overhead applied to products.
Based on the entries shown in requirements a through e, prepare a journal entry to transfer all work-in-process inventory costs to finished goods inventory.
Assume all finished goods are sold during the period. Prepare a journal entry to transfer all finished goods inventory costs to cost of goods sold.
Based on the entries shown in requirements a through g, close manufacturing overhead and all variance accounts to cost of goods sold.
Variance Analysis for Direct Materials, Direct Labor, and Variable Overhead; Journalizing Direct Materials and Direct Labor Transactions (Includes Appendix). Prefab Pools Company produces large prefabricated in-ground swimming pools made of a specialized plastic material. The master budget shows the following standards information and indicates the company expected to produce and sell 600 units for the month of April.
Direct materials
500 pounds per unit at $7 per pound
Direct labor
46 hours per unit at $12 per hour
Variable manufacturing overhead
46 direct labor hours per unit at $30 per hour
Prefab Pools actually produced and sold 580 units for the month. During the month, the company purchased 330,000 pounds of material for $2,277,000 and used 295,800 pounds in production. A total of 25,520 labor hours were worked during the month at a cost of $313,896. Variable overhead costs totaled $790,000 for the month.
Required:
Calculate the materials price variance and materials quantity variance using the format shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the labor rate variance and labor efficiency variance using the format shown in Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the variable overhead spending variance and variable overhead efficiency variance using the format shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Company policy is to investigate all variances at or above 2 percent of the flexible budget for direct materials and 4 percent for direct labor and variable overhead. Identify which of the six variances calculated in requirements a through c should be investigated.
Provide two possible explanations for each variance identified in requirement d.
Based on your answer to requirement a, prepare a journal entry to record the purchase of raw materials.
Based on your answer to requirement a, prepare a journal entry to record the usage of raw materials.
Based on your answer to requirement b, prepare a journal entry to record direct labor costs.
Fixed Overhead Variance Analysis. (This problem is a continuation of the previous problem but can be worked independently.) Prefab Pools Company produces prefabricated in-ground swimming pools and applies fixed manufacturing overhead costs to products based on direct labor hours. Information for the month of April appears as follows. Prefab Pools expected to produce and sell 600 units for the month.
Required:
Calculate the fixed overhead spending variance and production volume variance using the format shown in Figure 10.13 "Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Company management has asked you to investigate the cause of the fixed overhead spending variance calculated in requirement a. Provide one possible explanation for this variance.
Variance Analysis for Direct Materials, Direct Labor, Variable Overhead, and Fixed Overhead. Equipment Products, Inc., produces large ladders made of a specialized metal material. The master budget shows the following standards information and indicates the company expected to produce and sell 4,000 units for the month of May.
Direct materials
60 pounds per unit at $3 per pound
Direct labor
8 hours per unit at $14 per hour
Variable manufacturing overhead
8 direct labor hours per unit at $6 per hour
Equipment Products actually produced and sold 4,400 units for the month. During the month, the company purchased 300,000 pounds of material for $960,000 and used 286,000 pounds in production. A total of 30,800 labor hours were worked during the month at a cost of $462,000. Variable overhead costs totaled $195,000 for the month.
With regards to fixed manufacturing overhead, the company also applies these overhead costs to products based on direct labor hours. Fixed manufacturing overhead information for the month of May appears as follows.
Required:
Calculate the materials price variance and materials quantity variance using the format shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the labor rate variance and labor efficiency variance using the format shown in Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the variable overhead spending variance and variable overhead efficiency variance using the format shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Company policy is to investigate all variances greater than 10 percent of the flexible budget amount for each of the 3 variable production costs: direct materials, direct labor, and variable overhead. Identify which of the six variances calculated in requirements a through c should be investigated.
Provide two possible explanations for each variance identified in requirement d.
Calculate the fixed overhead spending variance and production volume variance using the format shown in Figure 10.13 "Fixed Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Journalizing Direct Labor and Overhead Transactions (Appendix). Complete the following requirements for Equipment Products, Inc., using your solutions to the previous problem.
Required:
Prepare a journal entry to record direct labor costs.
Prepare a journal entry to record actual variable and fixed manufacturing overhead expenditures.
Prepare a journal entry to record variable and fixed manufacturing overhead applied to products.
Variance Analysis with Activity-Based Costing. Assume Spindle Company uses activity-based costing to allocate variable manufacturing overhead costs to products. The company identified three activities with the following information for last quarter.
Activity
Standard Rate
Standard Quantity per Unit Produced
Actual Costs
Actual Quantity
Indirect materials
$5 per yard
14 yards per unit
$4,850,000
990,000 yards
Product testing
$3 per test minute
10 minutes per unit
$2,000,000
650,000 test minutes
Indirect labor
$9 per direct labor hour
6 hours per unit
$3,800,000
410,000 direct labor hours
Required:
Assume Spindle Company produced 70,000 units last quarter. Prepare a variance analysis using the format shown in Figure 10.11 "Variable Overhead Variance Analysis for Jerry’s Ice Cream Using Activity-Based Costing". Clearly label each variance as favorable or unfavorable.
Company policy is to investigate all variances above 5 percent of the flexible budget amount for each activity. Identify the variances that should be investigated according to company policy. Show calculations to support your answer.
One Step Further: Skill-Building Cases
Variance Analysis and Fraud. Refer to Note 10.47 "Business in Action 10.4" and to Note 10.52 "Business in Action 10.5" Explain how cost variance analysis might help detect fraud.
Group Activity: Setting Standards. Form groups of two to four students. Each group is to complete the following requirements.
Required:
Define and discuss the differences between ideal standards and attainable standards.
Assume your group works for a company that produces wood desks and you are in the process of creating attainable direct material and direct labor standards. Provide specific examples of the items that might be included in (1) the standard quantity and standard price for direct materials and (2) the standard hours and standard rate for direct labor. Explain where this information might be obtained, and identify specific production inefficiencies your group included in creating these standards that would not be included in ideal standards.
Discuss the findings of your group with the class. (Optional: your instructor may ask you to submit your findings in writing.)
Internet Project: Standard Costs and Cost Variances. Systems Applications and Products (SAP) is the world’s largest business software company with 38,000 customers worldwide. Go to the SAP Web site at http://www.sap.com and find the search feature. Type in “standard costing” or “cost variance” and find an article that discusses standard costs and/or cost variances (there are several articles to choose from). Summarize the article in a one-page report, and submit a printed copy of the article with your report.
Ethics and Setting Standards. Wilkes Golf, Inc., produces golf carts that are sold throughout the world. The company’s management is in the process of establishing the standard hours of direct labor required to complete one golf cart. Assume you are the production supervisor, and you receive a bonus for each quarter that shows a favorable labor efficiency variance. That is, you receive a bonus for each quarter showing actual direct labor hours that are fewer than budgeted direct labor hours.
The management has asked for your input in establishing the standard number of direct labor hours required to complete one golf cart.
Required:
As the production supervisor, describe the ethical conflict you face when asked to help with establishing direct labor hour standards.
How might the management of Wilkes Golf, Inc., avoid this conflict and still achieve the goal of obtaining reliable direct labor hour information?
Using Excel to Perform Budget Versus Actual Analysis. The management of Home Products, Inc., prepared the following budgeted income statement for the year ending December 31, 2012.
At the end of 2012, the company prepared the following income statement showing actual results:
Required:
Prepare an Excel spreadsheet comparing the actual results to budgeted amounts using the format shown as follows, and comment on the results.
Comprehensive Cases
Variable Production Cost Variance Analysis. Iron Products, Inc., produces prefabricated iron fencing used in commercial construction. Variable overhead is applied to products based on direct labor hours. The company uses a just-in-time production system and thus has insignificant inventory levels at the end of each month. The income statement for the month of November comparing actual results with the flexible budget based on actual sales of 2,000 units is shown as follows.
Iron Products is disappointed with the actual results and has hired you as a consultant to provide further information as to why the company has been struggling to meet budgeted net profit. Your review of the previously presented budget versus actual analysis identifies variable cost of goods sold as the main culprit. The unfavorable variance for this line item is $67,400.
After further research, you are able to track down the following standard cost information for variable production costs:
Actual production information related to variable cost of goods sold for the month of November is as follows:
2,000 units were produced and sold.
110,000 pounds of material were purchased and used at a total cost of $528,000.
5,600 direct labor hours were used during the month at a total cost of $134,400.
Variable overhead costs totaled $205,000.
Required:
Calculate the materials price variance and materials quantity variance using the format shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the labor rate variance and labor efficiency variance using the format shown in Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the variable overhead spending variance and variable overhead efficiency variance using the format shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
List each of the six variances calculated in requirements a, b, and c, and total the variances to show one net variance. Clearly label the net variance as favorable or unfavorable. Explain how this net variance relates to variable cost of goods sold on the income statement.
Identify the highest favorable variance and highest unfavorable variance from the six listed in requirement d, and provide one possible cause of each variance.
Variable Production Cost Variance Analysis and Performance Evaluation. Fast Sleds, Inc., produces snow sleds used for winter recreation. Variable overhead is applied to products based on machine hours. The company uses a just-in-time production system, and thus has insignificant inventory levels at the end of each month. The income statement for the month of January comparing actual results with the flexible budget is shown in the following based on actual sales of 10,000 units.
Fast Sleds is disappointed with the actual results and has hired you as a consultant to provide further information as to why the company has been struggling to meet budgeted net income. Your review of the budget presented previously versus actual analysis identifies variable cost of goods sold as the main culprit. The unfavorable variance for this line item is $8,700.
After further research, you are able to track down the standard cost information for variable production costs:
Actual production information related to variable cost of goods sold for the month of January is as follows:
10,000 units were produced and sold.
150,000 pounds of material was purchased and used at a total cost of $67,500.
1,900 direct labor hours were used during the month at a total cost of $30,400.
1,200 machine hours were used during the month.
Variable overhead costs totaled $10,800.
Required:
Calculate the materials price variance and materials quantity variance using the format shown in Figure 10.4 "Direct Materials Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the labor rate variance and labor efficiency variance using the format shown in Figure 10.6 "Direct Labor Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
Calculate the variable overhead spending variance and variable overhead efficiency variance using the format shown in Figure 10.8 "Variable Manufacturing Overhead Variance Analysis for Jerry’s Ice Cream". Clearly label each variance as favorable or unfavorable.
List each of the six variances calculated in requirements a, b, and c, and total the variances to show one net variance. Clearly label the net variance as favorable or unfavorable. Explain how this net variance relates to variable cost of goods sold on the income statement.
Identify the highest favorable variance and highest unfavorable variance from the six listed in requirement d, and provide one possible cause of each variance.
Sue Mays, the manager at Fast Sleds, Inc., reviewed the company’s variance analysis report for the month of January. The materials price variance of $ (7,500) was the most significant favorable variance for the month, and the materials quantity variance of $15,000 was the most significant unfavorable variance. Sue would like to reward the company’s purchasing agent for achieving such substantial savings by giving him a $2,000 bonus while not providing any bonus for the production manager.
Do you agree with Sue’s approach to awarding bonuses? Explain.
What circumstances might lead to the conclusion that the purchasing agent should not receive a bonus for the month of January? | msmarco_doc_00_10148376 |
http://2012books.lardbucket.org/books/accounting-for-managers/s17-01-trend-analysis-of-financial-st.html | Trend Analysis of Financial Statements | 13.1
Trend Analysis of Financial Statements
13.1 Trend Analysis of Financial Statements
Learning Objective
Key Equation
Key Equation
Trend Analysis for the Income Statement and Balance Sheet
Current Assets and Current Liabilities
Noncurrent Assets and Noncurrent Liabilities
Shareholders’ Equity
Big Picture Balance Sheet Trend Analysis
Trend Analysis over Several Years
Key Equation
Key Takeaway
Business in Action 13.1
| Trend Analysis of Financial Statements
13.1 Trend Analysis of Financial Statements
Learning Objective
Perform trend analysis to evaluate financial statement information.
Question: How is trend analysis used to evaluate the financial health of an organization?
Answer: Trend analysis
An analysis that evaluates financial information for an organization over a period of time and is typically presented as a dollar amount change and a percentage change.
evaluates an organization’s financial information over a period of time. Periods may be measured in months, quarters, or years, depending on the circumstances. The goal is to calculate and analyze the amount change and percent change from one period to the next.
For example, in fiscal years 2010 and 2009, Coca-Cola had the operating income shown as follows. (Amounts are in millions. To convert to the actual amount, simply multiply the amount given times one million. For example, $8,449 × 1,000,000 = $8,449,000,000. Thus Coca-Cola had operating income of $8,449,000,000 in 2010.)
Amount 2010
Amount 2009
Amount Change
Percent Change
Operating income
$8,449
$8,231
?
?
Although readers of the financial information can see that operating income increased from 2009 to 2010, the exact dollar amount of the change and the percent change is more helpful in evaluating the company’s performance. The dollar amount of change is calculated as follows:
Key Equation
Amount of change = Current year amount – Base year amount
Amount of change = Current year amount − Base year amount $218 = $8,449 − $8,231
Question: As you can see, operating income increased by $218,000,000 from 2009 to 2010. Is this a significant increase for Coca-Cola?
Answer: Most of us consider $218,000,000 to be a huge amount, but the only way to gauge the true significance of this amount for Coca-Cola is to calculate the percent change from 2009 to 2010. The percent change
Calculated as the current year amount minus the base amount; this is then divided by the base year amount.
is calculated as the current year amount minus the base year amount, divided by the base year amount.
Key Equation
Percent change = (Current year amount – Base year amount) ÷ Base year amount
The calculation that follows shows operating income increased 2.6 percent from 2009 to 2010. Although not an extraordinarily significant increase, this does represent positive results for Coca-Cola.
Percent change = ( Current year amount − Base year amount) ÷ Base year amount 2.6 % = ( $8,449 − $8,231) ÷ $8,231
Trend Analysis for the Income Statement and Balance Sheet
Question: Trend analysis is often used to evaluate each line item on the income statement and balance sheet. How is this analysis prepared?
Answer: Figure 13.1 "Income Statement Trend Analysis for " shows Coca-Cola’s income statement trend analysis, and Figure 13.2 "Balance Sheet Trend Analysis for " shows Coca-Cola’s balance sheet trend analysis. Carefully examine each of these figures, including the comments.
Figure 13.1 Income Statement Trend Analysis for Coca-Cola
Note: Percent change for each line item is found by dividing the increase (decrease) amount by the 2009 amount. For example, net sales 13.3 percent increase equals $4,129 ÷ $30,990.
Figure 13.1 "Income Statement Trend Analysis for " shows that net sales increased by $4,129,000,000, or 13.3 percent. Cost of goods sold had a corresponding increase of $1,605,000,000, or 14.5 percent. The increase in net sales and related increase in cost of goods sold resulted in an increase in gross margin of $2,524,000,000, or 12.7 percent. The increase in selling and administrative expenses of $1,800,000,000, or 15.8 percent, outpaced the increase in net sales, resulting in a relatively small increase in operating income of $218,000,000, or 2.6 percent. The significant increase in other income (expenses), net of 555.6 percent relates to a one-time gain of $4,978,000,000 resulting from Coca-Cola’s acquisition of Coca-Cola Enterprises, Inc., in 2010 (this information comes from the notes to the financial statements). This one-time gain caused an unusually large increase in net income for 2010. This is important as we continue our analysis of Coca-Cola Company throughout the chapter. Net income will appear to have an unusually large increase as we cover various measures of performance, but keep in mind that the one-time gain in 2010 of $4,978,000,000 caused most of the increase from 2009 to 2010.
Figure 13.2 Balance Sheet Trend Analysis for Coca-Cola
Note: Percent change for each line item is found by dividing the increase (decrease) amount by the 2009 amount. For example, cash and cash equivalents 22.4 percent increase equals $2,048 ÷ $9,151.
Current Assets and Current Liabilities
Question: What does the balance sheet trend analysis in Figure 13.2 "Balance Sheet Trend Analysis for " tell us about current assets and current liabilities for Coca-Cola?
Answer: Figure 13.2 "Balance Sheet Trend Analysis for " shows that cash and cash equivalents increased by $2,048,000,000, or 22.4 percent. Coca-Cola’s statement of cash flows would provide detailed information regarding this increase. ( Chapter 12 "How Is the Statement of Cash Flows Prepared and Used?" covers the statement of cash flows.) Marketable securities increased 122.6 percent, accounts receivable increased 17.9 percent, and merchandise inventory increased 12.6 percent. Other current assets increased 42.0 percent.
Moving to current liabilities, accounts payable and accrued liabilities increased by 33.1 percent, loans and notes payable increased 20.0 percent, and other current liabilities decreased 391.7 percent (mostly attributable to a significant increase in the current portion of long-term debt).
Noncurrent Assets and Noncurrent Liabilities
Question: What does the balance sheet trend analysis in Figure 13.2 "Balance Sheet Trend Analysis for " tell us about noncurrent assets and noncurrent liabilities for Coca-Cola?
Answer: Figure 13.2 "Balance Sheet Trend Analysis for " shows that long-term investments increased 11.2 percent. Property, plant, and equipment increased 54.0 percent, and intangible assets increased by a significant 109.8 percent. Both items appearing under noncurrent liabilities increased, with a 177.5 percent increase in long-term debt and a 99.2 percent increase in other liabilities and deferred taxes.
Shareholders’ Equity
Question: What does the balance sheet trend analysis in Figure 13.2 "Balance Sheet Trend Analysis for " tell us about shareholders’ equity for Coca-Cola?
Answer: Common stock increased 16.1 percent, and retained earnings increased 17.8 percent. Accumulated other income (loss) went further into negative territory by 91.5 percent, and treasury stock increased 9.3 percent.
Big Picture Balance Sheet Trend Analysis
Question: What are some of the key big picture items identified in the balance sheet trend analysis shown in Figure 13.2 "Balance Sheet Trend Analysis for "?
Answer: Overall, total assets increased by $24,250,000,000, or 49.8 percent. Of course, total liabilities and shareholders’ equity also increased by the same amount. The increases identified in almost every asset, liability, and shareholders’ equity line item are significant. From reading the notes to the financial statements, the authors were able to identify the main source of these increases. In 2010, Coca-Cola acquired the remaining 67 percent of Coca-Cola Enterprises, Inc.’s (CCE) North America business that Coca-Cola did not already own. This resulted in significant increases in noncurrent assets and noncurrent liabilities, which were acquired as part of this transaction. It also resulted in the reporting of a one-time gain on the income statement of $4,978,000,000, which came from Coca-Cola remeasuring its equity interest in CCE to fair value upon close of the transaction in 2010.
This analysis points to the reason we perform trend analysis—to identify the increases and decreases in dollar amounts from one year to the next and to take a close look at unusual trends.
Trend Analysis over Several Years
Question: The trend analysis just described works well when comparing financial data for two years. However, many prefer to review trends over more than two years. How might a trend analysis for several years be prepared?
Answer: A common approach is to establish the oldest year as the base year and compute future years as a percentage of the base year. For example, Coca-Cola had the following net sales and operating income for each of the past five years (in millions):
2010
2009
2008
2007
2006
Net sales
$35,119
$30,990
$31,944
$28,857
$24,088
Operating income
$ 8,449
$ 8,231
$ 8,446
$ 7,252
$ 6,308
Assuming 2006 is the base year, the trend percentage
Calculated as the current year amount divided by the base year amount.
is calculated for each year using the following formula:
Key Equation
Trend percentage = Current year ÷ Base year
Figure 13.3 "Percentage Trend Analysis for " shows Coca-Cola’s trend percentages for net sales and operating income. Most analysts would expand this analysis to include most, if not all, of the income statement line items.
Figure 13.3 Percentage Trend Analysis for Coca-Cola
Note: Trend percentages are calculated as the current year divided by the base year (2006). For example, the net sales 2010 trend percentage of 146 percent equals $35,119 (net sales for 2010) divided by $24,088 (net sales for the base year 2006).
All percentages shown in Figure 13.3 "Percentage Trend Analysis for " are relative to the base year, which is fiscal year 2006. Notice that the increase in operating income of 34 percent (= 134 percent – 100 percent) from 2006 to 2010 was less than the increase in net sales of 46 percent for the same period. This signals that the increase in Coca-Cola’s operating expenses outpaced the increase in net sales during this period. Figure 13.4 "Five-Year Percentage Trend in Operating Income for " shows the trend percentages in Coca-Cola’s operating income from 2006 to 2010.
Figure 13.4 Five-Year Percentage Trend in Operating Income for Coca-Cola
Key Takeaway
Trend analysis provides a means to analyze company data over a period of time by focusing on the change in specific line items within the income statement and balance sheet. Changes are typically measured in dollars and percentages. Trends over several years can be evaluated by calculating the trend percentage as the current year divided by the base year.
Business in Action 13.1
Trends Presented in Annual Reports
Most public companies present trend information in their annual reports. For example, Intel shows net revenues, gross margin, research and development costs, operating income, and net income for the past five years. Nike and PepsiCo both show the percent change in selected income statement line items for the past two years. Costco Wholesale Corporation presents selected income statement information for the past five years. The fact that these financial data are provided in the annual report confirms the importance of presenting trend information to shareholders.
Sources: Intel, “Annual Report, 2010,” http://www.intel.com; Nike, “Annual Report, 2010,” http://www.nike.com; PepsiCo, “Annual Report, 2010,” http://www.pepsico.com; Costco Wholesale Corporation, “Annual Report, 2010,” http://www.costco.com. | msmarco_doc_00_10198294 |
http://2012books.lardbucket.org/books/an-introduction-to-business-v2.0/s15-operations-management-in-manuf.html | Operations Management in Manufacturing and Service Industries | Chapter 11
Operations Management in Manufacturing and Service Industries
Chapter 11 Operations Management in Manufacturing and Service Industries
The Challenge: Producing Quality Jetboards
11.1 Operations Management in Manufacturing
Learning Objectives
Operations Management in Manufacturing
Planning the Production Process
Production-Method Decisions
Make-to-Order
Mass Production
Mass Customization
Facilities Decisions
Site Selection
Capacity Planning
Key Takeaways
Exercises
11.2 Facility Layouts
Learning Objective
Key Takeaways
Exercise
11.3 Managing the Production Process in a Manufacturing Company
Learning Objective
Purchasing and Supplier Selection
E-Purchasing
Inventory Control
Just-in-Time Production
Material Requirements Planning
Work Scheduling
Key Takeaways
Exercise
11.4 Graphical Tools: PERT and Gantt Charts
Learning Objective
Gantt Charts
PERT Charts
Key Takeaways
Exercise
11.5 The Technology of Goods Production
Learning Objective
Computer-Aided Design
Computer-Aided Manufacturing
Computer-Integrated Manufacturing
Flexible Manufacturing Systems
Key Takeaways
Exercise
11.6 Operations Management for Service Providers
Learning Objectives
Operations Planning
Operations Processes
Facilities
Site Selection
Size and Layout
Capacity Planning
Managing Operations
Scheduling
Inventory Control
Key Takeaways
Exercise
11.7 Producing for Quality
Learning Objective
Quality Management
Customer Satisfaction
Employee Involvement
Continuous Improvement
Statistical Process Control
Benchmarking
International Quality Standards
ISO 9000 and ISO 14000
Outsourcing
Outsourcing in the Manufacturing Sector
Outsourcing in the Service Sector
Key Takeaways
Exercises
11.8 Cases and Problems
Learning on the Web (AACSB)
How to Build a BMW
Career Opportunities
Wanted: Problem Solvers and Creative Thinkers
Ethics Angle (AACSB)
Team-Building Skills (AACSB)
Growing Accustomed to Your Fit
The Global View (AACSB)
What’s the State of Homeland Job Security?
| Operations Management in Manufacturing and Service Industries
Chapter 11 Operations Management in Manufacturing and Service Industries
The Challenge: Producing Quality Jetboards
The product development process can be complex and lengthy. It took sixteen years for Bob Montgomery and others at his company to develop the PowerSki Jetboard, and this involved thousands of design changes. It seemed worth it: the Jetboard, an exciting, engine-propelled personal watercraft that’s a cross between a high-performance surfboard and a competition water-ski/wakeboard, received extensive media attention and earned rave reviews. It was showered with honors, including Time magazine’s “Best Invention of the Year” award. Stories about the Jetboard appeared in more than fifty magazines around the world, and it appeared in several movies, in over twenty-five TV shows, and on YouTube. Jetboard, http;//www,jetboard.com (accessed October 19, 2011); Liquid Blue Features PowerSki Jetboards, YouTube video, 6:50, posted by “powerskijetboard,” March 13, 2008, http://www.youtube.com/watch?v=pyfIXBxC0_A (accessed November 1, 2011); Jetboard, “Publicity,” http://jetboard.com/marketingpublicity.html (accessed November 1, 2011). One reviewer of the Jetboard exclaimed, “Up, up and away. PowerSki's the closest you'll get to being Superman on the water. With 40 hp under your toes, the 100-pound board literally flies. You supply the cape.” Cliff Gromer, “PowerSki Jetboard,” Popular Mechanics, March 2000, http://www.popularmechanics.com/outdoors/adventures/1277611.html (accessed June 1, 2008).
Montgomery and his team at PowerSki enjoyed taking their well-deserved bows for the job they did designing the product. But having a product was only the beginning for the company. The next step was developing a system that would produce high-quality Jetboards at reasonable prices. Before putting this system in place, PowerSki managers had to address several questions: What kind of production process should they use to make the Jetboards? How large should their production facilities be, and where should they be located? How should the plant be laid out? Should every component be made in-house, or should some be furnished by subcontractors? Where should they buy the materials they needed to build Jetboards? What systems would they need to ensure that production was as efficient as possible and that quality standards were maintained? Answering these questions helped PowerSki set up a manufacturing system through which it could accomplish the most important task that it had set for itself: efficiently producing quality Jetboards.
11.1 Operations Management in Manufacturing
Learning Objectives
Define operations management, and discuss the role of the operations manager in a manufacturing company.
Describe the decisions made in planning the production process in a manufacturing company.
Like PowerSki, every organization—whether it produces goods or provides services—sees Job 1 as furnishing customers with quality products. Thus, to compete with other organizations, a company must convert resources (materials, labor, money, information) into goods or services as efficiently as possible. The upper-level manager who directs this transformation process is called an operations manager. The job of operations management (OM)
Management of the process that transforms resources into products.
, then, consists of all the activities involved in transforming a product idea into a finished product, as well as those involved in planning and controlling the systems that produce goods and services. In other words, operations managers manage the process that transforms inputs into outputs. Figure 11.1 "The Transformation Process" illustrates this traditional function of operations management.
Figure 11.1 The Transformation Process
In the rest of this chapter, we’ll discuss the major activities of operations managers. We’ll start by describing the role that operations managers play in the various processes designed to produce goods and offer services. Next, we’ll look at the production of goods in manufacturing firms; then, we’ll describe operations management activities in companies that provide services. We’ll wrap up the chapter by explaining the role of operations management in such processes as quality control and outsourcing.
Operations Management in Manufacturing
Like PowerSki, all manufacturers set out to perform the same basic function: to transform resources into finished goods. To perform this function in today’s business environment, manufacturers must continually strive to improve operational efficiency. They must fine-tune their production processes to focus on quality, to hold down the costs of materials and labor, and to eliminate all costs that add no value to the finished product. Making the decisions involved in the effort to attain these goals is the job of the operations manager. That person’s responsibilities can be grouped as follows:
Production planning. During production planning, managers determine how goods will be produced, where production will take place, and how manufacturing facilities will be laid out.
Production control. Once the production process is under way, managers must continually schedule and monitor the activities that make up that process. They must solicit and respond to feedback and make adjustments where needed. At this stage, they also oversee the purchasing of raw materials and the handling of inventories.
Quality control. Finally, the operations manager is directly involved in efforts to ensure that goods are produced according to specifications and that quality standards are maintained.
Let’s take a closer look at each of these responsibilities.
Planning the Production Process
The decisions made in the planning stage have long-range implications and are crucial to a firm’s success. Before making decisions about the operations process, managers must consider the goals set by marketing managers. Does the company intend to be a low-cost producer and to compete on the basis of price? Or does it plan to focus on quality and go after the high end of the market? Perhaps it wants to build a reputation for reliability. What if it intends to offer a wide range of products? To make things even more complicated, all these decisions involve trade-offs. Upholding a reputation for reliability isn’t necessarily compatible with offering a wide range of products. Low cost doesn’t normally go hand in hand with high quality.
With these factors in mind, let’s look at the specific types of decisions that have to be made in the production planning process. We’ve divided these decisions into those dealing with production methods, site selection, facility layout, and components and materials management.
Production-Method Decisions
The first step in production planning is deciding which type of production process is best for making the goods that your company intends to manufacture. In reaching this decision, you should answer such questions as the following:
How much input do I receive from a particular customer before producing my goods?
Am I making a one-of-a-kind good based solely on customer specifications, or am I producing high-volume standardized goods to be sold later?
Do I offer customers the option of “customizing” an otherwise standardized good to meet their specific needs?
One way to appreciate the nature of this decision is by comparing three basic types of processes or methods: make-to-order, mass production, and mass customization. The task of the operations manager is to work with other managers, particularly marketers, to select the process that best serves the needs of the company’s customers.
Make-to-Order
At one time, most consumer goods, such as furniture and clothing, were made by individuals practicing various crafts. By their very nature, products were customized to meet the needs of the buyers who ordered them. This process, which is called a make-to-order strategy
Production method in which products are made to customer specification.
, is still commonly used by such businesses as print or sign shops that produce low-volume, high-variety goods according to customer specifications.
Mass Production
Figure 11.2
Automakers produce a high volume of cars in anticipation of future demand.
© 2010 Jupiterimages Corporation
By the early twentieth century, however, a new concept of producing goods had been introduced: mass production (or make-to-stock strategy)
Production method in which high volumes of products are made at low cost and held in inventory in anticipation of future demand.
is the practice of producing high volumes of identical goods at a cost low enough to price them for large numbers of customers. Goods are made in anticipation of future demand (based on forecasts) and kept in inventory for later sale. This approach is particularly appropriate for standardized goods ranging from processed foods to electronic appliances.
Mass Customization
But there’s a disadvantage to mass production: customers, as one contemporary advertising slogan puts it, can’t “have it their way.” They have to accept standardized products as they come off assembly lines. Increasingly, however, customers are looking for products that are designed to accommodate individual tastes or needs but can still be bought at reasonable prices. To meet the demands of these consumers, many companies have turned to an approach called mass customization
Production method in which fairly high volumes of customized products are made at fairly low prices.
, which (as the term suggests) combines the advantages of customized products with those of mass production.
This approach requires that a company interact with the customer to find out exactly what the customer wants and then manufacture the good, using efficient production methods to hold down costs. One efficient method is to mass-produce a product up to a certain cut-off point and then to customize it to satisfy different customers.
The list of companies devoting at least a portion of their operations to mass customization is growing steadily. One of the best-known mass customizer is Nike, which has achieved success by allowing customers to configure their own athletic shoes, apparel, and equipment through Nike’s iD program. The Web has a lot to do with the growth of mass customization. Levi’s, for instance, lets a woman find a pair of perfect fitting jeans by going through an online fitting process that first identifies her “curve” type: slight (straight figure), demi (evenly proportioned), bold (curvy figure, which experiences waist gapping in the back), and supreme (curviest shape, which needs a higher rise in the back). Oakley offers customized sunglasses, goggles, watches, and backpacks, while Mars, Inc. can make M&M’s in any color the customer wants (say, school colors) as well as add text and pictures to the candy. See these websites for examples of customized products: Nike ( http://nikeid.nike.com/nikeid/index.jsp ), Levi ( http://us.levi.com/shop/index.jsp?categoryId=4370093 ), Oakley ( http://www.oakley.com/custom ), and Mar’s M&M’s ( http://www.mymms.com/utility.aspx?src=) (accessed November 2, 2011).
Naturally, mass customization doesn’t work for all types of goods. Most people don’t care about customized detergents or paper products (although a customized Kleenex tissue box with your picture on it and a statement that says, “go ahead…cry over me!” might come in handy after a relationship breakup with your significant other. Anita Windisman, “Personalized Packaging: Kleenex Offers Customizable Tissue Boxes,” One of a Kind Publishing, Inc., January 3, 2008, http://blogs.oneofakindpublishing.com/index.php?/archives/77-Personalized-Packaging-Kleenex-Offers Customizable-Tissue-Boxes.html (accessed November 1, 2011).) And while many of us like the idea of customized clothes, footwear, or sunglasses from Levi’s, Nike, or Oakley, we often aren’t willing to pay the higher prices they command.
Facilities Decisions
After selecting the best production process, operations managers must then decide where the goods will be manufactured, how large the manufacturing facilities will be, and how those facilities will be laid out.
Site Selection
In choosing a location, managers must consider several factors:
To minimize shipping costs, both for raw materials coming into the plant and for finished goods going out, managers often want to locate plants close to suppliers, customers, or both.
They generally want to locate in areas with ample numbers of skilled workers.
They naturally prefer locations where they and their families will enjoy living.
They want locations where costs for resources and other expenses—land, labor, construction, utilities, and taxes—are low.
They look for locations with a favorable business climate—one in which, for example, local governments might offer financial incentives (such as tax breaks) to entice them to do business in their locales.
Managers rarely find locations that meet all these criteria. As a rule, they identify the most important criteria and aim at satisfying them. In deciding to locate in San Clemente, California, for instance, PowerSki was able to satisfy three important criteria: (1) proximity to the firm’s suppliers, (2) availability of skilled engineers and technicians, and (3) favorable living conditions. These factors were more important than operating in a low-cost region or getting financial incentives from local government. Because PowerSki distributes its products throughout the world, proximity to customers was also unimportant.
Capacity Planning
Now that you know where you’re going to locate, you have to decide on the quantity of products that you’ll produce. You begin by forecasting demand for your product. As we discussed in Chapter 10 "Product Design and Development", forecasting isn’t easy. To estimate the number of units that you’re likely to sell over a given period, you have to understand the industry that you’re in and estimate your likely share of the market by reviewing industry data and conducting other forms of research.
Once you’ve forecasted the demand for your product, you can calculate the capacity
Maximum number of products that a facility can produce over a given period under normal working conditions.
requirements of your production facility—the maximum number of goods that it can produce over a given time under normal working conditions. In turn, having calculated your capacity requirements, you’re ready to determine how much investment in plant and equipment you’ll have to make, as well as the number of labor hours required for the plant to produce at capacity.
Like forecasting, capacity planning is difficult. Unfortunately, failing to balance capacity and projected demand can be seriously detrimental to your bottom line. If you set capacity too low (and so produce less than you should), you won’t be able to meet demand, and you’ll lose sales and customers. If you set capacity too high (and turn out more units than you should), you’ll waste resources and inflate operating costs.
Key Takeaways
The job of operations management is to oversee the process of transforming resources into goods and services.
The role of operations managers in the manufacturing sector includes production planning, production control, and quality control.
During production planning, managers determine how goods will be produced (production process), where production will take place (site selection), and how manufacturing facilities will be laid out (layout planning).
In selecting the appropriate production process, managers compare three basic methods: make-to-order strategy (goods are made to customer specifications), mass production or make-to-stock strategy (high volumes of goods are made and held in inventory for later sale), and mass customization (high volumes of customized goods are made).
In choosing the site for a company’s manufacturing operations, managers look for locations that minimize shipping costs, have an ample supply of skilled workers, provide a favorable community for workers and their families, offer resources at low cost, and have a favorable business climate.
Managers estimate the quantity of products to be produced by forecasting demand for their product and then calculating the capacity requirements of the production facility—the maximum number of goods that it can produce over a given period under normal working conditions.
Exercises
(AACSB) Analysis
Two former surfers invented a material for surfboards that’s lighter and stronger than anything manufacturers now use. They have received funding to set up a production facility, and they want you to help them select a location. In addition to your recommendation, identify the factors that you considered in reaching your decision.
(AACSB) Analysis
Compare and contrast three common types of production processes: make-to-order, make-to-stock, and mass customization. What are the advantages and disadvantages of each? Why are more companies devoting at least a portion of their operations to mass customization? Identify three goods that could probably be adapted to mass customization and three that probably couldn’t.
11.2 Facility Layouts
Learning Objective
Describe four major types of facility layouts: process, product, cellular, and fixed position.
The next step in production planning is deciding on plant layout
Arrangement in a facility of equipment, machinery, and people to make a production process as efficient as possible.
—how equipment, machinery, and people will be arranged to make the production process as efficient as possible. In this section, we’ll examine four common types of facility layouts: process, product, cellular, and fixed position.
The process layout
Layout that groups together workers or departments that perform similar tasks.
groups together workers or departments that perform similar tasks. Goods in process (goods not yet finished) move from one workstation to another. At each position, workers use specialized equipment to perform a particular step in the production process. To better understand how this layout works, we’ll look at the production process at the Vermont Teddy Bear Company. Let’s say that you just placed an order for a personalized teddy bear—a “hiker bear” with khaki shorts, a white T-shirt with your name embroidered on it, faux-leather hiking boots, and a nylon backpack with sleeping bag. Your bear begins at the fur-cutting workstation, where its honey-brown “fur” coat is cut. It then moves to the stuffing and sewing workstation to get its insides and have its sides stitched together. Next, it moves to the dressing station, where it’s outfitted with all the cool clothes and gear that you ordered. Finally, it winds up in the shipping station and starts its journey to your house. For a more colorful “Online Mini-Tour” of this process, log on to the Vermont Teddy Bear Web site at http://www.vermontteddybear.com/Static/Tour-Welcomestation.aspx (or see Figure 11.3 "Process Layout at Vermont Teddy Bear Company" ).
Figure 11.3 Process Layout at Vermont Teddy Bear Company
In a product layout
Layout in which products are produced by people, equipment, or departments arranged in an assembly line.
, high-volume goods are produced efficiently by people, equipment, or departments arranged in an assembly line —that is, a series of workstations at which already-made parts are assembled. Just Born, a candy maker located in Bethlehem, Pennsylvania, makes a product called Marshmallow Peeps on an assembly line. First, the ingredients are combined and whipped in huge kettles. Then, sugar is added for color. At the next workstation, the mixture—colored warm marshmallow—is poured into baby-chick–shaped molds carried on conveyor belts. The conveyor-belt parade of candy pieces then moves forward to stations where workers add eyes or other details. When the finished candy reaches the packaging area, it’s wrapped for shipment to stores around the world. To take an online tour of the Marshmallow Peeps production process, log on to the Just Born Web site at http://www.justborn.com/get-to-know-us/our-factory (or see Figure 11.4 "Product Layout at Just Born, Inc." ).
Figure 11.4 Product Layout at Just Born, Inc.
Both product and process layouts arrange work by function. At the Vermont Teddy Bear Company, for example, the cutting function is performed in one place, the stuffing-and-sewing function in another place, and the dressing function in a third place. If you’re a cutter, you cut all day; if you’re a sewer, you sew all day: that’s your function. The same is true for the production of Marshmallow Peeps at Just Born: if your function is to decorate peeps, you stand on an assembly line and decorate all day; if your function is packing, you pack all day.
Arranging work by function, however, isn’t always efficient. Production lines can back up, inventories can build up, workers can get bored with repetitive jobs, and time can be wasted in transporting goods from one workstation to another. To counter some of these problems, many manufacturers have adopted a cellular layout
Layout in which teams of workers perform all the tasks involved in building a component, group of related components, or finished product.
, in which small teams of workers handle all aspects of building a component, a “family” of components, or even a finished product. Each team works in a small area, or cell, equipped with everything that it needs to function as a self-contained unit. Machines are sometimes configured in a U-shape, with people working inside the U. Because team members often share duties, they’re trained to perform several different jobs. Teams monitor both the quantity and the quality of their own output. This arrangement often results in faster completion time, lower inventory levels, improved quality, and better employee morale. Cellular manufacturing is used by large manufacturers, such as Boeing, Raytheon, and Pratt & Whitney, Wayne Chaneski, “ Cellular Manufacturing Can Help You,” Modern Machine Shop, August 1, 1998, http://www.mmsonline.com/columns/cellular-manufacturing-can-help-you (accessed November 1, 2011). as well as by small companies, such as Little Enterprise, which makes components for robots. “Better Production—Manufacturing Cell Boosts Profits and Flexibility,” Modern Machine Shop Magazine, May 2001, http://www.mmsonline.com/articles/manufacturing-cell-boosts-profits-and-flexibility (accessed November 2, 2011), Little Enterprises, Inc., http://www.littleent.com/industries.html (accessed November 2, 2011). Figure 11.5 "Cellular Layout" illustrates a typical cellular layout.
Figure 11.5 Cellular Layout
It’s easy to move teddy bears and marshmallow candies around the factory while you’re making them, but what about airplanes or ships? In producing large items, manufacturers use fixed-position layout
Layout in which workers are moved to the product, which stays in one place.
in which the product stays in one place and the workers (and equipment) go to the product. This is the arrangement used by General Housing Corporation in constructing modular homes. Each house is constructed at the company’s factory in Bay City, Michigan, according to the customer’s design. Because carpenters, electricians, plumbers, and others work on each building inside the climate-controlled factory, the process can’t be hindered by weather. Once it’s done, the house is transported in modules to the owner’s building site and set up in one day. For a closer view of General Housing Corporation’s production process, go to the General Housing Web site at http://www.genhouse.com.
Key Takeaways
Managers have several production layout choices, including process, product, cellular, and fixed-position.
The process layout groups together workers or departments that perform similar tasks. At each position, workers use specialized equipment to perform a particular step in the production process.
In a product layout, high-volume goods are produced in assembly-line fashion—that is, a series of workstations at which already-made parts are assembled.
In a cellular layout, small teams of workers handle all aspects of building a component, a “family of components,” or even a finished product.
A fixed-position layout is used to make large items (such as ships or buildings) that stay in one place while workers and equipment go to the product.
Exercise
(AACSB) Analysis
As purchasing manager for a company that flies corporate executives around the world, you’re responsible for buying everything from airplanes to onboard snacks. You plan to visit all the plants that make the things you buy: airplanes, passenger seats, TV/DVDs that go in the back of the passenger seats, and the specially designed uniforms (with embroidered company logos) worn by the flight attendants. What type of layout should you expect to find at each facility—process, product, or fixed-position? What will each layout look like? Why is it appropriate for the company’s production process? Could any of these plants switch to a cellular layout? What would this type of layout look like? What would be its advantages?
11.3 Managing the Production Process in a Manufacturing Company
Learning Objective
Identify the activities undertaken by the operations manager in overseeing the production process in a manufacturing company.
Once the production process is in place, the attention of the operations manager shifts to the daily activities of materials management
All decisions pertaining to the purchase of inputs, the inventory of components and finished products, and the scheduling of production processes.
, which encompass the following activities: purchasing, inventory control, and work scheduling.
Purchasing and Supplier Selection
The process of acquiring the materials and services to be used in production is called purchasing
Process of acquiring materials and services to be used in production.
(or procurement ). For many products, the costs of materials make up about 50 percent of total manufacturing costs. Not surprisingly, then, materials acquisition gets a good deal of the operations manager’s time and attention.
As a rule, there’s no shortage of vendors willing to supply parts and other materials, but the trick is finding the best suppliers. In selecting a supplier, operations managers must consider such questions as the following:
Can the vendor supply the needed quantity of materials at a reasonable price?
Is the quality good?
Is the vendor reliable (will materials be delivered on time)?
Does the vendor have a favorable reputation?
Is the company easy to work with?
Getting the answers to these questions and making the right choices—a process known as supplier selection—is a key responsibility of operations management.
E-Purchasing
Technology is changing the way businesses buy things. Through e-purchasing (or e-procurement ), companies use the Internet to interact with suppliers. The process is similar to the one you’d use to find a consumer good—say, a forty-two-inch LCD high-definition TV—over the Internet. You might start by browsing the Web sites of TV manufacturers, such as Sony or Samsung, or electronics retailers, such as Best Buy. To gather comparative prices, you might go to a comparison-shopping Web site, such as Amazon.com, the world’s largest online retailer. You might even consider placing a bid on eBay, an online marketplace where sellers and buyers come together to do business through auctions. Once you’ve decided where to buy your TV, you’d complete your transaction online, even paying for it electronically.
If you were a purchasing manager using the Internet to buy parts and supplies, you’d follow basically the same process. You’d identify potential suppliers by going directly to private Web sites maintained by individual suppliers or to public Web sites that collect information on numerous suppliers. You could do your shopping through online catalogs, or you might participate in an online marketplace by indicating the type and quantity of materials you need and letting suppliers bid on prices. (Some of these e-marketplaces are quite large. Covisint, for example, which was started by automakers to coordinate online transactions in the auto industry, is used by more than two hundred and fifty thousand suppliers in the auto industry, as well as suppliers in the health care field.) Jingzhi, “Covisint.com,” http://www.sftw.umac.mo/~jzguo/pages/covisint.html (accessed November 2, 2011). Finally, just as you paid for your TV electronically, you could use a system called electronic data interchange (EDI)
Computerized exchange of business transaction documents.
to process your transactions and transmit all your purchasing documents.
The Internet provides an additional benefit to purchasing managers by helping them communicate with suppliers and potential suppliers. They can use the Internet to give suppliers specifications for parts and supplies, encourage them to bid on future materials needs, alert them to changes in requirements, and give them instructions on doing business with their employers. Using the Internet for business purchasing cuts the costs of purchased products and saves administrative costs related to transactions. And it’s faster for procurement and fosters better communications.
Inventory Control
If a manufacturer runs out of the materials it needs for production, then production stops. In the past, many companies guarded against this possibility by keeping large inventories of materials on hand. It seemed like the thing to do at the time, but it often introduced a new problem—wasting money. Companies were paying for parts and other materials that they wouldn’t use for weeks or even months, and in the meantime, they were running up substantial storage and insurance costs.
Most manufacturers have since learned that to remain competitive, they need to manage inventories more efficiently. This task requires that they strike a balance between two threats to productivity: losing production time because they’ve run out of materials, and wasting money because they’re carrying too much inventory. The process of striking this balance is called inventory control
Management of inventory to ensure that a company has enough inventory to keep operations flowing smoothly but not so much that money is being wasted in holding it.
, and companies now regularly rely on a variety of inventory-control methods.
Just-in-Time Production
One method is called just-in-time (JIT) production
System for reducing inventories and costs by requiring suppliers to deliver materials just in time to go into the production process.
: the manufacturer arranges for materials to arrive at production facilities just in time to enter the manufacturing process. Parts and materials don’t sit unused for long periods, and the costs of “holding” inventory are significantly cut. JIT, however, requires considerable communication and cooperation between the manufacturer and the supplier. The manufacturer has to know what it needs, and when. The supplier has to commit to supplying the right materials, of the right quality, at exactly the right time.
Material Requirements Planning
Another method, called material requirements planning (MRP)
Technique of using a computerized program to calculate the quantity of materials needed for production and to reschedule inventory ordering.
, relies on a computerized program both to calculate the quantity of materials needed for production and to determine when they should be ordered or made. Let’s say, for example, that you and several classmates are planning a fund-raising dinner for the local animal shelter. First, you estimate how many people will attend—say, fifty. Next, you plan the menu—lasagna, garlic bread, salad, and cookies. Then, you determine what ingredients you’ll need to make the food. Next, you have to decide when you’ll need your ingredients. You don’t want to make everything on the afternoon of the dinner; some things—like the lasagna and cookies—can be made ahead of time. Nor do you want to buy all your ingredients at the same time; in particular, the salad ingredients would go bad if purchased too far in advance. Once you’ve made all these calculations and decisions, you work out a schedule for the production of your dinner that indicates the order and timing of every activity involved. With your schedule in hand, you can determine when to buy each ingredient. Finally, you do your shopping.
Figure 11.6
Making lasagna requires decision making and calculations to ensure a yummy final product.
© 2010 Jupiterimages Corporation
Though the production process at most manufacturing companies is a lot more complex than planning a dinner (even for fifty), an MRP system is designed to handle similar problems. The program generates a production schedule based on estimated output (your food-preparation timetable for fifty guests), prepares a list of needed materials (your shopping list), and orders the materials (goes shopping).
The basic MRP focuses on material planning, but there’s a more sophisticated system—called manufacturing resource planning (MRP II)
System for coordinating a firm’s material requirements planning activities with the activities of its other functional areas.
—that goes beyond material planning to help monitor resources in all areas of the company. Such a program can, for instance, coordinate the production schedule with HR managers’ forecasts for needed labor.
Work Scheduling
As we’ve seen, manufacturers make profits by transforming inputs (materials and other resources) into outputs (finished goods). We know, too, that production activities, like all business activities, have to be controlled: they have to be monitored to ensure that actual performance satisfies planned performance. In production, the control process starts when operations managers decide not only which goods and how many will be produced, but when. This detailed information goes into a master production schedule (MPS)
Timetable that specifies which and how many products will be produced and when.
. To draw up an MPS, managers need to know where materials are located and headed at every step in the production process. For this purpose, they determine the routing of all materials—that is, the work flow of each item based on the sequence of operations in which it will be used.
Key Takeaways
Once the production process is under way, the attention of the operations manager shifts to the daily activities of materials management, which encompasses materials purchasing, inventory control, and work scheduling.
Because material costs often make up about 50 percent of total manufacturing costs, vendor selection and material acquisition gets a good deal of the operations manager’s time and attention.
In recent years, the purchasing function has been simplified through technology advances, including e-purchasing and electronic data interchange (EDI), which process transactions and transmit purchasing documents.
Commonly used inventory control methods include just-in-time (JIT) production, by which materials arrive just in time to enter the manufacturing process, and material requirements planning (MRP), which uses computer programming to determine material needs.
To schedule jobs, managers create a master production schedule (MPS).
Exercise
What is e-purchasing (or e-procurement)? How does it work? What advantages does it give a purchasing manager? How does it benefit a company? How does it change the relationship between purchasing managers and vendors?
11.4 Graphical Tools: PERT and Gantt Charts
Learning Objective
Explain how to create and use both PERT and Gantt charts.
Because they also need to control the timing of all operations, managers set up schedules: They select jobs to be performed during the production process, assign tasks to work groups, set timetables for the completion of tasks, and make sure that resources will be available when and where they’re needed. There are a number of scheduling techniques. We’ll focus on two of the most common— Gantt and PERT charts.
Gantt Charts
A Gantt chart
Graphical tool for determining the status of projects.
, named after the designer, Henry Gantt, is an easy-to-use graphical tool that helps operations managers determine the status of projects. Let’s say that you’re in charge of making the “hiking bear” that we ordered earlier from the Vermont Teddy Bear Company. Figure 11.7 "Gantt Chart for Vermont Teddy Bear" is a Gantt chart for the production of one hundred of these bears. As you can see, it shows that several activities must be completed before the bears are dressed: the fur has to be cut, stuffed, and sewn; and the clothes and accessories must be made. Our Gantt chart tells us that by day six, all accessories and clothing have been made. The stuffing and sewing, however (which must be finished before the bears are dressed), isn’t scheduled for completion until the end of day eight. As operations manager, you’ll have to pay close attention to the progress of the stuffing and sewing operations to ensure that finished products are ready for shipment by their scheduled date.
Figure 11.7 Gantt Chart for Vermont Teddy Bear
PERT Charts
Gantt charts are useful when the production process is fairly simple and the activities aren’t interrelated. For more complex schedules, operations managers may use PERT charts
Tool for diagramming the activities required to produce a product, specifying the time required to perform each activity in the process, and organizing activities in the most efficient sequence.
. PERT (which stands for Program Evaluation and Review Technique) is designed to diagram the activities required to produce a good, specify the time required to perform each activity in the process, and organize activities in the most efficient sequence. It also identifies a critical path: the sequence of activities that will entail the greatest amount of time. Figure 11.8 "PERT Chart for Vermont Teddy Bear" is a PERT diagram showing the same process for producing one “hiker” bear at Vermont Teddy Bear.
Figure 11.8 PERT Chart for Vermont Teddy Bear
Our PERT chart shows how the activities involved in making a single bear are related. It indicates that the production process begins at the cutting station. Next, the fur that’s been cut for this particular bear moves first to the stuffing and sewing stations and then to the dressing station. At the same time that its fur is moving through this sequence of steps, the bear’s clothes are being cut and sewn and its T-shirt is being embroidered. Its backpack and tent accessories are also being made at the same time. Note that fur, clothes, and accessories all meet at the dressing station, where the bear is dressed and outfitted with its backpack. Finally, the finished bear is packaged and shipped to the customer’s house.
What was the critical path in this process? The path that took the longest amount of time was the sequence that included cutting, stuffing, dressing, packaging, and shipping—a sequence of steps taking sixty-five minutes. If you wanted to produce a bear more quickly, you’d have to save time on this path. Even if you saved the time on any of the other paths—say, the sequence of steps involved in cutting, sewing, and embroidering the bear’s clothes—you still wouldn’t finish the entire job any sooner: the finished clothes would just have to wait for the fur to be stuffed and sewn and moved to the dressing station. In other words, we can gain efficiency only by improving our performance on one or more of the activities along the critical path.
Key Takeaways
Gantt and PERT charts are two of the most common graphical tools used by operations managers to diagram the activities involved in producing goods.
A Gantt chart is an easy-to-use graphical tool that helps operations managers determine the status of projects.
PERT charts are used to diagram the activities required to produce a good, specify the time required to perform each activity in the process, and organize activities in the most efficient sequence.
A PERT chart identifies a critical path—the sequence of activities that will entail the greatest amount of time.
Exercise
(AACSB) Analysis
Earning a college degree requires not only a lot of hard work but also, as you know, a lot of planning. You must, for example, complete a specified number of credits and take many required courses, particularly in your major. Deciding which courses to take and when to take them can be complicated when some of them have prerequisites. A PERT chart—which diagrams the activities required to complete a goal—might help you determine the order in which you should take courses for your major. Pick a major that interests you and find out what courses you’d need to complete it. Then prepare a PERT chart showing all the courses you’d plan to take each semester to complete your major. (For example, if you select the accounting major, include only accounting courses; don’t include your other business courses or your elective courses.) Identify the critical path laid out in your chart. What happens if you fail to take one of your critical-path courses on time?
11.5 The Technology of Goods Production
Learning Objective
Explain how manufacturing companies use technology to produce and deliver goods in an efficient, cost-effective manner.
PowerSki founder and CEO Bob Montgomery spent sixteen years designing the Jetboard and bringing it to production. At one point, in his efforts to get the design just right, he’d constructed thirty different prototypes. Needless to say, this process took a very long time, but even so, Montgomery thought that he could handle the designing of the engine without the aid of a computer. Before long, however, he realized that it was impossible to keep track of all the changes.
Computer-Aided Design
That’s when Montgomery turned to computer technology for help and began using a computer-aided design (CAD)
System using computer technology to create models representing the design of a product.
software package to design not only the engine but also the board itself and many of its components. The CAD program enabled Montgomery and his team of engineers to test the product digitally and work out design problems before moving to the prototype stage.
The sophisticated CAD software allowed Montgomery and his team to put their design paper in a drawer and to start building both the board and the engine on a computer screen. By rotating the image on the screen, they could even view the design from every angle. Having used their CAD program to make more than four hundred design changes, they were ready to test the Jetboard in the water. During the tests, onboard sensors transmitted data to portable computers, allowing the team to make adjustments from the shore while the prototype was still in the water. Nowadays, PowerSki uses collaboration software to transmit design changes to the suppliers of the 340 components that make up the Jetboard.
Computer-Aided Manufacturing
For many companies, the next step is to link CAD to the manufacturing process. A computer-aided manufacturing (CAM)
System using computer technology to control production processes and equipment.
software system determines the steps needed to produce the component and instructs the machines that do the work. Because CAD and CAM programs can “talk” with each other, companies can build components that satisfy exactly the requirements set by the computer-generated model. CAD/CAM systems permit companies to design and manufacture goods faster, more efficiently, and at a lower cost, and they’re also effective in helping firms monitor and improve quality. CAD/CAM technology is used in many industries, including the auto industry, electronics, and clothing.
Computer-Integrated Manufacturing
By automating and integrating all aspects of a company’s operations, computer-integrated manufacturing (CIM)
System in which the capabilities of a CAD/CAM system are integrated with other computer-based functions.
systems have taken the integration of computer-aided design and manufacturing to a higher level—and are in fact revolutionizing the production process. CIM systems expand the capabilities of CAD/CAM. In addition to design and production applications, they handle such functions as order entry, inventory control, warehousing, and shipping. In the manufacturing plant, the CIM system controls the functions of industrial robots
Computer-controlled machine used to perform repetitive tasks that are also hard or dangerous for human workers.
—computer-controlled machines used to perform repetitive tasks that are also hard or dangerous for human workers to perform.
Flexible Manufacturing Systems
Finally, a CIM system is a common element in flexible manufacturing systems (FMS)
System in which computer-controlled equipment is programmed to handle materials used in manufacturing.
, in which computer-controlled equipment can easily be adapted to produce a variety of goods. An FMS has immense advantages over traditional production lines in which machines are set up to produce only one type of good. When the firm needs to switch a production line to manufacture a new product, substantial time and money are often spent in modifying equipment. An FMS makes it possible to change equipment setups merely by reprogramming computer-controlled machines. Such flexibility is particularly valuable to companies that produce customized products.
Key Takeaways
In addition to creating high-quality products, companies must produce and deliver goods and services in an efficient, cost-effective manner.
Sophisticated software systems, including computer-aided design (CAD), computer-aided manufacturing (CAM), computer-integrated manufacturing (CIM), and flexible manufacturing systems (FMS), are becoming increasingly important in this area.
Computer-aided design software (CAD) is used to create models representing the design of a product.
Many companies link CAD systems to the manufacturing process through computer-integrated manufacturing (CIM) systems that not only determine the steps needed to produce components but also instruct machines to do the necessary work.
A CAD/CAM system can be expanded by means of computer-integrated manufacturing (CIM), which integrates various operations (from design through production) with functional activities ranging from order taking to shipping.
A CIM system is a common element in a flexible manufacturing system (FMS), in which computer-controlled equipment can easily be adapted to produce a variety of goods.
Exercise
(AACSB) Analysis
The design and production of both goods and services can be facilitated by various high-tech tools, including CAD, CAM, CIM, and FMS. What does CAD software do, and how does it improve a design process? What is CAM, and why is it beneficial to integrate CAD and CAM programs? How do CIM systems expand the capabilities of CAD/CAM? What is an FMS, and what are its advantages over traditional manufacturing systems?
11.6 Operations Management for Service Providers
Learning Objectives
List the characteristics that distinguish service operations from manufacturing operations.
Describe the decisions made in planning the product delivery process in a service company.
Identify the activities undertaken to manage operations in a service organization.
As the U.S. economy has changed from a goods producer to a service provider, the predominance of the manufacturing sector has declined substantially over the last sixty years. Today, only about 9 percent of U.S. workers are employed in manufacturing, in contrast to 30 percent in 1950. “Avoiding an American ‘Lost Decade,’” The Global Language Monitor, November 3, 2010, http://www.languagemonitor.com/tag/percentage-of-the-non-farm-payroll-in-manufacturing/ (accessed November 2, 2011); William Strauss, “Is U.S. Manufacturing Disappearing?,” Federal Reserve Bank of Chicago, August 19, 2010, http://midwest.chicagofedblogs.org/archives/2010/08/bill_strauss_mf.html#footnote2 (accessed November 2, 2011). Most of us now hold jobs in the service sector, which accounts for 77 percent of U.S. gross domestic product. “International Monetary Fund, World Economic Outlook Database, April 2011: Nominal GDP List of Countries. Data For The Year 2010,” International Monetary Fund, http://www.imf.org/external/pubs/ft/weo/2011/01/weodata/index.aspx (accessed November 2, 2011); Wikipedia, s.v. “List of Countries by GDP Sector Composition,” http://en.wikipedia.org/wiki/List_of_countries_by_GDP_sector_composition (accessed November 2, 2011). Wal-Mart is now America’s largest employer, followed by IBM, United Parcel Service (UPS), McDonald’s, and Target. Not until we drop down to the seventh-largest employer—Hewlett Packard—do we find a company with even a manufacturing component. “America’s Ten Largest Employers,” 24/7 Wall Street, April 10, 2011, http://247wallst.com/2011/04/24/americas-ten-largest-employers/#ixzz1ayiE71Sr (accessed November 2, 2011).
Figure 11.9
Wal-Mart employs more than a million people in the United States.
© 2010 Jupiterimages Corporation
Though the primary function of both manufacturers and service providers is to satisfy customer needs, there are several important differences between the two types of operations. Let’s focus on three of them:
Intangibility. Manufacturers produce tangible products—things that can be touched or handled, such as automobiles and appliances. Service companies provide intangible products, such as banking, entertainment, or education.
Customization. Manufactured goods are generally standardized; one twelve-ounce bottle of Pepsi is the same as any other twelve-ounce bottle of Pepsi. Services, by contrast, are often customized to satisfy the specific needs of a customer. When you go to the barber or the hairdresser, you ask for a haircut that looks good on you because of the shape of your face and the texture of your hair. When you go to the dentist, you ask him or her to fill or pull the tooth that’s bothering you.
Customer contact. You could spend your entire working life assembling cars in Detroit and never meet a customer who bought a car that you helped to make. But if you were a waitress, you’d interact with customers every day. In fact, their satisfaction with your product would be determined in part by the service that you provided. Unlike manufactured goods, many services are bought and consumed at the same time.
Figure 11.10
Here is just one of the over twelve thousand Burger King restaurants across the globe.
Not surprisingly, operational efficiency is just as important in service industries as it is in manufacturing. To get a better idea of the role of operations management in the service sector, we’ll look closely at Burger King (BK), home of the Whopper, and the world’s second-largest restaurant chain. “Press Room,” Burger King, http://www.bk.com/en/us/company-info/press/index.html (accessed November 2, 2011). BK has grown substantially since selling the first Whopper (for $0.37) almost half a century ago. The instant success of the fire-grilled burger encouraged the Miami founders of the company to expand by selling franchises. Today, there are 12,200 BK company- and independently-owned franchised restaurants in seventy-three countries (seven thousand of which are in the United States), and they employ almost forty thousand people. SEC, 10K SEC Filings, Burger King Corporation, August 2010, http://services.corporate-ir.net/SEC.Enhanced/SecCapsule.aspx?c=87140&fid=7105569 (accessed November 3, 2011). More than eleven million customers visit BK each day. “Press Room,” Burger King, http://www.bk.com/en/us/company-info/press/index.html (accessed November 2, 2011).
Operations Planning
When starting or expanding operations, businesses in the service sector must make a number of decisions quite similar to those made by manufacturers:
What services (and perhaps what goods) should they offer?
How will they provide these services?
Where will they locate their business, and what will their facilities look like?
How will they forecast demand for their services?
Let’s see how service firms like BK answer questions such as these. Information on Burger King was obtained from an interview with David Sell, former vice president of Central, Eastern, and Northern Europe divisions and president of Burger King France and Germany.
Operations Processes
Service organizations succeed by providing services that satisfy customers’ needs. Companies that provide transportation, such as airlines, have to get customers to their destinations as quickly and safely as possible. Companies that deliver packages, such as FedEx, must pick up, sort, and deliver packages in a timely manner. Colleges must provide quality educations. Companies that provide both services and goods, such as Domino’s Pizza, have a dual challenge: they must produce a quality good and deliver it satisfactorily.
Service providers that produce goods can, like manufacturers, adopt either a make-to-order or a make-to-stock approach to manufacturing them. BK, which encourages patrons to customize burgers and other menu items, uses a make-to-order approach. BK can customize products because it builds sandwiches one at a time rather than batch-process them. Meat patties, for example, go from the grill to a steamer for holding until an order comes in. Then the patty is pulled from the steamer and requested condiments are added. Finally, the completed sandwich chutes to a counter worker, who gives it to the customer. In contrast, many of BK’s competitors, including McDonald’s, rely on a make-to-stock approach in which a number of sandwiches are made at the same time with the same condiments. If a customer wants, say, a hamburger without onions, he or she has to wait for a new batch of patties to be grilled. The procedure could take up to five minutes, whereas BK can process a special order in thirty seconds.
Like manufacturers, service providers must continuously look for ways to improve operational efficiency. Throughout its sixty-year history, BK has introduced a number of innovations that have helped make the company (as well as the fast-food industry itself) more efficient. BK, for example, was the first to offer drive-through service (which now accounts for 70 percent of its sales Bob Krummert, “Burger King: Headed For A Fast-Casual Flameout?,” Restaurant Hospitality, http://restaurant-hospitality.com/news/burger-king-headed-flameout-1019/ (accessed November 3, 2011). ).
It was also a BK vice president, David Sell, who came up with the idea of moving the drink station from behind the counter so that customers could take over the time-consuming task of filling cups with ice and beverages. BK was able to cut back one employee per day at every one of its more than eleven thousand restaurants. Material costs also went down because customers usually fill cups with more ice, which is cheaper than a beverage. Moreover, there were savings on supply costs because most customers don’t bother with lids, and many don’t use straws. On top of everything else, most customers liked the system (for one thing, it allowed them to customize their own drinks by mixing beverages), and as a result, customer satisfaction went up, as well. Overall, the new process was a major success and quickly became the industry standard.
Facilities
When starting or expanding a service business, owners and managers must invest a lot of time in selecting a location, determining its size and layout, and forecasting demand. A poor location or a badly designed facility can cost customers, and inaccurate estimates of demand for products can result in poor service, excessive costs, or both.
Site Selection
People in the real estate industry often say that the three most important factors to consider when you’re buying a home are location, location, location. The same principle applies when you’re trying to locate a service business. To be successful in a service industry, you need to be accessible to your customers. Some service businesses, such as cable-TV providers, package-delivery services, and e-retailers, go to their customers. Many others, however—hotels, restaurants, stores, hospitals, and airports—have to attract customers to their facilities. These businesses must locate where there’s a high volume of available customers. Let’s see how BK decides where to place a restaurant.
“Through the light and to the right.” This is a favorite catchphrase among BK planners who are looking for a promising spot for a new restaurant (at least in the United States). In picking a location, BK planners perform a detailed analysis of demographics and traffic patterns, yet the most important factor is usually traffic count —the number of cars or people that pass by a specific location in the course of a day. In the United States, where we travel almost everywhere by car, BK looks for busy intersections, interstate interchanges with easy off and on ramps, or such “primary destinations” as shopping malls, tourist attractions, downtown business areas, or movie theaters. In Europe, where public transportation is much more common, planners focus on subway, train, bus, and trolley stops.
Once planners find a site with an acceptable traffic count, they apply other criteria. It must, for example, be easy for vehicles to enter and exit the site, which must also provide enough parking to handle projected dine-in business. Local zoning must permit standard signage, especially along interstate highways. Finally, expected business must be high enough to justify the cost of the land and building.
Size and Layout
Because manufacturers do business out of plants rarely visited by customers, they base the size and layout of their facilities solely on production needs. In the service sector, however, most businesses must design their facilities with the customer in mind: they must accommodate the needs of their customers while keeping costs as low as possible. Performing this twofold task isn’t easy. Let’s see how BK has met the challenge.
For its first three decades, almost all BK restaurants were pretty much the same. They all sat on one acre of land (located “through the light and to the right”), had about four thousand square feet of space, and held seating for seventy customers. All kitchens were roughly the same size. As long as land was cheap and sites were readily available, this system worked well enough. By the early 1990s, however, most of the prime sites had been taken, if not by BK itself, then by one of its fast-food competitors or other businesses needing a choice spot, including gas stations and convenience stores. With everyone bidding on the same sites, the cost of a prime acre of land had increased from $100,000 to over $1 million in a few short years.
To continue growing, BK needed to change the way it found and developed its locations. Planners decided that they had to find ways to reduce the size of a typical BK restaurant. For one thing, they could reduce the number of seats, because the business at a typical outlet had shifted over time from 90 percent inside dining and 10 percent drive-through to a 50-50 split. BK customers tended to be in a hurry, and more customers preferred the convenience of drive-through “dining.”
David Sell (the same executive who had recommended letting customers fill their own drink cups) proposed to save space by wrapping Whoppers in paper instead of serving them in the cardboard boxes that took up too much space in the back room of every restaurant. So BK switched to a single paper wrapper with the label “Whopper” on one side and “Cheese Whopper” on the other. To show which product was inside, employees just folded the wrapper in the right direction. Ultimately, BK replaced pallets piled high with boxes with a few boxes full of wrappers.
Ideas like these helped BK trim the size of a restaurant from four thousand square feet to as little as one thousand. In turn, smaller facilities enabled the company to enter markets that were once cost prohibitive. Now BK could locate profitably in airports, food courts, strip malls, center-city areas, and even schools. The company even designed 10-foot-by-10-foot kiosks that could be transported to special events, stadiums, and concerts.
Capacity Planning
Estimating capacity needs for a service business isn’t the same thing as estimating those of a manufacturer. A manufacturer can predict overall demand, produce the product, store it in inventory, and ship it to a customer when it’s ordered. Service providers, however, can’t store their products for later use: hairdressers can’t “inventory” haircuts, hospitals can’t “inventory” operations, and amusement parks can’t “inventory” roller-coaster rides. Service firms have to build sufficient capacity to satisfy customers’ needs on an “as-demanded” basis. Like manufacturers, service providers must consider many variables when estimating demand and capacity:
How many customers will I have?
When will they want my services (which days of the week, which times of the day)?
How long will it take to serve each customer?
How will external factors, such as weather or holidays, affect the demand for my services?
Figure 11.11
Retailers have to be prepared to accommodate much heavier traffic than normal during the holiday season.
© 2010 Jupiterimages Corporation
Forecasting demand is easier for companies like BK, which has a long history of planning facilities, than for brand-new service businesses. BK can predict sales for a new restaurant by combining its knowledge of customer-service patterns at existing restaurants with information collected about each new location, including the number of cars or people passing the proposed site and the effect of nearby competition.
Managing Operations
Overseeing a service organization puts special demands on managers, especially those running firms, such as hotels, retail stores, and restaurants, that have a high degree of contact with customers. Service firms provide customers with personal attention and must satisfy their needs in a timely manner. This task is complicated by the fact that demand can vary greatly over the course of any given day. Managers, therefore, must pay particular attention to employee work schedules and (in some cases) inventory management. Let’s see how BK deals with these problems.
Scheduling
In manufacturing, managers focus on scheduling the activities needed to transform raw materials into finished goods. In service organizations, they focus on scheduling workers so that they’re available to handle fluctuating customer demand. Each week, therefore, every BK store manager schedules employees to cover not only the peak periods of breakfast, lunch, and dinner, but also the slower periods in between. If he or she staffs too many people, labor cost per sales dollar will be too high. If there aren’t enough employees, customers have to wait in lines. Some get discouraged, and even leave, and many may never come back.
Scheduling is made easier by information provided by a point-of-sale device built into every BK cash register. The register keeps track of every sandwich, beverage, and side order sold by the hour, every hour of the day, every day of the week. Thus, to determine how many people will be needed for next Thursday’s lunch hour, the manager reviews last Thursday’s data, using sales revenue and a specific BK formula to determine the appropriate staffing level. Each manager can adjust this forecast to account for other factors, such as current marketing promotions or a local sporting event that will increase customer traffic.
Inventory Control
Businesses that provide both goods and services, such as retail stores and auto-repair shops, have the same inventory-control problems as manufacturers: keeping levels too high costs money, while running out of inventory costs sales. Technology, such as the point-of-sale registers used at BK, makes the job easier. BK’s system tracks everything sold during a given time and lets each store manager know how much of everything should be kept in inventory. It also makes it possible to count the number of burgers and buns, bags and racks of fries, and boxes of beverage mixes at the beginning or end of each shift. Because there are fixed numbers of supplies—say, beef patties or bags of fries—in each box, employees simply count boxes and multiply. In just a few minutes, the manager knows whether the inventory is correct (and should be able to see if any theft has occurred on the shift).
Key Takeaways
Though the primary function of both manufacturers and service providers is to satisfy customer needs, there are several important differences between the two types of operations.
While manufacturers produce tangible, generally standardized products, service firms provide intangible products that are often customized to satisfy specific needs. Unlike manufactured goods, many services are bought and consumed at the same time.
Operational efficiency is just as important in service industries as it is in manufacturing.
Operations managers in the service sector make many decisions that are similar to those made by manufacturers: they decide which services to offer, how to provide these services, where to locate their businesses, what their facilities will look like, and what the demand will be for their services.
Service providers that produce goods can, like manufacturers, adopt either a make-to-order approach (in which products are made to customer satisfaction) or make-to-stock approach (in which products are made for inventory) to manufacturing them.
Estimating capacity needs for a service business is more difficult than for a manufacturer. Service providers can’t store their services for later use: services must be delivered on an as-needed basis.
Overseeing a service organization puts special demands on managers, especially services requiring a high degree of contact with customers.
Given the importance of personalized service, scheduling workers is more complex in the service industry than in manufacturing. In manufacturing, operations managers focus on scheduling the activities needed to produce goods; in service organizations, they focus on scheduling workers to ensure that enough people are available to handle fluctuating customer demand.
Exercise
(AACSB) Analysis
Starting a new business can be an exciting adventure. Here’s your chance to start a “pretend” business. Select a service business that you’d like to open, and answer these questions. Provide an explanation for each answer:
What services (and perhaps goods) will I provide?
How will I provide these services?
Where will I locate my business?
What will the facilities look like (how large will the facilities be and what will the layout look like)?
How many customers will I serve each day?
When will my customers want my services (which days of the week, which times of the day)?
How long will it take to serve each customer?
Why will my business succeed? Why will my customers return?
11.7 Producing for Quality
Learning Objective
Explain how manufacturing and service companies alike use total quality management and outsourcing to provide value to customers.
What do you do if you get it home and your brand-new DVD player doesn’t work? What if you were late for class because it took you twenty minutes to get a burger and order of fries at the drive-through window of a fast-food restaurant? Like most people, you’d probably be more or less disgruntled. As a customer, you’re constantly assured that when products make it to market, they’re of the highest possible quality, and you tend to avoid brands that have failed to live up to your expectations or to producers’ claims. You’re told that workers in such businesses as restaurants are there to serve you, and you probably don’t go back to establishments where you’ve received poor-quality service.
But what is quality? According to the American Society for Quality, quality
Ability of a product to satisfy customer needs.
refers to “the characteristics of a product or service that bear on its ability to satisfy stated or implied needs.” “Basic Concepts, Definitions,” American Society of Quality, http://asq.org/glossary/q.html (accessed November 3, 2011). When you buy a DVD player, you expect it to play DVDs. When it doesn’t, you question its quality. When you go to a drive-through window, you expect to be served in a reasonable amount of time. If you’re forced to wait, you conclude that you’re the victim of poor-quality service.
Quality Management
To compete today, companies must deliver quality goods and services that satisfy customers’ needs. This is the objective of quality management. Total quality management (TQM)
All the steps taken by a company to ensure that its products satisfy customer needs.
, or quality assurance, includes all the steps that a company takes to ensure that its goods or services are of sufficiently high quality to meet customers’ needs. Generally speaking, a company adheres to TQM principles by focusing on three tasks:
Customer satisfaction
Employee involvement
Continuous improvement
Let’s take a closer look at these three principles.
Customer Satisfaction
Companies that are committed to TQM understand that the purpose of a business is to generate a profit by satisfying customer needs. Thus, they let their customers define quality by identifying and offering those product features that satisfy customer needs. They encourage customers to tell them how to make the right products, both goods and services, that work the right way.
Armed with this knowledge, they take steps to make sure that providing quality is a factor in every facet of their operations—from design, to product planning and control, to sales and service. To get feedback on how well they’re doing, many companies routinely use surveys and other methods to monitor customer satisfaction. By tracking the results of feedback over time, they can see where they need to improve.
Employee Involvement
Successful TQM requires that everyone in the organization, not simply upper-level management, commits to satisfying the customer. When customers wait too long at a drive-through window, it’s the responsibility of a number of employees, not the manager alone. A defective DVD isn’t solely the responsibility of the manufacturer’s quality control department; it’s the responsibility of every employee involved in its design, production, and even shipping. To get everyone involved in the drive for quality assurance, managers must communicate the importance of quality to subordinates and motivate them to focus on customer satisfaction. Employees have to be properly trained not only to do their jobs but also to detect and correct quality problems.
In many companies, employees who perform similar jobs work as teams, sometimes called quality circles
Employees who perform similar jobs and work as teams to identify quality, efficiency, and other work-related problems; to propose solutions; and to work with management in implementing their recommendations.
, to identify quality, efficiency, and other work-related problems, to propose solutions, and to work with management in implementing their recommendations.
Continuous Improvement
An integral part of TQM is continuous improvement
Company’s commitment to making constant improvements in the design, production, and delivery of its products.
: the commitment to making constant improvements in the design, production, and delivery of goods and services. Improvements can almost always be made to increase efficiency, reduce costs, and improve customer service and satisfaction. Everyone in the organization is constantly on the lookout for ways to do things better.
Statistical Process Control
Companies can use a variety of tools to identify areas for improvement. A common approach in manufacturing is called statistical process control
Technique for monitoring production quality by testing sample outputs to ensure that they meet specifications.
. This technique monitors production quality by testing a sample of output to see whether goods in process are being made according to predetermined specifications.
Assume for a moment that you work for Kellogg’s, the maker of Raisin Bran cereal. You know that it’s the company’s goal to pack two scoops of raisins in every box of cereal. How can you test to determine whether this goal is being met? You could use a statistical process control method called a sampling distribution. On a periodic basis, you would take a box of cereal off the production line and measure the amount of raisins in the box. Then you’d record that amount on a control chart designed to compare actual quantities of raisins with the desired quantity (two scoops). If your chart shows that several samples in a row are low on raisins, you’d shut down the production line and take corrective action.
Benchmarking
Sometimes it also helps to look outside the organization for ideas on how to improve operations and to learn how your company compares with others. Companies routinely use benchmarking
Practice of comparing a company’s own performance with that of a company that excels in the same activity.
to compare their performance on a number of dimensions with the performance of other companies that excel in particular areas. Frequent benchmark targets include L.L. Bean, for its superior performance in filling orders; 3M, for its record of introducing innovative products; Motorola, for its success in maintaining consistent quality standards; and Mary Kay Cosmetics, for its skills in inventory control. Charles J. Nuese, Building the Right Things Right (New York: Quality Resources, 1995), 102.
International Quality Standards
As a consumer, wouldn’t you like to know which companies ensure that their products meet quality specifications? Some of us would like to know which companies take steps to protect the environment. Some consumers want to know which companies continuously improve their performance in both of these areas—that is, practice both quality management and environmental management. By the same token, if you were a company doing a good job in these areas, wouldn’t you want potential customers to know? It might be worth your while to find out whether your suppliers were also being conscientious in these areas—and even your suppliers’ suppliers.
ISO 9000 and ISO 14000
Through the International Organization for Standardization (ISO), a nongovernmental agency based in Switzerland, it’s possible to find this kind of information. The resources of this organization will enable you to identify those organizations that have people and processes in place for delivering products that satisfy customers’ quality requirements. You can also find out which organizations work to reduce the negative impact of their activities on the environment. Working with representatives from various countries, the organization has established the ISO 9000
Set of international quality standards established by the International Organization for Standardization.
family of international standards for quality management and the ISO 14000
Set of international standards for environmental management established by the International Organization for Standardization.
family of international standards for environmental management.
ISO standards focus on the way a company does its work, not on its output (though there’s certainly a strong correlation between the way in which a business functions and the quality of its products). Compliance with ISO standards is voluntary, and the certification process is time-consuming and complex. Even so, hundreds of thousands of organizations around the world are ISO 9000 and ISO 14000 certified. “ISO Survey of Certifications,” 2009 International Organization for Standardization, http://www.iso.org/iso/survey2009.pdf (accessed November 2, 2011). ISO certification has become an internationally recognized symbol of quality management and is almost essential to be competitive in the global marketplace.
Outsourcing
PowerSki’s Web site states that “PowerSki International has been founded to bring a new watercraft, the PowerSki Jetboard, and the engine technology behind it, to market.” “About PowerSki International,” PowerSki, http://www.powerski.com/aboutpsi.htm (accessed November 3, 2011). That goal was reached in May 2003, when the firm emerged from a lengthy design period. Having already garnered praise for its innovative product, PowerSki was ready to begin mass-producing Jetboards. At this juncture, the management team made a strategic decision that’s not uncommon in manufacturing today. Rather than producing Jetboards in-house, they opted for outsourcing
Practice of using outside vendors to manufacture all or part of a company’s actual products.
: having outside vendors manufacture the engines, fiberglass hulls, and associated parts. Assembly of the final product took place in a manufacturing facility owned by All American Power Sports in Moses Lake, Washington. This decision doesn’t mean that the company relinquished control over quality; in fact, every component that goes into the PowerSki Jetboard is manufactured to exact specifications set by PowerSki. One advantage of outsourcing its production function is that the management team can thereby devote its attention to refining its product design and designing future products.
Outsourcing in the Manufacturing Sector
Figure 11.12
Outsourcing the production of its engines, hulls, and other components enables PowerSki to reduce the cost of producing each Jetboard through manufacturing efficiencies and lower labor costs. All components that go into the Jetboard are made to PowerSki’s specifications and are inspected upon arrival to ensure that they meet the company’s high-quality standards.
Understandably, outsourcing is becoming an increasingly popular option among manufacturers. For one thing, few companies have either the expertise or the inclination to produce everything needed to make a product. Today, more firms, like PowerSki, want to specialize in the processes that they perform best—and outsource the rest. Like PowerSki, they also want to take advantage of outsourcing by linking up with suppliers located in regions with lower labor costs.
Outsourcing in the Service Sector
Outsourcing is by no means limited to the manufacturing sector. Service companies also outsource many of their noncore functions. Your school, for instance, probably outsources such functions as food services, maintenance, bookstore sales, printing, groundskeeping, security, information-technology (IT) support, and even residence operations.
Key Takeaways
Today, companies that compete in both the manufacturing and service sectors must deliver quality goods and services that satisfy customers’ needs. Many companies achieve this goal by adhering to principles of total quality management (TQM).
Companies using a TQM approach focus on customer satisfaction, engage all members of the organization in quality efforts, and strive for continuous improvement in the design, production, and delivery of goods and services. They also benchmark other companies to find ways to improve their own performance.
To identify areas for improvement, companies can use a technique called statistical process control (SPC), which monitors quality by testing to see whether a sample of output is being made to predetermined specifications.
Another cost-saving approach is outsourcing —having outside vendors manufacture components or even entire products or provide services, such as information-technology support or service center operations.
Outsourcing is an appealing option for companies without the expertise in producing everything needed to make a product or those that want to take advantage of low labor costs in developing countries.
Exercises
(AACSB) Analysis
You know that organizations adhering to the principles of TQM focus on three tasks: customer satisfaction, employee involvement, and continuous improvement. Think about the course-registration process at your school. Does the process appear to be managed according to TQM principles? Is it designed to satisfy the customer (you)? Do employees in the registrar’s office, as well as others involved in the process, focus on customer satisfaction? Does anyone seem to be on the lookout for ways to do things better?
(AACSB) Analysis
Ever wonder how Coca-Cola is made? Go to http://www.coca-colabottling.co.id/eng/ourbusiness/index.php?act=virtualplant to link to Coca-Cola’s Web site to learn how the soda drink is made (and get to play a few games on http://www.coca-colabottling.co.id/eng/funstuff/index.php?act=games ). After gaining an understanding of the production process to make the soda, pretend that you’ve just been hired by Coca-Cola as operations manager for a new bottling plant. Your first assignment is to set up a plant somewhere in the United States. Next, identify the planning decisions you’d make and indicate what you would decide. Now, fast-forward two years to the point where the plant is up and running. What responsibilities do you have at this point? What technologies do you use to make your job easier? Finally, quality control is vital to Coca-Cola. What activities are you responsible for that ensure that the soda made at your plant meets Coca-Cola’s strict quality standards?
11.8 Cases and Problems
Learning on the Web (AACSB)
How to Build a BMW
How’d you like to own a Series 3 BMW? How about a convertible priced at $48,000 for those warm summer days? Or maybe a less expensive coupe for $39,000? Or, if you need more space for hauling camping equipment, dogs, or kids, maybe you would prefer a wagon at $37,000? We can’t help you finance a BMW, but we can show you how they’re made. Go to http://www.bmw-plant-munich.com/ to link to the BMW Web site for a virtual tour of the company’s Munich, Germany, plant.
First, click on “Location” and then on “The Plant in Figures.” Before going any further, answer the following questions:
How many associates (employees) work in the plant?
How many apprentices (trainees) work there? Why does the plant have trainees?
How many cars are made in the plant each day? How many engines?
Next, click on “Production” to open a drop-down list that looks like this:
Fascination Production
Press Shop
Body Shop
Paint Shop
Engine Assembly
Assembly
Click on “Fascination Production,” and watch a video that zips you through the production steps needed to make a BMW. Continue your tour by clicking on each progressive step taken to build a quality car: press shop, body shop, paint shop, engine assembly and final assembly. After reading about and watching the brief video describing the work done in a particular area of the plant, pause and answer the following questions (you will answer this set of questions five times—once for each of these areas of the factory: press shop, body shop, paint shop, engine assembly, and final assembly):
What production steps occurred in this area of the plant?
What technology does BMW use in the production process?
Approximately what percentage of the work was done by people?
What procedures were followed to ensure the production of high-quality vehicles?
Career Opportunities
Wanted: Problem Solvers and Creative Thinkers
If you had a time machine plus a craving for a great hamburger, you could return to the early 1950s and swing by Dick and Mac McDonald’s burger stand in San Bernardino, California. Take a break from eating and watch the people in the kitchen. You’ll see an early application of operations management in the burger industry. Dick and Mac, in an effort to sell more burgers in less time, redesigned their kitchen to use assembly-line procedures. As the number of happy customers grew, word spread about their speedy system, and their business thrived. Curiously, it wasn’t Dick and Mac who made McDonald’s what it is today, but rather a traveling milkshake-mixer salesman named Ray Kroc. He visited the hamburger stand to learn how they could sell twenty thousand shakes a year. When he saw their operations and the lines of people walking away with bags filled with burgers, fries, and shakes, he knew he had a winner. In cooperation with the McDonald brothers, he started selling franchises around the country, and the rest is history.
So, what does this story have to do with a career in operations management? If you’re a problem solver like Dick and Mac (who discovered a way to make burgers faster and cheaper) or a creative thinker like Ray Kroc (who recognized the value in an assembly-line burger production system), then a career in operations management might be for you. The field is broad and offers a variety of opportunities. To get a flavor of the choices available, go to http://www.wetfeet.com/Careers-and-Industries/Careers/Operations.aspx to link to the WetFeet Web site and review the dozen or so operations management positions listed. Provide a brief description of each position. Indicate how interesting you find each position by rating it using a five-point scale (with 1 being uninteresting and 5 being very interesting). Based on your assessment, pick the position you find most interesting and the one you find least interesting. Explain why you made your selections.
Ethics Angle (AACSB)
In many ways, Eastman Kodak (a multinational manufacturer and distributor of photographic equipment and supplies) is a model corporate citizen. Fortune magazine has ranked it as one of the country’s most admired companies, applauding it in particular for its treatment of minorities and women. Its community-affairs programs and contributions have also received praise, but Eastman Kodak remains weak in one important aspect of corporate responsibility: it has consistently received low scores on environmental practices. For example, the watchdog group Scorecard rated Eastman Kodak’s Rochester, New York, facility as the third-worst emitter of airborne carcinogens in the United States. Other reports have criticized the company for dumping cancer-causing chemicals into the nation’s waters.
Go to http://www.kodak.com/US/en/corp/HSE/homepage.jhtml?pd-path=2879/7196 to link to the Eastman Kodak Web site and read its own assessment of its environmental practices. Then answer the following questions:
Based on the information provided on its Web site, how favorable do you feel about Eastman Kodak’s environmental practices?
In what ways is the company responding to criticisms of its environmental practices and improving them?
Do the statements on the Web site mesh with the criticism that the company has received? If not, what accounts for the differences?
Team-Building Skills (AACSB)
Growing Accustomed to Your Fit
Instead of going to the store to try on several pairs of jeans that may or may not fit, wouldn’t it be easier to go online and order a pair of perfect-fitting jeans? Lands’ End has made this kind of shopping possible through mass-customization techniques and some sophisticated technology.
To gain some firsthand experience at shopping for mass-customized goods, have each member of your team go to Nike’s iD site at http://nikeid.nike.com. Each team member should go through the process of customizing a different Nike product but stop right before placing an order. After everyone has gone through the process, get together and write a report in which the team explains exactly what’s entailed by online mass customization and details the process at Nike. Be sure to say which things impressed you and which didn’t. Explain why Nike developed this means of marketing products and, finally, offer some suggestions on how the process could be improved.
The Global View (AACSB)
What’s the State of Homeland Job Security?
Over the past several decades, more and more U.S. manufacturers began outsourcing production to such low-wage countries as Mexico and China. The number of U.S. manufacturing jobs dwindled, and the United States became more of a service economy. People who were directly affected were understandably unhappy about this turn of events, but most people in this country didn’t feel threatened. At least, not until service jobs also started going to countries that, like India, have large populations of well-educated, English-speaking professionals. Today, more technology-oriented jobs, including those in programming and Internet communications, are being outsourced to countries with lower wage rates. And tech workers aren’t alone: the jobs of accountants, analysts, bankers, medical technicians, paralegals, insurance adjusters, and even customer-service representatives have become candidates for overseas outsourcing.
Many U.S. workers are concerned about job security (though the likelihood of a particular individual’s losing a job to an overseas worker is still fairly low). The issues are more complex than merely deciding where U.S. employers should be mailing paychecks, and politicians, economists, business executives, and the general public differ about the causes and consequences of foreign outsourcing. Some people think it’s a threat to American quality of life, while others actually think that it’s a good thing.
Spend some time researching trends in outsourcing. Formulate some opinions, and then answer the following questions:
About what percentage of U.S. jobs have left the country in the last five years? What percentage will probably leave in the next five years?
What kinds of jobs are being outsourced, and where are they going? What kinds of jobs can’t be outsourced?
How does global outsourcing help U.S. businesses? How does it hinder them?
How has the trend in outsourcing manufacturing and service operations to foreign countries helped average Americans? How has it harmed them?
Does overseas outsourcing help or hurt the U.S. economy? In what ways? | msmarco_doc_00_10210601 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s07-01-the-basic-structural-and-funct.html | The Basic Structural and Functional Unit of Life: The Cell | 3.1
The Basic Structural and Functional Unit of Life: The Cell
3.1 The Basic Structural and Functional Unit of Life: The Cell
Learning Objectives
Video 3.1
Tissues, Organs, Organ Systems, and Organisms
An Organism Requires Energy and Nutrient Input
Nutrient and Energy Flow
Key Takeaways
Discussion Starter
| The Basic Structural and Functional Unit of Life: The Cell
3.1 The Basic Structural and Functional Unit of Life: The Cell
Learning Objectives
Diagram the components of a cell.
Describe the organization of the human body.
One cell divides into two, which begins the creation of millions of more cells that ultimately become you.
© Shutterstock
What distinguishes a living organism from an inanimate object? A living organism conducts self-sustaining biological processes. A cell is the smallest and most basic form of life. Robert Hooke, one of the first scientists to use a light microscope, discovered the cell in 1665. In all life forms, including bacteria, plants, animals, and humans, the cell
Basic structural and functional unit of all life.
was defined as the most basic structural and functional unit. Based on scientific observations over the next 150 years, scientists formulated the cell theory
Cells are the most basic building units of life, all living things are composed of cells, and new cells are made from preexisting cells, which divide into two.
, which is used for all living organisms no matter how simple or complex. The cell theory incorporates three principles:
Cells are the most basic building units of life.
All living things are composed of cells.
New cells are made from preexisting cells, which divide into two.
Who you are has been determined because of two cells that came together inside your mother’s womb. The two cells containing all of your genetic information (DNA) united to begin making new life. Cells divided and differentiated into other cells with specific roles that led to the formation of the body’s numerous body organs, systems, blood, blood vessels, bone, tissue, and skin. As an adult, you are comprised of trillions of cells. Each of your individual cells is a compact and efficient form of life—self-sufficient, yet interdependent upon the other cells within your body to supply its needs.
Independent single-celled organisms must conduct all the basic processes of life: it must take in nutrients (energy capture), excrete wastes, detect and respond to its environment, move, breathe, grow, and reproduce. Even a one-celled organism must be organized to perform these essential processes. All cells are organized from the atomic level to all its larger forms. Oxygen and hydrogen atoms combine to make the molecule water (H 2 O). Molecules bond together to make bigger macromolecules. The carbon atom is often referred to as the backbone of life because it can readily bond with four other elements to form long chains and more complex macromolecules. Four macromolecules—carbohydrates, lipids, proteins, and nucleic acids—make up all of the structural and functional units of cells.
Although we defined the cell as the “most basic” unit of life, it is structurally and functionally complex (see Figure 3.1 ). A cell can be thought of as a mini-organism consisting of tiny organs called organelles. The organelles
A structural or functional unit in a cell that is constructed from several macromolecules bonded together.
are structural and functional units constructed from several macromolecules bonded together. A typical animal cell contains the following organelles: the nucleus (which houses the genetic material DNA), mitochondria (which generate energy), ribosomes (which produce protein), the endoplasmic reticulum (which is a packaging and transport facility), and the golgi apparatus (which distributes macromolecules). In addition, animal cells contain little digestive pouches, called lysosomes and peroxisomes, which break down macromolecules and destroy foreign invaders. All of the organelles are anchored in the cell’s cytoplasm via a cytoskeleton. The cell’s organelles are isolated from the surrounding environment by a plasma membrane.
Figure 3.1
The cell is structurally and functionally complex.
Video 3.1
Discovery Video: Cells
(click to see video)
This video describes the importance of cells in the human body.
Tissues, Organs, Organ Systems, and Organisms
Unicellular (single-celled) organisms can function independently, but the cells of multicellular organisms are dependent upon each other and are organized into five different levels in order to coordinate their specific functions and carry out all of life’s biological processes.
Cells. Cells are the basic structural and functional unit of all life. Examples include red blood cells and nerve cells.
Tissues. Tissues
A group of cells that share a common structure and function and that work together.
are groups of cells that share a common structure and function and work together. There are four types of human tissues: connective, which connects tissues; epithelial, which lines and protects organs; muscle, which contracts for movement and support; and nerve, which responds and reacts to signals in the environment.
Organs. Organs
A group of tissues arranged in a specific manner to support a common function.
are a group of tissues arranged in a specific manner to support a common physiological function. Examples include the brain, liver, and heart.
Organ systems. Organ systems
Two or more organs that support a specific physiological function.
are two or more organs that support a specific physiological function. Examples include the digestive system and central nervous system. There are eleven organ systems in the human body (see Table 3.1 "The Eleven Organ Systems in the Human Body and Their Major Functions" ).
Organism. An organism
The complete living system capable of conducting all basic life processes.
is the complete living system capable of conducting all of life’s biological processes.
Table 3.1 The Eleven Organ Systems in the Human Body and Their Major Functions
Organ System
Organ Components
Major Function
Circulatory
heart, blood/lymph vessels, blood, lymph
Transport nutrients and waste products
Digestive
mouth, esophagus, stomach, intestines
Digestion and absorption
Endocrine
all glands (thyroid, ovaries, pancreas)
Produce and release hormones
Immune
white blood cells, lymphatic tissue, marrow
Defend against foreign invaders
Integumentary
skin, nails, hair, sweat glands
Protective, body temperature regulation
Muscular
skeletal, smooth, and cardiac muscle
Body movement
Nervous
brain, spinal cord, nerves
Interprets and responds to stimuli
Reproductive
gonads, genitals
Reproduction and sexual characteristics
Respiratory
lungs, nose, mouth, throat, trachea
Gas exchange
Skeletal
bones, tendons, ligaments, joints
Structure and support
Urinary
kidneys, bladder, ureters
Waste excretion, water balance
Figure 3.2 Organ Systems in the Human Body
© Networkgraphics
An Organism Requires Energy and Nutrient Input
Energy is required in order to build molecules into larger macromolecules, and to turn macromolecules into organelles and cells, and then turn those into tissues, organs, and organ systems, and finally into an organism. Proper nutrition provides the necessary nutrients to make the energy that supports life’s processes. Your body builds new macromolecules from the nutrients in food.
Nutrient and Energy Flow
Energy is stored in a nutrient’s chemical bonds. Energy comes from sunlight, which plants then capture and, via photosynthesis, use it to transform carbon dioxide in the air into the molecule, glucose. When the glucose bonds are broken, energy is released. Bacteria, plants, and animals (including humans) harvest the energy in glucose via a biological process called cellular respiration
The process by which the stored chemical energy in nutrients is transformed into cellular energy.
. In this process the chemical energy of glucose is transformed into cellular energy in the form of the molecule, adenosine triphosphate (ATP). Cellular respiration requires oxygen (aerobic) and it is provided as a waste product of photosynthesis. The waste products of cellular respiration are carbon dioxide (CO 2) and water, which plants use to conduct photosynthesis again. Thus, energy is constantly cycling between plants and animals. As energy is consumed nutrients are recycled within it.
Plants harvest energy from the sun and capture it in the molecule, glucose. Humans harvest the energy in glucose and capture it into the molecule, ATP.
In this section, we have learned that all life is composed of cells capable of transforming small organic molecules into energy. How do complex organisms such as humans convert the large macromolecules in the foods that we eat into molecules that can be used by cells to make cellular energy? In the next section, we will discuss the physiological process of digestion to answer this question.
Key Takeaways
The cell is the basic structural and functional unit of life. Cells are independent, single-celled organisms that take in nutrients, excrete wastes, detect and respond to their environment, move, breathe, grow, and reproduce. The macromolecules carbohydrates, proteins, lipids, and nucleic acids make up all of the structural and functional units of cells.
In complex organisms, cells are organized into five levels so that an organism can conduct all basic processes associated with life.
There are eleven organ systems in the human body that work together to support life, all of which require nutrient input.
Energy is constantly cycling between plants and animals. As energy is consumed nutrients are recycled within it.
Discussion Starter
Discuss the importance of organization in the human body. If the body becomes disorganized by a disease or disorder what happens to its function? Can you think of a good example (what about leg fracture and movement)? | msmarco_doc_00_10305283 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s07-04-energy-and-calories.html | Energy and Calories | 3.4
Energy and Calories
3.4 Energy and Calories
Learning Objective
The Calorie Is a Unit of Energy
Estimating Caloric Content
Interactive 3.2
Estimating the Amount of Energy from Each Macronutrient
Key Takeaways
Discussion Starter
| Energy and Calories
3.4 Energy and Calories
Learning Objective
Estimate your total daily caloric /energy needs based upon your physical activity level.
Energy
The quantity of work a particular system can perform.
is essential to life. You must eat to have energy. You must go to bed at a decent time, so that when you wake up in the morning, you will not be too tired and you will have sufficient energy for the next day’s activities. Energy is also everywhere in our environment: sunlight, wind, water, plants, and animals. All living things use energy every day. Energy can be defined as the quantity of work a particular system can perform, whether it be a growing child’s body or a train transporting passengers from one place to another. Energy also helps us perform daily functions and tasks such as breathing, walking up a flight of steps, and studying for a test.
Energy is classified as either potential or kinetic. Potential energy
Stored energy.
is stored energy, or energy waiting to happen. Kinetic energy
Moving energy.
is energy in motion. To illustrate this, think of an Olympic swimmer standing at the pool’s edge awaiting the sound of the whistle to begin the race. While he waits for the signal, he has potential energy. When the whistle sounds and he dives into the pool and begins to swim, his energy is kinetic (in motion).
Some basic forms of energy are:
Thermal (heat) energy. We can say that a cup of hot tea has thermal energy. Thermal energy is defined as the collective, microscopic, kinetic, and potential energy of the molecules within matter. In a cup of tea, the molecules have kinetic energy because they are moving and oscillating, but they also possess potential energy due to their shared attraction to each other.
Chemical energy. In your body, blood sugar (glucose) possesses chemical energy
Potential energy in chemical bonds.
. When glucose reacts chemically with oxgen, energy is released from the glucose. Once the energy is released, your muscles will utilize it to produce mechanical force and heat.
Electrochemical energy. In the body, electrical impulses travel to and from the brain encoded as nerve impulses. Once the brain receives an electrical impulse it causes the release of a messenger chemical (glutamate, for example). This in turn facilitates electrical impulses as they move from one neuron to another.
The Calorie Is a Unit of Energy
The amount of energy in nutrients can be quantified into specific units that can be measured. The unit of measurement that defines the energy contained in a energy-yielding nutrient is called a calorie. A calorie
A unit of energy; equivalent to the amount of energy required to heat 1 gram of water 1 degree Celsius.
is the amount of energy in the form of heat that is required to heat one gram of water one degree Celsius. To measure the number of calories in a particular food substance, a certain amount of food is burned in a device called a calorimeter. As the food burns, heat is created. The heat dissipates to the surrounding water while a thermometer detects the change in temperature of the water. You can even perform calorimetry at home with a more basic device. However, it is not likely that you will use this device to measure calorie content in the foods that you eat since mathematical formulas have been developed to estimate caloric content.
Estimating Caloric Content
The energy contained in energy-yielding nutrients differs because the energy-yielding nutrients are composed of different types of chemical bonds. A carbohydrate or a protein yields 4 kilocalories per gram, whereas a lipid yields 9 kilocalories per gram. A kilocalorie (Calorie)
A kilocalorie is the amount of heat generated by a particular macronutrient that raises the temperature of 1 kilogram of water 1 degree Celsius (this is what is denoted on the Nutrition Facts panel).
is the amount of heat generated by a particular macronutrient that raises the temperature of 1 kilogram of water 1 degree Celsius. A kilocalorie of energy performs one thousand times more work than a calorie. On the Nutrition Facts panel, the calories within a particular food are expressed as kilocalories, which is commonly denoted as “Calories” with a capital “C” (1 kcal = 1 Calorie = 1,000 calories).
Calculating the number of Calories in commercially prepared food is made fairly easy since the total number of Calories in a serving of a particular food is listed on the Nutrition Facts panel. If you wanted to know the number of Calories in the breakfast you consumed this morning just add up the number of Calories in each food. For example, if you ate one serving of yogurt that contained 150 Calories, on which you sprinkled one half of a cup of low-fat granola cereal that contained 209 Calories, and drank a glass of orange juice that contained 100 Calories, the total number of Calories you consumed at breakfast is 150 + 209 + 100 = 459 Calories. If you do not have a Nutrition Facts panel for a certain food, such as a half cup of blueberries, and want to find out the amount of Calories it contains, go to MyFood-a-pedia, a website maintained by the USDA (see Note 3.48 "Interactive 3.2" ).
Interactive 3.2
My Food-a-pedia is a tool that calculates the Calories in foods. It also compares the caloric content between foods.
http://apps.usa.gov/myfood-a-pedia.shtml
Estimating the Amount of Energy from Each Macronutrient
Also listed on the Nutrition Facts panel are the amounts of total fat, total carbohydrate, and protein in grams. To calculate the contribution of each macronutrient to the total kilocalories in a serving, multiply the number of grams by the number of kilocalories yielded per gram of nutrient. For instance, from the Nutrition Facts panel for yogurt given in Figure 3.7 "A Nutrition Facts Panel for Yogurt", the protein content in one serving is 7 grams. Protein yields 4 kilocalories per gram. The number of kilocalories from protein is calculated by using the following equation:
# of grams of protein × 4 kilocalories/gram of protein 7 grams × 4 kilocalories/gram = 28 kilocalories
Figure 3.7 A Nutrition Facts Panel for Yogurt
Because the total number of kilocalories in each serving of yogurt is 150, the percent of energy obtained from protein is calculated by using the following equation:
(# kilocalories from protein ÷ total kilocalories per serving) × 100 (28 ÷ 150) × 100 = 18.7 percent
Key Takeaways
Energy is vital to life and is categorized into two types—kinetic and potential. There are also different forms of energy such as thermal, chemical, and electrochemical.
Calories are a measurement of a specific quantity of energy contained in foods. The number of calories contained in a commercially prepared food is listed on the Nutrition Facts panel.
Discussion Starter
Estimate the total number of kilocalories that you have eaten so far today. What percentage of the kilocalories you consumed was obtained from carbohydrates? Protein? Fat? | msmarco_doc_00_10315632 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s08-02-digestion-and-absorption-of-ca.html | Digestion and Absorption of Carbohydrates | 4.2
Digestion and Absorption of Carbohydrates
4.2 Digestion and Absorption of Carbohydrates
Learning Objective
From the Mouth to the Stomach
From the Stomach to the Small Intestine
Absorption: Going to the Blood Stream
Maintaining Blood Glucose Levels: The Pancreas and Liver
Leftover Carbohydrates: The Large Intestine
A Carbohydrate Feast
Glycemic Index
Interactive 4.1
Balancing the Thanksgiving Feast
Key Takeaways
Discussion Starters
| Digestion and Absorption of Carbohydrates
4.2 Digestion and Absorption of Carbohydrates
Learning Objective
Discuss how carbohydrates are digested and absorbed in the human body.
Whole grains provide satisfaction from the beginning to the end of the digestion process.
© Thinkstock
Sweetness is one of the five basic taste sensations of foods and beverages and is sensed by protein receptors in cells of the taste buds. Fast-releasing carbohydrates stimulate the sweetness taste sensation, which is the most sensitive of all taste sensations. Even extremely low concentrations of sugars in foods will stimulate the sweetness taste sensation. Sweetness varies between the different carbohydrate types—some are much sweeter than others. Fructose is the top naturally occurring sugar in sweetness value. See Table 4.1 "Sweetness Comparison of Carbohydrates" for sweetness comparisons among different naturally-occurring carbohydrates. Sweetness is a pleasurable sensation and some people enjoy the taste more than others. In a colloquial sense we identify such people as having a “sweet tooth.” This does not mean that the less-sweet whole grains containing more starches and fiber are less satisfying. Whole grains take longer to chew and get sweeter the more you chew them. Additionally, once in the stomach, whole-grain foods take longer to digest, and keep you full longer. Remember too that they contain fiber which makes elimination much smoother. Whole-grain foods satisfy the body the entire way through the digestive tract and provide the nutrients that also better satisfy the body’s functional needs.
Table 4.1 Sweetness Comparison of Carbohydrates
Carbohydrate
Sweetness (percentage of sucrose)
Sucrose
100
Glucose
74
Galactose
33
Fructose
173
Maltose
33
Lactose
16
Starch
0
Fiber
0
Source: Carter, J. Stein. “Carbohydrates.” © 1996 by J. Stein Carter. All rights reserved. http://www.biology.clc.uc.edu/courses/bio104/carbohydrates.htm.
From the Mouth to the Stomach
The mechanical and chemical digestion of carbohydrates begins in the mouth. Chewing, also known as mastication, crumbles the carbohydrate foods into smaller and smaller pieces. The salivary glands in the oral cavity secrete saliva that coats the food particles. Saliva contains the enzyme, salivary amylase
Enzyme secreted by the salivary glands in the mouth that breaks down carbohydrates by breaking the glycosidic bonds between monomers.
. This enzyme breaks the bonds between the monomeric sugar units of disaccharides, oligosaccharides
A carbohydrate that is a chain of a few (between three and ten) monosaccharides.
, and starches. The salivary amylase breaks down amylose and amylopectin into smaller chains of glucose, called dextrins and maltose. The increased concentration of maltose in the mouth that results from the mechanical and chemical breakdown of starches in whole grains is what enhances their sweetness. Only about five percent of starches are broken down in the mouth. (This is a good thing as more glucose in the mouth would lead to more tooth decay.) When carbohydrates reach the stomach no further chemical breakdown occurs because the amylase enzyme does not function in the acidic conditions of the stomach. But mechanical breakdown is ongoing—the strong peristaltic contractions of the stomach mix the carbohydrates into the more uniform mixture of chyme.
Salivary glands secrete salivary amylase, which begins the chemical breakdown of carbohydrates by breaking the bonds between monomeric sugar units.
From the Stomach to the Small Intestine
The chyme is gradually expelled into the upper part of the small intestine. Upon entry of the chyme into the small intestine, the pancreas releases pancreatic juice through a duct. This pancreatic juice contains the enzyme, pancreatic amylase
Enzyme secreted by the pancreas that breaks down carbohydrates in the small intestine by breaking the glycosidic bonds between monomers.
, which starts again the breakdown of dextrins into shorter and shorter carbohydrate chains. Additionally, enzymes are secreted by the intestinal cells that line the villi. These enzymes, known collectively as disaccharides, are sucrase, maltase, and lactase. Sucrase breaks sucrose into glucose and fructose molecules. Maltase breaks the bond between the two glucose units of maltose, and lactase breaks the bond between galactose and glucose. Once carbohydrates are chemically broken down into single sugar units they are then transported into the inside of intestinal cells.
When people do not have enough of the enzyme lactase, lactose is not sufficiently broken down resulting in a condition called lactose intolerance
A condition in which there is incomplete digestion of lactose. It is caused by a deficiency in the enzyme, lactase. Symptoms include diarrhea, bloating, and abdominal cramps.
. The undigested lactose moves to the large intestine where bacteria are able to digest it. The bacterial digestion of lactose produces gases leading to symptoms of diarrhea, bloating, and abdominal cramps. Lactose intolerance usually occurs in adults and is associated with race. The National Digestive Diseases Information Clearing House states that African Americans, Hispanic Americans, American Indians, and Asian Americans have much higher incidences of lactose intolerance while those of northern European descent have the least. National Digestive Diseases Information Clearing House. “Lactose Intolerance.” Last updated April 23, 2012. http://digestive.niddk.nih.gov/ddiseases/pubs/lactoseintolerance/. Most people with lactose intolerance can tolerate some amount of dairy products in their diet. The severity of the symptoms depends on how much lactose is consumed and the degree of lactase deficiency.
Absorption: Going to the Blood Stream
The cells in the small intestine have membranes that contain many transport proteins in order to get the monosaccharides and other nutrients into the blood where they can be distributed to the rest of the body. The first organ to receive glucose, fructose, and galactose is the liver. The liver takes them up and converts galactose to glucose, breaks fructose into even smaller carbon-containing units, and either stores glucose as glycogen or exports it back to the blood. How much glucose the liver exports to the blood is under hormonal control and you will soon discover that even the glucose itself regulates its concentrations in the blood.
Carbohydrate digestion begins in the mouth and is most extensive in the small intestine. The resultant monosaccharides are absorbed into the bloodstream and transported to the liver.
Maintaining Blood Glucose Levels: The Pancreas and Liver
Glucose levels in the blood are tightly controlled, as having either too much or too little glucose in the blood can have health consequences. Glucose regulates its levels in the blood via a process called negative feedback. An everyday example of negative feedback is in your oven because it contains a thermostat. When you set the temperature to cook a delicious homemade noodle casserole at 375°F the thermostat senses the temperature and sends an electrical signal to turn the elements on and heat up the oven. When the temperature reaches 375°F the thermostat senses the temperature and sends a signal to turn the element off. Similarly, your body senses blood glucose levels and maintains the glucose “temperature” in the target range. The glucose thermostat is located within the cells of the pancreas. After eating a meal containing carbohydrates glucose levels rise in the blood.
Insulin-secreting cells in the pancreas sense the increase in blood glucose and release the hormonal message, insulin, into the blood. Insulin sends a signal to the body’s cells to remove glucose from the blood by transporting to the insides of cells and to use it to make energy or for building macromolecules. In the case of muscle tissue and the liver, insulin sends the biological message to store glucose away as glycogen. The presence of insulin in the blood signifies to the body that it has just been fed and to use the fuel. Insulin has an opposing hormone called glucagon. As the time after a meal increases, glucose levels decrease in the blood. Glucagon-secreting cells in the pancreas sense the drop in glucose and, in response, release glucagon into the blood. Glucagon communicates to the cells in the body to stop using all the glucose. More specifically, it signals the liver to break down glycogen and release the stored glucose into the blood, so that glucose levels stay within the target range and all cells get the needed fuel to function properly.
Leftover Carbohydrates: The Large Intestine
Almost all of the carbohydrates, except for dietary fiber and resistant starches, are efficiently digested and absorbed into the body. Some of the remaining indigestible carbohydrates are broken down by enzymes released by bacteria in the large intestine. The products of bacterial digestion of these slow-releasing carbohydrates are short-chain fatty acids and some gases. The short-chain fatty acids are either used by the bacteria to make energy and grow, are eliminated in the feces, or are absorbed into cells of the colon, with a small amount being transported to the liver. Colonic cells use the short-chain fatty acids to support some of their functions. The liver can also metabolize the short-chain fatty acids into cellular energy. The yield of energy from dietary fiber is about 2 kilocalories per gram for humans, but is highly dependent upon the fiber type, with soluble fibers and resistant starches yielding more energy than insoluble fibers. Since dietary fiber is digested much less in the gastrointestinal tract than other carbohydrate types (simple sugars, many starches) the rise in blood glucose after eating them is less, and slower. These physiological attributes of high-fiber foods (i.e. whole grains) are linked to a decrease in weight gain and reduced risk of chronic diseases, such as Type 2 diabetes and cardiovascular disease.
A Carbohydrate Feast
Thanksgiving dinner: A feast of high-carbohydrate foods.
© Shutterstock
It’s Thanksgiving and you have just consumed turkey with mashed potatoes, stuffing smothered in gravy, green beans topped with crispy fried onions, a hot roll dripping with butter, and cranberry sauce. Less than an hour later you top it all off with a slice of pumpkin pie and then lie down on the couch to watch the football game. What happens in your body after digesting and absorbing the whopping amount of nutrients in this Thanksgiving feast? The “hormone of plenty,” insulin, answers the nutrient call. Insulin sends out the physiological message that glucose and everything else is in abundant supply in the blood, so cells absorb and then use or store it. The result of this hormone message is maximization of glycogen stores and all the excess glucose, protein, and lipids are stored as fat.
Figure 4.4
The glycemic index measures the effects of foods on blood-glucose levels.
A typical American Thanksgiving meal contains many foods that are dense in carbohydrates, with the majority of those being simple sugars and starches. These types of carbohydrate foods are rapidly digested and absorbed. Blood glucose levels rise quickly causing a spike in insulin levels. Contrastingly, foods containing high amounts of fiber are like time-release capsules of sugar. A measurement of the effects of a carbohydrate-containing food on blood-glucose levels is called the glycemic response ( Figure 4.4 ).
Glycemic Index
The glycemic responses of various foods have been measured and then ranked in comparison to a reference food, usually a slice of white bread or just straight glucose, to create a numeric value called the glycemic index (GI)
A measurement of the effects of carbohydrate-containing foods on blood-glucose levels.
. Foods that have a low GI do not raise blood-glucose levels neither as much nor as fast as foods that have a higher GI. A diet of low-GI foods has been shown in epidemiological and clinical trial studies to increase weight loss and reduce the risk of obesity, Type 2 diabetes, and cardiovascular disease. Brand-Miller, J., PhD, et al. “Dietary Glycemic Index: Health Implications.” J Am Coll Nutr 28, no. 4, supplement (2009): 446S–49S. http://www.jacn.org/content/28/4_Supplement_1/446S.long.
Table 4.2 The Glycemic Index: Foods in Comparison to Glucose
Foods
GI Value
Low GI Foods (< 55)
Apple
44
Pear
38
Banana (under-ripe)
51
Grapefruit
25
Barley
25
Navy beans
38
Green peas
48
Oat bran (Quaker Oats)
50
Spaghetti (whole wheat)
37
Mashed sweet potatoes
54
Baked beans
48
Butter beans
44
Banana bread
47
Bread (sourdough)
52
Soy milk
31
Skim milk
32
Whole milk
27
Yogurt (sweetened)
33
Yogurt (plain, artificial sweetener)
14
Medium GI Foods (56–69)
Apricots
57
Cantaloupe
65
Mashed potatoes
70
Whole-wheat pita bread
57
Whole-wheat bread
69
Couscous
65
Brown rice
55
Cheese pizza
60
Rye bread
65
Hamburger bun
61
Black bean soup
64
Macaroni and cheese
64
Coca-Cola
63
High GI Foods (70 and higher)
Dates
103
Banana (over-ripe)
82
Parsnips
97
Corn chips
72
Pretzels
83
White bread
70
White rice
72
Spaghetti (durum flour)
78
White rice (instant)
87
French baguette
95
Bagel
72
Bread stuffing
74
Cheerios
74
Cream of wheat
71
Raisin Bran
73
Fruit roll-up
99
Gatorade
78
Source: University of Sydney. Glycemic Index Database. © 2011 The University of Sydney, all rights reserved. http://www.glycemicindex.com/.
The carbohydrate type within a food affects the GI, but so does its fat and fiber content (which reduce the GI). Increased fat and fiber in foods increases the time required for digestion and delays the rate of gastric emptying into the small intestine. Processing and cooking additionally affect a food’s GI by increasing their digestibility. Advancements in the technologies of food processing and the high consumer demand for convenient, precooked foods in the United States have created foods that are digested and absorbed more rapidly, independent of the fiber content. Modern breakfast cereals, breads, pastas, and many prepared foods have a high GI. In contrast, most raw foods have a lower GI. (However, the more ripened a fruit or vegetable is, the higher its GI.) Table 4.2 "The Glycemic Index: Foods in Comparison to Glucose" provides the GI for various foods. The GI can be used as a guide for choosing healthier carbohydrate choices but has some limitations. One is that the GI does not take into account the amount of carbohydrates in a portion of food, only the type of carbohydrate. Another is that combining low- and high-GI foods changes the GI for the meal. Also, some nutrient-dense foods have higher GIs than less nutritious food. (For instance, oatmeal has a higher GI than chocolate because the fat content of chocolate is higher.) Lastly, meats and fats do not have a GI since they do not contain carbohydrates.
Interactive 4.1
Visit this online database of glycemic indices of foods.
http://www.gilisting.com/
Balancing the Thanksgiving Feast
To balance the high-GI foods on the Thanksgiving table with low-GI foods, follow some of these suggestions:
Serve a winter fruit salad.
Leave the skins on the potatoes. The skin contains fiber and adds texture to mashed potatoes. Do not use instant potatoes.
Instead of canned green beans with cream of mushroom soup and fried onions for a side dish, combine butter beans and green peas for a colorful, low-GI food.
Make your stuffing with whole-grain bread and add mushrooms and extra celery and onions.
Try a new low-sugar pumpkin pie recipe and make the crust from whole-grain flour.
Offer homemade banana bread for dessert.
Balance the high-GI foods at the Thanksgiving table with low-GI foods.
© Shutterstock
Key Takeaways
Carbohydrate digestion begins in the mouth with the mechanical action of chewing and the chemical action of salivary amylase. Carbohydrates are not chemically broken down in the stomach, but rather in the small intestine. Pancreatic amylase and the disaccharidases finish the chemical breakdown of digestible carbohydrates.
The monosaccharides are absorbed into the bloodstream and delivered to the liver.
Some of the indigestible carbohydrates are digested by bacteria in the large intestine.
Glucose itself participates in regulating its levels in the blood. Not all carbohydrates have the same effect on blood-glucose levels. The glycemic response is a measurement of the effects of a carbohydrate-containing food on blood-glucose levels.
Discussion Starters
Experience the taste sensations of different carbohydrates. What are some foods that satisfy your sweetness sensation?
Even though fiber contains calories, albeit less than half of other carbohydrates, why do we generally discount its caloric contribution from our diets?
How long a person feels full after eating a carbohydrate-rich meal depends on the type of carbohydrate consumed and what other nutrients are in the meal. Conduct an experiment and determine how long you feel full after eating a candy bar; after eating a slice of whole-grain bread; after eating an apple; and after eating a potato. Compare your results with your classmates and discuss why some of these carbohydrate foods make you feel full longer than others. | msmarco_doc_00_10323150 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s08-03-the-functions-of-carbohydrates.html | The Functions of Carbohydrates in the Body | 4.3
The Functions of Carbohydrates in the Body
4.3 The Functions of Carbohydrates in the Body
Learning Objective
Energy Production
Energy Storage
Building Macromolecules
Sparing Protein
Lipid Metabolism
Key Takeaways
Discussion Starters
| The Functions of Carbohydrates in the Body
4.3 The Functions of Carbohydrates in the Body
Learning Objective
List four primary functions of carbohydrates in the human body.
There are five primary functions of carbohydrates in the human body. They are energy production, energy storage, building macromolecules, sparing protein, and assisting in lipid metabolism.
Energy Production
The primary role of carbohydrates is to supply energy to all cells in the body. Many cells prefer glucose as a source of energy versus other compounds like fatty acids. Some cells, such as red blood cells, are only able to produce cellular energy from glucose. The brain is also highly sensitive to low blood-glucose levels because it uses only glucose to produce energy and function (unless under extreme starvation conditions). About 70 percent of the glucose entering the body from digestion is redistributed (by the liver) back into the blood for use by other tissues. Cells that require energy remove the glucose from the blood with a transport protein in their membranes. The energy from glucose comes from the chemical bonds between the carbon atoms. Sunlight energy was required to produce these high-energy bonds in the process of photosynthesis. Cells in our bodies break these bonds and capture the energy to perform cellular respiration. Cellular respiration is basically a controlled burning of glucose versus an uncontrolled burning. A cell uses many chemical reactions in multiple enzymatic steps to slow the release of energy (no explosion) and more efficiently capture the energy held within the chemical bonds in glucose.
The first stage in the breakdown of glucose is called glycolysis. Glycolysis
The first stage of glucose breakdown; a ten-step enzymatic process that splits glucose into two three-carbon molecules and yields two molecules of ATP.
, or the splitting of glucose, occurs in an intricate series of ten enzymatic-reaction steps. The second stage of glucose breakdown occurs in the energy factory organelles, called mitochondria. One carbon atom and two oxygen atoms are removed, yielding more energy. The energy from these carbon bonds is carried to another area of the mitochondria, making the cellular energy available in a form cells can use.
Cellular respiration is the process by which energy is captured from glucose.
Energy Storage
Figure 4.5
The structure of glycogen enables its rapid mobilization into free glucose to power cells.
If the body already has enough energy to support its functions, the excess glucose is stored as glycogen (the majority of which is stored in the muscle and liver). A molecule of glycogen may contain in excess of fifty thousand single glucose units and is highly branched, allowing for the rapid dissemination of glucose when it is needed to make cellular energy ( Figure 4.5 ).
The amount of glycogen in the body at any one time is equivalent to about 4,000 kilocalories—3,000 in muscle tissue and 1,000 in the liver. Prolonged muscle use (such as exercise for longer than a few hours) can deplete the glycogen energy reserve. Remember also from Chapter 3 "Nutrition and the Human Body" that this is referred to as “hitting the wall” or “bonking” and is characterized by fatigue and a decrease in exercise performance. The weakening of muscles sets in because it takes longer to transform the chemical energy in fatty acids and proteins to usable energy than glucose. After prolonged exercise, glycogen is gone and muscles must rely more on lipids and proteins as an energy source. Athletes can increase their glycogen reserve modestly by reducing training intensity and increasing their carbohydrate intake to between 60 and 70 percent of total calories three to five days prior to an event. People who are not hardcore training and choose to run a 5-kilometer race for fun do not need to consume a big plate of pasta prior to a race since without long-term intense training the adaptation of increased muscle glycogen will not happen.
The liver, like muscle, can store glucose energy as a glycogen, but in contrast to muscle tissue it will sacrifice its stored glucose energy to other tissues in the body when blood glucose is low. Approximately one-quarter of total body glycogen content is in the liver (which is equivalent to about a four-hour supply of glucose) but this is highly dependent on activity level. The liver uses this glycogen reserve as a way to keep blood-glucose levels within a narrow range between meal times. When the liver’s glycogen supply is exhausted, glucose is made from amino acids obtained from the destruction of proteins in order to maintain metabolic homeostasis.
Building Macromolecules
Although most absorbed glucose is used to make energy, some glucose is converted to ribose and deoxyribose, which are essential building blocks of important macromolecules, such as RNA, DNA, and ATP ( Figure 4.6 ). Glucose is additionally utilized to make the molecule NADPH, which is important for protection against oxidative stress and is used in many other chemical reactions in the body. If all of the energy, glycogen-storing capacity, and building needs of the body are met, excess glucose can be used to make fat. This is why a diet too high in carbohydrates and calories can add on the fat pounds—a topic that will be discussed shortly.
Figure 4.6
The sugar molecule deoxyribose is used to build the backbone of DNA.
© Shutterstock
Sparing Protein
In a situation where there is not enough glucose to meet the body’s needs, glucose is synthesized from amino acids. Because there is no storage molecule of amino acids, this process requires the destruction of proteins, primarily from muscle tissue. The presence of adequate glucose basically spares the breakdown of proteins from being used to make glucose needed by the body.
Lipid Metabolism
As blood-glucose levels rise, the use of lipids as an energy source is inhibited. Thus, glucose additionally has a “fat-sparing” effect. This is because an increase in blood glucose stimulates release of the hormone insulin, which tells cells to use glucose (instead of lipids) to make energy. Adequate glucose levels in the blood also prevent the development of ketosis. Ketosis is a metabolic condition resulting from an elevation of ketone bodies in the blood. Ketone bodies are an alternative energy source that cells can use when glucose supply is insufficient, such as during fasting. Ketone bodies are acidic and high elevations in the blood can cause it to become too acidic. This is rare in healthy adults, but can occur in alcoholics, people who are malnourished, and in individuals who have Type 1 diabetes. The minimum amount of carbohydrate in the diet required to inhibit ketosis in adults is 50 grams per day.
Carbohydrates are critical to support life’s most basic function—the production of energy. Without energy none of the other life processes are performed. Although our bodies can synthesize glucose it comes at the cost of protein destruction. As with all nutrients though, carbohydrates are to be consumed in moderation as having too much or too little in the diet may lead to health problems.
Key Takeaways
The four primary functions of carbohydrates in the body are to provide energy, store energy, build macromolecules, and spare protein and fat for other uses.
Glucose energy is stored as glycogen, with the majority of it in the muscle and liver. The liver uses its glycogen reserve as a way to keep blood-glucose levels within a narrow range between meal times. Some glucose is also used as building blocks of important macromolecules, such as RNA, DNA, and ATP.
The presence of adequate glucose in the body spares the breakdown of proteins from being used to make glucose needed by the body.
Discussion Starters
Discuss two reasons it is essential to include carbohydrates in your diet.
Why is it necessary for the body to spare protein? | msmarco_doc_00_10341431 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s09-01-what-are-lipids.html | What Are Lipids? | 5.1
What Are Lipids?
5.1 What Are Lipids?
Learning Objective
The Functions of Lipids in the Body
Storing Energy
Regulating and Signaling
Insulating and Protecting
Aiding Digestion and Increasing Bioavailability
Tools for Change
The Role of Lipids in Food
High Energy Source
Smell and Taste
Tools for Change
Key Takeaways
Discussion Starters
| What Are Lipids?
5.1 What Are Lipids?
Learning Objective
Explain the role of lipids in overall health.
Lipids are important fats that serve different roles in the human body. A common misconception is that fat is simply fattening. However, fat is probably the reason we are all here. Throughout history, there have been many instances when food was scarce. Our ability to store excess caloric energy as fat for future usage allowed us to continue as a species during these times of famine. So, normal fat reserves are a signal that metabolic processes are efficient and a person is healthy.
Lipids are a family of organic compounds that are mostly insoluble in water. Composed of fats and oils, lipids are molecules that yield high energy and have a chemical composition mainly of carbon, hydrogen, and oxygen. Lipids perform three primary biological functions within the body: they serve as structural components of cell membranes, function as energy storehouses, and function as important signaling molecules.
The three main types of lipids are triacylglycerols, phospholipids, and sterols. Triacylglycerols (also known as triglycerides) make up more than 95 percent of lipids in the diet and are commonly found in fried foods, vegetable oil, butter, whole milk, cheese, cream cheese, and some meats. Naturally occurring triacylglycerols are found in many foods, including avocados, olives, corn, and nuts. We commonly call the triacylglycerols in our food “fats” and “oils.” Fats are lipids that are solid at room temperature, whereas oils are liquid. As with most fats, triacylglycerols do not dissolve in water. The terms fats, oils, and triacylglycerols are discretionary and can be used interchangeably. In this chapter when we use the word fat, we are referring to triacylglycerols.
Phospholipids
The second most common of the three basic lipids. Similar to triacylglycerols, phospholipids have an acid containing phosphorus in place of one of the fatty acids. These lipids appear in all cell membranes.
make up only about 2 percent of dietary lipids. They are water-soluble and are found in both plants and animals. Phospholipids are crucial for building the protective barrier, or membrane, around your body’s cells. In fact, phospholipids are synthesized in the body to form cell and organelle membranes. In blood and body fluids, phospholipids form structures in which fat is enclosed and transported throughout the bloodstream.
Sterols are the least common type of lipid. Cholesterol is perhaps the best well-known sterol. Though cholesterol has a notorious reputation, the body gets only a small amount of its cholesterol through food—the body produces most of it. Cholesterol is an important component of the cell membrane and is required for the synthesis of sex hormones, vitamin D, and bile salts.
Later in this chapter, we will examine each of these lipids in more detail and discover how their different structures function to keep your body working.
Figure 5.1 Types of Lipids
The Functions of Lipids in the Body
Storing Energy
The excess energy from the food we eat is digested and incorporated into adipose tissue
Fatty tissue in the body that consists of masses of fat-storing cells.
, or fatty tissue. Most of the energy required by the human body is provided by carbohydrates and lipids. As discussed in Chapter 4 "Carbohydrates", glucose is stored in the body as glycogen. While glycogen provides a ready source of energy, lipids primarily function as an energy reserve. As you may recall, glycogen is quite bulky with heavy water content, thus the body cannot store too much for long. Alternatively, fats are packed together tightly without water and store far greater amounts of energy in a reduced space. A fat gram is densely concentrated with energy—it contains more than double the amount of energy than a gram of carbohydrate. Energy is needed to power the muscles for all the physical work and play an average person or child engages in. For instance, the stored energy in muscles propels an athlete down the track, spurs a dancer’s legs to showcase the latest fancy steps, and keeps all the moving parts of the body functioning smoothly.
Unlike other body cells that can store fat in limited supplies, fat cells are specialized for fat storage and are able to expand almost indefinitely in size. An overabundance of adipose tissue can result in undue stress on the body and can be detrimental to your health. A serious impact of excess fat is the accumulation of too much cholesterol
An important component of the cell membrane. Required for the synthesis of sex hormones, vitamin D, and bile salts.
in the arterial wall, which can thicken the walls of arteries and lead to cardiovascular disease
A disease of the heart or blood vessels.
. Thus, while some body fat is critical to our survival and good health, in large quantities it can be a deterrent to maintaining good health.
Regulating and Signaling
Triacylglycerols
The most common of the three basic classes of lipids and the main form fat takes in both diet and the human body. A triacylglycerol is made up of three molecules of fatty acids and one molecule of glycerol.
control the body’s internal climate, maintaining constant temperature. Those who don’t have enough fat in their bodies tend to feel cold sooner, are often fatigued, and have pressure sores on their skin from fatty acid deficiency. Triacylglycerols also help the body produce and regulate hormones. For example, adipose tissue secretes the hormone leptin, which regulates appetite. In the reproductive system, fatty acids are required for proper reproductive health; women who lack proper amounts may stop menstruating and become infertile. Omega-3 and omega-6 essential fatty acids help regulate cholesterol and blood clotting and control inflammation in the joints, tissues, and bloodstream. Fats also play important functional roles in sustaining nerve impulse transmission, memory storage, and tissue structure. More specifically in the brain, lipids are focal to brain activity in structure and in function. They help form nerve cell membranes, insulate neurons, and facilitate the signaling of electrical impulses throughout the brain.
Lipids serve as signaling molecules; they are catalysts of electrical impulse activity within the brain.
© Thinkstock
Insulating and Protecting
Did you know that up to 30 percent of body weight is comprised of fat tissue? Some of this is made up of visceral fat or adipose tissue surrounding delicate organs. Vital organs such as the heart, kidneys, and liver are protected by visceral fat. The composition of the brain is outstandingly 60 percent fat, demonstrating the major structural role that fat serves within the body. You may be most familiar with subcutaneous fat, or fat underneath the skin. This blanket layer of tissue insulates the body from extreme temperatures and helps keep the internal climate under control. It pads our hands and buttocks and prevents friction, as these areas frequently come in contact with hard surfaces. It also gives the body the extra padding required when engaging in physically demanding activities such as ice- or roller skating, horseback riding, or snowboarding.
Aiding Digestion and Increasing Bioavailability
The dietary fats in the foods we eat break down in our digestive systems and begin the transport of precious micronutrients. By carrying fat-soluble nutrients through the digestive process, intestinal absorption is improved. This improved absorption is also known as increased bioavailability
Refers to the proportion of nutrients that are absorbed or become available in the bloodstream.
. Fat-soluble nutrients are especially important for good health and exhibit a variety of functions. Vitamins A, D, E, and K—the fat-soluble vitamins—are mainly found in foods containing fat. Some fat-soluble vitamins (such as vitamin A) are also found in naturally fat-free foods such as green leafy vegetables, carrots, and broccoli. These vitamins are best absorbed when combined with foods containing fat. Fats also increase the bioavailability of compounds known as phytochemicals
Nonessential plant compounds considered to have a beneficial impact on human health.
, which are plant constituents such as lycopene (found in tomatoes) and beta-carotene (found in carrots). Phytochemicals are believed to promote health and well-being. As a result, eating tomatoes with olive oil or salad dressing will facilitate lycopene absorption. Other essential nutrients, such as essential fatty acids, are constituents of the fats themselves and serve as building blocks of a cell.
Figure 5.2 Food Sources for Fat Soluble Vitamins
Note that removing the lipid elements from food also takes away the food’s fat-soluble vitamin content. When products such as grain and dairy are processed, these essential nutrients are lost. Manufacturers replace these nutrients through a process called enrichment.
Tools for Change
Remember, fat-soluble nutrients require fat for effective absorption. For your next snack, look for foods that contain vitamins A, D, E, and K. Do these foods also contain fat that will help you absorb them? If not, think of ways to add a bit of healthy fat to aid in their absorption. (For more details on healthy fat, refer to Section 5.4 "Understanding Blood Cholesterol" of this chapter.)
The Role of Lipids in Food
High Energy Source
Athletes have high-energy requirements.
© Thinkstock
Fat-rich foods naturally have a high caloric density. Foods that are high in fat contain more calories than foods high in protein or carbohydrates. As a result, high-fat foods are a convenient source of energy. For example, 1 gram of fat or oil provides 9 kilocalories of energy, compared with 4 kilocalories found in 1 gram of carbohydrate or protein. Depending on the level of physical activity and on nutritional needs, fat requirements vary greatly from person to person. When energy needs are high, the body welcomes the high-caloric density of fats. For instance, infants and growing children require proper amounts of fat to support normal growth and development. If an infant or child is given a low-fat diet for an extended period, growth and development will not progress normally. Other individuals with high-energy needs are athletes, people who have physically demanding jobs, and those recuperating from illness.
When the body has used all of its calories from carbohydrates (this can occur after just twenty minutes of exercise), it initiates fat usage. A professional swimmer must consume large amounts of food energy to meet the demands of swimming long distances, so eating fat-rich foods makes sense. In contrast, if a person who leads a sedentary lifestyle eats the same high-density fat foods, they will intake more fat calories than their body requires within just a few bites. Use caution—consumption of calories over and beyond energy requirements is a contributing factor to obesity.
Smell and Taste
Fat contains dissolved compounds that contribute to mouth-watering aromas and flavors. Fat also adds texture to food. Baked foods are supple and moist. Frying foods locks in flavor and lessens cooking time. How long does it take you to recall the smell of your favorite food cooking? What would a meal be without that savory aroma to delight your senses and heighten your preparedness for eating a meal?
Fat plays another valuable role in nutrition. Fat contributes to satiety
The feeling of being satisfied or full.
, or the sensation of fullness. When fatty foods are swallowed the body responds by enabling the processes controlling digestion to retard the movement of food along the digestive tract, thus promoting an overall sense of fullness. Oftentimes before the feeling of fullness arrives, people overindulge in fat-rich foods, finding the delectable taste irresistible. Indeed, the very things that make fat-rich foods attractive also make them a hindrance to maintaining a healthful diet.
Tools for Change
While fats provide delicious smells, tastes, and textures to our foods, they also provide numerous calories. To allow your body to experience the satiety effect of the fat before you overindulge, try savoring rich foods. Eating slowly will allow you to both fully enjoy the experience and be sated with a smaller portion. Remember to take your time. Drink water in between bites or eat a lower fat food before and after a higher fat food. The lower-fat foods will provide bulk, but fewer calories.
Key Takeaways
Lipids include triacylglycerols, phospholipids, and sterols.
Triacylglycerols, the most common lipid, comprise most body fat and are described as fats and oils in food.
Excess energy from food is stored as adipose tissue in the body.
Fats are critical for maintaining body temperature, cushioning vital organs, regulating hormones, transmitting nerve impulses, and storing memory.
Lipids transport fat-soluble nutrients and phytochemicals and promote bioavailability of these compounds.
Fat is a convenient source of energy for people with high-energy requirements.
Fat provides double the energy per gram than protein or carbohydrates, enhances the smell and flavor of food, and promotes satiety.
Discussion Starters
Discuss the role of lipids in our diet and their critical functions in the body.
Explain the importance of fats to the bioavailability of other nutrients.
Discuss the role of fats as an energy source for the body. | msmarco_doc_00_10349921 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s09-03-digestion-and-absorption-of-li.html | Digestion and Absorption of Lipids | 5.3
Digestion and Absorption of Lipids
5.3 Digestion and Absorption of Lipids
Learning Objectives
From the Mouth to the Stomach
Going to the Bloodstream
The Truth about Storing and Using Body Fat
Key Takeaways
Discussion Starters
| Digestion and Absorption of Lipids
5.3 Digestion and Absorption of Lipids
Learning Objectives
Summarize the steps in lipid digestion and absorption.
Explain how lipids are used for energy and stored in the body.
Lipids are large molecules and generally are not water-soluble. Like carbohydrates and protein, lipids are broken into small components for absorption. Since most of our digestive enzymes are water-based, how does the body break down fat and make it available for the various functions it must perform in the human body?
From the Mouth to the Stomach
The first step in the digestion of triacylglycerols and phospholipids begins in the mouth as lipids encounter saliva. Next, the physical action of chewing coupled with the action of emulsifiers enables the digestive enzymes to do their tasks. The enzyme lingual lipase
An enzyme responsible for the breakdown of triacylglycerols and phospholipids.
, along with a small amount of phospholipid as an emulsifier, initiates the process of digestion. These actions cause the fats to become more accessible to the digestive enzymes. As a result, the fats become tiny droplets and separate from the watery components.
Figure 5.4 Lipid Digestion
In the stomach, gastric lipase starts to break down triacylglycerols into diglycerides
A product of lipid digestion, consisting of a glycerol molecule that has two fatty acids attached.
and fatty acids. Within two to four hours after eating a meal, roughly 30 percent of the triacylglycerols are converted to diglycerides and fatty acids. The stomach’s churning and contractions help to disperse the fat molecules, while the diglycerides derived in this process act as further emulsifiers. However, even amid all of this activity, very little fat digestion occurs in the stomach.
Going to the Bloodstream
As stomach contents enter the small intestine, the digestive system sets out to manage a small hurdle, namely, to combine the separated fats with its own watery fluids. The solution to this hurdle is bile
A substance secreted by the liver that aids in the absorption and digestion of fats.
. Bile contains bile salts, lecithin, and substances derived from cholesterol so it acts as an emulsifier. It attracts and holds on to fat while it is simultaneously attracted to and held on to by water. Emulsification increases the surface area of lipids over a thousand-fold, making them more accessible to the digestive enzymes.
Once the stomach contents have been emulsified, fat-breaking enzymes work on the triacylglycerols and diglycerides to sever fatty acids from their glycerol foundations. As pancreatic lipase enters the small intestine, it breaks down the fats into free fatty acids and monoglycerides
A product of lipid digestion, consisting of a glycerol molecule with one fatty acid attached.
. Yet again, another hurdle presents itself. How will the fats pass through the watery layer of mucous that coats the absorptive lining of the digestive tract? As before, the answer is bile. Bile salts envelop the fatty acids and monoglycerides to form micelles. Micelles have a fatty acid core with a water-soluble exterior. This allows efficient transportation to the intestinal microvillus. Here, the fat components are released and disseminated into the cells of the digestive tract lining.
Fats can travel through the watery environment of the body due to the process of emulsion.
Just as lipids require special handling in the digestive tract to move within a water-based environment, they require similar handling to travel in the bloodstream. Inside the intestinal cells, the monoglycerides and fatty acids reassemble themselves into triacylglycerols. Triacylglycerols, cholesterol, and phospholipids form lipoproteins
Proteins that contains a lipid which serves to transport fat through blood and lymph.
when joined with a protein carrier. Lipoproteins have an inner core that is primarily made up of triacylglycerols and cholesterol esters (a cholesterol ester is a cholesterol linked to a fatty acid). The outer envelope is made of phospholipids interspersed with proteins and cholesterol. Together they form a chylomicron
Chylomicron clusters form when lipids are combined with carrier proteins in the cells of the intestinal lining. Chylomicron is a vehicle of transport for fats throughout the watery environment of the body to the liver and other tissues.
, which is a large lipoprotein that now enters the lymphatic system and will soon be released into the bloodstream via the jugular vein in the neck. Chylomicrons transport food fats perfectly through the body’s water-based environment to specific destinations such as the liver and other body tissues.
Cholesterols are poorly absorbed when compared to phospholipids and triacylglycerols. Cholesterol absorption is aided by an increase in dietary fat components and is hindered by high fiber content. This is the reason that a high intake of fiber is recommended to decrease blood cholesterol. Foods high in fiber such as fresh fruits, vegetables, and oats can bind bile salts and cholesterol, preventing their absorption and carrying them out of the colon.
If fats are not absorbed properly as is seen in some medical conditions, a person’s stool will contain high amounts of fat. If fat malabsorption persists the condition is known as steatorrhea. Steatorrhea can result from diseases that affect absorption, such as Crohn’s disease and cystic fibrosis.
The Truth about Storing and Using Body Fat
Before the prepackaged food industry, fitness centers, and weight-loss programs, our ancestors worked hard to even locate a meal. They made plans, not for losing those last ten pounds to fit into a bathing suit for vacation, but rather for finding food. Today, this is why we can go long periods without eating, whether we are sick with a vanished appetite, our physical activity level has increased, or there is simply no food available. Our bodies reserve fuel for a rainy day.
One way the body stores fat was previously touched upon in Chapter 4 "Carbohydrates". The body transforms carbohydrates into glycogen that is in turn stored in the muscles for energy. When the muscles reach their capacity for glycogen storage, the excess is returned to the liver, where it is converted into triacylglycerols and then stored as fat.
In a similar manner, much of the triacylglycerols the body receives from food is transported to fat storehouses within the body if not used for producing energy. The chylomicrons are responsible for shuttling the triacylglycerols to various locations such as the muscles, breasts, external layers under the skin, and internal fat layers of the abdomen, thighs, and buttocks where they are stored by the body in adipose tissue for future use. How is this accomplished? Recall that chylomicrons are large lipoproteins that contain a triacylglycerol and fatty-acid core. Capillary walls contain an enzyme called lipoprotein-lipase that dismantles the triacylglycerols in the lipoproteins into fatty acids and glycerol, thus enabling these to enter into the adipose cells. Once inside the adipose cells, the fatty acids and glycerol are reassembled into triacylglycerols and stored for later use. Muscle cells may also take up the fatty acids and use them for muscular work and generating energy. When a person’s energy requirements exceed the amount of available fuel presented from a recent meal or extended physical activity has exhausted glycogen energy reserves, fat reserves are retrieved for energy utilization.
As the body calls for additional energy, the adipose tissue responds by dismantling its triacylglycerols and dispensing glycerol and fatty acids directly into the blood. Upon receipt of these substances the energy-hungry cells break them down further into tiny fragments. These fragments go through a series of chemical reactions that yield energy, carbon dioxide, and water.
Key Takeaways
In the stomach fat is separated from other food substances. In the small intestines bile emulsifies fats while enzymes digest them. The intestinal cells absorb the fats.
Long-chain fatty acids form a large lipoprotein structure called a chylomicron that transports fats through the lymph system.
Chylomicrons are formed in the intestinal cells and carry lipids from the digestive tract into circulation.
Short- and medium-fatty chains can be absorbed directly into the bloodstream from the intestinal microvillus because they are water-soluble.
Cholesterol absorption is hindered by foods high in fiber.
When energy supplies are low the body utilizes its stored fat reserves for energy.
Discussion Starters
Explain the role of emulsifiers in fat digestion.
Name the part of the digestive system where most fat digestion and absorption occurs.
Describe the role of bile salts in the digestion of triacylglycerols and phospholipids.
Define chylomicron.
Explain how fiber-rich foods affect cholesterol absorption.
Discuss the body’s processes for using energy. | msmarco_doc_00_10364070 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s09-06-lipids-and-the-food-industry.html | Lipids and the Food Industry | 5.6
Lipids and the Food Industry
5.6 Lipids and the Food Industry
Learning Objectives
Hydrogenation: The Good Gone Bad?
Health Implications of Trans Fats
Dietary-Fat Substitutes
Tools for Change
Key Takeaways
Discussion Starters
| Lipids and the Food Industry
5.6 Lipids and the Food Industry
Learning Objectives
Discuss reasons oils are hydrogenated and describe this process.
Describe the health effects of trans fats.
What is the first thing that comes to mind when you read ingredients such as “partially hydrogenated oil” and “hydrogenated oil” on a food label? Do you think of heart disease, heart health, or atherosclerosis? Most people probably do not. As we uncover what hydrogenation is and why manufacturers use it, you will be better equipped to adhere to healthier dietary choices and promote your heart health.
Hydrogenation: The Good Gone Bad?
Food manufacturers are aware that fatty acids are susceptible to attack by oxygen molecules because their points of unsaturation render them vulnerable in this regard. When oxygen molecules attack these points of unsaturation the modified fatty acid becomes oxidized. The oxidation of fatty acids makes the oil rancid and gives the food prepared with it an unappetizing taste. Because oils can undergo oxidation when stored in open containers, they must be stored in airtight containers and possibly be refrigerated to minimize damage from oxidation. Hydrogenation poses a solution that food manufacturers prefer.
When lipids are subjected to hydrogenation, the molecular structure of the fat is altered. Hydrogenation is the process of adding hydrogen to unsaturated fatty-acid chains, so that the hydrogen atoms are connected to the points of saturation and results in a more saturated fatty acid. Liquid oils that once contained more unsaturated fatty acids become semisolid or solid (upon complete hydrogenation) and behave like saturated fats. Oils initially contain polyunsaturated fatty acids. When the process of hydrogenation is not complete, for example, not all carbon double bonds have been saturated the end result is a partially hydrogenated oil. The resulting oil is not fully solid. Total hydrogenation makes the oil very hard and virtually unusable. Some newer products are now using fully hydrogenated oil combined with nonhydrogenated vegetable oils to create a usable fat.
Manufacturers favor hydrogenation as a way to prevent oxidation of oils and ensure longer shelf life. Partially hydrogenated vegetable oils are used in the fast food and processed food industries because they impart the desired texture and crispness to baked and fried foods. Partially hydrogenated vegetable oils are more resistant to breakdown from extremely hot cooking temperatures. Because hydrogenated oils have a high smoking point
The temperature at which fat gives off a pungent blue gas.
they are very well suited for frying. In addition, processed vegetable oils are cheaper than fats obtained from animal sources, making them a popular choice for the food industry.
Trans fatty acids occur in small amounts in nature, mostly in dairy products. However, the trans fats that are used by the food industry are produced from the hydrogenation process. Trans fats are a result of the partial hydrogenation of unsaturated fatty acids, which cause them to have a trans configuration, rather than the naturally occurring cis configuration.
Health Implications of Trans Fats
No trans fats! Zero trans fats! We see these advertisements on a regular basis. So widespread is the concern over the issue that restaurants, food manufacturers, and even fast-food establishments proudly tout either the absence or the reduction of these fats within their products. Amid the growing awareness that trans fats may not be good for you, let’s get right to the heart of the matter. Why are trans fats so bad?
Processing naturally occurring fats to modify their texture from liquid to semisolid and solid forms results in the development of trans fats, which have been linked to an increased risk for heart disease. Trans fats are used in many processed foods such as cookies, cakes, chips, doughnuts, and snack foods to give them their crispy texture and increased shelf life. However, because trans fats can behave like saturated fats, the body processes them as if they were saturated fats. Consuming large amounts of trans fats has been associated with tissue inflammation throughout the body, insulin resistance in some people, weight gain, and digestive troubles. In addition, the hydrogenation process robs the person of the benefits of consuming the original oil because hydrogenation destroys omega-3 and omega-6 fatty acids. The AHA states that, like saturated fats, trans fats raise LDL “bad cholesterol,” but unlike saturated fats, trans fats lower HDL “good cholesterol.” The AHA advises limiting trans-fat consumption to less than 1 percent.
How can you benefit from this information? When selecting your foods, steer clear of anything that says “hydrogenated,” “fractionally hydrogenated,” or “partially hydrogenated,” and read food labels in the following categories carefully:
cookies, crackers, cakes, muffins, pie crusts, pizza dough, and breads
stick margarines and vegetable shortening
premixed cake mixes, pancake mixes, and drink mixes
fried foods and hard taco shells
snack foods (such as chips), candy, and frozen dinners
Choose brands that don’t use trans fats and that are low in saturated fats.
Dietary-Fat Substitutes
In response to the rising awareness and concern over the consumption of trans fat, various fat replacers have been developed. Fat substitutes aim to mimic the richness, taste, and smooth feel of fat without the same caloric content as fat. The carbohydrate-based replacers tend to bind water and thus dilute calories. Fat substitutes can also be made from proteins (for example, egg whites and milk whey). However, these are not very stable and are affected by changes in temperature, hence their usefulness is somewhat limited.
Tools for Change
One classic cinnamon roll can have 5 grams of trans fat, which is quite high for a single snack. Foods such as pastries, frozen bakery goods, cookies, chips, popcorn, and crackers contain trans fat and often have their nutrient contents listed for a very small serving size—much smaller than what people normally consume—which can easily lead you to eat many “servings.” Labeling laws allow foods containing trans fat to be labeled “trans-fat free” if there are fewer than 0.5 grams per serving. This makes it possible to eat too much trans fat when you think you’re not eating any at all because it is labeled trans-fat free.
Always review the label for trans fat per serving. Check the ingredient list, especially the first three to four ingredients, for telltale signs of hydrogenated fat such as partially or fractionated hydrogenated oil. The higher up the words “partially hydrogenated oil” are on the list of ingredients, the more trans fat the product contains.
Measure out one serving and eat one serving only. An even better choice would be to eat a fruit or vegetable. There are no trans fats and the serving size is more reasonable for similar calories. Fruits and vegetables are packed with water, fiber, and many vitamins, minerals, phytonutrients, and antioxidants. At restaurants be aware that phrases such as “cooked in vegetable oil” might mean hydrogenated vegetable oil, and therefore trans fat.
Key Takeaways
Hydrogenation is the process of adding hydrogen to the points of unsaturation in unsaturated fatty acid chains. The resulting oil is very hard and unusable. Partial hydrogenation is the process of adding hydrogen to some of the points of unsaturation in unsaturated fatty acid chains. This produces oils that are more spreadable and usable in food products.
Food manufacturers favor the use of hydrogenated oils because they do not succumb to oxidative damage, they increase the shelf life of food products, and they have a high smoking point.
Fat replacers mimic fat but do not have the same chemical configuration as fat. Therefore the body does not process these the same way it would a naturally occurring fat. Fat substitutes such as Olestra have produced symptoms of fat malabsorption in some people.
Discussion Starters
Describe how trans fatty acids are created. Explain the drawbacks of consuming this type of fat and its impact on human health.
Make a list of the foods in your kitchen. Read each food label. List all of the food items that contain trans fat. Recall the recommendation that trans fat be less that 1 percent of your fat intake. About what percentage of your diet is currently trans fat? Do you see a need to adjust your trans fat intake? | msmarco_doc_00_10373589 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s13-01-bone-structure-and-function.html | Bone Structure and Function | 9.1
Bone Structure and Function
9.1 Bone Structure and Function
Learning Objective
Video Link 9.1
Why Is the Skeletal System Important?
Bone Anatomy and Structure
Bone Tissues and Cells, Modeling and Remodeling
Bone Modeling and Remodeling
Video 9.1
Key Takeaways
Discussion Starters
| Bone Structure and Function
9.1 Bone Structure and Function
Learning Objective
Explain the process of bone remodeling and explain why bones are living tissues.
Your bones are stronger than reinforced concrete. Bone tissue is a composite of fibrous collagen
A strong, fibrous protein made up of mostly glycine and proline amino acids.
strands that resemble the steel rebar in concrete and a hardened mineralized matrix that contains large amounts of calcium, just like concrete. But this is where the similarities end. Bone outperforms reinforced concrete by several orders of magnitude in compression and tension strength tests. Why? The microarchitecture of bone is complex and built to withstand extreme forces. Moreover, bone is a living tissue that is continuously breaking down and forming new bone to adapt to mechanical stresses.
Video Link 9.1
The Human Body: Bone Strength
This video is a dramatic demonstration of bone strength.
http://www.yourdiscovery.com/video/human-body-strength-bones/
Why Is the Skeletal System Important?
The human skeleton consists of 206 bones and other connective tissues called ligaments, tendons, and cartilage. Ligaments connect bones to other bones, tendons connect bones to muscles, and cartilage provides bones with more flexibility and acts as a cushion in the joints between bones. The skeleton’s many bones and connective tissues allow for multiple types of movement such as typing and running. The skeleton provides structural support and protection for all the other organ systems in the body. The skull, or cranium, is like a helmet and protects the eyes, ears, and brain. The ribs form a cage that surrounds and protects the lungs and heart. In addition to aiding in movement, protecting organs, and providing structural support, red and white blood cells and platelets are synthesized in bone marrow. Another vital function of bones is that they act as a storage depot for minerals such as calcium, phosphorous, and magnesium. Although bone tissue may look inactive at first glance, at the microscopic level you will find that bones are continuously breaking down and reforming. Bones also contain a complex network of canals, blood vessels, and nerves that allow for nutrient transport and communication with other organ systems.
The human skeleton contains 206 bones. It is divided into two main parts, the axial and appendicular.
© Networkgraphics
Bone Anatomy and Structure
To optimize bone health through nutrition, it is important to understand bone anatomy. The skeleton is composed of two main parts, the axial and the appendicular parts. The axial skeleton consists of the skull, vertebral column, and rib cage, and is composed of eighty bones. The appendicular skeleton consists of the shoulder girdle, pelvic girdle, and upper and lower extremities and is composed of 126 bones. Bones are also categorized by size and shape. There are four types of bone: long bones, short bones, flat bones, and irregular bones. The longest bone in your body is the femur (or “thigh” bone), which extends from your hip to your knee. It is a long bone and functions to support your weight as you stand, walk, or run. Your wrist is composed of eight irregular-shaped bones, which allow for the intricate movements of your hands. Your twelve ribs on each side of your body are curved flat bones that protect your heart and lungs. Thus, the bones’ different sizes and shapes allow for their different functions.
Figure 9.1 The Arrangement of Bone Tissues
Bone is composed of organized living tissues.
© Networkgraphics
Bones are composed of approximately 65 percent inorganic material known as mineralized matrix. This mineralized matrix consists of mostly crystallized hydroxyapatite
The primary crystal of bone formed from calcium and phosphorous.
. The bone’s hard crystal matrix of bone tissue gives it its rigid structure. The other 35 percent of bone is organic material, most of which is the fibrous protein, collagen. The collagen fibers are networked throughout bone tissue and provide it with flexibility and strength. The bones’ inorganic and organic materials are structured into two different tissue types. There is spongy bone, also called trabecular or cancellous bone
Less dense bone with a lattice-like structure. Also called spongy bone.
, and compact bone, also called cortical bone
Dense, strong bone that surrounds trabecular bone tissue. Also called compact bone.
( Figure 9.1 "The Arrangement of Bone Tissues" ). The two tissue types differ in their microarchitecture and porosity. Trabecular bone is 50 to 90 percent porous and appears as a lattice-like structure under the microscope. It is found at the ends of long bones, in the cores of vertebrae, and in the pelvis. Trabecular bone tissue makes up about 20 percent of the adult skeleton. The more dense cortical bone is about 10 percent porous and it looks like many concentric circles, similar to the rings in a tree trunk, sandwiched together ( Figure 9.2 ). Cortical bone tissue makes up approximately 80 percent of the adult skeleton. It surrounds all trabecular tissue and is the only bone tissue in the shafts of long bones.
Figure 9.2
The two basic tissue types of bones are trabecular and cortical. Trabecular (spongy) and cortical (compact) bone tissues differ in their microarchitecture and porosity.
© Networkgraphics
Bone tissue is arranged in an organized manner. A thin membrane, called the periosteum, surrounds the bone. It contains connective tissue with many blood vessels and nerves. Lying below the periosteum is the cortical bone. In some bones, the cortical bone surrounds the less-dense trabecular bone and the bone marrow lies within the trabecular bone, but not all bones contain trabecular tissue or marrow.
Bone Tissues and Cells, Modeling and Remodeling
Bone tissue contains many different cell types that constantly resize and reshape bones throughout growth and adulthood. Bone tissue cells include osteoprogenitor cells, osteoblasts, osteoclasts, and osteocytes. The osteoprogenitor cells are cells that have not matured yet. Once they are stimulated, some will become osteoblasts
Cells that build new bone tissue.
, the bone builders, and others will become osteoclasts
Large cells that break down bone tissue.
, the cells that break bone down. Osteocytes
Star-shaped cells that are the most abundant cell type in bone tissue.
are the most abundant cells in bone tissue. Osteocytes are star-shaped cells that are networked throughout the bone via their long cytoplasmic arms that allow for the exchange of nutrients and other factors from bones to the blood and lymph.
Bone Modeling and Remodeling
Video 9.1
Bone Modification
(click to see video)
This video on bone remodeling demonstrates a bone’s adaptability to mechanical stresses.
During infancy, childhood, and adolescence, bones are continuously growing and changing shape through two processes called growth (or ossification) and modeling. In fact, in the first year of life, almost 100 percent of the bone tissue in the skeleton is replaced. In the process of modeling, bone tissue is dismantled at one site and built up at a different site. In adulthood, our bones stop growing and modeling, but continue to go through a process of bone remodeling
Process in which bone tissue is broken down and then rebuilt at the same location.
. In the process of remodeling, bone tissue is degraded and built up at the same location. About 10 percent of bone tissue is remodeled each year in adults. As observed in Note 9.12 "Video 9.1", bones adapt their structure to the forces acting upon them, even in adulthood. This phenomenon is called Wolff’s law, which states that bones will develop a structure that is best able to resist the forces acting upon them. This is why exercising, especially when it involves weight-bearing activities, increases bone strength.
The first step in bone remodeling is osteocyte activation (see Figure 9.3 ). Osteocytes detect changes in mechanical forces, calcium homeostasis, or hormone levels. In the second step, osteoclasts are recruited to the site of the degradation. Osteoclasts are large cells with a highly irregular ruffled membrane. These cells fuse tightly to the bone and secrete hydrogen ions, which acidify the local environment and dissolve the minerals in the bone tissue matrix. This process is called bone resorption
Process in which osteoclasts secrete hydrogen ions, which acidify the local environment and dissolve the minerals in the bone tissue matrix.
and resembles pit excavation. Our bodies excavate pits in our bone tissue because bones act as storehouses for calcium and other minerals. Bones supply these minerals to other body tissues as the demand arises. Bone tissue also remodels when it breaks so that it can repair itself. Moreover, if you decide to train to run a marathon your bones will restructure themselves by remodeling to better able sustain the forces of their new function.
Figure 9.3
Bone remodeling occurs in four steps: activation, osteoclast resorption, surface preparation, and building new bone tissue.
© Networkgraphics
After a certain amount of bone is excavated, the osteoclasts begin to die and bone resorption stops. In the third step of bone remodeling, the site is prepared for building. In this stage, sugars and proteins accumulate along the bone’s surface, forming a cement line which acts to form a strong bond between the old bone and the new bone that will be made. These first three steps take approximately two to three weeks to complete. In the last step of bone remodeling, osteoblasts lay down new osteoid tissue that fills up the cavities that were excavated during the resorption process. Osteoid
Bone tissue that is not mineralized.
is bone matrix tissue that is composed of proteins such as collagen and is not mineralized yet. To make collagen, vitamin C is required. A symptom of vitamin C deficiency (known as scurvy) is bone pain, which is caused by diminished bone remodeling. After the osteoid tissue is built up, the bone tissue begins to mineralize. The last step of bone remodeling continues for months, and for a much longer time afterward the mineralized bone is continuously packed in a more dense fashion.
Thus, we can say that bone is a living tissue that continually adapts itself to mechanical stress through the process of remodeling. For bone tissue to remodel certain nutrients such as calcium, phosphorus, magnesium, fluoride, vitamin D, and vitamin K are required.
Key Takeaways
The skeletal system aids in movement, provides support for and protects organs, synthesizes platelets and red and white blood cells, and serves as a storage depot for minerals, such as calcium.
The skeleton is composed of connective tissues including bones, cartilage, tendons, and ligaments.
Bones are made up of a periosteum that surrounds compact bone, which in turn surrounds trabecular bone. Bone marrow resides within the trabecular bone.
Bone tissue cells are osteoprogenitor cells, osteoblasts, osteoclasts, and osteocytes.
Bone is a living tissue that adapts to mechanical stress via the remodeling process.
Bone remodeling is a multifaceted process involving four steps: osteocyte activation, osteoclast-mediated bone resorption, surface preparation, and osteoblast-mediated bone building.
The bone remodeling process requires certain nutrients such as calcium, phosphorus, magnesium, fluoride, vitamin D, and vitamin K.
Discussion Starters
Analyze the shape of some of your bones. Recognize the varying structure of different bones that allows for the performance of multiple functions. With a classmate, compare the shape of hand bones (that allow for fine articulated movements) to the shape of foot bones and toe bones (that allow more awkward movement). If you designed a bone system to grasp a doorknob or hang upside down, what would it look like? For inspiration, go to the web and look at bat bones, monkey bones, and human bones.
Why do you think it hurts when you hit your funny bone? Why are there no bones to protect the nerves? | msmarco_doc_00_10382721 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s14-04-minerals-important-for-metabol.html | Minerals Important for Metabolism and for Blood Function and Renewal | 10.4
Minerals Important for Metabolism and for Blood Function and Renewal
10.4 Minerals Important for Metabolism and for Blood Function and Renewal
Learning Objectives
Minerals: Functions in Catabolic Pathways, Anabolic Pathways, and Blood Renewal and Function
Magnesium
Iron
Video 10.5
Zinc
Iodine
Selenium
Copper
Manganese
Chromium
Dietary Reference Intakes for Minerals and Dietary Sources
Bioavailability
Key Takeaways
Discussion Starters
| Minerals Important for Metabolism and for Blood Function and Renewal
10.4 Minerals Important for Metabolism and for Blood Function and Renewal
Learning Objectives
List the primary function of each of the minerals involved in metabolism.
Summarize the roles of minerals important in blood function and renewal.
Minerals: Functions in Catabolic Pathways, Anabolic Pathways, and Blood Renewal and Function
In a well-balanced diet, minerals are plentiful, and herbs are power-packed with minerals. Eat more plants, spice up your food, and drink herbal teas to obtain optimum mineral nutrition.
Magnesium
Magnesium is the eleventh most abundant element in the human body and is known to participate as a cofactor in hundreds of metabolic reactions. ATP exists as a complex with magnesium and therefore this mineral is involved in all reactions that synthesize or require ATP including carbohydrate, lipid, protein, RNA, and DNA synthesis. Many Americans do not get the recommended intake of magnesium from their diets. Some observational studies suggest mild magnesium deficiency is linked to increased risk for cardiovascular disease. Signs and symptoms of severe magnesium deficiency may include tremor, muscle spasms, loss of appetite, and nausea.
Iron
Red blood cells contain the oxygen-carrier protein hemoglobin. It is composed of four globular peptides, each containing a heme complex. In the center of each heme, lies iron ( Figure 10.6 ). Iron is a key component of hundreds of metabolic enzymes. Many of the proteins of the electron-transport chain contain iron–sulfur clusters involved in the transfer of high-energy electrons and ultimately ATP synthesis. Iron is also involved in numerous metabolic reactions that take place mainly in the liver and detoxify harmful substances. Moreover, iron is required for DNA synthesis. The great majority of iron used in the body is that recycled from the continuous breakdown of red blood cells.
Figure 10.6
Hemoglobin is composed of four peptides. Each contains a heme group with iron in the center.
The iron in hemoglobin binds to oxygen in the capillaries of the lungs and transports it to cells where the oxygen is released (see Note 10.30 "Video 10.5" ). If iron level is low hemoglobin is not synthesized in sufficient amounts and the oxygen-carrying capacity of red blood cells is reduced, resulting in anemia. When iron levels are low in the diet the small intestine more efficiently absorbs iron in an attempt to compensate for the low dietary intake, but this process cannot make up for the excessive loss of iron that occurs with chronic blood loss or low intake. When blood cells are decommissioned for use, the body recycles the iron back to the bone marrow where red blood cells are made. The body stores some iron in the bone marrow, liver, spleen, and skeletal muscle. A relatively small amount of iron is excreted when cells lining the small intestine and skin cells die and in blood loss, such as during menstrual bleeding. The lost iron must be replaced from dietary sources.
Video 10.5
Oxygen Transport
(click to see video)
Watch this video to view how hemoglobin in red blood cells transports oxygen to all cells in the body.
The bioavailability of iron is highly dependent on dietary sources. In animal-based foods about 60 percent of iron is bound to hemoglobin, and heme iron is more bioavailable than nonheme iron. The other 40 percent of iron in animal-based foods is nonheme, which is the only iron source in plant-based foods. Some plants contain chemicals (such as phytate, oxalates, tannins, and polyphenols) that inhibit iron absorption. Although, eating fruits and vegetables rich in vitamin C at the same time as iron-containing foods markedly increases iron absorption. A review in the American Journal of Clinical Nutrition reports that in developed countries iron bioavailability from mixed diets ranges between 14 and 18 percent, and that from vegetarian diets ranges between 5 and 12 percent. Centers for Disease Control and Prevention. “Iron and Iron Deficiency.” Accessed October 2, 2011. http://www.cdc.gov/nutrition/everyone/basics/vitamins/iron.html. Vegans are at higher risk for iron deficiency, but careful meal planning does prevent its development. Iron deficiency is the most common of all micronutrient deficiencies and will be explored in depth in Section 10.5 "Iron-Deficiency Anemia".
Zinc
Zinc is a cofactor for over two hundred enzymes in the human body and plays a direct role in RNA, DNA, and protein synthesis. Zinc also is a cofactor for enzymes involved in energy metabolism. As the result of its prominent roles in anabolic and energy metabolism, a zinc deficiency in infants and children blunts growth. The reliance of growth on adequate dietary zinc was discovered in the early 1960s in the Middle East where adolescent nutritional dwarfism was linked to diets containing high amounts of phytate. Cereal grains and some vegetables contain chemicals, one being phytate, which blocks the absorption of zinc and other minerals in the gut. It is estimated that half of the world’s population has a zinc-deficient diet. Prasad, Ananda. “Zinc deficiency.” BMJ 2003 February 22; 326 (7386): 409–410. doi: 10.1136/bmj.326.7386.409. Accessed October 2, 2011. http://www.ncbi.nlm.nih.gov/pmc/articles/PMC1125304/?tool=pmcentrez. This is largely a consequence of the lack of red meat and seafood in the diet and reliance on cereal grains as the main dietary staple. In adults, severe zinc deficiency can cause hair loss, diarrhea, skin sores, loss of appetite, and weight loss. Zinc is a required cofactor for an enzyme that synthesizes the heme portion of hemoglobin and severely deficient zinc diets can result in anemia.
Iodine
Recall from Chapter 1 "Nutrition and You" the information about the discovery of iodine and its use as a means of preventing goiter, a gross enlargement of the thyroid gland in the neck. Iodine is essential for the synthesis of thyroid hormone, which regulates basal metabolism
Metabolic pathways necessary to support and maintain the basic functions of the body (e.g. breathing, heartbeat, liver, and kidney function) while at rest.
, growth, and development. Low iodine levels and consequently hypothyroidism has many signs and symptoms including fatigue, sensitivity to cold, constipation, weight gain, depression, and dry, itchy skin and paleness. The development of goiter may often be the most visible sign of chronic iodine deficiency, but the consequences of low levels of thyroid hormone can be severe during infancy, childhood, and adolescence as it affects all stages of growth and development. Thyroid hormone plays a major role in brain development and growth and fetuses and infants with severe iodine deficiency develop a condition known as cretinism, in which physical and neurological impairment can be severe. The World Health Organization (WHO) estimates iodine deficiency affects over two billion people worldwide and it is the number-one cause of preventable brain damage worldwide. World Health Organization. “Iodine Status Worldwide.” Accessed October 2, 2011. http://whqlibdoc.who.int/publications/2004/9241592001.pdf.
Selenium
Selenium is a cofactor of enzymes that release active thyroid hormone in cells and therefore low levels can cause similar signs and symptoms as iodine deficiency. The other important function of selenium is as an antioxidant, which was discussed in detail in Chapter 8 "Nutrients Important As Antioxidants".
Copper
Copper, like iron, assists in electron transfer in the electron-transport chain. Furthermore, copper is a cofactor of enzymes essential for iron absorption and transport. The other important function of copper is as an antioxidant, which was also discussed in Chapter 8 "Nutrients Important As Antioxidants". Symptoms of mild to moderate copper deficiency are rare. More severe copper deficiency can cause anemia from the lack of iron mobilization in the body for red blood cell synthesis. Other signs and symptoms include growth retardation in children and neurological problems, because copper is a cofactor for an enzyme that synthesizes myelin, which surrounds many nerves.
Manganese
Manganese is a cofactor for enzymes involved in glucose production (gluconeogenesis) and amino-acid catabolism in the liver. Manganese deficiency is uncommon.
Chromium
The functioning of chromium in the body is less understood than that of most other minerals. It enhances the actions of insulin so plays a role in carbohydrate, fat, and protein metabolism. Currently, the results of scientific studies evaluating the usefulness of chromium supplementation in preventing and treating Type 2 diabetes are largely inconclusive. More research is needed to better determine if chromium is helpful in treating certain chronic diseases and, if so, at what doses.
A summary of the prominent functions of minerals in metabolism and their related deficiency syndromes is given in Table 10.8 "Mineral Functions in Metabolism and Blood and Deficiency Syndrome".
Table 10.8 Mineral Functions in Metabolism and Blood and Deficiency Syndrome
Mineral
Function
Deficiency: Signs and Symptoms
Macro
Magnesium
ATP synthesis and utilization, carbohydrate, lipid, protein, RNA, and DNA synthesis
Tremor, muscle spasms, loss of appetite, nausea
Trace
Iron
Assists in energy production, DNA synthesis required for red blood cell function
Anemia: fatigue, paleness, faster heart rate
Zinc
Assists in energy production, protein, RNA and DNA synthesis; required for hemoglobin synthesis
Growth retardation in children, hair loss, diarrhea, skin sores, loss of appetite, weight loss
Iodine
Making thyroid hormone, metabolism, growth and development
Goiter, cretinism, other signs and symptoms include fatigue, depression, weight gain, itchy skin, low heart-rate
Selenium
Essential for thyroid hormone activity
fatigue
Copper
Assists in energy production, iron metabolism
Anemia: fatigue, paleness, faster heart rate
Manganese
Glucose synthesis, amino-acid catabolism
Impaired growth, skeletal abnormalities, abnormal glucose metabolism
Chromium
Assists insulin in carbohydrate, lipid and protein metabolism
abnormal glucose metabolism
Dietary Reference Intakes for Minerals and Dietary Sources
The RDA set by the IOM for minerals involved in metabolism are listed for adults in Table 10.9 "Dietary Reference Intakes and Food Sources for Minerals Important for Metabolism". The table also lists dietary sources for these micronutrients. The mineral content of foods is greatly affected by the soil from which it grew, and thus geographic location is the primary determinant of the mineral content of foods. For instance, iodine comes mostly from seawater so the greater the distance from the sea the lesser the iodine content in the soil.
Table 10.9 Dietary Reference Intakes and Food Sources for Minerals Important for Metabolism
Mineral
RDA (mg/day)
Food Sources
Macro
Magnesium
420.000 (males)
Nuts, vegetables, coffee and tea, cocoa
320.000 (females)**
Trace
Iron
8.000 (males)
Animal products, fortified breakfast cereals, beans, spinach, peas
18.000 (females)
Zinc
11.000 (males)
Red meat, poultry, seafood, fortified breakfast cereals, beans, nuts, whole grains
8.000 (females)
Iodine
0.150 (males)
Seafood, dairy products
0.150 (females)
Selenium
0.055 (males)
Tuna, beef, chicken, nuts, dairy products
0.055 (females)
Copper
0.900 (males)
Whole grains, liver, legumes, seeds, cocoa
0.900 (females)
Manganese
2.300 (males)
Whole grains, brown rice, spinach, nuts, tea
1.800 (females)*
Chromium
0.035 (males)
Egg yolks, whole grains, meats, organ meats, mushrooms, nuts, broccoli
0.025 (females)*
* denotes Adequate Intake, **for ages 31–50 only
Source: Institute of Medicine. Dietary Reference Intakes for Vitamin A, Vitamin K, Arsenic, Boron, Chromium, Copper, Iodine, Iron, Manganese, Molybdenum, Nickel, Silicon, Vanadium, and Zinc. January 9, 2001. http://www.iom.edu/Reports/2001/Dietary-Reference-Intakes-for-Vitamin-A-Vitamin-K-Arsenic-Boron-Chromium-Copper-Iodine-Iron-Manganese-Molybdenum-Nickel-Silicon-Vanadium-and-Zinc.aspx.
Bioavailability
Minerals are not as efficiently absorbed as most vitamins and so the bioavailability of minerals can be very low. Plant-based foods often contain factors, such as oxalate and phytate, that bind to minerals and inhibit their absorption. In general, minerals are better absorbed from animal-based foods. In most cases, if dietary intake of a particular mineral is increased, absorption will decrease. Some minerals influence the absorption of others. For instance, excess zinc in the diet can impair iron and copper absorption. Conversely, certain vitamins enhance mineral absorption. For example, vitamin C boosts iron absorption, and vitamin D boosts calcium and magnesium absorption. As is the case with vitamins, certain gastrointestinal disorders and diseases, such as Crohn’s disease and kidney disease, as well as the aging process, impair mineral absorption, putting people with malabsorption conditions and the elderly at higher risk for mineral deficiencies.
Key Takeaways
Minerals cannot be broken down to release energy.
Minerals are cofactors for hundreds of enzymes involved in metabolism.
Iron especially, but also copper and zinc are critical for blood function and renewal.
Minerals are not as efficiently absorbed as most vitamins and bioavailability can be very low.
Discussion Starters
Discuss why “more is not always better,” especially how this saying pertains to micronutrient intake.
Look up the chemical structure of phytate and explain how it inhibits the absorption of positively charged minerals. | msmarco_doc_00_10395439 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s14-nutrients-important-for-metabo.html | Nutrients Important for Metabolism and Blood Function | Chapter 10
Nutrients Important for Metabolism and Blood Function
Chapter 10 Nutrients Important for Metabolism and Blood Function
Big Idea
Video 10.1
You Decide
10.1 Blood’s Function in the Body and in Metabolism Support
Learning Objective
What Makes Up Blood and How Do These Substances Support Blood Function?
Video 10.2
Nutrients In
Wastes Out
All for One, One for All
What Makes Blood Healthy?
What Can Blood Tests Tell You About Your Health?
Interactive 10.1
Key Takeaways
Discussion Starters
10.2 Metabolism Overview
Learning Objectives
Catabolism: The Breakdown
Anabolism: The Building
Energy Storage
Key Takeaways
Discussion Starters
10.3 Vitamins Important for Metabolism and for Blood Function and Renewal
Learning Objectives
Vitamins: Functions in Catabolic Pathways, Anabolic Pathways, and Blood
Thiamine (B 1)
Riboflavin (B 2)
Niacin (B 3)
Pantothenic Acid (B 5)
Pyroxidine (B 6)
Biotin
Folate
Cobalamin (B 12)
Do B-Vitamin Supplements Provide an Energy Boost?
Video 10.3
Dietary Reference Intakes and Sources of B Vitamins
Interactive 10.2
Dietary Sources Rich in Folate and Vitamin B 12
Vitamin K: Functions in Metabolism and Blood
Video 10.4
Dietary Reference Intakes and Sources of Vitamin K
Key Takeaways
Discussion Starters
10.4 Minerals Important for Metabolism and for Blood Function and Renewal
Learning Objectives
Minerals: Functions in Catabolic Pathways, Anabolic Pathways, and Blood Renewal and Function
Magnesium
Iron
Video 10.5
Zinc
Iodine
Selenium
Copper
Manganese
Chromium
Dietary Reference Intakes for Minerals and Dietary Sources
Bioavailability
Key Takeaways
Discussion Starters
10.5 Iron-Deficiency Anemia
Learning Objective
Iron-Deficiency Anemia: Signs, Symptoms, and Treatment
Iron Deficiency: A Worldwide Nutritional Health Problem
At-Risk Populations
Video 10.6
Iron Toxicity
Preventing Iron-Deficiency Anemia
Key Takeaways
Discussion Starters
10.6 End-of-Chapter Exercises
It’s Your Turn
Apply It
Expand Your Knowledge
| Nutrients Important for Metabolism and Blood Function
Chapter 10 Nutrients Important for Metabolism and Blood Function
Big Idea
Micronutrients come from many sources and some may surprise you; get them in the right amounts to support metabolism and blood health.
Video 10.1
How to Get Iron into Your Diet
(click to see video)
View this video for simple steps you can take to obtain and maintain healthy iron levels in your body.
Mmm, cornbread cooked in a cast iron skillet—the smell and taste of cooking on the range. Can this also be an iron-friendly meal?
© Shutterstock
In a small town in the Appalachian Mountains, Joseph Lodge founded Lodge Iron Cookware in 1896. Today it is still a family-run business that provides Americans with pioneer-style iron cookware. Iron cookware was, and still is, prized for its heat retention, even heating, and durability. In fact, many pans sold one hundred years ago are still in use today. Unbeknownst to the American pioneers, the cookware also leaches iron, an essential mineral, into foods as they are cooked in cast-iron hardware.
Iron has several vital functions in the body. Primarily it is the oxygen carrier of the protein hemoglobin, which is found in red blood cells. Oxygen is essential for cellular metabolism. A reduction in the oxygen-carrying capacity of red blood cells hampers the synthesis of energy and consequently cell function. Additionally, iron is required for energy production and enzymatic synthesis of RNA and DNA. Therefore cells that are rapidly dividing are acutely sensitive to an iron deficiency. Since red blood cells are under a constant state of renewal in the body, low iron levels impede their synthesis, eventually causing anemia. A person with anemia experiences fatigue, shortness of breath, dizziness, muscle weakness, and pale skin. In infants and children iron-deficiency anemia can impair growth, motor control, mental functioning, behavior, and performance in school. Iron deficiency is the number-one nutritional deficiency in the world, and even in America it affects 10 percent of women of childbearing age and many infants, children, and adolescents.
Dietary sources of iron include red meats, poultry, leafy green vegetables, prunes, raisins, egg yolks, lentils, oysters, clams, artichokes, and enriched cereal grains. While there are many food sources of iron, only a small fraction of dietary iron is absorbed. One method of increasing dietary intake of iron is cooking foods in an iron skillet. Acidic foods high in moisture content, such as tomatoes, absorb more iron during cooking than nonacidic foods. For example, cooking spaghetti sauce in iron cookware can increase the iron content ten-fold. How much iron leaches into food is also dependent on cooking times; the longer food is in the pan the more iron is absorbed into the food. Stirring food more often increases contact time and thus more iron is absorbed from the cookware. The utility of iron cookware in increasing dietary intake of iron has prompted some international public health organizations to distribute iron cookware to high-risk populations in developing countries as a strategy to reduce the prevalence of iron-deficiency anemia worldwide.
You Decide
What are the different ways to build iron storehouses in your body without taking a pill?
In this chapter, we will discuss the importance of blood and its vital role in support of metabolism and pull together what we have learned about macronutrient metabolism. You will also learn the important roles micronutrients have in metabolism and how they support blood function and renewal. We will also consider food sources of these valuable nutrients. Read the facts, then decide the best way to supplement your diet with iron friendly eating and cooking.
10.1 Blood’s Function in the Body and in Metabolism Support
Learning Objective
List each component of blood and its major role.
You know you cannot live without blood, and that your heart pumps your blood over a vast network of veins and arteries within your body, carrying oxygen to your cells. However, beyond these basic facts, what do you know about your blood?
Blood is a connective tissue of the circulatory system, transporting absorbed nutrients to cells and waste products from cells. It supports cellular metabolism by transporting synthesized macromolecules and waste products. Additionally, it transports molecules, such as hormones, allowing for communication between organs. The volume of blood coursing throughout an adult human body is about 5 liters (1.3 gallons) and accounts for approximately 8 percent of human bodyweight.
What Makes Up Blood and How Do These Substances Support Blood Function?
Blood is about 78 percent water and 22 percent solids by volume. The liquid part of blood is called plasma and it is mostly water (95 percent), but also contains proteins, ions, glucose, lipids, vitamins, minerals, waste products, gases, enzymes, and hormones. You learned in Chapter 6 "Proteins" and Chapter 7 "Nutrients Important to Fluid and Electrolyte Balance" that the protein albumin is found in high concentrations in the blood. Albumin helps maintain fluid balance between blood and tissues, as well as helping to maintain a constant blood pH. In Chapter 7 "Nutrients Important to Fluid and Electrolyte Balance" we learned that the water component of blood is essential for its actions as a transport vehicle, and that the electrolytes carried in blood maintain fluid balance and a constant pH. Furthermore the high water content of blood helps maintain body temperature, and the constant flow of blood distributes heat throughout the body. Blood is exceptionally good at temperature control, so much so that the many small blood vessels in your nose are capable of warming frigid air to body temperature before it reaches the lungs.
The cellular components of blood include red blood cells, white blood cells, and platelets. Red blood cells
The most numerous cells in blood, which transport oxygen to all cells in the body.
are the most numerous of the components. Each drop of blood contains millions of them. Red blood cells are red because they each contain approximately 270 million hemoglobin proteins, which contain the mineral iron, which when bound to oxygen turns red. The most vital duty of red blood cells is to transport oxygen from the lungs to all cells in the body so that they can make energy via aerobic metabolism. The white blood cells
Cells of the immune system that survey the entire body looking for foreign invaders to destroy.
that circulate in blood are part of the immune system and they survey the entire body looking for foreign invaders to destroy. They make up about 1 percent of blood volume. Platelets
Fragments of cells that, when stimulated by blood vessel injury, rush to plug up the wound.
are fragments of cells that are always circulating in the blood in case of an emergency. When blood vessels are injured platelets rush to the site of injury to plug the wound. Blood is under a constant state of renewal and is synthesized from stem cells residing in bone marrow. Red blood cells live for about 120 days, white blood cells live anywhere from eighteen hours to one year, or even longer, and platelets have a lifespan of about ten days.
Video 10.2
What Is Blood?
(click to see video)
Watch this brief animation on the importance of blood components.
Nutrients In
Once absorbed from the small intestine, all nutrients require transport to cells in need of their support. Additionally, molecules manufactured in other cells sometimes require delivery to other organ systems. Blood is the conduit and blood vessels are the highway that support nutrient and molecule transport to all cells. Water-soluble molecules, such as some vitamins, minerals, sugars, and many proteins, move independently in blood. Fat-soluble vitamins, triglycerides, cholesterol, and other lipids are packaged into lipoproteins that allow for transport in the watery milieu of blood. Many proteins, drugs, and hormones are dependent on transport carriers, primarily albumin. In addition to transporting all of these molecules, blood must transfer the oxygen breathed in by the lungs to all cells in the body. As discussed, the iron-containing hemoglobin molecule in red blood cells accomplishes this.
Wastes Out
Figure 10.1 The Capillary Exchange: Nutrients In and Wastes Out
In the metabolism of macronutrients to energy, cells produce the waste products carbon dioxide and water. As blood travels through smaller and smaller vessels, the rate of blood flow is dramatically reduced allowing for efficient exchange of nutrients and oxygen for cellular waste products. The kidneys remove any excess water in the blood, and blood delivers the carbon dioxide to the lungs where it is exhaled. Also, the liver produces the waste product urea from the breakdown of amino acids, and detoxifies many harmful substances, all of which require transport in the blood to the kidneys for excretion.
All for One, One for All
We are not going to talk about the three musketeers, but we will talk about the way our bodies function and work harmoniously to sustain life. The eleven organ systems in the body completely depend on each other for continued survival as a complex organism. Blood allows for transport of nutrients, wastes, water, and heat, and is also a conduit of communication between organ systems. Blood’s importance to the rest of the body is aptly presented in its role in glucose delivery, especially to the brain. The brain metabolizes, on average, 6 grams of glucose per hour. In order to avert confusion, coma, and death, glucose must be readily available to the brain at all times. To accomplish this task, cells in the pancreas sense glucose levels in the blood. If glucose levels are low, the hormone glucagon is released into the blood and is transported to the liver where it communicates the signal to ramp-up glycogen breakdown and glucose synthesis. The liver does just that, and glucose is released into the blood, which transports it to the brain. Concurrently, blood transports oxygen to support the metabolism of glucose to energy in the brain. Healthy blood conducts its duties rapidly, avoiding hypoglycemic coma and death. This is just one example of the body’s survival mechanisms exemplifying life’s mantra, “All for one, one for all.”
What Makes Blood Healthy?
Maintaining healthy blood, including its continuous renewal, is essential to support its vast array of vital functions. Blood is healthy when it contains the appropriate amount of water and cellular components, and proper concentrations of dissolved substances, such as albumin and electrolytes. As with all other tissues, blood needs macro- and micronutrients to optimally function. In the bone marrow, where blood cells are made, amino acids are required to build the massive amount of hemoglobin packed within every red blood cell, along with all other enzymes and cellular organelles contained in each blood cell. Red blood cells, similar to the brain, use only glucose as fuel, and it must be in constant supply to support red-blood-cell metabolism. As with all other cells, the cells in the blood are surrounded by a plasma membrane, which is composed of mainly lipids. Blood health is also acutely sensitive to deficiencies in some vitamins and minerals more than others, a topic that will be explored in this chapter.
What Can Blood Tests Tell You About Your Health?
Blood tests are helpful tools in diagnosing disease and provide much information on overall health.
© Shutterstock
Since blood is the conduit of metabolic products and wastes, measuring the components of blood, and particular substances in blood, can reveal not only the health of blood, but also the health of other organ systems. In standard blood tests performed during an annual physical, the typical blood tests conducted can tell your physician about the functioning of a particular organ or about disease risk.
A biomarker
A measurable molecule or trait that is connected with a specific disease or health condition.
is defined as a measurable molecule or trait that is connected with a specific disease or health condition. The concentrations of biomarkers in blood are indicative of disease risk. Some biomarkers are cholesterol, triglycerides, glucose, and prostate-specific antigen. The results of a blood test give the concentrations of substances in a person’s blood and display the normal ranges for a certain population group. Many factors, such as physical activity level, diet, alcohol intake, and medicine intake can influence a person’s blood-test levels and cause them to fall outside the normal range, so results of blood tests outside the “normal” range are not always indicative of health problems. The assessment of multiple blood parameters aid in the diagnosis of disease risk and are indicative of overall health status. See Table 10.1 "Blood Tests" for a partial list of substances measured in a typical blood test. This table notes only a few of the things that their levels tell us about health.
Table 10.1 Blood Tests
Substance Measured
Indicates
Red-blood-cell count
Oxygen-carrying capacity
Hematocrit (red-blood-cell volume)
Anemia risk
White-blood-cell count
Presence of infection
Platelet count
Bleeding disorders, atherosclerosis risk
pH
Metabolic, kidney, respiratory abnormalities
Albumin
Liver, kidney, and Crohn’s disease, dehydration
Bilirubin
Liver-function abnormality
Oxygen/Carbon Dioxide
Respiratory or metabolic abnormality
Hemoglobin
Oxygen-carrying capacity
Iron
Anemia risk
Magnesium
Magnesium deficiency
Electrolytes (calcium, chloride, magnesium, potassium)
Many illnesses (kidney, metabolic, etc.)
Cholesterol
Cardiovascular disease risk
Triglycerides
Cardiovascular disease risk
Glucose
Diabetes risk
Hormones
Many illnesses (diabetes, reproductive abnormalities)
Source: National Heart Lung and Blood Institute. “Types of Blood Tests.” January 6, 2012. http://www.nhlbi.nih.gov/health/health-topics/topics/bdt/types.html.
Interactive 10.1
Visit the websites of the National Heart, Lung, and Blood Institute and Lab Tests Online to find out more on what to expect on blood tests and how to interpret results.
http://www.nhlbi.nih.gov/health/dci/Diseases/bdt/bdt_whatdo.html
http://labtestsonline.org/
Key Takeaways
Blood is a connective tissue of the circulatory system, and the fluid in the body that transports absorbed nutrients to cells and waste products from cells.
The fluid part of blood, plasma, makes up the largest amount of blood volume and contains proteins, ions, glucose, lipids, vitamins, minerals, waste products, gases, enzymes, and hormones. The cellular components of blood include red blood cells, white blood cells, and platelets. Blood is under a constant state of renewal and is synthesized from stem cells residing in bone marrow.
As blood travels through smaller and smaller vessels the rate of blood flow is dramatically reduced, allowing for efficient exchange of nutrients and oxygen for cellular waste products.
Blood is healthy when it contains the appropriate amount of water and cellular components, and proper concentrations of dissolved substances, such as albumin and electrolytes.
The assessment of multiple blood parameters aid in the diagnosis of disease risk and are indicative of overall health status.
Discussion Starters
Why does the heart pump blood at a faster rate during exercise?
Come up with an estimate on how often it is safe to donate blood. Get the facts on donating blood by visiting the website of the Red Cross.
http://www.redcrossblood.org/donating-blood/eligibility-requirements
10.2 Metabolism Overview
Learning Objectives
Summarize how energy from the energy-yielding nutrients is obtained and used, and how and where it is stored in the body for later use.
Explain the role of energy in the process of building tissues and organs.
Throughout the various chapters in this text we have explored the metabolism of carbohydrates, lipids, and proteins. In this next section we will compile this information for a clear picture of the importance of metabolism in human nutrition.
Metabolism
The sum of all chemical reactions required to support cellular function and hence the life of an organism.
is defined as the sum of all chemical reactions required to support cellular function and hence the life of an organism. Metabolism is either categorized as catabolism
All metabolic processes involved in molecule breakdown and the release of energy.
, referring to all metabolic processes involved in molecule breakdown, or anabolism
All metabolic processes involved in building bigger molecules, which consume energy.
, which includes all metabolic processes involved in building bigger molecules. Generally, catabolic processes release energy and anabolic processes consume energy. The overall goals of metabolism are energy transfer and matter transport. Energy is transformed from food macronutrients into cellular energy, which is used to perform cellular work. Metabolism transforms the matter of macronutrients into substances a cell can use to grow and reproduce and also into waste products. In Chapter 6 "Proteins", you learned that enzymes are proteins and that their job is to catalyze chemical reactions. (Recall that the word catalyze means to speed-up a chemical reaction and reduce the energy required to complete the chemical reaction, without the catalyst being used up in the reaction.) Without enzymes, chemical reactions would not happen at a fast enough rate and would use up too much energy for life to exist. A metabolic pathway is a series of enzymatic reactions that transforms the starting material (known as a substrate) into intermediates, which are the substrates for the next enzymatic reactions in the pathway, until, finally, an endproduct is synthesized by the last enzymatic reaction in the pathway. Some metabolic pathways are complex and involve many enzymatic reactions, and others involve only a few chemical reactions.
To ensure cellular efficiency, the metabolic pathways involved in catabolism and anabolism are regulated in concert by energy status, hormones, and substrate and end-product levels. The concerted regulation of metabolic pathways prevents cells from inefficiently building a molecule when it is already available. Just as it would be inefficient to build a wall at the same time as it is being broken down, it is not metabolically efficient for a cell to synthesize fatty acids and break them down at the same time.
Catabolism of food molecules begins when food enters the mouth, as the enzyme salivary amylase initiates the breakdown of carbohydrates. The entire process of digestion converts the large polymers in food to monomers that can be absorbed. Carbohydrates are broken down to monosaccharides, lipids are broken down to fatty acids, and proteins are broken down to amino acids. These monomers are absorbed into the bloodstream either directly, as is the case with monosaccharides and amino acids, or repackaged in intestinal cells for transport by an indirect route through lymphatic vessels, as is the case with fatty acids and other fat-soluble molecules. Once absorbed, blood transports the nutrients to cells. Cells requiring energy or building blocks take up the nutrients from the blood and process them in either catabolic or anabolic pathways. The organ systems of the body require fuel and building blocks to perform the many fucntions of the body, such as digesting, absorbing, breathing, pumping blood, transporting nutrients in and wastes out, maintaining body temperature, and making new cells.
Metabolism is categorized into metabolic pathways that breakdown the molecules that release energy (catabolism) and the molecules that consume energy by building bigger molecules (anabolism).
Energy metabolism
The metabolic pathways that release or store energy.
refers more specifically to the metabolic pathways that release or store energy. Some of these are catabolic pathways, like glycolysis (the splitting of glucose), β-oxidation (fatty-acid breakdown), and amino acid catabolism. Others are anabolic pathways, and include those involved in storing excess energy (such as glycogenisis), and synthesizing triglycerides (lipogenesis). Table 10.2 "Metabolic Pathways" summarizes some of the catabolic and anabolic pathways, and their functions in energy metabolism.
Table 10.2 Metabolic Pathways
Catabolic Pathways
Function
Anabolic Pathways
Function
Glycolysis
Glucose breakdown
Gluconeogenesis
Synthesize glucose
Glycogenolysis
Glycogen breakdown
Glycogenesis
Synthesize glycogen
β-oxidation
Fatty-acid breakdown
Lipogenesis
Synthesize triglycerides
Proteolysis
Protein breakdown to amino acids
Amino-acid synthesis
Synthesize amino acids
Catabolism: The Breakdown
All cells are in tune to their energy balance. When energy levels are high cells build molecules, and when energy levels are low catabolic pathways are initiated to make energy. Glucose is the preferred energy source by most tissues, but fatty acids and amino acids can also be catabolized to the cellular energy molecule, ATP. The catabolism of nutrients to energy can be separated into three stages, each containing individual metabolic pathways. The three stages of nutrient breakdown allow for cells to reassess their energy requirements, as endproducts of each pathway can either be further processed to energy or diverted to anabolic pathways. Additionally, intermediates of metabolic pathways can sometimes be diverted to anabolic pathways once cellular energy requirements have been met. The three stages of nutrient breakdown are the following:
Stage 1. Glycolysis for glucose, β-oxidation for fatty acids, or amino-acid catabolism
Stage 2. Citric Acid Cycle (or Kreb cycle)
Stage 3. Electron Transport Chain and ATP synthesis
The breakdown of glucose begins with glycolysis, which is a ten-step metabolic pathway yielding two ATP per glucose molecule; glycolysis takes place in the cytosol and does not require oxygen. In addition to ATP, the end-products of glycolysis include two three-carbon molecules, called pyruvate. Pyruvate can either be shuttled to the citric acid cycle to make more ATP or follow an anabolic pathway. If a cell is in negative-energy balance, pyruvate is transported to the mitochondria where it first gets one of its carbons chopped off, yielding acetyl-CoA. Acetyl-CoA, a two-carbon molecule common to glucose, lipid, and protein metabolism enters the second stage of energy metabolism, the citric acid cycle. The breakdown of fatty acids begins with the catabolic pathway, known as β-oxidation, which takes place in the mitochondria. In this catabolic pathway, four enzymatic steps sequentially remove two-carbon molecules from long chains of fatty acids, yielding acetyl-CoA molecules. In the case of amino acids, once the nitrogen is removed from the amino acid the remaining carbon skeleton can be enzymatically converted into acetyl-CoA or some other intermediate of the citric acid cycle.
In the citric acid cycle acetyl-CoA is joined to a four-carbon molecule. In this multistep pathway, two carbons are lost as two molecules of carbon dioxide. The energy obtained from the breaking of chemical bonds in the citric acid cycle is transformed into two more ATP molecules (or equivalents thereof) and high energy electrons that are carried by the molecules, nicotinamide adenine dinucleotide (NADH) and flavin adenine dinucleotide (FADH 2 ). NADH and FADH 2 carry the electrons to the inner membrane in the mitochondria where the third stage of energy synthesis takes place, in what is called the electron transport chain. In this metabolic pathway a sequential transfer of electrons between multiple proteins occurs and ATP is synthesized. The entire process of nutrient catabolism is chemically similar to burning, as carbon molecules are burnt producing carbon dioxide, water, and heat. However, the many chemical reactions in nutrient catabolism slow the breakdown of carbon molecules so that much of the energy can be captured and not transformed into heat and light. Complete nutrient catabolism is between 30 and 40 percent efficient, and some of the energy is therefore released as heat. Heat is a vital product of nutrient catabolism and is involved in maintaining body temperature. If cells were too efficient at transforming nutrient energy into ATP, humans would not last to the next meal, as they would die of hypothermia.
Anabolism: The Building
The energy released by catabolic pathways powers anabolic pathways in the building of macromolecules such as the proteins RNA and DNA, and even entire new cells and tissues. Anabolic pathways are required to build new tissue, such as muscle, after prolonged exercise or the remodeling of bone tissue, a process involving both catabolic and anabolic pathways. Anabolic pathways also build energy-storage molecules, such as glycogen and triglycerides. Intermediates in the catabolic pathways of energy metabolism are sometimes diverted from ATP production and used as building blocks instead. This happens when a cell is in positive-energy balance. For example, the citric-acid-cycle intermediate, α-ketoglutarate can be anabolically processed to the amino acids glutamate or glutamine if they are required. Recall from Chapter 6 "Proteins" that the human body is capable of synthesizing eleven of the twenty amino acids that make up proteins. The metabolic pathways of amino acid synthesis are all inhibited by the specific amino acid that is the end-product of a given pathway. Thus, if a cell has enough glutamine it turns off its synthesis.
Anabolic pathways are regulated by their end-products, but even more so by the energy state of the cell. When there is ample energy, bigger molecules, such as protein, RNA and DNA, will be built as needed. Alternatively when energy is insufficient, proteins and other molecules will be destroyed and catabolized to release energy. A dramatic example of this is seen in children with Marasmus. These children have severely compromised bodily functions, often culminating in death by infection. Children with Marasmus are starving for calories and protein, which are required to make energy and build macromolecules. The negative-energy balance in children who have Marasmus results in the breakdown of muscle tissue and tissues of other organs in the body’s attempt to survive. The large decrease in muscle tissue makes children with Marasmus look emaciated or “muscle-wasted.”
Figure 10.2 Metabolic Pathway of Gluconeogenesis
In a much less severe example, a person is also in negative-energy balance between meals. During this time, blood-glucose levels start to drop. In order to restore blood-glucose levels to their normal range, the anabolic pathway, called gluconeogenesis, is stimulated. Gluconeogenesis is the process of building glucose molecules from certain amino acids and it occurs primarily in the liver ( Figure 10.2 "Metabolic Pathway of Gluconeogenesis" ). The liver exports the synthesized glucose into the blood for other tissues to use.
Energy Storage
In contrast, in the “fed” state (when energy levels are high), extra energy from nutrients will be stored. Glucose can be stored only in muscle and liver tissues. In these tissues it is stored as glycogen, a highly branched macromolecule consisting of thousands of glucose monomers held together by chemical bonds. The glucose monomers are joined together by an anabolic pathway called glycogenesis. For each molecule of glucose stored, one molecule of ATP is used. Therefore, it costs energy to store energy. Glycogen levels do not take long to reach their physiological limit and when this happens excess glucose will be converted to fat. A cell in positive-energy balance detects a high concentration of ATP as well as acetyl-CoA produced by catabolic pathways. In response, catabolism is shut off and the synthesis of triglycerides, which occurs by an anabolic pathway called lipogenesis, is turned on. The newly made triglycerides are transported to fat-storing cells called adipocytes. Fat is a better alternative to glycogen for energy storage as it is more compact (per unit of energy) and, unlike glycogen, the body does not store water along with fat. Water weighs a significant amount and increased glycogen stores, which are accompanied by water, would dramatically increase body weight. When the body is in positive-energy balance, excess carbohydrates, lipids, and protein are all metabolized to fat.
Key Takeaways
The overall goals of metabolism are energy transfer and matter transport. Metabolism is defined as the sum of all chemical reactions required to support cellular function and is either categorized as catabolism (referring to all metabolic processes involved in molecule breakdown) or anabolism (which includes all metabolic processes involved in building bigger molecules). Generally, catabolic processes release energy and anabolic processes consume energy.
A metabolic pathway is a series of enzymatic steps that transforms a substrate (the starting material) into intermediates, which are substrates for the proceeding enzymatic reactions until finally an end-product is synthesized by the last enzymatic reaction in the pathway.
The organ systems of the body require fuel and building blocks to digest, absorb, breathe, pump blood, transport nutrients in and wastes out, maintain body temperature, and make new cells amongst a multitude of other functions.
When energy levels are high, cells build molecules, and when energy levels are low, catabolic pathways are stimulated to release energy.
The energy released by catabolic pathways powers anabolic pathways in the building of bigger macromolecules.
In the “fed” state (when energy levels are high), extra nutrient fuel will be stored as glycogen or triglycerides.
Discussion Starters
Discuss the practicality of storing energy in early human civilizations and the consequences of these metabolic processes in today’s world. Refer back to the story of the Pima Indians in Chapter 1 "Nutrition and You" and the concept of the “thrifty gene.”
Can an overweight person blame their excess weight on having a slower metabolism?
10.3 Vitamins Important for Metabolism and for Blood Function and Renewal
Learning Objectives
Summarize the role of the B vitamins in metabolism.
Explain how Vitamin K supports a life-saving function of blood.
While the macronutrients (carbohydrates, lipids, and proteins) and alcohol can be catabolized to release energy, vitamins and minerals play a different kind of role in energy metabolism; they are required as functional parts of enzymes involved in energy release and storage. Vitamins and minerals that make up part of enzymes are referred to as coenzymes
Vitamins that make up part of enzymes required for converting a substrate to an end-product.
and cofactors
Minerals that make up part of enzymes required for converting a substrate to an end-product.
, respectively. Coenzymes and cofactors are required by enzymes to catalyze a specific reaction. They assist in converting a substrate to an end-product ( Figure 10.3 ). Coenzymes and cofactors are essential in catabolic pathways and play a role in many anabolic pathways too.
In addition to being essential for metabolism, many vitamins and minerals are required for blood renewal and function. At insufficient levels in the diet these vitamins and minerals impair the health of blood and consequently the delivery of nutrients in and wastes out, amongst its many other functions. In this section we will focus on the vitamins that take part in metabolism and blood function and renewal.
Figure 10.3
Coenzymes and cofactors are the particular vitamin or mineral required for enzymes to catalyze a specific reaction.
Vitamins: Functions in Catabolic Pathways, Anabolic Pathways, and Blood
Thiamine (B 1)
Thiamine is especially important in glucose metabolism. It acts as a cofactor for enzymes that break down glucose for energy production ( Figure 10.3 ). Additionally, thiamine plays a role in the synthesis of ribose from glucose and is therefore required for RNA, DNA, and ATP synthesis. The brain and heart are most affected by a deficiency in thiamine. Thiamine deficiency, also known as beriberi, can cause symptoms of fatigue, confusion, movement impairment, pain in the lower extremities, swelling, and heart failure. It is prevalent in societies whose main dietary staple is white rice. During the processing of white rice, the bran is removed, along with what were called in the early nineteenth century, “accessory factors,” that are vital for metabolism. Dutch physician Dr. Christiaan Eijkman cured chickens of beriberi by feeding them unpolished rice bran in 1897. By 1912, Sir Frederick Gowland Hopkins determined from his experiments with animals that the “accessory factors,” eventually renamed vitamins, are needed in the diet to support growth, since animals fed a diet of pure carbohydrates, proteins, fats, and minerals failed to grow. Encyclopedia Brittanica Blog. “Frederick Gowland Hopkins and his “Accessory Food Factors.” Accessed October 1, 2011. http://www.britannica.com/blogs/2011/06/frederick-gowland-hopkins-accessory-food-factors/. Eijkman and Hopkins were awarded the Nobel Prize in Physiology (or Medicine) in 1929 for their discoveries in the emerging science of nutrition.
Riboflavin (B 2)
Riboflavin is an essential component of flavoproteins, which are coenzymes involved in many metabolic pathways of carbohydrate, lipid, and protein metabolism. Flavoproteins aid in the transfer of electrons in the electron transport chain. Furthermore, the functions of other B-vitamin coenzymes, such as vitamin B 6 and folate, are dependent on the actions of flavoproteins. The “flavin” portion of riboflavin gives a bright yellow color to riboflavin, an attribute that help lead to its discovery as a vitamin. Riboflavin deficiency, sometimes referred to as ariboflavinosis, is often accompanied by other dietary deficiencies (most notably protein) and can be common in people that suffer from alcoholism. Its signs and symptoms include dry, scaly skin, mouth inflammation and sores, sore throat, itchy eyes, and light sensitivity.
Niacin (B 3)
Niacin is a component of the coenzymes NADH and NADPH, which are involved in the catabolism and/or anabolism of carbohydrates, lipids, and proteins. NADH is the predominant electron carrier and transfers electrons to the electron-transport chain to make ATP. NADPH is also required for the anabolic pathways of fatty-acid and cholesterol synthesis. In contrast to other vitamins, niacin can be synthesized by humans from the amino acid tryptophan in an anabolic process requiring enzymes dependent on riboflavin, vitamin B 6, and iron. Niacin is made from tryptophan only after tryptophan has met all of its other needs in the body. The contribution of tryptophan-derived niacin to niacin needs in the body varies widely and a few scientific studies have demonstrated that diets high in tryptophan have very little effect on niacin deficiency. Niacin deficiency is commonly known as pellagra and is characterized by diarrhea, dermatitis, dementia, and sometimes death (see Note 10.24 "Video 10.3" ).
Pantothenic Acid (B 5)
Figure 10.4
Vitamin B 5 makes up coenzyme A, which carries the carbons of glucose, fatty acids, and amino acids into the citric acid cycle as Acetyl-CoA.
Pantothenic acid forms coenzyme A, which is the main carrier of carbon molecules in a cell. Acetyl-CoA is the carbon carrier of glucose, fatty acids, and amino acids into the citric acid cycle ( Figure 10.4 ). Coenzyme A is also involved in the synthesis of lipids, cholesterol, and acetylcholine (a neurotransmitter). Vitamin B 5 deficiency is exceptionally rare. Signs and symptoms include fatigue, irritability, numbness, muscle pain, and cramps. You may have seen pantothenic acid on many ingredients lists for skin and hair care products; however there is no good scientific evidence that pantothenic acid improves human skin or hair.
Pyroxidine (B 6)
Pyroxidine is the coenzyme involved in nitrogen transfer between amino acids and therefore plays a role in amino-acid synthesis and catabolism. Also, it functions to release glucose from glycogen in the catabolic pathway of glycogenolysis and is required by enzymes for the synthesis of multiple neurotransmitters and hemoglobin. A deficiency in vitamin B 6 can cause signs and symptoms of muscle weakness, dermatitis, mouth sores, fatigue, and confusion.
Vitamin B 6 is a required coenzyme for the synthesis of hemoglobin. A deficiency in vitamin B 6 can cause anemia, but it is of a different type than that caused by insufficient folate, cobalamin, or iron; although the symptoms are similar. The size of red blood cells is normal or somewhat smaller but the hemoglobin content is lower. This means each red blood cell has less capacity for carrying oxygen, resulting in muscle weakness, fatigue, and shortness of breath.
Biotin
Biotin is required as a coenzyme in the citric acid cycle and in lipid metabolism. It is also required as an enzyme in the synthesis of glucose and some nonessential amino acids. A specific enzyme, biotinidase, is required to release biotin from protein so that it can be absorbed in the gut. There is some bacterial synthesis of biotin that occurs in the colon; however this is not a significant source of biotin. Biotin deficiency is rare, but can be caused by eating large amounts of egg whites over an extended period of time. This is because a protein in egg whites tightly binds to biotin making it unavailable for absorption. A rare genetic disease-causing malfunction of the biotinidase enzyme also results in biotin deficiency. Symptoms of biotin deficiency are similar to those of other B vitamins, but may also include hair loss when severe.
Folate
Folate is a required coenzyme for the synthesis of the amino acid methionine, and for making RNA and DNA. Therefore, rapidly dividing cells are most affected by folate deficiency. Red blood cells, white blood cells, and platelets are continuously being synthesized in the bone marrow from dividing stem cells. A consequence of folate deficiency is macrocytic, also called megaloblastic, anemia. Macrocytic and megaloblastic mean “big cell,” and anemia refers to fewer red blood cells or red blood cells containing less hemoglobin. Macrocytic anemia is characterized by larger and fewer red blood cells. It is caused by red blood cells being unable to produce DNA and RNA fast enough—cells grow but do not divide, making them large in size.
Figure 10.5
Spina bifida is a neural-tube defect that can have severe health consequences.
Folate is especially essential for the growth and specialization of cells of the central nervous system. Children whose mothers were folate-deficient during pregnancy have a higher risk of neural-tube birth defects. Folate deficiency is causally linked to the development of spina bifida, a neural-tube defect that occurs when the spine does not completely enclose the spinal cord. Spina bifida can lead to many physical and mental disabilities ( Figure 10.5 ). Observational studies show that the prevalence of neural-tube defects was decreased after the fortification of enriched cereal grain products with folate in 1996 in the United States (and 1998 in Canada) compared to before grain products were fortified with folate ( Figure 10.5 ). Additionally, results of clinical trials have demonstrated that neural-tube defects are significantly decreased in the offspring of mothers who began taking folate supplements one month prior to becoming pregnant and throughout the pregnancy. In response to the scientific evidence, the Food and Nutrition Board of the Institute of Medicine (IOM) raised the RDA for folate to 600 micrograms per day for pregnant women. Some were concerned that higher folate intakes may cause colon cancer, however scientific studies refute this hypothesis.
Cobalamin (B 12)
Cobalamin contains cobalt, making it the only vitamin that contains a metal ion. Cobalamin is an essential part of coenzymes. It is necessary for fat and protein catabolism, for folate coenzyme function, and for hemoglobin synthesis. An enzyme requiring cobalamin is needed by a folate-dependent enzyme to synthesize DNA. Thus, a deficiency in cobalamin has similar consequences to health as folate deficiency. In children and adults cobalamin deficiency causes macrocytic anemia, and in babies born to cobalamin-deficient mothers there is an increased risk for neural-tube defects. In order for the human body to absorb cobalamin, the stomach, pancreas, and small intestine must be functioning properly. Cells in the stomach secrete a protein called intrinsic factor that is necessary for cobalamin absorption, which occurs in the small intestine. Impairment of secretion of this protein either caused by an autoimmune disease or by chronic inflammation of the stomach (such as that occurring in some people with H.pylori infection), can lead to the disease pernicious anemia, a type of macrocytic anemia. Vitamin B 12 malabsorption is most common in the elderly, who may have impaired functioning of digestive organs, a normal consequence of aging. Pernicious anemia is treated by large oral doses of vitamin B 12 or by putting the vitamin under the tongue, where it is absorbed into the blood stream without passing through the intestine. In patients that do not respond to oral or sublingual treatment vitamin B 12 is given by injection.
A summary of the prominent functions of the B vitamins in metabolism and blood function, and their deficiency syndromes is given in Table 10.3 "B-Vitamin Functions in Metabolism and Blood, and Deficiency Syndromes".
Table 10.3 B-Vitamin Functions in Metabolism and Blood, and Deficiency Syndromes
B Vitamin
Function
Deficiency: Signs and Symptoms
B 1 (thiamine)
Coenzyme: assists in glucose metabolism, RNA, DNA, and ATP synthesis
Beriberi: fatigue, confusion, movement impairment, swelling, heart failure
B 2 (riboflavin)
Coenzyme: assists in glucose, fat and carbohydrate metabolism, electron carrier, other B vitamins are dependent on
Ariboflavinosis: dry scaly skin, mouth inflammation and sores, sore throat, itchy eyes, light sensitivity
B 3 (niacin)
Coenzyme: assists in glucose, fat, and protein metabolism, electron carrier
Pellagra: diarrhea, dermatitis, dementia, death
B 5 (pantothenic acid)
Coenzyme: assists in glucose, fat, and protein metabolism, cholesterol and neurotransmitter synthesis
Muscle numbness and pain, fatigue, irritability
B 6 (pyroxidine)
Coenzyme; assists in amino-acid synthesis, glycogneolysis, neurotransmitter and hemoglobin synthesis
Muscle weakness, dermatitis, mouth sores, fatigue, confusion
Biotin
Coenzyme; assists in glucose, fat, and protein metabolism, amino-acid synthesis
Muscle weakness, dermatitis, fatigue, hair loss
Folate
Coenzyme; amino acid synthesis, RNA, DNA, and red blood cell synthesis
Diarrhea, mouth sores, confusion, anemia, neural-tube defects
B 12 (cobalamin)
Coenzyme; fat and protein catabolism, folate function, red-blood-cell synthesis
Muscle weakness, sore tongue, anemia, nerve damage, neural-tube defects
Do B-Vitamin Supplements Provide an Energy Boost?
Although some marketers claim taking a vitamin that contains one-thousand times the daily value of certain B vitamins boosts energy and performance, this is a myth that is not backed by science. The “feeling” of more energy from energy-boosting supplements stems from the high amount of added sugars, caffeine, and other herbal stimulants that accompany the high doses of B vitamins. As discussed, B vitamins are needed to support energy metabolism and growth, but taking in more than required does not supply you with more energy. A great analogy of this phenomenon is the gas in your car. Does it drive faster with a half-tank of gas or a full one? It does not matter; the car drives just as fast as long as it has gas. Similarly, depletion of B vitamins will cause problems in energy metabolism, but having more than is required to run metabolism does not speed it up. Buyers of B-vitamin supplements beware; B vitamins are not stored in the body and all excess will be flushed down the toilet along with the extra money spent.
B vitamins are naturally present in numerous foods, and many other foods are enriched with them. In the United States, B-vitamin deficiencies are rare; however in the nineteenth century some vitamin-B deficiencies plagued many people in North America. Remember the video in Chapter 1 "Nutrition and You" on niacin deficiency? Niacin deficiency, also known as pellagra, was prominent in poorer Americans whose main dietary staple was refined cornmeal (watch it again, Note 10.24 "Video 10.3" ). Its symptoms were severe and included diarrhea, dermatitis, dementia, and even death. Some of the health consequences of pellagra are the result of niacin being in insufficient supply to support the body’s metabolic functions.
Video 10.3
Pellagra Video
(click to see video)
Review this video on how Dr. Joseph Goldberger discovered that pellagra was a diet-related illness.
Dietary Reference Intakes and Sources of B Vitamins
B vitamins are water-soluble and are not stored in significant amounts in the body. Therefore, they must be continuously obtained from the diet. Fortunately, B vitamins are generally well-absorbed in the gut. The Recommended Dietary Allowances (RDA) or Adequate Intakes (AI) set by the IOM, for the B vitamins are listed in Table 10.4 "Dietary Reference Intakes and Food Sources for B Vitamins", which also gives some dietary sources for these micronutrients. It should be noted that B vitamins are lost from foods during storage, processing, and cooking. To maximize B vitamin uptake, fruits and vegetables should not be stored for long periods of time, should be eaten more as whole foods, and vegetables should be steamed rather than boiled. Also, alcohol disrupts intestinal absorption of B vitamins. The US Department of Agriculture has reports of the nutrient contents in foods, including all B vitamins, available at their website. (See Note 10.25 "Interactive 10.2" .)
Table 10.4 Dietary Reference Intakes and Food Sources for B Vitamins
B Vitamin
RDA (mg/day)
Food Sources
B 1 (thiamine)
1.2 (males)
Whole grains, enriched grains, orange juice, milk, peanuts, dried beans and seeds
1.1 (females)
B 2 (riboflavin)
1.3 (males)
Milk, yogurt, fortified breakfast cereals, organ meats, mushrooms, eggs, clams, spinach
1.1 (females)
B 3 (niacin)
16 (males)
Meat, poultry, fish, whole grains, fortified breakfast cereals, enriched grains, mushrooms, peanuts
14 (females)
B 5 (pantothenic acid)
5 (males)
Eggs, sunflower seeds, peanuts, meat, milk, vegetables
5 (females)*
B 6 (pyroxidine)
1.3 (males)
Meats, whole grains, potatoes, fortified breakfast cereals, bananas, avocados
1.3 (females)
Biotin
0.03 (males)
Egg yolks, peanuts, cheese
0.03 (females)*
Folate
0.4 (males)
Green leafy vegetables, legumes, fortified breakfast cereals, orange juice, sunflower seeds, liver
0.4 (females)
B 12 (cobalamin)
0.0024 (males)
Animal derived foods, some soy milks, and fortified breakfast cereals
0.0024 (females)
* denotes Adequate Intake
Source: Institute of Medicine. Dietary Reference Intakes for Thiamin, Riboflavin, Niacin, Vitamin B6, Folate, Vitamin B12, Pantothenic Acid, Biotin, and Choline. June 12, 2000. http://www.iom.edu/Reports/2000/Dietary-Reference-Intakes-for-Thiamin-Riboflavin-Niacin-Vitamin-B6-Folate-Vitamin-B12-Pantothenic-Acid-Biotin-and-Choline.aspx.
Interactive 10.2
The USDA has an interactive database of nutrient contents in food. To view reports of single nutrients simply click on the one you are interested in and view the report.
http://www.ars.usda.gov/Services/docs.htm?docid=20958
Dietary Sources Rich in Folate and Vitamin B 12
To assist you in getting all the vitamin B 12 and folate you need to support metabolism and blood-cell synthesis look over Table 10.5 "Dietary Sources of Folate" and Table 10.6 "Dietary Sources of Vitamins B" for good dietary sources of these micronutrients.
Table 10.5 Dietary Sources of Folate
Food
Micrograms per Serving
Percent Daily Value
Liver
185 (3 oz.)
45
Calf liver
650 (3 oz.)
160
Fortified breakfast cereals
400 (¾ c.)
100
Spinach
100 (½ c., boiled)
25
Northern beans
100 (½ c., boiled)
25
Asparagus
85 (4 spears, boiled)
20
Vegetarian baked beans
60 (1 c.)
15
Broccoli
45 (2 spears)
10
Avocado
45 (½ c.)
10
Bread (enriched)
25 (1 slice)
6
Source: National Institutes of Health, Office of Dietary Supplements. “Dietary Supplement Fact Sheet: Folate.” Last reviewed April 15, 2009. http://ods.od.nih.gov/factsheets/Folate-HealthProfessional/.
Table 10.6 Dietary Sources of Vitamins B 12
Food
Micrograms per Serving
Percent Daily Value
Liver
48 (1 slice)
800
Clams
34.2 (3 oz.)
570
Organic calf liver
31 (3 oz.)
520
Fortified breakfast cereals
6.0 (1 serving)
100
Trout (wild)
5.4 (3 oz.)
90
Trout (farmed)
3.5 (3 oz.)
58
Salmon (sockeye)
4.8 (3 oz.)
80
Cheeseburger
2.1
35
Yogurt (plain)
1.4 (1 c.)
23
Beef (top sirloin)
1.4 (3 oz.)
23
Milk
0.9 (1 c.)
15
Egg
0.6 (1 large)
10
Source: National Institutes of Health, Office of Dietary Supplements. “Dietary Supplement Fact Sheet: Vitamin B 12 .” Last reviewed June 24, 2011. http://ods.od.nih.gov/factsheets/VitaminB12-HealthProfessional/.
Vitamin K: Functions in Metabolism and Blood
There is emerging evidence that vitamin K may play a role in energy metabolism, but currently the exact functions of vitamin K-dependent enzymes in energy metabolism remain elusive. Recall from Chapter 9 "Nutrients Important for Bone Health", vitamin K is required for optimal bone metabolism. Vitamin K is also critical for blood function. It is a coenzyme for enzymes involved in blood clotting. Blood-clotting proteins are continuously circulating in the blood. Upon injury to a blood vessel, platelets stick to the wound forming a plug. The clotting factors circulating close by respond in a series of protein-protein interactions resulting in the formation of the fibrous protein, fibrin, which reinforces the platelet plug (see Note 10.26 "Video 10.4" for an animation of the blood-clotting cascade of events).
Video 10.4
How Does Blood Clot?
(click to see video)
This video gives a brief description of the blood-clotting process.
A deficiency in vitamin K causes bleeding disorders. It is relatively rare, but people who have liver or pancreatic disease, celiac disease, or malabsorption conditions are at higher risk for vitamin K deficiency. Signs and symptoms include nosebleeds, easy bruising, broken blood vessels, bleeding gums, and heavy menstrual bleeding in women. The function of the anticoagulant drug warfarin is impaired by excess vitamin K intake from supplements. Calcium additionally plays a role in activation of blood-clotting proteins as discussed in the previous chapter.
Dietary Reference Intakes and Sources of Vitamin K
The RDA for vitamin K for adult males is 120 mcg/day and for adult females is 90 mcg/day. As discussed in Chapter 9 "Nutrients Important for Bone Health", vitamin K is present in many foods and most highly concentrated in green leafy vegetables. See Table 10.7 "Dietary Sources of Vitamin K" for a list of dietary sources of vitamin K.
Table 10.7 Dietary Sources of Vitamin K
Food
Micrograms per Serving
Percent Daily Value
Broccoli (½ c.)
160.0
133
Asparagus (4 spears)
34.0
28
Cabbage (½ c.)
56.0
47
Spinach (½ c.)
27.0
23
Green peas (½ c.)
16.0
13
Cheese (1 oz.)
10.0
8
Ham (3 oz.)
13.0
11
Ground beef (3 oz.)
6.0
5
Bread
1.1
<1
Orange
1.3
1
Key Takeaways
Vitamins and minerals play a different kind of role in energy metabolism; they are required as functional parts of enzymes involved in energy release and storage.
The water-soluble B vitamins are involved as coenzymes in the breakdown of nutrients and in the building of macromolecules, such as protein, RNA, and DNA.
B-vitamin deficiencies are relatively rare especially in developed countries; although the health consequences can be severe as with folate deficiency during pregnancy and the increased risk of neural-tube defects in offspring.
The B vitamins, pyroxidine (B 6 ), folate, and cobalamin (B 12) are needed for blood-cell renewal and/or function.
Vitamin K is necessary for blood clotting.
Discussion Starters
Discuss how the actions of B vitamins are interdependent; meaning the level of one affects the function of another.
Have a classroom debate on whether it is prudent for the federal government to regulate claims on micronutrient supplements, such as those containing B vitamins.
10.4 Minerals Important for Metabolism and for Blood Function and Renewal
Learning Objectives
List the primary function of each of the minerals involved in metabolism.
Summarize the roles of minerals important in blood function and renewal.
Minerals: Functions in Catabolic Pathways, Anabolic Pathways, and Blood Renewal and Function
In a well-balanced diet, minerals are plentiful, and herbs are power-packed with minerals. Eat more plants, spice up your food, and drink herbal teas to obtain optimum mineral nutrition.
Magnesium
Magnesium is the eleventh most abundant element in the human body and is known to participate as a cofactor in hundreds of metabolic reactions. ATP exists as a complex with magnesium and therefore this mineral is involved in all reactions that synthesize or require ATP including carbohydrate, lipid, protein, RNA, and DNA synthesis. Many Americans do not get the recommended intake of magnesium from their diets. Some observational studies suggest mild magnesium deficiency is linked to increased risk for cardiovascular disease. Signs and symptoms of severe magnesium deficiency may include tremor, muscle spasms, loss of appetite, and nausea.
Iron
Red blood cells contain the oxygen-carrier protein hemoglobin. It is composed of four globular peptides, each containing a heme complex. In the center of each heme, lies iron ( Figure 10.6 ). Iron is a key component of hundreds of metabolic enzymes. Many of the proteins of the electron-transport chain contain iron–sulfur clusters involved in the transfer of high-energy electrons and ultimately ATP synthesis. Iron is also involved in numerous metabolic reactions that take place mainly in the liver and detoxify harmful substances. Moreover, iron is required for DNA synthesis. The great majority of iron used in the body is that recycled from the continuous breakdown of red blood cells.
Figure 10.6
Hemoglobin is composed of four peptides. Each contains a heme group with iron in the center.
The iron in hemoglobin binds to oxygen in the capillaries of the lungs and transports it to cells where the oxygen is released (see Note 10.30 "Video 10.5" ). If iron level is low hemoglobin is not synthesized in sufficient amounts and the oxygen-carrying capacity of red blood cells is reduced, resulting in anemia. When iron levels are low in the diet the small intestine more efficiently absorbs iron in an attempt to compensate for the low dietary intake, but this process cannot make up for the excessive loss of iron that occurs with chronic blood loss or low intake. When blood cells are decommissioned for use, the body recycles the iron back to the bone marrow where red blood cells are made. The body stores some iron in the bone marrow, liver, spleen, and skeletal muscle. A relatively small amount of iron is excreted when cells lining the small intestine and skin cells die and in blood loss, such as during menstrual bleeding. The lost iron must be replaced from dietary sources.
Video 10.5
Oxygen Transport
(click to see video)
Watch this video to view how hemoglobin in red blood cells transports oxygen to all cells in the body.
The bioavailability of iron is highly dependent on dietary sources. In animal-based foods about 60 percent of iron is bound to hemoglobin, and heme iron is more bioavailable than nonheme iron. The other 40 percent of iron in animal-based foods is nonheme, which is the only iron source in plant-based foods. Some plants contain chemicals (such as phytate, oxalates, tannins, and polyphenols) that inhibit iron absorption. Although, eating fruits and vegetables rich in vitamin C at the same time as iron-containing foods markedly increases iron absorption. A review in the American Journal of Clinical Nutrition reports that in developed countries iron bioavailability from mixed diets ranges between 14 and 18 percent, and that from vegetarian diets ranges between 5 and 12 percent. Centers for Disease Control and Prevention. “Iron and Iron Deficiency.” Accessed October 2, 2011. http://www.cdc.gov/nutrition/everyone/basics/vitamins/iron.html. Vegans are at higher risk for iron deficiency, but careful meal planning does prevent its development. Iron deficiency is the most common of all micronutrient deficiencies and will be explored in depth in Section 10.5 "Iron-Deficiency Anemia".
Zinc
Zinc is a cofactor for over two hundred enzymes in the human body and plays a direct role in RNA, DNA, and protein synthesis. Zinc also is a cofactor for enzymes involved in energy metabolism. As the result of its prominent roles in anabolic and energy metabolism, a zinc deficiency in infants and children blunts growth. The reliance of growth on adequate dietary zinc was discovered in the early 1960s in the Middle East where adolescent nutritional dwarfism was linked to diets containing high amounts of phytate. Cereal grains and some vegetables contain chemicals, one being phytate, which blocks the absorption of zinc and other minerals in the gut. It is estimated that half of the world’s population has a zinc-deficient diet. Prasad, Ananda. “Zinc deficiency.” BMJ 2003 February 22; 326 (7386): 409–410. doi: 10.1136/bmj.326.7386.409. Accessed October 2, 2011. http://www.ncbi.nlm.nih.gov/pmc/articles/PMC1125304/?tool=pmcentrez. This is largely a consequence of the lack of red meat and seafood in the diet and reliance on cereal grains as the main dietary staple. In adults, severe zinc deficiency can cause hair loss, diarrhea, skin sores, loss of appetite, and weight loss. Zinc is a required cofactor for an enzyme that synthesizes the heme portion of hemoglobin and severely deficient zinc diets can result in anemia.
Iodine
Recall from Chapter 1 "Nutrition and You" the information about the discovery of iodine and its use as a means of preventing goiter, a gross enlargement of the thyroid gland in the neck. Iodine is essential for the synthesis of thyroid hormone, which regulates basal metabolism
Metabolic pathways necessary to support and maintain the basic functions of the body (e.g. breathing, heartbeat, liver, and kidney function) while at rest.
, growth, and development. Low iodine levels and consequently hypothyroidism has many signs and symptoms including fatigue, sensitivity to cold, constipation, weight gain, depression, and dry, itchy skin and paleness. The development of goiter may often be the most visible sign of chronic iodine deficiency, but the consequences of low levels of thyroid hormone can be severe during infancy, childhood, and adolescence as it affects all stages of growth and development. Thyroid hormone plays a major role in brain development and growth and fetuses and infants with severe iodine deficiency develop a condition known as cretinism, in which physical and neurological impairment can be severe. The World Health Organization (WHO) estimates iodine deficiency affects over two billion people worldwide and it is the number-one cause of preventable brain damage worldwide. World Health Organization. “Iodine Status Worldwide.” Accessed October 2, 2011. http://whqlibdoc.who.int/publications/2004/9241592001.pdf.
Selenium
Selenium is a cofactor of enzymes that release active thyroid hormone in cells and therefore low levels can cause similar signs and symptoms as iodine deficiency. The other important function of selenium is as an antioxidant, which was discussed in detail in Chapter 8 "Nutrients Important As Antioxidants".
Copper
Copper, like iron, assists in electron transfer in the electron-transport chain. Furthermore, copper is a cofactor of enzymes essential for iron absorption and transport. The other important function of copper is as an antioxidant, which was also discussed in Chapter 8 "Nutrients Important As Antioxidants". Symptoms of mild to moderate copper deficiency are rare. More severe copper deficiency can cause anemia from the lack of iron mobilization in the body for red blood cell synthesis. Other signs and symptoms include growth retardation in children and neurological problems, because copper is a cofactor for an enzyme that synthesizes myelin, which surrounds many nerves.
Manganese
Manganese is a cofactor for enzymes involved in glucose production (gluconeogenesis) and amino-acid catabolism in the liver. Manganese deficiency is uncommon.
Chromium
The functioning of chromium in the body is less understood than that of most other minerals. It enhances the actions of insulin so plays a role in carbohydrate, fat, and protein metabolism. Currently, the results of scientific studies evaluating the usefulness of chromium supplementation in preventing and treating Type 2 diabetes are largely inconclusive. More research is needed to better determine if chromium is helpful in treating certain chronic diseases and, if so, at what doses.
A summary of the prominent functions of minerals in metabolism and their related deficiency syndromes is given in Table 10.8 "Mineral Functions in Metabolism and Blood and Deficiency Syndrome".
Table 10.8 Mineral Functions in Metabolism and Blood and Deficiency Syndrome
Mineral
Function
Deficiency: Signs and Symptoms
Macro
Magnesium
ATP synthesis and utilization, carbohydrate, lipid, protein, RNA, and DNA synthesis
Tremor, muscle spasms, loss of appetite, nausea
Trace
Iron
Assists in energy production, DNA synthesis required for red blood cell function
Anemia: fatigue, paleness, faster heart rate
Zinc
Assists in energy production, protein, RNA and DNA synthesis; required for hemoglobin synthesis
Growth retardation in children, hair loss, diarrhea, skin sores, loss of appetite, weight loss
Iodine
Making thyroid hormone, metabolism, growth and development
Goiter, cretinism, other signs and symptoms include fatigue, depression, weight gain, itchy skin, low heart-rate
Selenium
Essential for thyroid hormone activity
fatigue
Copper
Assists in energy production, iron metabolism
Anemia: fatigue, paleness, faster heart rate
Manganese
Glucose synthesis, amino-acid catabolism
Impaired growth, skeletal abnormalities, abnormal glucose metabolism
Chromium
Assists insulin in carbohydrate, lipid and protein metabolism
abnormal glucose metabolism
Dietary Reference Intakes for Minerals and Dietary Sources
The RDA set by the IOM for minerals involved in metabolism are listed for adults in Table 10.9 "Dietary Reference Intakes and Food Sources for Minerals Important for Metabolism". The table also lists dietary sources for these micronutrients. The mineral content of foods is greatly affected by the soil from which it grew, and thus geographic location is the primary determinant of the mineral content of foods. For instance, iodine comes mostly from seawater so the greater the distance from the sea the lesser the iodine content in the soil.
Table 10.9 Dietary Reference Intakes and Food Sources for Minerals Important for Metabolism
Mineral
RDA (mg/day)
Food Sources
Macro
Magnesium
420.000 (males)
Nuts, vegetables, coffee and tea, cocoa
320.000 (females)**
Trace
Iron
8.000 (males)
Animal products, fortified breakfast cereals, beans, spinach, peas
18.000 (females)
Zinc
11.000 (males)
Red meat, poultry, seafood, fortified breakfast cereals, beans, nuts, whole grains
8.000 (females)
Iodine
0.150 (males)
Seafood, dairy products
0.150 (females)
Selenium
0.055 (males)
Tuna, beef, chicken, nuts, dairy products
0.055 (females)
Copper
0.900 (males)
Whole grains, liver, legumes, seeds, cocoa
0.900 (females)
Manganese
2.300 (males)
Whole grains, brown rice, spinach, nuts, tea
1.800 (females)*
Chromium
0.035 (males)
Egg yolks, whole grains, meats, organ meats, mushrooms, nuts, broccoli
0.025 (females)*
* denotes Adequate Intake, **for ages 31–50 only
Source: Institute of Medicine. Dietary Reference Intakes for Vitamin A, Vitamin K, Arsenic, Boron, Chromium, Copper, Iodine, Iron, Manganese, Molybdenum, Nickel, Silicon, Vanadium, and Zinc. January 9, 2001. http://www.iom.edu/Reports/2001/Dietary-Reference-Intakes-for-Vitamin-A-Vitamin-K-Arsenic-Boron-Chromium-Copper-Iodine-Iron-Manganese-Molybdenum-Nickel-Silicon-Vanadium-and-Zinc.aspx.
Bioavailability
Minerals are not as efficiently absorbed as most vitamins and so the bioavailability of minerals can be very low. Plant-based foods often contain factors, such as oxalate and phytate, that bind to minerals and inhibit their absorption. In general, minerals are better absorbed from animal-based foods. In most cases, if dietary intake of a particular mineral is increased, absorption will decrease. Some minerals influence the absorption of others. For instance, excess zinc in the diet can impair iron and copper absorption. Conversely, certain vitamins enhance mineral absorption. For example, vitamin C boosts iron absorption, and vitamin D boosts calcium and magnesium absorption. As is the case with vitamins, certain gastrointestinal disorders and diseases, such as Crohn’s disease and kidney disease, as well as the aging process, impair mineral absorption, putting people with malabsorption conditions and the elderly at higher risk for mineral deficiencies.
Key Takeaways
Minerals cannot be broken down to release energy.
Minerals are cofactors for hundreds of enzymes involved in metabolism.
Iron especially, but also copper and zinc are critical for blood function and renewal.
Minerals are not as efficiently absorbed as most vitamins and bioavailability can be very low.
Discussion Starters
Discuss why “more is not always better,” especially how this saying pertains to micronutrient intake.
Look up the chemical structure of phytate and explain how it inhibits the absorption of positively charged minerals.
10.5 Iron-Deficiency Anemia
Learning Objective
Discuss why iron-deficiency anemia is the most prevalent nutritional deficiency worldwide, its impacts on human health, and possible solutions to combat it.
Iron-Deficiency Anemia: Signs, Symptoms, and Treatment
Iron-deficiency anemia
A condition that develops from having insufficient iron levels in the body, resulting in fewer and smaller red blood cells containing lower amounts of hemoglobin. Signs and symptoms include fatigue, weakness, pale skin, shortness of breath, dizziness, swollen and sore tongue, and abnormal heart rate.
is a condition that develops from having insufficient iron levels in the body resulting in fewer and smaller red blood cells containing lower amounts of hemoglobin. Regardless of the cause (be it from low dietary intake of iron or via excessive blood loss), iron-deficiency anemia has the following signs and symptoms, which are linked to the essential functions of iron in energy metabolism and blood health:
Fatigue
Weakness
Pale skin
Shortness of breath
Dizziness
Swollen, sore tongue
Abnormal heart rate
Iron-deficiency anemia is diagnosed from characteristic signs and symptoms and confirmed with simple blood tests that count red blood cells and determine hemoglobin and iron content in blood. Anemia is most often treated with iron supplements and increasing the consumption of foods that are higher in iron. See Table 10.10 "Dietary Sources of Iron" for good dietary sources of iron. Iron supplements have some adverse side effects including nausea, constipation, diarrhea, vomiting, and abdominal pain. Reducing the dose at first and then gradually increasing to the full dose often minimizes the side effects of iron supplements. Avoiding foods and beverages high in phytates and also tea (which contains tannic acid and polyphenols, both of which impair iron absorption), is important for people who have iron-deficiency anemia. Eating a dietary source of vitamin C at the same time as iron-containing foods improves absorption of nonheme iron in the gut. Additionally, unknown compounds that likely reside in muscle tissue of meat, poultry, and fish increase iron absorption from both heme and nonheme sources. See Table 10.11 "Enhancers and Inhibitors of Iron Absorption" for more enhancers and inhibitors for iron absorption.
Table 10.10 Dietary Sources of Iron
Food
Milligrams per serving
Percent RDA (males)
Percent RDA (females)
Oysters (3 oz.)
13.20
165
73
Beef liver (3 oz.)
7.50
94
42
Prune juice (½ c.)
5.20
65
29
Clams (2 oz.)
4.20
53
23
Walnuts (½ c.)
3.75
47
21
Chickpeas (½ c.)
3.00
38
19
Bran flakes (½ c.)
2.80
37
16
Pork roast (3 oz.)
2.70
34
15
Raisins (½ c.)
2.55
32
14
Roast beef (3 oz.)
1.80
23
10
Green peas (½ c.)
1.50
19
8
Peanuts (½ c.)
1.50
19
8
Green beans (½ c.)
1.00
13
6
Egg (1)
1.00
13
6
Source: University of Maryland Medical Center. “Iron.” © 2011 University of Maryland Medical Center (UMMC). All rights reserved. http://www.umm.edu/altmed/articles/iron-000309.htm#ixzz2BIykoCPs.
Table 10.11 Enhancers and Inhibitors of Iron Absorption
Enhancer
Inhibitor
Meat
Phosphate
Fish
Calcium
Poultry
Tea
Seafood
Coffee
Stomach acid
Colas
Soy protein
High doses of minerals (antacids)
Bran/fiber
Phytates
Oxalates
Polyphenols
Iron Deficiency: A Worldwide Nutritional Health Problem
The Centers for Disease Control and Prevention reports that iron deficiency is the most common nutritional deficiency worldwide. Centers for Disease Control and Prevention. “Iron and Iron Deficiency.” Accessed October 2, 2011. http://www.cdc.gov/nutrition/everyone/basics/vitamins/iron.html. The WHO estimates that 80 percent of people are iron deficient and 30 percent of the world population has iron-deficiency anemia. The World Bank. “Anemia.” Accessed October 2, 2011. http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTHEALTHNUTRITIONANDPOPULATION/EXTPHAAG/0,,contentMDK:20588506~menuPK:1314803~pagePK:64229817~piPK:64229743 ~theSitePK:672263,00.html. The main causes of iron deficiency worldwide are parasitic worm infections in the gut causing excessive blood loss, and malaria, a parasitic disease causing the destruction of red blood cells. In the developed world, iron deficiency is more the result of dietary insufficiency and/or excessive blood loss occurring during menstruation or child-birth.
At-Risk Populations
Infants, children, adolescents, and women are the populations most at risk worldwide for iron-deficiency anemia by all causes. Infants, children, and even teens require more iron because iron is essential for growth. In these populations, iron deficiency (and eventually iron-deficiency anemia) can also cause the following signs and symptoms: poor growth, failure to thrive, and poor performance in school, as well as mental, motor, and behavioral disorders. Women who experience heavy menstrual bleeding or who are pregnant require more iron in the diet. One more high-risk group is the elderly. Both elderly men and women have a high incidence of anemia and the most common causes are dietary iron deficiency and chronic disease such as ulcer, inflammatory diseases, and cancer. Additionally, those who have recently suffered from traumatic blood loss, frequently donate blood, or take excessive antacids for heartburn need more iron in the diet.
Video 10.6
Iron Deficiency
(click to see video)
This video provides a brief overview on how good nutrition can prevent the development of iron-deficiency anemia.
Iron Toxicity
The body excretes little iron and therefore the potential for accumulation in tissues and organs is considerable. Iron accumulation in certain tissues and organs can cause a host of health problems in children and adults including extreme fatigue, arthritis, joint pain, and severe liver and heart toxicity. In children, death has occurred from ingesting as little as 200 mg of iron and therefore it is critical to keep iron supplements out of children’s reach. The IOM has set tolerable upper intake levels of iron ( Table 10.12 "Tolerable Upper Intake Levels of Iron" ). Mostly a hereditary disease, hemochromatosis is the result of a genetic mutation that leads to abnormal iron metabolism and an accumulation of iron in certain tissues such as the liver, pancreas, and heart. The signs and symptoms of hemochromatosis are similar to those of iron overload in tissues caused by high dietary intake of iron or other nongenetic metabolic abnormalities, but are often increased in severity.
Table 10.12 Tolerable Upper Intake Levels of Iron
Age
Males (mg/day)
Females (mg/day)
Pregnancy (mg/day)
Lactation (mg/day)
7–12 months
40
40
N/A
N/A
1–13 years
40
40
N/A
N/A
14–18 years
45
45
45
45
19+ years
45
45
45
45
Source: Institute of Medicine. Dietary Reference Intakes for Vitamin A, Vitamin K, Arsenic, Boron, Chromium, Copper, Iodine, Iron, Manganese, Molybdenum, Nickel, Silicon, Vanadium, and Zinc. January 9, 2001. http://www.iom.edu/Reports/2001/Dietary-Reference-Intakes-for-Vitamin-A-Vitamin-K-Arsenic-Boron-Chromium-Copper-Iodine-Iron-Manganese-Molybdenum-Nickel-Silicon-Vanadium-and-Zinc.aspx.
Preventing Iron-Deficiency Anemia
In young children iron-deficiency anemia can cause significant motor, mental, and behavior abnormalities that are long-lasting. In the United States, the high incidence of iron-deficiency anemia in infants and children was a major public-health problem prior to the early 1970s, but now the incidence has been greatly reduced. This achievement was accomplished by implementing the screening of infants for iron-deficiency anemia in the health sector as a common practice, advocating the fortification of infant formulas and cereals with iron, and distributing them in supplemental food programs, such as that within Women, Infants, and Children (WIC). Breastfeeding, iron supplementation, and delaying the introduction of cow’s milk for at least the first twelve months of life were also encouraged. These practices were implemented across the socioeconomic spectrum and by the 1980s iron-deficiency anemia in infants had significantly declined. Other solutions had to be introduced in young children, who no longer were fed breastmilk or fortified formulas and were consuming cow’s milk. The following solutions were introduced to parents: provide a diet rich in sources of iron and vitamin C, limit cow’s milk consumption to less than twenty-four ounces per day, and a multivitamin containing iron.
While supplementation may be necessary in acute situations, the best way to boost your iron intake is through good eating habits.
© Shutterstock
In the third world, iron-deficiency anemia remains a significant public-health challenge. The World Bank claims that a million deaths occur every year from anemia and that the majority of those occur in Africa and Southeast Asia. The World Bank states five key interventions to combat anemia: The World Bank. “Anemia.” Accessed October 2, 2011. http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTHEALTHNUTRITIONANDPOPULATION/EXTPHAAG/0,,contentMDK:20588506~menuPK:1314803~pagePK:64229817~piPK:64229743 ~theSitePK:672263,00.html
Provide at-risk groups with iron supplements.
Fortify staple foods with iron and other micronutrients whose deficiencies are linked with anemia.
Prevent the spread of malaria and treat the hundreds of millions with the disease.
Provide insecticide-treated bed netting to prevent parasitic infections.
Treat parasitic-worm infestations in high-risk populations.
Also, there is ongoing investigation as to whether supplying iron cookware to at-risk populations is effective in preventing and treating iron-deficiency anemia.
Key Takeaways
Iron-deficiency anemia is a condition that develops from having insufficient iron levels in the body, resulting in fewer and smaller red blood cells containing lower amounts of hemoglobin. It is diagnosed from characteristic signs and symptoms and confirmed with simple blood tests that count red blood cells and determine hemoglobin and iron content in blood. Anemia is most often treated with iron supplements and increasing the consumption of foods that are higher in iron.
The main causes of iron deficiency worldwide are parasitic-worm infections in the gut (causing excessive blood loss), malaria, a parasitic disease causing the destruction of red blood cells, and insufficient iron in the diet.
Infants, children, adolescents, and women are the populations most at risk worldwide for iron-deficiency anemia by all causes.
In America in the past, iron-deficiency anemia was prevalent in infants and young children. After the introduction of infant screening, fortification of formulas and foods, and educating parents on providing an iron-rich diet, iron-deficiency anemia significantly declined in this country.
In the third world, iron-deficiency anemia remains a significant public-health challenge. Solutions to reduce the prevalence of iron-deficiency anemia in the developing world include providing supplements to target populations, fortifying foods with iron and other blood-healthy micronutrients, preventing the spread of malaria, treating parasitic infections, and giving iron cookware to high-risk populations.
The body excretes little iron and therefore the potential for accumulation in tissues and organs is considerable. Iron accumulation in certain tissues and organs can cause a host of health problems in children and adults, including extreme fatigue, arthritis, joint pain, and severe liver and heart toxicity.
Discussion Starters
Come up with a hypothesis or two on why it is vital that blood is continuously renewed.
Discuss the effectiveness and cost of some possible solutions for eliminating iron-deficiency anemia worldwide.
10.6 End-of-Chapter Exercises
It’s Your Turn
Make a chart of the vitamins and minerals important for metabolism and list their main functions.
List four functions of blood.
With regard to the functions of iron in metabolism and blood health, describe how low iron levels lead to the characteristic signs and symptoms of iron-deficiency anemia.
Apply It
Draw a flow chart of the stages of nutrient catabolism and point out where the B vitamins are required.
Summarize in a paragraph why a pregnant woman requires more iron in the diet and why it is important for newborn babies to be screened for iron deficiency.
Plan a daily menu that meets the RDA for iron and iron-absorption enhancers.
Expand Your Knowledge
Read “Sir Frederick Hopkins—Nobel Lecture” on the history of the discovery of vitamins and summarize in a paragraph or two the importance of continuing scientific investigation to define the functions of vitamins in order to improve the health of humans. http://www.nobelprize.org/nobel_prizes/medicine/laureates/1929/hopkins-lecture.html
Go to the USDA database ( http://www.ars.usda.gov/Services/docs.htm?docid=20958) and prepare a list of the top ten food sources of vitamin B 6 and vitamin B 12.
Why would having too many red blood cells decrease the amount of oxygen delivered to cells? To help answer this question visit the website of the National Heart, Lung, and Blood Institute ( http://www.nhlbi.nih.gov/health/dci/Diseases/poly/poly_all.html ). | msmarco_doc_00_10410008 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s17-05-young-adulthood-and-nutrition.html | Young Adulthood and Nutrition | 13.5
Young Adulthood and Nutrition
13.5 Young Adulthood and Nutrition
Learning Objectives
Young Adulthood (Ages Nineteen to Thirty): At Your Peak
Energy
Macronutrients
Tools for Change
Micronutrients
Nutritional Concerns in Young Adulthood
Gastrointestinal Integrity
Obesity during Adulthood
Key Takeaways
Discussion Starter
| Young Adulthood and Nutrition
13.5 Young Adulthood and Nutrition
Learning Objectives
Summarize nutritional requirements and dietary recommendations for young adults.
Discuss the most important nutrition-related concerns during young adulthood.
Explain how nutritional and lifestyle choices can affect current and future health.
With the onset of adulthood, good nutrition can help young adults enjoy an active lifestyle. For most people, this is the time when their bodies are in the best condition. The body of an adult does not need to devote its energy and resources to support the rapid growth and development that characterizes youth. However, the choices made during those formative years can have a lasting impact. Eating habits and preferences developed during childhood and adolescence influence health and fitness into adulthood. Some adults have gotten a healthy start and have established a sound diet and regular activity program, which helps them remain in good condition from young adulthood into the later years. Others carry childhood obesity into adulthood, which adversely affects their health. However, it is not too late to change course and develop healthier habits and lifestyle choices. Therefore, adults must monitor their dietary decisions and make sure their caloric intake provides the energy that they require, without going into excess.
Young Adulthood (Ages Nineteen to Thirty): At Your Peak
At this time, growth is completed and people reach their physical peak. Major organs and body systems have fully matured by this stage of the life cycle. For example, the human body reaches maximum cardiac output between ages twenty and thirty. Also, bone and muscle mass are at optimal levels, and physical activity helps to improve muscle strength, endurance, and tone. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 192–193. In order to maintain health and fitness at this age, it is important to continue to practice good nutrition. Healthy eating habits promote metabolic functioning, assist repair and regeneration, and prevent the development of chronic conditions. In addition, the goals of a young adult, such as beginning a career or seeking out romantic relationships, can be supported with good habits.
Energy
Young men typically have higher nutrient needs than young women. For ages nineteen to thirty, the energy requirements for women are 1,800 to 2,400 calories, and 2,400 to 3,000 calories for men, depending on activity level. These estimates do not include women who are pregnant or breastfeeding, who require a higher energy intake (see Chapter 12 "Nutrition through the Life Cycle: From Pregnancy to the Toddler Years" ).
Macronutrients
For carbohydrates, the AMDR is 45 to 65 percent of daily calories. All adults, young and old, should eat fewer energy-dense carbohydrates, especially refined, sugar-dense sources, particularly for those who lead a more sedentary lifestyle. The AMDR for protein is 10 to 35 percent of total daily calories, and should include a variety of lean meat and poultry, eggs, beans, peas, nuts, and seeds. The guidelines also recommend that adults eat two 4-ounce servings (or one 8-ounce serving) of seafood per week.
It is also important to replace proteins that are high in trans fats and saturated fat with ones that are lower in solid fats and calories. All adults should limit total fat to 20 to 35 percent of their daily calories and keep saturated fatty acids to less than 10 percent of total calories by replacing them with monounsaturated and polyunsaturated fatty acids. Avoid trans fats by limiting foods that contain synthetic sources, such as partially hydrogenated oils. The AMDR for fiber is 22 to 28 grams per day for women and 28 to 34 grams per day for men. Soluble fiber may help improve cholesterol and blood sugar levels, while insoluble fiber can help prevent constipation.
Tools for Change
A healthy diet of nutrient-rich meals incorporates a variety of whole foods. Whole foods are unprocessed or unrefined, or have been created with as little processing as possible. They do not include a lot of added ingredients, such as sugar, sodium, or fat, and are free of preservatives or other chemicals that are often added to food products. Examples of whole foods with no processing include legumes and fresh fruits and vegetables. Examples of whole foods with minimal processing include whole-grain breads and cereals. Dietitians recommend consuming whole foods for a variety of reasons. Whole foods provide nutrients in their natural state, with all of the vitamins and minerals intact. Food processing can remove some nutrients during manufacturing. Also, diets rich in whole foods contain high concentrations of fiber and antioxidants, and can protect against chronic disease.
Micronutrients
Micronutrient needs in adults differ slightly according to sex. Young men and women who are very athletic and perspire a great deal also require extra sodium, potassium, and magnesium. Males require more of vitamins C and K, along with thiamine, riboflavin, and niacin. Females require extra iron due to menstruation. Therefore, it can be beneficial for some young adults to follow a daily multivitamin regimen to help meet nutrient needs. But as always, it is important to remember “food first, supplements second.” Table 13.4 "Micronutrient Levels during Adulthood" shows the micronutrient recommendations for adult men and women.
Table 13.4 Micronutrient Levels during Adulthood
Nutrient
Adult Males
Adult Females
Vitamin A (mcg)
900.0
700.0
Vitamin B 6 (mg)
1.3
1.3
Vitamin B 12 (mcg)
2.4
2.4
Vitamin C (mg)
90.0
75.0
Vitamin D (mcg)
5.0
5.0
Vitamin E (mg)
15.0
15.0
Vitamin K (mcg)
120.0
90.0
Calcium (mg)
1,000.0
1,000.0
Folate (mcg)
400.0
400.0
Iron (mg)
8.0
18.0
Magnesium (mg)
400.0
310.0
Niacin (B 3) (mg)
16.0
14.0
Phosphorus (mg)
700.0
700.0
Riboflavin (B 2) (mg)
1.3
1.1
Selenium (mcg)
55.0
55.0
Thiamine (B 1) (mg)
1.2
1.1
Zinc (mg)
11.0
8.0
Source: Institute of Medicine. http://www.iom.edu.
Nutritional Concerns in Young Adulthood
There are a number of intake recommendations for young adults. According to the IOM, an adequate intake (AI) of fluids for men is 3.7 liters per day, from both food and liquids. The AI for women is 2.7 liters per day, from food and liquids. Institute of Medicine. “Dietary Reference Intakes: Water, Potassium, Sodium, Chloride, and Sulfate.” Accessed March 5, 2012. http://www.iom.edu/Reports/2004/Dietary-Reference-Intakes-Water-Potassium-Sodium-Chloride-and-Sulfate.aspx.
It is best when fluid intake is from water, instead of sugary beverages, such as soda. Fresh fruits and vegetables, including watermelon and cucumbers, are excellent food sources of fluid.
In addition, young adults should avoid consuming excessive amounts of sodium. The health consequences of high sodium intake include high blood pressure and its complications. Therefore, it is best to limit sodium to less than 2,300 milligrams per day.
Gastrointestinal Integrity
Good nutrition during the young adult years can help to support gastrointestinal integrity and prevent digestive disorders, such as constipation and diarrhea. Dietary fiber helps bind indigestible food together and normalize bowel movements. It also holds more water in the stool to make it softer for those who suffer from constipation. Excellent sources of fiber include oats, barley, rye, wheat, brown rice, celery, carrots, nuts, seeds, dried beans, oranges, and apples. In addition, healthy intestinal microflora can be supported by prebiotics, which stimulate the growth of beneficial bacteria already in the colon and are found in fruits and vegetables, and probiotics, which change or improve the bacterial balance in the gut and are found in yogurt.
Obesity during Adulthood
Obesity remains a major concern into young adulthood. For adults, a BMI above 25 is considered overweight, and a BMI of 30 or higher is obese. By that measurement, about two-thirds of all adults in the United States are overweight or obese, with 35.7 percent considered to be obese. Centers for Disease Control, National Center for Health Statistics. “Prevalence of Obesity in the United States, 2009–2010.” NCHS Data Brief, No. 82, January 2012, accessed on March 5, 2012. http://www.cdc.gov/nchs/data/databriefs/db82.pdf. As during childhood and adolescence, physical inactivity and poor dietary choices are major contributors to obesity in adulthood. Solid fats, alcohol, and added sugars (SoFAAS) make up 35 percent of total calories for most people, leading to high levels of saturated fat and cholesterol and insufficient dietary fiber. Therefore, it is important to limit unrefined carbohydrates and processed foods.
Key Takeaways
Young adults typically have reached their physical peak and can support health and wellness with adequate nutrition and exercise.
For ages nineteen to thirty, the daily energy requirements are 1,800 to 2,400 calories for women and 2,400 to 3,000 calories for men, depending on activity level.
Nutritional concerns for young adults include adequate energy and fluid intake, sodium intake, and the consumption of fiber.
Young adults should avoid consuming solid fats, added sugars, and alcohol in excess.
Discussion Starter
How does your intake of carbohydrates, proteins, and fats compare to the AMDR? What can you do to make changes and meet the nutritional recommendations? | msmarco_doc_00_10492967 |
http://2012books.lardbucket.org/books/an-introduction-to-nutrition/s17-nutrition-through-the-life-cyc.html | Nutrition through the Life Cycle: From Childhood to the Elderly Years | Chapter 13
Nutrition through the Life Cycle: From Childhood to the Elderly Years
Chapter 13 Nutrition through the Life Cycle: From Childhood to the Elderly Years
Big Idea
You Decide
Video 13.1
13.1 The Human Life Cycle Continues
Changes during Childhood
Changes during Puberty
Changes in Late Adolescence
Changes in Young Adulthood
Changes in Middle Age
Changes in the Older Adult Years
Changing Needs and Nutrition
13.2 Childhood and Nutrition
Childhood (Ages Four to Eight): “Growing Pains”
Energy
Macronutrients
Micronutrients
Factors Influencing Intake
Children and Malnutrition
The National School Lunch Program
Video 13.2
Children and Vegetarianism
Types of Vegetarian Diets
Food Allergies and Food Intolerance
The Threat of Lead Toxicity
13.3 Puberty and Nutrition
The Onset of Puberty (Ages Nine to Thirteen)
Energy
Macronutrients
Micronutrients
Childhood Obesity
Video 13.3
Avoiding Added Sugars
Tools for Change
Key Takeaways
Discussion Starter
13.4 Older Adolescence and Nutrition
Adolescence (Ages Fourteen to Eighteen): Transitioning into Adulthood
Energy
Macronutrients
Micronutrients
Eating Disorders
Video 13.4
13.5 Young Adulthood and Nutrition
Young Adulthood (Ages Nineteen to Thirty): At Your Peak
Energy
Macronutrients
Tools for Change
Micronutrients
Nutritional Concerns in Young Adulthood
Gastrointestinal Integrity
Obesity during Adulthood
13.6 Middle Age and Nutrition
Middle Age (Ages Thirty-One to Fifty): Aging Well
Energy
Video 13.5
Macronutrients and Micronutrients
Preventive/Defensive Nutrition
Menopause
13.7 Old Age and Nutrition
Older Adulthood (Ages Fifty-One and Older): The Golden Years
Energy
Macronutrients
Micronutrients
Nutritional Concerns for Older Adults
Sensory Issues
Gastrointestinal Problems
Dysphagia
Video 13.6
Obesity in Old Age
The Anorexia of Aging
Vision Problems
Neurological Conditions
Longevity and Nutrition
13.8 End-of-Chapter Exercises
It’s Your Turn
Apply It
Expand Your Knowledge
| Nutrition through the Life Cycle: From Childhood to the Elderly Years
Chapter 13 Nutrition through the Life Cycle: From Childhood to the Elderly Years
Big Idea
Good nutritional choices reduce the risk of chronic disease during the middle-aged years.
The emergence of the obesity epidemic not only relates to what we eat and drink, but also how much we consume on a daily basis.
© Thinkstock
One hundred years ago, when many families sat down to dinner, they might have eaten boiled potatoes or corn, leafy vegetables such as cabbage or collards, fresh-baked bread, and, if they were fortunate, a small amount of beef or chicken. Young and old alike benefitted from a sound diet that packed a real nutritional punch. Times have changed. Many families today fill their dinner plates with fatty foods, such as french fries cooked in vegetable oil, a hamburger that contains several ounces of ground beef, and a white-bread bun, with a single piece of lettuce and a slice or two of tomato as the only vegetables served with the meal.
Our diet has changed drastically as processed foods, which did not exist a century ago, and animal-based foods now account for a large percentage of our calories. Not only has what we eat changed, but the amount of it that we consume has greatly increased as well, as plates and portion size have grown much larger. All of these choices impact our health, with short- and long-term consequences as we age. Possible effects in the short-term include excess weight gain and constipation. The possible long-term effects, primarily related to obesity, include the risk of cardiovascular disease, Type 2 diabetes, hypertension, stroke, osteoarthritis, sleep apenea, respiratory problems, liver and gallbladder disease, and certain cancers (endometrial, breast, and colon) among middle-aged and elderly adults. Centers for Disease Control and Prevention. “Overweight and Obesity: Health Consequences.” Last updated March 3, 2011. http://www.cdc.gov/obesity/causes/health.html.
It is best to start making healthy choices from a young age and maintain them as you mature. However, a recent report published in the American Journal of Clinical Nutrition, suggests that adopting good nutritional choices later in life, during the forties, fifties, and even the sixties, may still help to reduce the risk of chronic disease as you grow older. Rivlin, R. S. “Keeping the Young-Elderly Healthy: Is It Too Late to Improve Our Health through Nutrition?” Am J Clin Nutr 86, supplement (2007): 1572S–6S. Even if past nutritional and lifestyle choices were not aligned with dietary guidelines, older adults can still do a great deal to reduce their risk of disability and chronic disease. As we age, we tend to lose lean body mass. This loss of muscle and bone can have critical health implications. For example, a decrease in body strength can result in an increased risk for fractures because older adults with weakened muscles are more likely to fall, and to sustain serious injuries when they do. However, improving your diet while increasing physical activity helps to control weight, reduce fat mass, and maintain muscle and bone mass.
There are a number of changes middle-aged adults can implement, even after years of unhealthy choices. Choices include eating more dark, green, leafy vegetables, substituting high-fat proteins with lean meats, poultry, fish, beans, and nuts, and engaging in moderate physical activity for thirty minutes per day, several days per week. The resulting improvements in body composition will go a long way toward providing greater protection against falls and fractures, and helping to ward off cardiovascular disease and hypertension, among other chronic conditions. Rivlin, R. S. “Keeping the Young-Elderly Healthy: Is It Too Late to Improve Our Health through Nutrition?” Am J Clin Nutr 86, supplement (2007): 1572S–6S.
You Decide
What is one nutritional choice that you can make today to reduce your risk of chronic disease tomorrow?
In Chapter 12 "Nutrition through the Life Cycle: From Pregnancy to the Toddler Years", we focused on the effects of dietary choices during pregnancy, infancy, and the toddler years. Our examination of nutrition through the human life cycle continues as we study the remainder of childhood into adulthood and the elderly years. Nutritional choices remain critical throughout a person’s life and influence overall health and wellness. The nutritional choices we make today affect not only our present health, but also our future well-being.
Video 13.1
Weight Gain and Body-Composition Changes, Midlife into Older Age
(click to see video)
This video focuses on the consequences of changing body composition from the middle-aged years into old age.
13.1 The Human Life Cycle Continues
Learning Objectives
Identify and define the different stages of the human life cycle.
Explain how the human body develops from childhood through the elderly years.
As children mature, their friends can exert a strong influence on their nutritional choices.
© Thinkstock
As discussed in Chapter 12 "Nutrition through the Life Cycle: From Pregnancy to the Toddler Years", all people need the same basic nutrients—essential amino acids, carbohydrates, essential fatty acids, and twenty-eight vitamins and minerals—to maintain life and health. However, the amounts of needed nutrients change as we pass from one stage of the human life cycle to the next. Young children require a higher caloric intake relative to body size to facilitate physical and mental development. On the other hand, inactive senior citizens need fewer calories than other adults to maintain their weight and stay healthy. Psychological, emotional, and social issues over the span of a human life can also influence diet and nutrition. For example, peer pressure during adolescence can greatly affect the nutritional choices a teenager makes. Therefore, it is important to weigh a number of considerations when examining how nutrient needs change. In this chapter, we will focus on diet, nutrition, and the human life cycle from the remainder of childhood into the elderly years.
Changes during Childhood
Early childhood encompasses infancy and the toddler years, from birth through age three. The remaining part of childhood is the period from ages four through eight and is the time when children enter school. A number of critical physiological and emotional changes take place during this life stage. For example, a child’s limbs lengthen steadily, while the growth of other body parts begins to slow down. By age ten, the skull and the brain have grown to near-adult size. Beverly McMillan, Human Body: A Visual Guide (Sydney, Australia: Weldon Owen, 2006), 258. Emotional and psychological changes occur as well. Children’s attitudes and opinions about food deepen. They not only begin taking their cues about food preferences from family members, but also from peers and the larger culture. All of these factors should impact the nutritional choices parents make for their children. This time in a child’s life provides an opportunity for parents and other caregivers to reinforce good eating habits and to introduce new foods into the diet, while remaining mindful of a child’s preferences. Parents should also serve as role models for their children, who will often mimic their behavior and eating habits.
Changes during Puberty
The onset of puberty
The period of the human life cycle between ages nine to thirteen, nutritionally speaking.
is the beginning of adolescence
The period of the human life cycle between ages fourteen to eighteen, nutritionally speaking.
, and is the bridge between the childhood years and young adulthood. Medically, adolescence is defined as the period between ages eleven and fourteen for girls and between twelve to fifteen for boys. For the purpose of discussing the influence of nutritional choices during the life cycle, this text will follow the 2010 Dietary Guidelines for Americans, which divides the adolescent years into two stages: ages nine to thirteen, or puberty, and ages fourteen to eighteen, or late adolescence. We will discuss puberty first. Some of the important physiological changes that take place during this stage include the development of primary sex characteristics, or the reproductive organs, along with the onset of menstruation in females. This life stage is also characterized by the appearance of secondary sex characteristics, such as the growth of facial and body hair, the development of breasts in girls, and the deepening of the voice in boys. Other physical changes include rapid growth and alterations in body proportions. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 170–71. All of these changes, as well as the accompanying mental and emotional adjustments, should be supported with sound nutrition.
Changes in Late Adolescence
The Dietary Guidelines defines the next phase of the human life cycle, late adolescence, as the period from ages fourteen to eighteen. After puberty, the rate of physical growth slows down. Girls stop growing taller around age sixteen, while boys continue to grow taller until ages eighteen to twenty. One of the psychological and emotional changes that takes place during this life stage includes the desire for independence as adolescents develop individual identities apart from their families. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 171–76. As teenagers make more and more of their dietary decisions, parents or other caregivers and authority figures should guide them toward appropriate, nutritious choices.
Changes in Young Adulthood
The next phase, young adulthood, is the period from ages nineteen to thirty. It is a stable time compared to childhood and adolescence. Physical growth has been completed and all of the organs and body systems are fully developed. Typically, a young adult who is active has reached his or her physical peak and is in prime health. For example, vital capacity, or the maximum amount of air that the lungs can inhale and exhale, is at its peak between the ages of twenty and forty. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 192–93. Proper nutrition and adequate physical activity at this stage not only promote wellness in the present, but also provide a solid foundation for the future.
Changes in Middle Age
Nutritionally speaking, middle age is defined as the period from age thirty-one to fifty. The early period of this stage is very different from the end. For example, during the early years of middle age, many women experience pregnancy, childbirth, and lactation. In the latter part of this life stage, women face perimenopause, which is a transition period that leads up to menopause, or the end of menstruation. A number of physical changes take place in the middle-aged years, including the loss of bone mass in women due to dropping levels of estrogen during menopause. In both men and women, visual acuity declines, and by age forty there can be a decreased ability to see objects at a close distance, a condition known as presbyopia. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 192–93. All of these are signs of aging, as the human body begins to change in subtle and not-so-subtle ways. However, a middle aged person can remain vital, healthy, and near his or her physical peak with proper diet and adequate exercise.
Changes in the Older Adult Years
The senior, or elderly, years are the period from age fifty-one until the end of life. A number of physiological and emotional changes take place during this life stage. For example, many elderly adults face serious health challenges, such as cancer, heart disease, diabetes, or dementia. Both men and women experience a loss of muscle mass and strength and undergo changes in body composition. Fat deposits build up in the abdominal area, which increases the risk for Type 2 diabetes and cardiovascular disease. The skin becomes thinner and may take longer to heal after an injury. Around age seventy, men begin to experience bone loss when estrogen and testosterone levels begin to decline. American Medical Association, Complete Guide to Prevention and Wellness (Hoboken, NJ: John Wiley & Sons, Inc., 2008), 512. Healthy nutritional choices can help to prevent or manage disability and chronic conditions.
In addition, disorders of the nervous system can have profound effects. Dementia
A disorder of the nervous system characterized by changes in the normal activity of the brain.
is the umbrella term for changes in the normal activity of the brain. Elderly adults who suffer from dementia may experience memory loss, agitation, and delusions. One in eight people over age sixty-four and almost half of all people over eighty-five suffer from the brain disorder Alzheimer’s disease, which is the most common form of dementia. American Medical Association, Complete Guide to Prevention and Wellness (Hoboken, NJ: John Wiley & Sons, Inc., 2008), 421. Neurological disorder and psychological conditions, such as depression, can influence attitudes toward food, along with the ability to prepare or ingest food. They might lead some adults to overindulge to compensate for stress or emotions that are difficult to handle. Other adults might eat less or pay less attention to their diet and nutritional needs. Elderly adults may also need guidance from dietitians and health-care professionals to make the best dietary choices for this stage of life.
Changing Needs and Nutrition
Nutritional needs continue to change at each stage of life. It is important to adjust your diet and physical activity to meet these changing needs and ensure health and wellness throughout your life. Parents must continue to help their school-aged children and adolescents establish healthy eating habits and attitudes toward food. Their primary role is to bring a wide variety of health-promoting foods into the home, so that their children can make good choices. As children become adults, they must be mindful of the choices they make and how those choices affect their health, not only in the present but also in the future.
Key Takeaways
The human body constantly changes throughout the life cycle, from childhood into adulthood and old age.
Proper nutrition and physical activity ensure health and wellness at each stage of the human life cycle.
Discussion Starter
In preparation for this chapter, predict how nutrient needs might change as a healthy young adult matures into old age. Then, after reading the text, discuss if your predictions were correct or incorrect.
13.2 Childhood and Nutrition
Learning Objectives
Summarize nutritional requirements and dietary recommendations for school-aged children.
Discuss the most important nutrition-related concerns during childhood.
Nutritional needs change as children leave the toddler years. From ages four to eight, school-aged children grow consistently, but at a slower rate than infants and toddlers. They also experience the loss of deciduous, or “baby,” teeth and the arrival of permanent teeth, which typically begins at age six or seven. As new teeth come in, many children have some malocclusion, or malposition, of their teeth, which can affect their ability to chew food. Other changes that affect nutrition include the influence of peers on dietary choices and the kinds of foods offered by schools and afterschool programs, which can make up a sizable part of a child’s diet. Food-related problems for young children can include tooth decay, food sensitivities, and malnourishment. Also, excessive weight gain early in life can lead to obesity into adolescence and adulthood.
Childhood (Ages Four to Eight): “Growing Pains”
In school-aged children, muscle mass and strength increase and motor skills show improvement.
© Thinkstock
At this life stage, a healthy diet facilitates physical and mental development and helps to maintain health and wellness. School-aged children experience steady, consistent growth, with an average growth rate of 2–3 inches (5–7 centimeters) in height and 4.5–6.5 pounds (2–3 kilograms) in weight per year. In addition, the rate of growth for the extremities is faster than for the trunk, which results in more adult-like proportions. Long-bone growth stretches muscles and ligaments, which results in many children experiencing “growing pains,” at nighttime in particular. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 150–51.
Energy
Children’s energy needs vary, depending on their growth and level of physical activity. Energy requirements also vary according to gender. Girls ages four to eight require 1,200 to 1,800 calories a day, while boys need 1,200 to 2,000 calories daily, and, depending on their activity level, maybe more. Also, recommended intakes of macronutrients and most micronutrients are higher relative to body size, compared with nutrient needs during adulthood. Therefore, children should be provided nutrient-dense food at meal- and snack-time. However, it is important not to overfeed children, as this can lead to childhood obesity, which is discussed in the next section. Parents and other caregivers can turn to the MyPlate website for guidance: http://www.choosemyplate.gov/.
Macronutrients
For carbohydrates, the Acceptable Macronutrient Distribution Range (AMDR) is 45–65 percent of daily calories (which is a recommended daily allowance of 135–195 grams for 1,200 daily calories). Carbohydrates high in fiber should make up the bulk of intake. The AMDR for protein is 10–30 percent of daily calories (30–90 grams for 1,200 daily calories). Children have a high need for protein to support muscle growth and development. High levels of essential fatty acids are needed to support growth (although not as high as in infancy and the toddler years). As a result, the AMDR for fat is 25–35 percent of daily calories (33–47 grams for 1,200 daily calories). Children should get 17–25 grams of fiber per day.
Micronutrients
Micronutrient needs should be met with foods first. Parents and caregivers should select a variety of foods from each food group to ensure that nutritional requirements are met. Because children grow rapidly, they require foods that are high in iron, such as lean meats, legumes, fish, poultry, and iron-enriched cereals. Adequate fluoride is crucial to support strong teeth. One of the most important micronutrient requirements during childhood is adequate calcium and vitamin D intake. Both are needed to build dense bones and a strong skeleton. Children who do not consume adequate vitamin D should be given a supplement of 10 micrograms (400 international units) per day. Table 13.1 "Micronutrient Levels during Childhood" shows the micronutrient recommendations for school-aged children. (Note that the recommendations are the same for boys and girls. As we progress through the different stages of the human life cycle, there will be some differences between males and females regarding micronutrient needs.)
Table 13.1 Micronutrient Levels during Childhood
Nutrient
Children, Ages 4–8
Vitamin A (mcg)
400.0
Vitamin B 6 (mcg)
600.0
Vitamin B 12 (mcg)
1.2
Vitamin C (mg)
25.0
Vitamin D (mcg)
5.0
Vitamin E (mg)
7.0
Vitamin K (mcg)
55.0
Calcium (mg)
800.0
Folate (mcg)
200.0
Iron (mg)
10.0
Magnesium (mg)
130.0
Niacin (B 3) (mg)
8.0
Phosphorus (mg)
500.0
Riboflavin (B 2) (mcg)
600.0
Selenium (mcg)
30.0
Thiamine (B 1) (mcg)
600.0
Zinc (mg)
5.0
Source: Institute of Medicine. http://www.iom.edu.
Factors Influencing Intake
A number of factors can influence children’s eating habits and attitudes toward food. Family environment, societal trends, taste preferences, and messages in the media all impact the emotions that children develop in relation to their diet. Television commercials can entice children to consume sugary products, fatty fast-foods, excess calories, refined ingredients, and sodium. Therefore, it is critical that parents and caregivers direct children toward healthy choices.
One way to encourage children to eat healthy foods is to make meal- and snack-time fun and interesting. Parents should include children in food planning and preparation, for example selecting items while grocery shopping or helping to prepare part of a meal, such as making a salad. At this time, parents can also educate children about kitchen safety. It might be helpful to cut sandwiches, meats, or pancakes into small or interesting shapes. In addition, parents should offer nutritious desserts, such as fresh fruits, instead of calorie-laden cookies, cakes, salty snacks, and ice cream. Also, studies show that children who eat family meals on a frequent basis consume more nutritious foods. Dakota County, Minnesota. “Research on the Benefits of Family Meals.” © 2006. Last revised April 30, 2012. http://www.co.dakota.mn.us/Departments/PublicHealth/Projects/ResearchFamilyMeals.htm.
Children and Malnutrition
Malnutrition is a problem many children face, in both developing nations and the developed world. Even with the wealth of food in North America, many children grow up malnourished, or even hungry. The US Census Bureau characterizes households into the following groups:
food secure
food insecure without hunger
food insecure with moderate hunger
food insecure with severe hunger
Millions of children grow up in food-insecure households with inadequate diets due to both the amount of available food and the quality of food. In the United States, about 20 percent of households with children are food insecure to some degree. In half of those, only adults experience food insecurity, while in the other half both adults and children are considered to be food insecure, which means that children did not have access to adequate, nutritious meals at times. Coleman-Jensen, A. et al. “Household Food Security in the United States in 2010.” US Department of Agriculture, Economic Research Report, no. ERR-125 (September 2011).
Growing up in a food-insecure household can lead to a number of problems. Deficiencies in iron, zinc, protein, and vitamin A can result in stunted growth, illness, and limited development. Federal programs, such as the National School Lunch Program, the School Breakfast Program, and Summer Feeding Programs, work to address the risk of hunger and malnutrition in school-aged children. They help to fill the gaps and provide children living in food-insecure households with greater access to nutritious meals. You will learn more about food insecurity and the consequences for children and adults in Chapter 14 "Nutrition and Society: Food Politics and Perspectives".
The National School Lunch Program
Beginning with preschool, children consume at least one of their meals in a school setting. Many children receive both breakfast and lunch outside of the home. Therefore, it is important for schools to provide meals that are nutritionally sound. In the United States, more than thirty-one million children from low-income families are given meals provided by the National School Lunch Program. This federally-funded program offers low-cost or free lunches to schools, and also snacks to afterschool facilities. School districts that take part receive subsidies from the US Department of Agriculture (USDA) for every meal they serve. School lunches must meet the 2010 Dietary Guidelines for Americans and need to provide one-third of the RDAs for protein, vitamin A, vitamin C, iron, and calcium. However, local authorities make the decisions about what foods to serve and how they are prepared. US Department of Agriculture. “National School Lunch Program Fact Sheet.” 2011. Accessed March 5, 2012. http://www.fns.usda.gov/cnd/lunch/AboutLunch/NSLPFactSheet.pdf. The Healthy School Lunch Campaign works to improve the food served to children in school and to promote children’s short- and long-term health by educating government officials, school officials, food-service workers, and parents. Sponsored by the Physicians Committee for Responsible Medicine, this organization encourages schools to offer more low-fat, cholesterol-free options in school cafeterias and in vending machines. Physicians Committee for Responsible Medicine. “Healthy School Lunches.” Accessed March 5, 2012. http://healthyschoollunches.org/.
Video 13.2
The USDA Introduces New School Lunch Standards
(click to see video)
This video focuses on changes to the National School Lunch Program in the United States.
Children and Vegetarianism
Another issue that some parents face with school-aged children is the decision to encourage a child to become a vegetarian or a vegan. Some parents and caregivers decide to raise their children as vegetarians for health, cultural, or other reasons. Preteens and teens may make the choice to pursue vegetarianism on their own, due to concerns about animals or the environment. No matter the reason, parents with vegetarian children must take care to ensure vegetarian children get healthy, nutritious foods that provide all the necessary nutrients.
Types of Vegetarian Diets
There are several types of vegetarians, each with certain restrictions in terms of diet:
Ovo-vegetarians. Ovo-vegetarians eat eggs, but do not eat any other animal products.
Lacto-ovo-vegetarians. Lacto-ovo-vegetarians eat eggs and dairy products, but do not eat any meat.
Lacto-vegetarians. Lacto-vegetarians eat dairy products, but do not eat any other animal products.
Vegans. Vegans eat food only from plant sources, no animal products at all.
Children who consume some animal products, such as eggs, cheese, or other forms of dairy, can meet their nutritional needs. For a child following a strict vegan diet, planning is needed to ensure adequate intake of protein, iron, calcium, vitamin B 12, and vitamin D. Legumes and nuts can be eaten in place of meat, soy milk fortified with calcium and vitamins D and B 12 can replace cow’s milk.
Food Allergies and Food Intolerance
As discussed in Chapter 12 "Nutrition through the Life Cycle: From Pregnancy to the Toddler Years", the development of food allergies is a concern during the toddler years. This remains an issue for school-aged children. Recent studies show that three million children under age eighteen are allergic to at least one type of food. American Academy of Allergy, Asthma and Immunology. “Allergy Statistics.” Accessed on March 5, 2012. http://www.aaaai.org/about-the-aaaai/newsroom/allergy-statistics.aspx. Some of the most common allergenic foods include peanuts, milk, eggs, soy, wheat, and shellfish. An allergy occurs when a protein in food triggers an immune response, which results in the release of antibodies, histamine, and other defenders that attack foreign bodies. Possible symptoms include itchy skin, hives, abdominal pain, vomiting, diarrhea, and nausea. Symptoms usually develop within minutes to hours after consuming a food allergen. Children can outgrow a food allergy, especially allergies to wheat, milk, eggs, or soy.
Anaphylaxis
A life-threatening, extreme immune response to a food allergen. Anaphylaxis can result in difficulty breathing, swelling in the mouth and throat, decreased blood pressure, shock, and death.
is a life-threatening reaction that results in difficulty breathing, swelling in the mouth and throat, decreased blood pressure, shock, or even death. Milk, eggs, wheat, soybeans, fish, shellfish, peanuts, and tree nuts are the most likely to trigger this type of response. A dose of the drug epinephrine is often administered via a “pen” to treat a person who goes into anaphylactic shock. National Institutes of Health, US Department of Health and Human Services. “Food Allergy Quick Facts.” Accessed March 5, 2012. http://www.niaid.nih.gov/topics/foodallergy/understanding/pages/quickfacts.aspx.
Some children experience a food intolerance, which does not involve an immune response. A food intolerance is marked by unpleasant symptoms that occur after consuming certain foods. Lactose intolerance, though rare in very young children, is one example. Children who suffer from this condition experience an adverse reaction to the lactose in milk products. It is a result of the small intestine’s inability to produce enough of the enzyme lactase, which is produced by the small intestine. Symptoms of lactose intolerance usually affect the GI tract and can include bloating, abdominal pain, gas, nausea, and diarrhea. An intolerance is best managed by making dietary changes and avoiding any foods that trigger the reaction. National Digestive Disease Information Clearinghouse, a service of National Institute of Diabetes and Digestive and Kidney Diseases, National Institutes of Health. “Lactose Intolerance.” NIH Publication No. 09–2751 (June 2009). Last updated April 23, 2012. http://digestive.niddk.nih.gov/ddiseases/pubs/lactoseintolerance/.
The Threat of Lead Toxicity
There is a danger of lead toxicity, or lead poisoning, among school-aged children. Lead is found in plumbing in old homes, in lead-based paint, and occasionally in the soil. Contaminated food and water can increase exposure and result in hazardous lead levels in the blood. Children under age six are especially vulnerable. They may consume items tainted with lead, such as chipped, lead-based paint. Another common exposure is lead dust in carpets, with the dust flaking off of paint on walls. When children play or roll around on carpets coated with lead, they are in jeopardy. Lead is indestructible, and once it has been ingested it is difficult for the human body to alter or remove it. It can quietly build up in the body for months, or even years, before the onset of symptoms. Lead toxicity can damage the brain and central nervous system, resulting in impaired thinking, reasoning, and perception.
Treatment for lead poisoning includes removing the child from the source of contamination and extracting lead from the body. Extraction may involve chelation therapy, which binds with lead so it can be excreted in urine. Another treatment protocol, EDTA therapy, involves administering a drug called ethylenediaminetetraacetic acid to remove lead from the bloodstream of patients with levels greater than 45 mcg/dL. Mayo Foundation for Medical Education and Research. “Lead poisoning.” ©1998–2012 Accessed March 5, 2012. http://www.mayoclinic.com/health/lead-poisoning/FL00068. Fortunately, lead toxicity is highly preventable. It involves identifying potential hazards, such as lead paint and pipes, and removing them before children are exposed to them.
Key Takeaways
The recommended intakes of macronutrients and micronutrients for children are higher relative to body size compared with nutrient needs during adulthood. Also, children’s daily energy needs vary depending on their level of physical activity and their gender. Girls ages four to eight require 1,200 to 1,800 calories, while boys ages four to eight need 1,200 to 2,000 calories.
Some food- and nutrition-related problems that can affect school-aged children include malnutrition, food allergies, food intolerances, and lead toxicity.
Discussion Starter
Which nutritional issues should parents who raise their children as vegans consider? Examine the vegan lifestyle and its impact on childhood development. Visit the following websites for more information on veganism:
http://www.vrg.org/nutshell/kids.htm
http://kidshealth.org/parent/nutrition_center/healthy_eating/vegan.html
http://www.fcs.uga.edu/ext/pubs/html/FDNS-E-18.html
13.3 Puberty and Nutrition
Learning Objectives
Summarize nutritional requirements and dietary recommendations for preteens.
Discuss the most important nutrition-related concerns at the onset of puberty.
Discuss the growing rates of childhood obesity and the long-term consequences of it.
Puberty is the beginning of adolescence. The onset of puberty brings a number of changes, including the development of primary and secondary sex characteristics, growth spurts, an increase in body fat, and an increase in bone and muscle development. All of these changes must be supported with adequate intake and healthy food choices.
The Onset of Puberty (Ages Nine to Thirteen)
Puberty typically begins slightly earlier in girls than in boys. For girls, puberty often begins around age eleven, while for boys it begins around age twelve.
© Thinkstock
This period of physical development is divided into two phases. The first phase involves height increases from 20 to 25 percent. Puberty is second to the prenatal period in terms of rapid growth as the long bones stretch to their final, adult size. Girls grow 2–8 inches (5–20 centimeters) taller, while boys grow 4–12 inches (10–30 centimeters) taller. The second phase involves weight gain related to the development of bone, muscle, and fat tissue. Also in the midst of puberty, the sex hormones trigger the development of reproductive organs and secondary sexual characteristics, such as pubic hair. Girls also develop “curves,” while boys become broader and more muscular. Beverly McMillan, Illustrated Atlas of the Human Body (Sydney, Australia: Weldon Owen, 2008), 258.
Energy
The energy requirements for preteens differ according to gender, growth, and activity level. For ages nine to thirteen, girls should consume about 1,400 to 2,200 calories per day and boys should consume 1,600 to 2,600 calories per day. Physically active preteens who regularly participate in sports or exercise need to eat a greater number of calories to account for increased energy expenditures.
Macronutrients
For carbohydrates, the AMDR is 45 to 65 percent of daily calories (which is a recommended daily allowance of 158–228 grams for 1,400–1,600 daily calories). Carbohydrates that are high in fiber should make up the bulk of intake. The AMDR for protein is 10 to 30 percent of daily calories (35–105 grams for 1,400 daily calories for girls and 40–120 grams for 1,600 daily calories for boys). The AMDR for fat is 25 to 35 percent of daily calories (39–54 grams for 1,400 daily calories for girls and 44–62 grams for 1,600 daily calories for boys), depending on caloric intake and activity level.
Micronutrients
Key vitamins needed during puberty include vitamins D, K, and B 12. Adequate calcium intake is essential for building bone and preventing osteoporosis later in life. Young females need more iron at the onset of menstruation, while young males need additional iron for the development of lean body mass. Almost all of these needs should be met with dietary choices, not supplements (iron is an exception). Table 13.2 "Micronutrient Levels during Puberty" shows the micronutrient recommendations for young adolescents.
Table 13.2 Micronutrient Levels during Puberty
Nutrient
Preteens, Ages 9–13
Vitamin A (mcg)
600.0
Vitamin B 6 (mg)
1.0
Vitamin B 12 (mcg)
1.8
Vitamin C (mg)
45.0
Vitamin D (mcg)
5.0
Vitamin E (mg)
11.0
Vitamin K (mcg)
60.0
Calcium (mg)
1,300.0
Folate (mcg)
300.0
Iron (mg)
8.0
Magnesium (mg)
240.0
Niacin (B 3) (mg)
12.0
Phosphorus (mg)
1,250.0
Riboflavin (B 2) (mcg)
900.0
Selenium (mcg)
40.0
Thiamine (B 1) (mcg)
900.0
Zinc (mg)
8.0
Source: Institute of Medicine. http://www.iom.edu.
Childhood Obesity
Frequent television, computer, and video game usage leads to a sedentary lifestyle, which, along with poor diet, contributes to childhood obesity.
© Thinkstock
Children need adequate caloric intake for growth, and it is important not to impose very restrictive diets. However, exceeding caloric requirements on a regular basis can lead to childhood obesity, which has become a major problem in North America. Nearly one of three US children and adolescents are overweight or obese. Let’s Move. “Learn the Facts.” Accessed March 5, 2012. http://www.letsmove.gov/learn-facts/epidemic-childhood-obesity. In Canada, approximately 26 percent of children and adolescents are overweight or obese. Childhood Obesity Foundation. “Statistics.” Accessed March 5, 2012. http://www.childhoodobesityfoundation.ca/statistics.
There are a number of reasons behind this problem, including:
larger portion sizes
limited access to nutrient-rich foods
increased access to fast foods and vending machines
lack of breastfeeding support
declining physical education programs in schools
insufficient physical activity and a sedentary lifestyle
media messages encouraging the consumption of unhealthy foods
Children who suffer from obesity are more likely to become overweight or obese adults. Obesity has a profound effect on self-esteem, energy, and activity level. Even more importantly, it is a major risk factor for a number of diseases later in life, including cardiovascular disease, Type 2 diabetes, stroke, hypertension, and certain cancers. World Health Organization. “Obesity and Overweight Fact Sheet.” Last revised March 2011. http://www.who.int/mediacentre/factsheets/fs311/en/.
A percentile for body mass index (BMI) specific to age and sex is used to determine if a child is overweight or obese. This is more appropriate than the BMI categories used for adults because the body composition of children varies as they develop, and differs between boys and girls. If a child gains weight inappropriate to growth, parents and caregivers should limit energy-dense, nutrient-poor snack foods. Also, children ages three and older can follow the National Cholesterol Education Program guidelines of no more than 35 percent of calories from fat (10 percent or less from saturated fat), and no more than 300 milligrams of cholesterol per day. In addition, it is extremely beneficial to increase a child’s physical activity and limit sedentary activities, such as watching television, playing video games, or surfing the Internet.
Programs to address childhood obesity can include behavior modification, exercise counseling, psychological support or therapy, family counseling, and family meal-planning advice. For most, the goal is not weight loss, but rather allowing height to catch up with weight as the child continues to grow. Rapid weight loss is not recommended for preteens or younger children due to the risk of deficiencies and stunted growth.
Video 13.3
Voice of America: Adolescent Obesity Raises Risk of Severe Obesity in Adulthood
(click to see video)
This video provides information about the link between adolescent obesity and adult obesity.
Avoiding Added Sugars
One major contributing factor to childhood obesity is the consumption of added sugars
Sugars and other sweeteners (such as high-fructose corn syrup, honey, maple syrup, and molasses), that are added to food at the table, and are also ingredients in food products.
. Added sugars include not only sugar added to food at the table, but also are ingredients in items such as bread, cookies, cakes, pies, jams, and soft drinks. The added sugar in store-bought items may be listed as white sugar, brown sugar, high-fructose corn syrup, honey, malt syrup, maple syrup, molasses, anhydrous dextrose, crystal dextrose, and concentrated fruit juice. (Not included are sugars that occur naturally in foods, such as the lactose in milk or the fructose in fruits.) In addition, sugars are often “hidden” in items added to foods after they’re prepared, such as ketchup, salad dressing, and other condiments. According to the National Center for Health Statistics, young children and adolescents consume an average of 322 calories per day from added sugars, or about 16 percent of daily calories. National Center for Health Statistics. “Consumption of Added Sugar among US Children and Adolescents, 2005–2008.” NCHS Data Brief, no. 87, (March 2012). http://www.cdc.gov/nchs/data/databriefs/db87.pdf. The primary offenders are processed and packaged foods, along with soda and other beverages. These foods are not only high in sugar, they are also light in terms of nutrients and often take the place of healthier options. Intake of added sugar should be limited to 100–150 calories per day to discourage poor eating habits.
Tools for Change
The 2008 Physical Activity Guidelines for Americans call for sixty minutes of moderate to vigorous physical activity daily for preteens and teens. This includes aerobic activity, along with bone- and muscle-strengthening exercises. US Department of Health and Human Services. “2008 Physical Activity Guidelines for Americans.” Accessed March 5, 2012. http://www.health.gov/paguidelines/pdf/paguide.pdf. However, many young people fall far short of this goal. Preteens must be encouraged to lead more active lifestyles to prevent or treat childhood obesity. In the United States, the Let’s Move! campaign inspires kids to start exercising. This program, launched in 2010 by First Lady Michelle Obama, works to solve the problem of rising obesity rates among children, preteens, and teens. It offers information to parents and educators, works to provide healthier food choices in schools and afterschool programs, and helps children become more active. One way the program promotes physical activity is by encouraging preteens and teens to find something they love to do. When kids find an activity they enjoy, whether riding a bike, playing football, joining a soccer team, or participating in a dance crew, they are more likely to get moving and stay healthy. You can learn more about Let’s Move! and efforts to encourage physical activity among adolescents at this website: http://www.letsmove.gov/.
Key Takeaways
During puberty, preteens experience growth spurts, along with the development of primary and secondary sex characteristics.
The daily energy requirements for preteens differ according to gender, growth, and activity level. Girls ages nine to thirteen should consume 1,400 to 2,200 calories per day, and boys should consume 1,600 to 2,600 calories per day.
Nutritional concerns for older children include malnutrition and obesity.
Preteens should be encouraged to develop good habits, including consuming a healthy diet and regularly participating in sports or an exercise program.
Discussion Starter
What would you recommend to help families prevent obesity among their children? What tips would you provide? What lifestyle changes might help? Use the dietary guidelines at this website to discuss suggestions.
http://www.choosemyplate.gov/.
13.4 Older Adolescence and Nutrition
Learning Objectives
Summarize nutritional requirements and dietary recommendations for teens.
Discuss the most important nutrition-related concerns during adolescence.
Discuss the effect of eating disorders on health and wellness.
In this section, we will discuss the nutritional requirements for young people ages fourteen to eighteen. One way that teenagers assert their independence is by choosing what to eat. They have their own money to purchase food and tend to eat more meals away from home. Older adolescents also can be curious and open to new ideas, which includes trying new kinds of food and experimenting with their diet. For example, teens will sometimes skip a main meal and snack instead. That is not necessarily problematic. Their choice of food is more important than the time or place.
However, too many poor choices can make young people nutritionally vulnerable. Teens should be discouraged from eating fast food, which has a high fat and sugar content, or frequenting convenience stores and using vending machines, which typically offer poor nutritional selections. Other challenges that teens may face include obesity and eating disorders. At this life stage, young people still need guidance from parents and other caregivers about nutrition-related matters. It can be helpful to explain to young people how healthy eating habits can support activities they enjoy, such as skateboarding or dancing, or connect to their desires or interests, such as a lean figure, athletic performance, or improved cognition.
Adolescence (Ages Fourteen to Eighteen): Transitioning into Adulthood
As during puberty, growth and development during adolescence differs in males than in females. In teenage girls, fat assumes a larger percentage of body weight, while teenage boys experience greater muscle and bone increases. For both, primary and secondary sex characteristics have fully developed and the rate of growth slows with the end of puberty. Also, the motor functions of an older adolescent are comparable to those of an adult. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 171–173. Again, adequate nutrition and healthy choices support this stage of growth and development.
Energy
Adolescents have increased appetites due to increased nutritional requirements. Nutrient needs are greater in adolescence than at any other time in the life cycle, except during pregnancy. The energy requirements for ages fourteen to eighteen are 1,800 to 2,400 calories for girls and 2,000 to 3,200 calories for boys, depending on activity level. The extra energy required for physical development during the teenaged years should be obtained from foods that provide nutrients instead of “empty calories.” Also, teens who participate in sports must make sure to meet their increased energy needs.
Macronutrients
Older adolescents are more responsible for their dietary choices than younger children, but parents and caregivers must make sure that teens continue to meet their nutrient needs. For carbohydrates, the AMDR is 45 to 65 percent of daily calories (203–293 grams for 1,800 daily calories). Adolescents require more servings of grain than younger children, and should eat whole grains, such as wheat, oats, barley, and brown rice. The Institute of Medicine recommends higher intakes of protein for growth in the adolescent population. The AMDR for protein is 10 to 30 percent of daily calories (45–135 grams for 1,800 daily calories), and lean proteins, such as meat, poultry, fish, beans, nuts, and seeds are excellent ways to meet those nutritional needs.
The AMDR for fat is 25 to 35 percent of daily calories (50–70 grams for 1,800 daily calories), and the AMDR for fiber is 25–34 grams per day, depending on daily calories and activity level. It is essential for young athletes and other physically active teens to intake enough fluids, because they are at a higher risk for becoming dehydrated.
Micronutrients
Micronutrient recommendations for adolescents are mostly the same as for adults, though children this age need more of certain minerals to promote bone growth (e.g., calcium and phosphorus, along with iron and zinc for girls). Again, vitamins and minerals should be obtained from food first, with supplementation for certain micronutrients only (such as iron).
The most important micronutrients for adolescents are calcium, vitamin D, vitamin A, and iron. Adequate calcium and vitamin D are essential for building bone mass. The recommendation for calcium is 1,300 milligrams for both boys and girls. Low-fat milk and cheeses are excellent sources of calcium and help young people avoid saturated fat and cholesterol. It can also be helpful for adolescents to consume products fortified with calcium, such as breakfast cereals and orange juice. Iron supports the growth of muscle and lean body mass. Adolescent girls also need to ensure sufficient iron intake as they start to menstruate. Girls ages twelve to eighteen require 15 milligrams of iron per day. Increased amounts of vitamin C from orange juice and other sources can aid in iron absorption. Also, adequate fruit and vegetable intake allows for meeting vitamin A needs. Table 13.3 "Micronutrient Levels during Older Adolescence" shows the micronutrient recommendations for older adolescents, which differ slightly for males and females, unlike the recommendations for puberty.
Table 13.3 Micronutrient Levels during Older Adolescence
Nutrient
Males, Ages 14–18
Females, Ages 14–18
Vitamin A (mcg)
900.0
700.0
Vitamin B 6 (mg)
1.3
1.2
Vitamin B 12 (mcg)
2.4
2.4
Vitamin C (mg)
75.0
65.0
Vitamin D (mcg)
5.0
5.0
Vitamin E (mg)
15.0
15.0
Vitamin K (mcg)
75.0
75.0
Calcium (mg)
1,300.0
1,300.0
Folate mcg)
400.0
400.0
Iron (mg)
11.0
15.0
Magnesium (mg)
410.0
360.0
Niacin (B 3) (mg)
16.0
14.0
Phosphorus (mg)
1,250.0
1,250.0
Riboflavin (B 2) (mg)
1.3
1.0
Selenium (mcg)
55.0
55.0
Thiamine (B 1) (mg)
1.2
1.0
Zinc (mg)
11.0
9.0
Source: Institute of Medicine. http://www.iom.edu.
Eating Disorders
Many teens struggle with an eating disorder
A behavioral condition that involves extreme attitudes and behaviors toward food and nutrition. These disorders are characterized by overeating or undereating, and include anorexia nervosa, binge-eating disorder, and bulimia nervosa.
, which can have a detrimental effect on diet and health. A study published by North Dakota State University estimates that these conditions impact twenty-four million people in the United States and seventy million worldwide. North Dakota State University. “Eating Disorder Statistics.” Accessed March 5, 2012. http://www.ndsu.edu/fileadmin/counseling/Eating_Disorder_Statistics.pdf. These disorders are more prevalent among adolescent girls, but have been increasing among adolescent boys in recent years. Because eating disorders oftenlead to malnourishment, adolescents with an eating disorder are deprived of the crucial nutrients their still-growing bodies need.
Eating disorders involve extreme behavior related to food and exercise. Sometimes referred to as “starving or stuffing,” they encompass a group of conditions marked by undereating or overeating. Some of these conditions include:
Anorexia Nervosa. Anorexia nervosa is a potentially fatal condition characterized by undereating and excessive weight loss. People with this disorder are preoccupied with dieting, calories, and food intake to an unhealthy degree. Anorexics have a poor body image, which leads to anxiety, avoidance of food, a rigid exercise regimen, fasting, and a denial of hunger. The condition predominantly affects females. Between 0.5 and 1 percent of American women and girls suffer from this eating disorder.
Binge-Eating Disorder. People who suffer from binge-eating disorder experience regular episodes of eating an extremely large amount of food in a short period of time. Binge eating is a compulsive behavior, and people who suffer from it typically feel it is beyond their control. This behavior often causes feelings of shame and embarrassment, and leads to obesity, high blood pressure, high cholesterol levels, Type 2 diabetes, and other health problems. Both males and females suffer from binge-eating disorder. It affects 1 to 5 percent of the population.
Bulimia Nervosa. Bulimia nervosa is characterized by alternating cycles of overeating and undereating. People who suffer from it partake in binge eating, followed by compensatory behavior, such as self-induced vomiting, laxative use, and compulsive exercise. As with anorexia, most people with this condition are female. Approximately 1 to 2 percent of American women and girls have this eating disorder. National Eating Disorders Association. “Learn Basic Terms and Information on a Variety of Eating Disorder Topics.” Accessed March 5, 2012. http://www.nationaleatingdisorders.org/information-resources/general -information.php.
Eating disorders stem from stress, low self-esteem, and other psychological and emotional issues. It is important for parents to watch for signs and symptoms of these disorders, including sudden weight loss, lethargy, vomiting after meals, and the use of appetite suppressants. Eating disorders can lead to serious complications or even be fatal if left untreated. Treatment includes cognitive, behavioral, and nutritional therapy.
Video 13.4
Eating Disorders: Anorexia
(click to see video)
This video provides more information about the eating disorder anorexia nervosa.
Key Takeaways
Older adolescents experience numerous physical changes and must increase their energy intake to support these changes and meet nutrient needs.
Nutrient needs are greater during adolescence than at any other time in the life cycle, except during pregnancy.
The daily energy requirements for ages fourteen to eighteen are 1,800 to 2,400 calories for girls, and 2,000 to 3,200 calories for boys, depending on activity level.
Nutritional concerns for older adolescents include eating disorders.
Discussion Starter
Research the biological, social, and psychological aspects of eating disorders at this website. Then, brainstorm a list of risk factors and warning signs for parents, teachers, and physicians.
http://www.nationaleatingdisorders.org/
13.5 Young Adulthood and Nutrition
Learning Objectives
Summarize nutritional requirements and dietary recommendations for young adults.
Discuss the most important nutrition-related concerns during young adulthood.
Explain how nutritional and lifestyle choices can affect current and future health.
With the onset of adulthood, good nutrition can help young adults enjoy an active lifestyle. For most people, this is the time when their bodies are in the best condition. The body of an adult does not need to devote its energy and resources to support the rapid growth and development that characterizes youth. However, the choices made during those formative years can have a lasting impact. Eating habits and preferences developed during childhood and adolescence influence health and fitness into adulthood. Some adults have gotten a healthy start and have established a sound diet and regular activity program, which helps them remain in good condition from young adulthood into the later years. Others carry childhood obesity into adulthood, which adversely affects their health. However, it is not too late to change course and develop healthier habits and lifestyle choices. Therefore, adults must monitor their dietary decisions and make sure their caloric intake provides the energy that they require, without going into excess.
Young Adulthood (Ages Nineteen to Thirty): At Your Peak
At this time, growth is completed and people reach their physical peak. Major organs and body systems have fully matured by this stage of the life cycle. For example, the human body reaches maximum cardiac output between ages twenty and thirty. Also, bone and muscle mass are at optimal levels, and physical activity helps to improve muscle strength, endurance, and tone. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 192–193. In order to maintain health and fitness at this age, it is important to continue to practice good nutrition. Healthy eating habits promote metabolic functioning, assist repair and regeneration, and prevent the development of chronic conditions. In addition, the goals of a young adult, such as beginning a career or seeking out romantic relationships, can be supported with good habits.
Energy
Young men typically have higher nutrient needs than young women. For ages nineteen to thirty, the energy requirements for women are 1,800 to 2,400 calories, and 2,400 to 3,000 calories for men, depending on activity level. These estimates do not include women who are pregnant or breastfeeding, who require a higher energy intake (see Chapter 12 "Nutrition through the Life Cycle: From Pregnancy to the Toddler Years" ).
Macronutrients
For carbohydrates, the AMDR is 45 to 65 percent of daily calories. All adults, young and old, should eat fewer energy-dense carbohydrates, especially refined, sugar-dense sources, particularly for those who lead a more sedentary lifestyle. The AMDR for protein is 10 to 35 percent of total daily calories, and should include a variety of lean meat and poultry, eggs, beans, peas, nuts, and seeds. The guidelines also recommend that adults eat two 4-ounce servings (or one 8-ounce serving) of seafood per week.
It is also important to replace proteins that are high in trans fats and saturated fat with ones that are lower in solid fats and calories. All adults should limit total fat to 20 to 35 percent of their daily calories and keep saturated fatty acids to less than 10 percent of total calories by replacing them with monounsaturated and polyunsaturated fatty acids. Avoid trans fats by limiting foods that contain synthetic sources, such as partially hydrogenated oils. The AMDR for fiber is 22 to 28 grams per day for women and 28 to 34 grams per day for men. Soluble fiber may help improve cholesterol and blood sugar levels, while insoluble fiber can help prevent constipation.
Tools for Change
A healthy diet of nutrient-rich meals incorporates a variety of whole foods. Whole foods are unprocessed or unrefined, or have been created with as little processing as possible. They do not include a lot of added ingredients, such as sugar, sodium, or fat, and are free of preservatives or other chemicals that are often added to food products. Examples of whole foods with no processing include legumes and fresh fruits and vegetables. Examples of whole foods with minimal processing include whole-grain breads and cereals. Dietitians recommend consuming whole foods for a variety of reasons. Whole foods provide nutrients in their natural state, with all of the vitamins and minerals intact. Food processing can remove some nutrients during manufacturing. Also, diets rich in whole foods contain high concentrations of fiber and antioxidants, and can protect against chronic disease.
Micronutrients
Micronutrient needs in adults differ slightly according to sex. Young men and women who are very athletic and perspire a great deal also require extra sodium, potassium, and magnesium. Males require more of vitamins C and K, along with thiamine, riboflavin, and niacin. Females require extra iron due to menstruation. Therefore, it can be beneficial for some young adults to follow a daily multivitamin regimen to help meet nutrient needs. But as always, it is important to remember “food first, supplements second.” Table 13.4 "Micronutrient Levels during Adulthood" shows the micronutrient recommendations for adult men and women.
Table 13.4 Micronutrient Levels during Adulthood
Nutrient
Adult Males
Adult Females
Vitamin A (mcg)
900.0
700.0
Vitamin B 6 (mg)
1.3
1.3
Vitamin B 12 (mcg)
2.4
2.4
Vitamin C (mg)
90.0
75.0
Vitamin D (mcg)
5.0
5.0
Vitamin E (mg)
15.0
15.0
Vitamin K (mcg)
120.0
90.0
Calcium (mg)
1,000.0
1,000.0
Folate (mcg)
400.0
400.0
Iron (mg)
8.0
18.0
Magnesium (mg)
400.0
310.0
Niacin (B 3) (mg)
16.0
14.0
Phosphorus (mg)
700.0
700.0
Riboflavin (B 2) (mg)
1.3
1.1
Selenium (mcg)
55.0
55.0
Thiamine (B 1) (mg)
1.2
1.1
Zinc (mg)
11.0
8.0
Source: Institute of Medicine. http://www.iom.edu.
Nutritional Concerns in Young Adulthood
There are a number of intake recommendations for young adults. According to the IOM, an adequate intake (AI) of fluids for men is 3.7 liters per day, from both food and liquids. The AI for women is 2.7 liters per day, from food and liquids. Institute of Medicine. “Dietary Reference Intakes: Water, Potassium, Sodium, Chloride, and Sulfate.” Accessed March 5, 2012. http://www.iom.edu/Reports/2004/Dietary-Reference-Intakes-Water-Potassium-Sodium-Chloride-and-Sulfate.aspx.
It is best when fluid intake is from water, instead of sugary beverages, such as soda. Fresh fruits and vegetables, including watermelon and cucumbers, are excellent food sources of fluid.
In addition, young adults should avoid consuming excessive amounts of sodium. The health consequences of high sodium intake include high blood pressure and its complications. Therefore, it is best to limit sodium to less than 2,300 milligrams per day.
Gastrointestinal Integrity
Good nutrition during the young adult years can help to support gastrointestinal integrity and prevent digestive disorders, such as constipation and diarrhea. Dietary fiber helps bind indigestible food together and normalize bowel movements. It also holds more water in the stool to make it softer for those who suffer from constipation. Excellent sources of fiber include oats, barley, rye, wheat, brown rice, celery, carrots, nuts, seeds, dried beans, oranges, and apples. In addition, healthy intestinal microflora can be supported by prebiotics, which stimulate the growth of beneficial bacteria already in the colon and are found in fruits and vegetables, and probiotics, which change or improve the bacterial balance in the gut and are found in yogurt.
Obesity during Adulthood
Obesity remains a major concern into young adulthood. For adults, a BMI above 25 is considered overweight, and a BMI of 30 or higher is obese. By that measurement, about two-thirds of all adults in the United States are overweight or obese, with 35.7 percent considered to be obese. Centers for Disease Control, National Center for Health Statistics. “Prevalence of Obesity in the United States, 2009–2010.” NCHS Data Brief, No. 82, January 2012, accessed on March 5, 2012. http://www.cdc.gov/nchs/data/databriefs/db82.pdf. As during childhood and adolescence, physical inactivity and poor dietary choices are major contributors to obesity in adulthood. Solid fats, alcohol, and added sugars (SoFAAS) make up 35 percent of total calories for most people, leading to high levels of saturated fat and cholesterol and insufficient dietary fiber. Therefore, it is important to limit unrefined carbohydrates and processed foods.
Key Takeaways
Young adults typically have reached their physical peak and can support health and wellness with adequate nutrition and exercise.
For ages nineteen to thirty, the daily energy requirements are 1,800 to 2,400 calories for women and 2,400 to 3,000 calories for men, depending on activity level.
Nutritional concerns for young adults include adequate energy and fluid intake, sodium intake, and the consumption of fiber.
Young adults should avoid consuming solid fats, added sugars, and alcohol in excess.
Discussion Starter
How does your intake of carbohydrates, proteins, and fats compare to the AMDR? What can you do to make changes and meet the nutritional recommendations?
13.6 Middle Age and Nutrition
Learning Objectives
Summarize nutritional requirements and dietary recommendations for middle-aged adults.
Discuss the most important nutrition-related concerns during middle age.
Define “preventive nutrition” and give an applied example.
During this stage of the human life cycle, adults begin to experience the first outward signs of aging. Wrinkles begin to appear, joints ache after a highly active day, and body fat accumulates. There is also a loss of muscle tone and elasticity in the connective tissue. Elaine U. Polan, RNC, MS and Daphne R. Taylor, RN, MS, Journey Across the Life Span: Human Development and Health Promotion (Philadelphia: F. A. Davis Company, 2003), 212–213. Throughout the aging process, good nutrition can help middle-aged adults maintain their health and recover from any medical problems or issues they may experience.
Middle Age (Ages Thirty-One to Fifty): Aging Well
Many people in their late thirties and in their forties notice a decline in endurance, the onset of wear-and-tear injuries (such as osteoarthritis), and changes in the digestive system. Wounds and other injuries also take longer to heal. Body composition changes due to fat deposits in the trunk. To maintain health and wellness during the middle-aged years and beyond, it is important to:
maintain a healthy body weight
consume nutrient-dense foods
drink alcohol moderately or not at all
be a nonsmoker
engage in moderate physical activity at least 150 minutes per week
Energy
The energy requirements for ages thirty-one to fifty are 1,800 to 2,200 calories for women and 2,200 to 3,000 calories for men, depending on activity level. These estimates do not include women who are pregnant or breastfeeding (see Chapter 12 "Nutrition through the Life Cycle: From Pregnancy to the Toddler Years" ). Middle-aged adults must rely on healthy food sources to meet these needs. In many parts of North America, typical dietary patterns do not match the recommended guidelines. For example, five foods—iceberg lettuce, frozen potatoes, fresh potatoes, potato chips, and canned tomatoes—account for over half of all vegetable intake. Adam Drewnowski and Nicole Darmon. “Food Choices and Diet Cost: an Economic Analysis.” The Journal of Nutrition. © 2005 The American Society for Nutritional Sciences. Accessed March 5, 2012. http://jn.nutrition.org/content/135/4/900.full. Following the dietary guidelines in the middle-aged years provides adequate but not excessive energy, macronutrients, vitamins, and minerals.
Video 13.5
Caloric Restriction
(click to see video)
This video focuses on the possible connection between caloric restriction and longevity.
Macronutrients and Micronutrients
The AMDRs for carbohydrates, protein, fat, fiber, and fluids remain the same from young adulthood into middle age (see Section 13.5 "Young Adulthood and Nutrition" of this chapter). It is important to avoid putting on excess pounds and limiting an intake of SoFAAS to help avoid cardiovascular disease, diabetes, and other chronic conditions.
There are some differences, however, regarding micronutrients. For men, the recommendation for magnesium increases to 420 milligrams daily, while middle-aged women should increase their intake of magnesium to 320 milligrams per day. Other key vitamins needed during the middle-aged years include folate and vitamins B 6 and B 12 to prevent elevation of homocysteine, a byproduct of metabolism that can damage arterial walls and lead to atherosclerosis, a cardiovascular condition. Again, it is important to meet nutrient needs with food first, then supplementation, such as a daily multivitamin, if you can’t meet your needs through food.
Preventive/Defensive Nutrition
Brightly colored tomatoes are another example of foods that are high in antioxidants.
© Thinkstock
During the middle-aged years, preventive nutrition
The use of dietary practices to reduce disease and promote health and well-being.
can promote wellness and help organ systems to function optimally throughout aging. Preventive nutrition is defined as dietary practices directed toward reducing disease and promoting health and well-being. Healthy eating in general—such as eating unrefined carbohydrates instead of refined carbohydrates and avoiding trans fats and saturated fats—helps to promote wellness. However, there are also some things that people can do to target specific concerns. One example is consuming foods high in antioxidants, such as strawberries, blueberries, and other colorful fruits and vegetables, to reduce the risk of cancer.
Phytochemicals are compounds in fruits and vegetables that act as defense systems for plants. Different phytochemicals are beneficial in different ways. For example, carotenoids, which are found in carrots, cantaloupes, sweet potatoes, and butternut squash, may protect against cardiovascular disease by helping to prevent the oxidation of cholesterol in the arteries, although research is ongoing. Sari Voutilainen, Tarja Nurmi, Jaakko Mursu, and Tiina H. Rissanen. “Carotenoids and Cardiovascular Health.” Am J Clin Nutr 83 (2006): 1265–71. http://www.ajcn.org/content/83/6/1265.full.pdf. According to the American Cancer Society, some studies suggest that a phytochemical found in watermelons and tomatoes called lycopene may protect against stomach, lung, and prostate cancer, although more research is needed. American Cancer Society. “Lycopene.” Last revised May 13, 2010. http://www.cancer.org/Treatment/TreatmentsandSideEffects/ComplementaryandAlternativeMedicine/DietandNutrition/lycopene.
Omega-3 fatty acids can help to prevent coronary artery disease. These crucial nutrients are found in oily fish, including salmon, mackerel, tuna, herring, cod, and halibut. Other beneficial fats that are vital for healthy functioning include monounsaturated fats, which are found in plant oils, avocados, peanuts, and pecans.
Menopause
In the middle-aged years, women undergo a specific change that has a major effect on their health. They begin the process of menopause, typically in their late forties or early fifties. The ovaries slowly cease to produce estrogen and progesterone, which results in the end of menstruation. Menopausal symptoms can vary, but often include hot flashes, night sweats, and mood changes. The hormonal changes that occur during menopause can lead to a number of physiological changes as well, including alterations in body composition, such as weight gain in the abdominal area. Bone loss is another common condition related to menopause due to the loss of female reproductive hormones. Bone thinning increases the risk of fractures, which can affect mobility and the ability to complete everyday tasks, such as cooking, bathing, and dressing. Academy of Nutrition and Dietetics. “Eating Right During Menopause.” © 1995–2012. Accessed March 5, 2012. http://www.eatright.org/Public/content.aspx?id=6809. Recommendations for women experiencing menopause or perimenopause (the stage just prior to the end of the menstruation) include:
consuming a variety of whole grains, and other nutrient-dense foods
maintaining a diet high in fiber, low in fat, and low in sodium
avoiding caffeine, spicy foods, and alcohol to help prevent hot flashes
eating foods rich in calcium, or taking physician-prescribed calcium supplements and vitamin D
doing stretching exercises to improve balance and flexibility and reduce the risk of falls and fractures
Key Takeaways
Middle-aged adults begin to experience signs of aging and must continue to support their health and wellness with nutrition and exercise.
The daily energy requirements for ages thirty-one to fifty are 1,800 to 2,200 calories for women and 2,200 to 3,000 calories for men, depending on activity level.
Nutritional concerns for middle-aged adults relate to menopause and the prevention of chronic disease.
Discussion Starter
Visit the following websites to learn more about nutrition during the years of perimenopause and menopause. Discuss with classmates what you believe to be the three most important nutritional concerns for women during this phase of life.
http://www.medicinenet.com/script/main/art.asp?articlekey=59895
http://www.webmd.com/menopause/guide/staying-healthy-through-good-nuitrition
13.7 Old Age and Nutrition
Learning Objectives
Summarize nutritional requirements and dietary recommendations for elderly adults.
Discuss the most important nutrition-related concerns during the senior years.
Discuss the influence of diet on health and wellness in old age.
Beginning at age fifty-one, requirements change once again and relate to the nutritional issues and health challenges that older people face. After age sixty, blood pressure rises and the immune system may have more difficulty battling invaders and infections. The skin becomes more wrinkled and hair has turned gray or white or fallen out, resulting in hair thinning. Older adults may gradually lose an inch or two in height. Also, short-term memory might not be as keen as it once was. Beverly McMillan, Illustrated Atlas of the Human Body (Sydney, Australia: Weldon Owen, 2008), 260.
In addition, many people suffer from serious health conditions, such as cardiovascular disease and cancer. Being either underweight or overweight is also a major concern for the elderly. However, many older adults remain in relatively good health and continue to be active into their golden years. Good nutrition is often the key to maintaining health later in life. In addition, the fitness and nutritional choices made earlier in life set the stage for continued health and happiness.
Older Adulthood (Ages Fifty-One and Older): The Golden Years
An adult’s body changes during old age in many ways, including a decline in hormone production, muscle mass, and strength. Also in the later years, the heart has to work harder because each pump is not as efficient as it used to be. Kidneys are not as effective in excreting metabolic products such as sodium, acid, and potassium, which can alter water balance and increase the risk for over- or underhydration. In addition, immune function decreases and there is lower efficiency in the absorption of vitamins and minerals.
Regular exercise, along with a nutritious diet, can help older adults maintain their health.
© Thinkstock
Older adults should continue to consume nutrient-dense foods and remain physically active. However, deficiencies are more common after age sixty, primarily due to reduced intake or malabsorption. The loss of mobility among frail, homebound elderly adults also impacts their access to healthy, diverse foods.
Energy
Due to reductions in lean body mass and metabolic rate, older adults require less energy than younger adults. The energy requirements for people ages fifty-one and over are 1,600 to 2,200 calories for women and 2,000 to 2,800 calories for men, depending on activity level. The decrease in physical activity that is typical of older adults also influences nutritional requirements.
Macronutrients
The AMDRs for carbohydrates, protein, and fat remain the same from middle age into old age (see Section 13.5 "Young Adulthood and Nutrition" of this chapter for specifics). Older adults should substitute more unrefined carbohydrates for refined ones, such as whole grains and brown rice. Fiber is especially important in preventing constipation and diverticulitis, and may also reduce the risk of colon cancer. Protein should be lean, and healthy fats, such as omega-3 fatty acids, are part of any good diet.
Micronutrients
An increase in certain micronutrients can help maintain health during this life stage. The recommendations for calcium increase to 1,200 milligrams per day for both men and women to slow bone loss. Also to help protect bones, vitamin D recommendations increase to 10–15 micrograms per day for men and women. Vitamin B 6 recommendations rise to 1.7 milligrams per day for older men and 1.5 milligrams per day for older women to help lower levels of homocysteine and protect against cardiovascular disease. As adults age, the production of stomach acid can decrease and lead to an overgrowth of bacteria in the small intestine. This can affect the absorption of vitamin B 12 and cause a deficiency. As a result, older adults need more B 12 than younger adults, and require an intake of 2.4 micrograms per day, which helps promote healthy brain functioning. For elderly women, higher iron levels are no longer needed postmenopause and recommendations decrease to 8 milligrams per day. People over age fifty should eat foods rich with all of these micronutrients.
Nutritional Concerns for Older Adults
Dietary choices can help improve health during this life stage and address some of the nutritional concerns that many older adults face. In addition, there are specific concerns related to nutrition that affect adults in their later years. They include medical problems, such as disability and disease, which can impact diet and activity level. For example, dental problems can lead to difficulties with chewing and swallowing, which in turn can make it hard to maintain a healthy diet. The use of dentures or the preparation of pureed or chopped foods can help solve this problem. There also is a decreased thirst response in the elderly, and the kidneys have a decreased ability to concentrate urine, both of which can lead to dehydration.
Sensory Issues
At about age sixty, taste buds begin to decrease in size and number. As a result, the taste threshold
Minimum concentration at which taste sensitivity to a food or substance can be perceived.
is higher in older adults, meaning that more of the same flavor must be present to detect the taste. Many elderly people lose the ability to distinguish between salty, sour, sweet, and bitter flavors. This can make food seem less appealing and decrease the appetite. An intake of foods high in sugar and sodium can increase due to an inability to discern those tastes. The sense of smell also decreases, which impacts attitudes toward food. Sensory issues may also affect the digestion because the taste and smell of food stimulates the secretion of digestive enzymes in the mouth, stomach, and pancreas.
Gastrointestinal Problems
A number of gastrointestinal issues can affect food intake and digestion among the elderly. Saliva production decreases with age, which affects chewing, swallowing, and taste. Digestive secretions decline later in life as well, which can lead to atrophic gastritis (inflammation of the lining of the stomach). This interferes with the absorption of some vitamins and minerals. Reduction of the digestive enzyme lactase results in a decreased tolerance for dairy products. Slower gastrointestinal motility can result in more constipation, gas, and bloating, and can also be tied to low fluid intake, decreased physical activity, and a diet low in fiber, fruits, and vegetables.
Dysphagia
Some older adults have difficulty getting adequate nutrition because of the disorder dysphagia, which impairs the ability to swallow. Any damage to the parts of the brain that control swallowing can result in dysphagia, therefore stroke is a common cause. Dysphagia is also associated with advanced dementia because of overall brain function impairment. To assist older adults suffering from dysphagia, it can be helpful to alter food consistency. For example, solid foods can be pureed, ground, or chopped to allow more successful and safe swallow. This decreases the risk of aspiration, which occurs when food flows into the respiratory tract and can result in pneumonia. Typically, speech therapists, physicians, and dietitians work together to determine the appropriate diet for dysphagia patients.
Video 13.6
Dysphagia
(click to see video)
This video provides information about the symptoms and complications of dysphagia.
Obesity in Old Age
Similar to other life stages, obesity is a concern for the elderly. Adults over age sixty are more likely to be obese than young or middle-aged adults. As explained throughout this chapter, excess body weight has severe consequences. Being overweight or obese increases the risk for potentially fatal conditions that can afflict the elderly. They include cardiovascular disease, which is the leading cause of death in the United States, and Type 2 diabetes, which causes about seventy thousand deaths in the United States annually. Centers for Disease Control, National Center for Health Statistics. “Deaths and Mortality.” Last updated January 27, 2012. http://www.cdc.gov/nchs/fastats/deaths.htm. Obesity is also a contributing factor for a number of other conditions, including arthritis.
For older adults who are overweight or obese, dietary changes to promote weight loss should be combined with an exercise program to protect muscle mass. This is because dieting reduces muscle as well as fat, which can exacerbate the loss of muscle mass due to aging. Although weight loss among the elderly can be beneficial, it is best to be cautious and consult with a health-care professional before beginning a weight-loss program.
The Anorexia of Aging
In addition to concerns about obesity among senior citizens, being underweight can be a major problem. A condition known as the anorexia of aging
A condition that affects the elderly and is characterized by poor food intake.
is characterized by poor food intake, which results in dangerous weight loss. This major health problem among the elderly leads to a higher risk for immune deficiency, frequent falls, muscle loss, and cognitive deficits. Reduced muscle mass and physical activity mean that older adults need fewer calories per day to maintain a normal weight. It is important for health care providers to examine the causes for anorexia of aging among their patients, which can vary from one individual to another. Understanding why some elderly people eat less as they age can help health-care professionals assess the risk factors associated with this condition. Decreased intake may be due to disability or the lack of a motivation to eat. Also, many older adults skip at least one meal each day. As a result, some elderly people are unable to meet even reduced energy needs.
Nutritional interventions should focus primarily on a healthy diet. Remedies can include increasing the frequency of meals and adding healthy, high-calorie foods (such as nuts, potatoes, whole-grain pasta, and avocados) to the diet. Liquid supplements between meals may help to improve caloric intake. Morley, J. E. “Anorexia of Aging: Physiologic and Pathologic.” Am J Clin Nutr 66 (1997): 760–73. http://www.ajcn.org/content/66/4/760.full.pdf. Health care professionals should consider a patient’s habits and preferences when developing a nutritional treatment plan. After a plan is in place, patients should be weighed on a weekly basis until they show improvement.
Vision Problems
Many older people suffer from vision problems and a loss of vision. Age-related macular degeneration is the leading cause of blindness in Americans over age sixty. American Medical Association, Complete Guide to Prevention and Wellness (Hoboken, NJ: John Wiley & Sons, Inc., 2008), 413. This disorder can make food planning and preparation extremely difficult and people who suffer from it often must depend on caregivers for their meals. Self-feeding also may be difficult if an elderly person cannot see his or her food clearly. Friends and family members can help older adults with shopping and cooking. Food-assistance programs for older adults (such as Meals on Wheels) can also be helpful.
Diet may help to prevent macular degeneration. Consuming colorful fruits and vegetables increases the intake of lutein and zeaxanthin. Several studies have shown that these antioxidants provide protection for the eyes. Lutein and zeaxanthin are found in green, leafy vegetables such as spinach, kale, and collard greens, and also corn, peaches, squash, broccoli, Brussels sprouts, orange juice, and honeydew melon. American Medical Association, Complete Guide to Prevention and Wellness (Hoboken, NJ: John Wiley & Sons, Inc., 2008), 415.
Neurological Conditions
Elderly adults who suffer from dementia may experience memory loss, agitation, and delusions. One in eight people over the age sixty-four and almost half of all people over eighty-five suffer from Alzheimer’s, which is the most common form of dementia. These conditions can have serious effects on diet and nutrition as a person increasingly becomes incapable of caring for himself or herself, which includes the ability to buy and prepare food, and to self-feed.
Longevity and Nutrition
The foods you consume in your younger years influence your health as you age. Good nutrition and regular physical activity can help you live longer and healthier. Conversely, poor nutrition and a lack of exercise can shorten your life and lead to medical problems. The right foods provide numerous benefits at every stage of life. They help an infant grow, an adolescent develop mentally and physically, a young adult achieve his or her physical peak, and an older adult cope with aging. Nutritious foods form the foundation of a healthy life at every age.
Key Takeaways
As adults age, physical changes impact nutrient needs and can result in deficiencies.
The daily energy requirements for adults ages fifty-one and over are 1,600 to 2,200 calories for women and 2,000 to 2,800 calories for men, depending on activity level.
Older adults are more susceptible to medical problems, such as disability and disease, which can impact appetite, the ability to plan and prepare food, chewing and swallowing, self-feeding, and general nutrient intake.
A nutrient-dense, plant-based diet can help prevent or support the healing of a number of disorders that impact the elderly, including macular degeneration and arthritis.
Discussion Starter
Revisit the predictions you made at the beginning of this chapter about how nutrient needs might change as a healthy young adult matures into old age. Which predictions were correct? Which were incorrect? What have you learned?
13.8 End-of-Chapter Exercises
It’s Your Turn
Visit http://www.choosemyplate.gov/ to research suggestions to help kids eat healthier foods. Create a list of tips for parents.
Visit http://www.webmd.com/diet/food-fitness-planner/default.htm to create a food and fitness plan that fits your current height, weight, and lifestyle.
Create a list of nutritional tips for adults who are caring for their elderly parents after watching the following video:
Nutrition for Senior Citizens
(click to see video)
Apply It
Visit http://www.health.gov/paguidelines/guidelines/default.aspx to study the 2008 Physical Activity Guidelines for Americans. Then create a chart that suggests physical activities for teens, young adults, and middle-aged adults, and includes the amount of physical activity recommended for each group per week.
How do the physical changes that a preteen experiences during puberty relate to changing nutrient needs? Hold a small group discussion to talk about puberty and nutrition.
Research ways to help an older adult who suffers from poor intake to get enough nutrients at the following website: http://www.clevelandclinicmeded.com/medicalpubs/diseasemanagement/preventive-medicine/aging-preventive-health/. Then create a brochure for patients to explain your findings.
Expand Your Knowledge
Write a short speech that you would give to a group of school children between ages nine and thirteen. Explain to them how their sugar intake impacts their bodies and overall well-being.
Consider the changing needs of an older adolescent, along with a teen’s access to food and desire to make dietary choices. Then create a three-day meal plan for a teenage boy or girl.
After watching the video, hold a small group discussion to discuss the influence of environment, economics, culture, and lifestyle on dietary choices.
The Obesity Epidemic
(click to see video) | msmarco_doc_00_10503160 |
http://2012books.lardbucket.org/books/an-introduction-to-organizational-communication/s03-01-what-is-an-organization.html | What is an Organization? | 1.1
What is an Organization?
1.1 What is an Organization?
Learning Objectives
Defining “Organization”
Organizational Structures
External Environment
Input
Throughput
Output
Organizational Goals
Output
Adaptation
Management
Motivation
Positional
Organizational People
Interdependency
Interaction
Control
Leadership
Types of Organizations
Mutual Benefit Associations
Business Concerns
Service Organizations
Commonweal Organizations
| What is an Organization?
1.1 What is an Organization?
PLEASE NOTE: This book is currently in draft form; material is not final.
Learning Objectives
Understand the three common components of the various definitions of the term “organization.”
Differentiate among the four types of organizations: mutual benefit, business concerns, service, and commonweal.
As with any academic endeavor, one must understand what one is studying before one can delve into the specifics and intricacies of the subject matter. For this reason, this section is going to start by defining what is meant by the term “organization” and then looking at three different ways of categorizing different types of organization.
Defining “Organization”
Many people have attempted to define what is meant by the word “organization.” Instead of following suit and throwing yet another definition into the mix, we’ve selected a number of definitions from common dictionary definitions to ones used by business, psychology, economics, and communication scholars. Table 1.1 "Defining “Organization”" contains a partial list of the different types of definitions seen across various academic disciplines.
Table 1.1 Defining “Organization”
Dictionary Definition
(1) the act of organizing or the state of being organized; (2) an organized structure or whole; (3) a business or administrative concern united and constructed for a particular end (4) a body of administrative officials, as of a political party, a government department, etc (5) order or system; method. organization. (2009). Collins English Dictionary—Complete & Unabridged 10th Edition. Retrieved March 18, 2012, from Dictionary.com website: http://dictionary.reference.com/browse/organization
General Business Definitions
“a system of consciously coordinated activities of two or more persons.” Barnard, C. I. (1938). The functions of the executive. Cambridge, MA: Harvard University Press, pg. 73.
“The accomplishment of an objective requires collective effort, men set up an organization designed to coordinate the activities of many persons and to furnish incentives for others to join them for this purpose.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 5.
“A social unit of people, systematically structured and managed to meet a need or to pursue collective goals on a continuing basis. All organizations have a management structure that determines relationships between functions and positions, and subdivides and delegates roles, responsibilities, and authority to carry out defined tasks. Organizations are open systems in that they affect and are affected by the environment beyond their boundaries.” organization. (n.d.). Retrieved March 18, 2012, from BusinessDictionary.com website: http://www.businessdictionary.com/definition/organization.html
“a Body of individuals working under a defined system of rules, assignments procedures, and relationships designed to achieve identifiable objectives and goals.” Greenwald, H. P. (2008). Organizations: Management without control. Los Angeles, CA: Sage, pg. 6.
Organizational Behavior Definitions
“a social unit within which people have achieved somewhat stable relations (not necessarily face-to-face) among themselves in order to facilitate obtaining a set of objectives or goals.” Litterer, J. A. (1963). Organizations: Structured behavior. New York: John Wiley and Sons, pg. 5.
“an organization is a complex system, which includes as subsystems: (1) management, to interrelate and integrate through appropriate linking processes all the elements of the system in a manner designed to achieve the organizational objectives, and (2) a sufficient number of people so that constant face-to-face interaction is impossible.” Lundgren, E. F. (1974). Organizational management: Systems and process. San Francisco: Canfield Press, pg. 7.
Economics Definition
A short hand expression for the integrated aggregation of those persons who are primarily involved in: “ (1) the undertaking or managing of risk and the handling of economic uncertainty; (2) planning and innovation; (3) coordination, administration and control; (4) and routine supervision” of an enterprise. Harbison, F. (1959). Entrepreneurial organization as a factor in economic development. The Quarterly Journal of Economics, 70, 364–379, pg. 365.
Industrial/Organizational Psychology Definition
“work consists of patterned human behavior and the ‘equipment’ consists of the human beings.” Katz, D., & Kahn, R. L. (1978). The social psychology of organizations. New York, NY: John Wile & Sons, pg. 55.
“lively sets of interrelated systems [task, structure, technology, people, and the environment] designed to perform complicated tasks.” Levitt, H. J. (1972). Managerial psychology: An introduction to individuals, pairs, and groups in organizations. Chicago: The University of Chicago Press, pg. 265.
Organizational Communication Definitions
“social collectives in which people develop ritualized patterns of interaction in an attempt to coordinate their activities and efforts in the ongoing accomplishment of personal and group goals.” Kreps, G. L. (1986). Organizational communication. New York: Longman, pg. 5.
“including five critical features—namely, the existence of a social collectivity, organizational and individual goals, coordinated activity, organizational structure, and the embedding of the organization with an environment of other organizations.” Miller, K. (2012). Organizational communication: Approaches and processes (6th ed.). Boston, MA: Wasdworth-Cengage, pg. 11.
“Communicative structures of control.” Mumby, D. (in press). Organizational communication. Los Angeles, CA: SAGE.
“an organized collection of individuals working interdependently within a relatively structured, organized, open system to achieve common goals.” Richmond, V. P., & McCroskey, J. C. (2009). Organizational communication for survival: Making work, work (4th ed.). Boston: Allyn & Bacon, pg. 1.
“an aggregate of persons, arranged in predetermined patterns of relationships, in order to accomplish stated objectives.” Redding, W. C. (1964). The organizational communicator. In W. C. Redding & G. A Sanborn (Eds.), Business and industrial communication: A source book (pp. 29–58). New York: Harper & Row, pg. 33.
After reading this laundry list of different definitions for the word “organization,” you may wonder how you to determine which one is the best? Well, to be honest—we think they all have something to offer. When you look at the various definitions for the word “organization,” you will start to see a certain pattern emerge of consistent themes within the definition. Jason Wrench Wrench, J. S. (in press). Communicating within the modern workplace: Challenges and prospects. In J. S. Wrench (Ed.), Workplace communication for the 21st century: Tools and strategies that impact the bottom line: Vol. 1. Internal workplace communication. Santa Barbara, CA: Praeger. examined a similar list of definitions and concluded that there are three primary features that run through all definitions of the term “organization”: the structure, the goal, and the people.
Organizational Structures
The first major theme commonly seen in the various definitions of the word “organization” has to do with structure
How an organization functions in terms of what happens both within the organization itself and within its external environment.
. When we talk about how organizations are structured, we are talking primarily about how they function in terms of what happens both within an organization and how an organizations functions within its external environment. For our purposes, we will look at structure in terms of four basic processes: external environment, input, throughput, and output ( Figure 1.1 "Organizational Structures")
Figure 1.1 Organizational Structures
External Environment
The first factor to consider when thinking about an organization is the external environment that an organization exists in. The external environment
All of the vendors, competitors, customers, and other stakeholders who can have an impact on the organization itself but exist outside the boundaries of the organization.
consists of all vendors, competitors, customers, and other stakeholders who can have an impact on the organization itself but exist outside the boundaries of the organization. Changes in the external environment where an organization exists will have an effect on the organization itself. For example, image that the government is going to pose new regulations on your industry, these new regulations will have an effect on how the organization must function. When it comes to how organizations interact with its external environment, we often refer to two different types of boundaries. An organization that has open boundaries
Organizations that allow for the free flow of information to the organization and is more likely able to adapt to changes that occurs within the environment.
allows for the free flow of information to the organization and is more likely able to adapt to changes that occurs within the environment. Closed boundaries
When an organization insulates itself from what is occurring within its external environment.
, on the other hand, occur when an organization tries to insulate itself from what is occurring within its environment. When an organization has closed boundaries, that organization ends up being less aware of what is going on within the external environment and sets itself up for major problems or obsolescence.
Input
The next major aspect of an organization’s environment involves inputs. Inputs
Those resources that an organization brings in from the external environment in order for the organization to accomplish its goals.
are those resources that an organization brings in from the external environment in order for the organization to accomplish its goals. Typically, resources can be discussed in three general categories: physical materials, people, and information. First, organizations bring in physical materials that it needs to accomplish its goals. Whether its computers, desks, light fixtures, or supplies necessary to build silicon microchips, organizations rely on a variety of vendors in the external environment to provide physical materials.
The second type of input necessary from the external environment involves people. People can either come in the forms of workers, which are necessary resources for any organization. An organization is reliant on bringing in skilled workers to help the organization accomplish its goals. One of the biggest complaints many organizations have is a lack of skilled or qualified workers. Depending on the organization, skills or qualifications can run from specific college or graduate degrees to specific industry experience to specific technical know-how. According to Julian L. Alssid, executive director of the Workforce Strategy Center in New York, "Employers seem to be less willing to invest in training in this economy. Again, it is the combination of the right credential and practical experience they look for." Balderrama, A. (2010, February 22). Available jobs, not enough skilled workers [online article]. Retrieved from http://msn.careerbuilder.com/Article/MSN-2192-Job-Search-Available-Jobs-Not-Enough-Skilled-Workers/, Paragraph 7.
The final type of input an organization needs is information. Information
Any data that is necessary for an organization to possess in an effort to create knowledge.
refers to any data that is necessary for an organization to possess in an effort to create knowledge. Atwood, C. G. (2009). Knowledge management basics: A complete how-to guide. Alexandria, VA: ASTD Press. According to the American Society for Training and Development (ASTD), data is “is raw and without context and can exist in any form, usable or not.” ASTD. (2006). Managing organizational knowledge. In E. Biech (series Ed.), ASTD Learning System, Vol. 8. Alexandria, VA: ASTD Press, pg. 2. Often organizations end up with piles of data including customer service reports, market trends, and other material typically in the raw, numerical form. Organizations then turn this data into information by giving the data meaning through some kind of interpretation. While most people think of data as purely numerical, there are other non-numerical types of data that can be important to turn into information. For example, if the US congress passes a new law that impacts how your organization must handle customer records, the law may not specifically say how your organization must comply with the law. In this case, the new law is data and your organization must turn that law into usable information in the form of its own policies and procedures. When you combine information with understanding that leads to action, information is transformed from information to knowledge.
So, how do organizations go about acquiring data that can lead to action? ASTD discusses two types of external environment scanning processes that organizations can employ: proactive and reactive. ASTD. (2006). Managing organizational knowledge. In E. Biech (series Ed.), ASTD Learning System, Vol. 8. Alexandria, VA: ASTD Press. First, proactive scanning
When an organization actively looks for data or existing information that could be transformed into useable knowledge.
occurs when an organization actively looks for data or existing information that could be transformed into useable knowledge. For example, doing research on what your competitors in an effort to stay on top of your market is an example of proactive scanning. The second type of scanning, reactive scanning
When an organization faces a specific problem or crisis and then either makes sense of data/information it poses or searches the external environment for data or information that could be useful.
occurs when an organization faces a specific problem or crisis and then either makes sense of data/information it poses or searches the external environment for data or information that could be useful. Ideally, if an organization does a good job with proactive scanning, reactive scanning will not be necessary very often. When an organization is forced to use reactive scanning, time gets wasted as they attempt to find the data/information and turn it into actionable knowledge.
Throughput
Throughput
What an organization does with inputs within the confines of the organization itself.
is ultimately what an organization does with inputs within the confines of the organization itself. Throughput can range from the use physical materials, people, and information to how organizations structure themselves internally to create goal oriented throughput. While we cannot discuss every possible way an organization can utilize inputs, we should note that the issue of internal organizational structure is very important at this level of an organizations. For this reason, we really must discuss two ways that organizations commonly structure hierarchies.
A hierarchy
A categorization system where individuals/departments are ranked over other individuals/departments based on skills, centrality, and status.
is a categorization system where individuals/departments are ranked over other individuals/departments based on skills, centrality, and status. First, organizations can place people/departments over others because of specific skill sets. For example, managers are placed over workers because of their skills in managing people. While we know this isn’t always why people get promoted, the general idea of a management class of people is because managers can help organize employees towards the organization’s goal (s). Second, people can be ranked over others because of their centrality to the organization’s goals. For example, if your organization is a tech company, the product developers may be ranged structurally over people in customer support or marketing because without the product developers there is no need for customer support or marketing. Lastly, organizations can be organized based on status, an individual’s relative position to others as a result of esteem, privilege, or responsibility. When someone gets promoted to a higher position, her or his status increases in terms of a formal hierarchy. Whether that promotion is a result of esteem, privilege, or responsibility doesn’t matter at this point, only the elevation within the hierarchy.
Now that we’ve discussed what a hierarchy is, let’s talk about the two common ways that organizations are typically patterned: flat vs. tall hierarchies ( Figure 1.2 "Hierarchies" ).
Figure 1.2 Hierarchies
The first image in Figure 1.2 "Hierarchies" represents tall hierarchies
Any stimuli that could elicit meaning that is not contained in words themselves.
, they are called such because they represent many, many hierarchical layers between those at the bottom of the hierarchy and those at the top of the hierarchy. Two commonly discussed tall hierarchies are the Catholic Church and the US military. With the Catholic Church, you have the average parishioner at the bottom of the hierarchy the Pope at the top of the hierarchy. In the US military, you have your average enlisted soldier at the bottom of the hierarchy and the President of the United States (in her/his commander in chief title) at the top of the hierarchy. In both cases, the people at the bottom have little or no communication with those at the top of the hierarchy.
The second image in Figure 1.2 "Hierarchies" represents flat hierarchies where there are only a couple of hierarchical layers between those at the bottom and those at the top of the hierarchy. Think of these organizations like mom and pop restaurants. In a typical small restaurant, the owner may also serve as the chef and may only have a handful of waitstaff, table bussers, and dish cleaners as employees. In these hierarchies, it is very easy for those at the bottom of the hierarchy to communicate with those at the top of the hierarchy.
Output
The final aspect related to organizational structure is output
The ultimate product or service that an organization disseminates back to the external environment.
, which is the ultimate product or service that an organization disseminates back to the external environment. Whether one is create the components of a cell phone or sending computer technicians to people’s homes, every organization is designed to produce some kind of service or product for the external environment. Even nonprofit organizations like the American Red Cross are producing a range of both products and services for the external environment.
Organizational Goals
Organizations have many goals, but it helps to clarify those goals into a simple typology (classification into ordered categories). Edward Gross examined the various types of organizational goals and created a simple typology consisting of five distinct goals that organizations have: output, adaptation, management, motivation, and positional. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294.
Output
The first type of goal that organizations commonly have are referred to as output goals, or organizational goals that are “reflected, immediately or in the future, in some product, service, skill or orientation which will affect (and is intended to affect) that society.” Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294, pg. 287. While Gross was initially discussing goals in terms of educational organizations, the goals also apply to other organizational types as well. In essence, every organization has some type of output goal that will be released back into the external environment. For a pizza chain, the output goal could be the pizza it delivers to your house (product); the customer service it gives customers (service); or the expertise in pizza making it brings to the enterprise (skill).
Adaptation
The second type of organizational goal argued by Edward Gross are adaptation goals, or goals that an organization has in terms of adapting to the external environment. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294. All organizations exist in environments that change, and successful organizations are going to change and adapt to that external environment. One of the biggest risks many organizations face if they do not adapt to the external environment is obsolescence, which “occurs when there is a significant decline in customer desire for an organization’s products or services.” Wrench, J. S. (2012). Casing organizational communication. Dubuque, IA: Kendall-Hunt, pg. 11. Many organizations becomes so focused on making a specific product that the product eventually is no longer wanted or needed by customers, which will lead to the eventual death of an organization.
Management
The next type of organizational goal discussed by Edward Gross are management goals, which involves three types of decisions: (1) who will manage or run an organization, (2) how to handle conflict management, and (3) output goal prioritization. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294. First, organizations need to decide on the formal structure of an organization and who will exist at various rungs of the hierarchy. In addition to determining the formal structure, these goals also determine what type of and who holds power within the organizational hierarchy. Second, managerial goals focus on how conflicts within the organization will be handled. Organizations have a vested interest in keeping the organization running smoothly, so too much conflict can lead to interpersonal or inter-departmental bickering that has negative consequences for the organization. Lastly, management goals determine the overarching direction of the organization itself. As the saying goes, someone has to steer the ship. We’ll discuss different types of leaders in Chapter 7 "Leader and Follower Behaviors & Perspectives", but for now we’ll just note that having a clear direction and clear prioritization of the products and services an organization has is very important for the health of an organization. If an organization tries to do too much, the organization may end up scatter-brained and not function as a cohesive whole. If the organization tries to do one and only one thing, the organization may become obsolescent. Overall, people in management must place output goal prioritization very high on the to-do-list.
Motivation
The fourth common goal organizations have, as discussed by Edward Gross, are motivational goals or goals set out to ensure that all employees are satisfied and remain loyal to the organization. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294. There is a wealth of research that has examined the importance of employee motivation on job satisfaction and worker productivity. Latham, G. P. (2007). Work motivation: History, theory, research, and practice. Thousand Oaks, CA: SAGE. In a study conducted by Whitman, Van Rooy, and Viswesvaran Whitman, D. S., Van Rooy, D. L., & Viswesvaran, C. (2010). Satisfaction, citizenship behaviors, and performance in work units: A meta-analysis of collective construct relations. Personnel Psychology, 63, 41–81. doi:10.1111/j.1744-6570.2009.01162.x, the researchers examined the relationship between job satisfaction and employee productivity across 73 different research studies that have examined the subject. Overall, the researchers concluded that satisfied employees were more productive. Secondly, ensuring that employees are motivated also helps to ensure that employees remain loyal to an organization. According to Hart and Thompson, employee loyalty is “an individual’s perception that both parties to a relationship [employee and organization] have fulfilled reciprocal expectations that 1) demote enduring attachment between two parties, and that 2) involve self-sacrifice in the face of alternatives, and that 3) are laden with obligations of duty.” Hart, D. W., & Thompson, J. A. (2007). Untangling employee loyalty: A psychological contract perspective. Business Ethics Quarterly, 17, 297–323, pg. 300. By this definition employees are loyal because they knowingly enter into a relationship with an organization, sacrifice part of themselves to the organization (and vice versa), and thus feel a sense of obligation or duty to the organization. Of course, loyalty only works when an employee feels that the organization is standing up to its end of the reciprocal expectations. If an employee feels that an organization is not meeting its basic obligations, then the employee will view that organization unkindly and the employees loyalty will diminish over time. Hajdin, M. (2005). Employee Loyalty: An Examination. Journal Of Business Ethics, 59, 259–280. doi:10.1007/s10551-005-3438-4 As such, organizations must strive to make one of its goals ensuring that it is meeting its basic obligations towards employees in an effort to foster employee loyalty.
Positional
The final type of organizational goal described by Edward Gross are positional goals, which are goals that attempt to position an organization within the environment in comparison to other organizations within the same market. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294. For example, imagine that your organization is an automotive tool manufacturer. Your organization will attempt to position itself against other automotive tool manufacturers that exist in the market. There are two common ways to position one’s self within a specific market: 1) higher volume at a lower price or 2) higher quality at a higher price. The first way to position one’s self within a market is to create more products or faster service at a cheaper cost. The second way to position one’s self in the market is to create a luxury product/service that costs more. While the product or service costs more, you provide the appearance of being the luxury brand. In a 2011 article in PCWorld, the authors mention that 56% of new cellphone users were purchasing an Android device as compared to only 28% that purchased an iOS (iPhone) device. Kellog, D. (2011, September 26). In U.S. market, new smartphone buyers increasingly embracing Android [Press release]. Retrieved from http://blog.nielsen.com/nielsenwire/online_mobile/in-u-s-market-new-smartphone-buyers-increasingly-embracing-android/ Simply put, the Android is cheaper and there are more versions of the Android available for cellphone subscribers. Only Apple makes iOS compatible cellphones and they are typically more expensive than Android devices. Apple has historically set itself up as a luxury line in the computing industry while PCs and now Android cellphones are cheaper and made for the mass market. Interestingly, iPhones actually only account for 4% of the overall cell phone market in November 2011, but accounted for 52% of industry profits. Hamburger, E. (2011, December 7). These charts tell the real story of Android vs. Business Insider. iPhone. Retrieved from http://www.businessinsider.com/android-vs-iphone-charts-2011-12 Clearly, the iPhone may not be getting a strong percentage of the market share, but it is still beating out its competition.
Organizational People
The final characteristic common the various definitions of the word “organization” involves people. In Jason Wrench’s original discussion of the three common themes related to people, he discussed interdependency, interaction, and leadership. Wrench, J. S. (in press). Communicating within the modern workplace: Challenges and prospects. In J. S. Wrench (Ed.), Workplace communication for the 21st century: Tools and strategies that impact the bottom line: Vol. 1. Internal workplace communication. Santa Barbara, CA: Praeger. For our purposes, we also pose the notion of control as an important factor related to people as well.
Interdependency
The first term associated with people in organizations is the concept of interdependency. Interdependency
Mutual dependence or depending on one another.
is mutual dependence or depending on one another. Interdependency is the notion that people within an organization are dependent upon one another to achieve the organization’s goals. If one part of the organization stops functioning properly, it will impact the other parts of the organization. For example, imagine you are a copyeditor for a publisher in New York City. If you get behind on your job, the graphic designers, marketing professionals, printers, and other groups of people will also get behind. At the same time, interdependency can also help an organization. If you working with a solid group of colleagues, if something happens to get you behind others can help pull the slack and keep things moving forward on schedule. Overall, people impact each other in organizations.
Interaction
Our interactions with others help define and create what is an organization. Without the interactions we have with our coworkers, customers, and other stakeholders, an organization really doesn’t exist. For this reason, you can almost say that the “thing” we call an organization doesn’t really exist because it’s not a physical structure, but rather an organization is the outcome of our interactions with others. An organization may have physical things within it (desks, computers, pencils, etc.), but the actual organization is ultimately the people that make exist.
At the same time, people within an organization also interact with each other in various roles in an effort to accomplish the organization’s goal (s). People within organizations and people who come in contact with organizations are constantly in a state of interaction. As we will learn later in this book, organizations have many different stakeholders (an individual or group that has an interest in the organization), and each different set of stakeholders requires different communication strategies. Ultimately, communicative interaction is one of the most basic functions of any organization.
Control
As the definition of organization from Dennis Mumby, organizations are inherently entities that must control the behavior of its members while members generally strive for their own sets of needs. Mumby, D. (in press). Organizational communication. Los Angeles, CA: SAGE. When one group has one set of needs and desires and another has a different set of needs and desires, we refer to these groups as being in dialectical tensions. Table 1.2 "Dialectical Tensions" contains many of the dialectical tensions that exist between organizations and its various members.
Table 1.2 Dialectical Tensions
What the Organization Needs/Wants
What Workers Need/Want
Minimize Costs
Maximize Salary/Benefit Package
Systemization of Job Duties
Autonomy to do one’s job
Ability to Streamline the Organization
Job Stability
Agreement
Dissent
Transparency
Privacy
Conventionality
Innovation
Organization-Focused
Self-Focused
Permanence
Change
Rights of the Organization
Rights of the Individual
Work life
Social life
As a result of these inherent dialectical tensions, organizations try to stack the deck in its favor to maximize its needs and desires, and subsequently minimizes the needs and desires of workers in the process. Let’s briefly examine each of these dialectical tensions in turn.
Minimize Costs vs. Maximize Salary/Benefits. The first dialectical tensions occurs when organizations try to keep their overhead costs low while workers try to maximize what they earn in terms of both salary and benefits (insurance, stock options, retirement, etc.).
Systemization vs. Autonomy. Organizations like stability, so they prefer workers who learn how to do a specific task and then systematize that task in the most efficient manner. As such, organizations (especially in manufacturing contexts) will train in explicit detail exactly how an employee should accomplish a task. Workers, on the other hand, prefer to have autonomy when making decisions for how best to accomplish their daily work and do not enjoy being micromanaged.
Streamline vs. Stability. Organizations are fundamentally focused on the bottom line, and therefore often want to have the ability to streamline the organization in an attempt to maximize profits. If an organization can lay off workers and maintain maximum productivity, then it’s often in the organization’s best interest to do so. While streamlining is good for an organization, it can create a chaotic environment for employees who crave job stability. Workers want to know that their work is appreciated and it will keep them employed.
Agreement vs. Dissent. The next dialectical tension listed here is agreement vs. dissent. In this tension, organizations prefer for workers to blindly follow and do what organizational leaders dictate. Workers, on the other hand, want to have a voice to articulate when they disagree with the dictates of leaders or the general direction of the organization. We’ll explore the area of organizational dissent more in Chapter 5 "Communicating Between and Among Internal Stakeholders".
Conventionality vs. Innovation. Organizations are innately slow moving organisms that do not like change, so it’s very common to hear “But we’ve always done it that way.” Workers on the other hand want to bring their own creative problem solving skills to the table and think of new and innovative processes and procedures that could benefit both the organizations and the workers. While not all worker ideas spot-on, organizations that stick to conventional ways of thinking may end up losing a lot of employees who prefer more freedom to be innovative.
Transparency vs. Privacy. In our world today organizations are increasingly want to know what workers are doing in the workplace. As such, organizations expect that employee’s work lives are completely transparent and will do everything from monitoring e-mail and telephone calls to installing software on workers’ computers that logs and monitors key strokes made on a keyboard. Workers, on the other hand, are increasingly demanding that there be some privacy especially in their digital lives.
Organization vs. Self-Focused. Organizations innately want workers to be focused on their jobs and improving their productivity. Workers, on the other hand, want to focus on themselves and improving themselves. Many organizations will support self-improvement as long as it has a clear benefit for the organization, but workers often want to focus on their own improvement even if that improvement has no benefits for the organization or may lead the worker to find a new organization.
Permanence vs. Change. When looking at the permanence/change dialectic, organizations strive to maintain knowledge and thus keep people who are hard workers for the long haul. Often, organizations call this employee loyalty. Workers on the other hand, desire change and can get very bored doing the same work day-in and day-out. Often workers become pigeonholed in specific jobs with specific duties, that there is no way to get out besides leaving the organization itself. Overall, organizations in our society have many more tools at its disposal to get its way than do workers.
Organizational vs. Individual Rights. Ultimately, when it comes to organizations the focus is on the organization and its rights and less on the individual’s rights. Workers believe that their human rights shouldn’t stop at the front door of the organization. For example, many workers are shocked when organizations fire them for posts that are made on social networking websites. Workers believe these posts should be private and organizations looking at these posts is a violation of one’s privacy rights. Organizations, on the other hand, believe looking at social networking site posts is a completely appropriate behavior and well within its rights as an organization. While this specific example also overlaps with the transparency/privacy dialectic, the focus here is on whose rights are more important.
Work vs. Social Life. The last dialectical tension associated with organizational control is the focus on work vs. social life. Organizations believe that workers should be focused purely on their work life. As a result of digital technology, it has become increasingly easier for people to be on call 24-7 by their organizations. Workers, on the other hand, believe they are entitled to a social life that does not involve one’s organization. Furthermore, workers often believe that as long as their private, social life behavior does not impact their work life, their organization’s should stay out of their personal lives. Many organizations go so far as to include “morality clauses” into contracts that enable them to fire employees whose person-life behavior is deemed inappropriate for organizational members.
Leadership
The last term associated with people in organizations is leadership. Any organization must have an individual or clearly discernible group that guides the organization towards accomplishing its goal (s). Without strong leadership, individual members of an organization are left to their own ideas of how to accomplish the organization’s goals. Basically, if you have too many people trying to lead, you’ll end up with an organization that is stretched entirely too thin to accomplish anything.
The opposite of leadership is followership. If an organization is going to thrive, it must have strong leadership and followers who are willing to follow that leader. In Chapter 7 "Leader and Follower Behaviors & Perspectives" we’ll examine leadership and followership.
Types of Organizations
The last factor in understanding organizations is to realize that there are numerous types of organizations. For a good overview of the different taxonomies that have been created trying to categorize these different types of organizations, we recommend reading Carper and Snizek’s article on the subject. Carper, W. B., & Snizek, W. E. (1980). The nature and types of organizational taxonomies: An overview. Academy of Management Review, 5, 65–75. For our purposes in this book, we are going to use the classification scheme originally posed by Peter M. Blau and W. Richard Scott. Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach (2004 printing). Stanford, CA: Stanford University Press. Blau and Scott created a taxonomy of organizations that included four distinct categories: mutual benefit, business concerns, service, and commonweal.
Mutual Benefit Associations
The first type of organization that exists is the mutual benefit organization
Organization focused on providing for its membership.
, which is focused on providing for its membership. Some examples are “political parties, unions, fraternal associations, clubs, veterans’ organizations, professional associations, and religious sects.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 45. People generally join these types of organizations because of the benefits of membership. When these organizations are first being created, organizational members are generally very involved in the creation of the organization. However, once one of these organizations has been around for a while, the majority of the members become passive and let the minority run the organization.
Business Concerns
The second type of organization is the business concerns organization
Organization focused on doing well profitably for the organization and its stakeholders.
, which is focused on doing well for the organization itself. According to Blau and Scott, the “dominant problem of business concerns is that of operating efficiency—the achievement of maximum gain at minimum cost in order to further survival and growth in competition with other organizations.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 49. Most for-profit organizations will fall into the business concerns organization. Business concerns organizations are faced with problems associated with “maximizing operating efficiency in a competitive situation.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 43. Because of the need to cut costs and maintain a competitive advantage, these organizations are often cold and calloused in how they treat its members and customers.
Service Organizations
According to Blau and Scott, service organizations
Organization whose prime concern is providing products or services for a specific public clientele.
are “one whose prime beneficiary is the part of the public in direct contact with the organization, with whom and on whom its members work—in short, an organization whose basic function is to serve clients.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 51. Service organizations can include “social-work agencies, hospitals, schools, legal aid societies, and mental health clinics.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 51. The basic problem service organizations face is “the problems associated with the conflict between professional service to clients and administrative procedures are characteristic of service organizations.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 43. Often service organizations are steeped in organizational hierarchies and procedures that prohibit providing the easiest and fastest service to potential clients.
Commonweal Organizations
The last type of organization discussed by Blau and Scott are commonweal organizations
Organization designed to benefit society at large.
“where the prime beneficiary is the public-at-large.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach (2004 printing). Stanford, CA: Stanford University Press, pg. 44. Some examples of commonweal organizations include “the State Department, the Bureau of Internal Revenue, military services, police and fire departments, and also the research function as distinguished from the teaching function in universities.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 54. All of these organizations were created because they represented areas where the general public needed some level of protection or knowledge or the organization serves administrative purposes of the government. Overall, the crucial problem posed “by commonweal organizations is the development of democratic mechanisms whereby they can be externally controlled by the public.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach (2004 printing). Stanford, CA: Stanford University Press, pg. 43.
When one analyzes a variety of definitions for the term “organization,” three common themes tend to emerge: the structure, the goal, and the people. Organizational structure examines how an organization functions both internally and with its larger external environment. The goal is the general purpose a group of people is trying to achieve. Lastly, the people refer to the various internal and external stakeholders associated with the organization.
There are four common organizational types: mutual benefit, business concerns, service, and commonweal. Mutual benefit organizations are designed to help the individuals who belong to the group (e.g., fraternities, sororities, clubs, etc…). Business concerns organizations are primarily concerned with turning a profit for the organization and its shareholders (e.g. anything from Walmart and Citibank to your local grocery story or restaurant). The third type of organization is the service organization, which is geared towards providing a specific service to people within society (e.g., hospitals, legal-aid societies, etc…). Lastly, commonweal organizations are those that are generally run by the government for the greater good of society (e.g., the military, fire/police departments, department of education, etc…). | msmarco_doc_00_10593206 |
http://2012books.lardbucket.org/books/an-introduction-to-organizational-communication/s03-introduction-to-organizational.html | Introduction to Organizational Communication | Chapter 1
Introduction to Organizational Communication
Chapter 1 Introduction to Organizational Communication
Why Organizational Communication Matters
1.1 What is an Organization?
Learning Objectives
Defining “Organization”
Organizational Structures
External Environment
Input
Throughput
Output
Organizational Goals
Output
Adaptation
Management
Motivation
Positional
Organizational People
Interdependency
Interaction
Control
Leadership
Types of Organizations
Mutual Benefit Associations
Business Concerns
Service Organizations
Commonweal Organizations
Key Takeaways
Exercises
1.2 What is Communication?
Learning Objectives
Process
Source
Individual vs. Group
Message
Channel
Verbal
Nonverbal
Mediated
Receiver
A Few Notes About The Basic Model
Key Takeaways
Exercises
1.3 History of Organizational Communication
Learning Objectives
Ways of Viewing Organizational Communication
“Organizational Communication” as a Discipline
“Organizational Communication” as a Descriptor
“Organizational Communication” as a Phenomenon
A Conceptual Definition of “Organizational Communication”
A History of Organizational Communication
Key Takeaways
Exercises
1.4 Approaches to Organizational Communication Research
Learning Objectives
Social-Scientific/Quantiative
Survey Research in Organizational Communication
Experimental Research in Organizational Communication
Content Analysis in Organizational Communication
Example of Quantiative/Social Scientific Research
Qualitative
Interpretive
Communicating in Natural Environments
Guided by Personal Objectives
People Giving Meaning to their Own Communication
Example of Interpretive/Qualitative Research
Critical
Questioning the 4 I’s
Denaturalization and/or Rearticulation
Inspiring Social Reform
Constraining Choice and Action
Example of Rhetorical/Critical Scientific Research
Comparing the Three Types
Key Takeaway
Exercise
1.5 Chapter Exercises
Real World Case Study
Real World Case Study
Real World Case Study
End-of-Chapter Assessment Head
Answer Key
| Introduction to Organizational Communication
Chapter 1 Introduction to Organizational Communication
PLEASE NOTE: This book is currently in draft form; material is not final.
Why Organizational Communication Matters
PLEASE NOTE: This book is currently in draft form; material is not final.
Welcome to your first book in organizational communication. This book assumes that you have some background in the field of human communication and probably minimal exposure to the world of organization studies. In the Preface of this book, which we strongly encourage you to read, we discussed the reasons why studying organizational communication matters in the 21st Century.
Your average employed person working in the United States averages 7.5 hours of work per day (7.9 hours on the week days; 5.5 hours on the weekend). This study from the US Department of Labor The US Department of Labor. (2010). American time-use survey—2010 results [Press release]. Retrieved from http://www.bls.gov/news.release/pdf/atus.pdf further noted that these are just the hours a person spends in a traditional working environment. People further spend about 36 minutes a week interacting with an educational organization, about 43 minutes shopping, and about 16 minutes attending religious services or volunteering. When people traditionally hear the word “organization” they most often jump right to the idea of a workplace. However, an organization is a much broader term and covers a lot more ground than just someone’s workplace. As such, time that is spent in an educational environment, shopping, attending religious services, and volunteering are also examples of someone interacting with or in an organization.
This book looks at organizational communication as a broad term that encompasses a wide array of organizational types, which we’ll explore in more detail elsewhere in this chapter. Even if you just take the average 7.5 hours per day an individual spends “working” in an organization, you will end up in an organizational environment a little over 111 days per year. If you work for 40 years, you’ll basically spend 12 of those years at work. We don’t tell you this to scare you, but to help you understand the importance of knowing how to interact and behave in organizations. So, let’s get started!
1.1 What is an Organization?
PLEASE NOTE: This book is currently in draft form; material is not final.
Learning Objectives
Understand the three common components of the various definitions of the term “organization.”
Differentiate among the four types of organizations: mutual benefit, business concerns, service, and commonweal.
As with any academic endeavor, one must understand what one is studying before one can delve into the specifics and intricacies of the subject matter. For this reason, this section is going to start by defining what is meant by the term “organization” and then looking at three different ways of categorizing different types of organization.
Defining “Organization”
Many people have attempted to define what is meant by the word “organization.” Instead of following suit and throwing yet another definition into the mix, we’ve selected a number of definitions from common dictionary definitions to ones used by business, psychology, economics, and communication scholars. Table 1.1 "Defining “Organization”" contains a partial list of the different types of definitions seen across various academic disciplines.
Table 1.1 Defining “Organization”
Dictionary Definition
(1) the act of organizing or the state of being organized; (2) an organized structure or whole; (3) a business or administrative concern united and constructed for a particular end (4) a body of administrative officials, as of a political party, a government department, etc (5) order or system; method. organization. (2009). Collins English Dictionary—Complete & Unabridged 10th Edition. Retrieved March 18, 2012, from Dictionary.com website: http://dictionary.reference.com/browse/organization
General Business Definitions
“a system of consciously coordinated activities of two or more persons.” Barnard, C. I. (1938). The functions of the executive. Cambridge, MA: Harvard University Press, pg. 73.
“The accomplishment of an objective requires collective effort, men set up an organization designed to coordinate the activities of many persons and to furnish incentives for others to join them for this purpose.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 5.
“A social unit of people, systematically structured and managed to meet a need or to pursue collective goals on a continuing basis. All organizations have a management structure that determines relationships between functions and positions, and subdivides and delegates roles, responsibilities, and authority to carry out defined tasks. Organizations are open systems in that they affect and are affected by the environment beyond their boundaries.” organization. (n.d.). Retrieved March 18, 2012, from BusinessDictionary.com website: http://www.businessdictionary.com/definition/organization.html
“a Body of individuals working under a defined system of rules, assignments procedures, and relationships designed to achieve identifiable objectives and goals.” Greenwald, H. P. (2008). Organizations: Management without control. Los Angeles, CA: Sage, pg. 6.
Organizational Behavior Definitions
“a social unit within which people have achieved somewhat stable relations (not necessarily face-to-face) among themselves in order to facilitate obtaining a set of objectives or goals.” Litterer, J. A. (1963). Organizations: Structured behavior. New York: John Wiley and Sons, pg. 5.
“an organization is a complex system, which includes as subsystems: (1) management, to interrelate and integrate through appropriate linking processes all the elements of the system in a manner designed to achieve the organizational objectives, and (2) a sufficient number of people so that constant face-to-face interaction is impossible.” Lundgren, E. F. (1974). Organizational management: Systems and process. San Francisco: Canfield Press, pg. 7.
Economics Definition
A short hand expression for the integrated aggregation of those persons who are primarily involved in: “ (1) the undertaking or managing of risk and the handling of economic uncertainty; (2) planning and innovation; (3) coordination, administration and control; (4) and routine supervision” of an enterprise. Harbison, F. (1959). Entrepreneurial organization as a factor in economic development. The Quarterly Journal of Economics, 70, 364–379, pg. 365.
Industrial/Organizational Psychology Definition
“work consists of patterned human behavior and the ‘equipment’ consists of the human beings.” Katz, D., & Kahn, R. L. (1978). The social psychology of organizations. New York, NY: John Wile & Sons, pg. 55.
“lively sets of interrelated systems [task, structure, technology, people, and the environment] designed to perform complicated tasks.” Levitt, H. J. (1972). Managerial psychology: An introduction to individuals, pairs, and groups in organizations. Chicago: The University of Chicago Press, pg. 265.
Organizational Communication Definitions
“social collectives in which people develop ritualized patterns of interaction in an attempt to coordinate their activities and efforts in the ongoing accomplishment of personal and group goals.” Kreps, G. L. (1986). Organizational communication. New York: Longman, pg. 5.
“including five critical features—namely, the existence of a social collectivity, organizational and individual goals, coordinated activity, organizational structure, and the embedding of the organization with an environment of other organizations.” Miller, K. (2012). Organizational communication: Approaches and processes (6th ed.). Boston, MA: Wasdworth-Cengage, pg. 11.
“Communicative structures of control.” Mumby, D. (in press). Organizational communication. Los Angeles, CA: SAGE.
“an organized collection of individuals working interdependently within a relatively structured, organized, open system to achieve common goals.” Richmond, V. P., & McCroskey, J. C. (2009). Organizational communication for survival: Making work, work (4th ed.). Boston: Allyn & Bacon, pg. 1.
“an aggregate of persons, arranged in predetermined patterns of relationships, in order to accomplish stated objectives.” Redding, W. C. (1964). The organizational communicator. In W. C. Redding & G. A Sanborn (Eds.), Business and industrial communication: A source book (pp. 29–58). New York: Harper & Row, pg. 33.
After reading this laundry list of different definitions for the word “organization,” you may wonder how you to determine which one is the best? Well, to be honest—we think they all have something to offer. When you look at the various definitions for the word “organization,” you will start to see a certain pattern emerge of consistent themes within the definition. Jason Wrench Wrench, J. S. (in press). Communicating within the modern workplace: Challenges and prospects. In J. S. Wrench (Ed.), Workplace communication for the 21st century: Tools and strategies that impact the bottom line: Vol. 1. Internal workplace communication. Santa Barbara, CA: Praeger. examined a similar list of definitions and concluded that there are three primary features that run through all definitions of the term “organization”: the structure, the goal, and the people.
Organizational Structures
The first major theme commonly seen in the various definitions of the word “organization” has to do with structure
How an organization functions in terms of what happens both within the organization itself and within its external environment.
. When we talk about how organizations are structured, we are talking primarily about how they function in terms of what happens both within an organization and how an organizations functions within its external environment. For our purposes, we will look at structure in terms of four basic processes: external environment, input, throughput, and output ( Figure 1.1 "Organizational Structures")
Figure 1.1 Organizational Structures
External Environment
The first factor to consider when thinking about an organization is the external environment that an organization exists in. The external environment
All of the vendors, competitors, customers, and other stakeholders who can have an impact on the organization itself but exist outside the boundaries of the organization.
consists of all vendors, competitors, customers, and other stakeholders who can have an impact on the organization itself but exist outside the boundaries of the organization. Changes in the external environment where an organization exists will have an effect on the organization itself. For example, image that the government is going to pose new regulations on your industry, these new regulations will have an effect on how the organization must function. When it comes to how organizations interact with its external environment, we often refer to two different types of boundaries. An organization that has open boundaries
Organizations that allow for the free flow of information to the organization and is more likely able to adapt to changes that occurs within the environment.
allows for the free flow of information to the organization and is more likely able to adapt to changes that occurs within the environment. Closed boundaries
When an organization insulates itself from what is occurring within its external environment.
, on the other hand, occur when an organization tries to insulate itself from what is occurring within its environment. When an organization has closed boundaries, that organization ends up being less aware of what is going on within the external environment and sets itself up for major problems or obsolescence.
Input
The next major aspect of an organization’s environment involves inputs. Inputs
Those resources that an organization brings in from the external environment in order for the organization to accomplish its goals.
are those resources that an organization brings in from the external environment in order for the organization to accomplish its goals. Typically, resources can be discussed in three general categories: physical materials, people, and information. First, organizations bring in physical materials that it needs to accomplish its goals. Whether its computers, desks, light fixtures, or supplies necessary to build silicon microchips, organizations rely on a variety of vendors in the external environment to provide physical materials.
The second type of input necessary from the external environment involves people. People can either come in the forms of workers, which are necessary resources for any organization. An organization is reliant on bringing in skilled workers to help the organization accomplish its goals. One of the biggest complaints many organizations have is a lack of skilled or qualified workers. Depending on the organization, skills or qualifications can run from specific college or graduate degrees to specific industry experience to specific technical know-how. According to Julian L. Alssid, executive director of the Workforce Strategy Center in New York, "Employers seem to be less willing to invest in training in this economy. Again, it is the combination of the right credential and practical experience they look for." Balderrama, A. (2010, February 22). Available jobs, not enough skilled workers [online article]. Retrieved from http://msn.careerbuilder.com/Article/MSN-2192-Job-Search-Available-Jobs-Not-Enough-Skilled-Workers/, Paragraph 7.
The final type of input an organization needs is information. Information
Any data that is necessary for an organization to possess in an effort to create knowledge.
refers to any data that is necessary for an organization to possess in an effort to create knowledge. Atwood, C. G. (2009). Knowledge management basics: A complete how-to guide. Alexandria, VA: ASTD Press. According to the American Society for Training and Development (ASTD), data is “is raw and without context and can exist in any form, usable or not.” ASTD. (2006). Managing organizational knowledge. In E. Biech (series Ed.), ASTD Learning System, Vol. 8. Alexandria, VA: ASTD Press, pg. 2. Often organizations end up with piles of data including customer service reports, market trends, and other material typically in the raw, numerical form. Organizations then turn this data into information by giving the data meaning through some kind of interpretation. While most people think of data as purely numerical, there are other non-numerical types of data that can be important to turn into information. For example, if the US congress passes a new law that impacts how your organization must handle customer records, the law may not specifically say how your organization must comply with the law. In this case, the new law is data and your organization must turn that law into usable information in the form of its own policies and procedures. When you combine information with understanding that leads to action, information is transformed from information to knowledge.
So, how do organizations go about acquiring data that can lead to action? ASTD discusses two types of external environment scanning processes that organizations can employ: proactive and reactive. ASTD. (2006). Managing organizational knowledge. In E. Biech (series Ed.), ASTD Learning System, Vol. 8. Alexandria, VA: ASTD Press. First, proactive scanning
When an organization actively looks for data or existing information that could be transformed into useable knowledge.
occurs when an organization actively looks for data or existing information that could be transformed into useable knowledge. For example, doing research on what your competitors in an effort to stay on top of your market is an example of proactive scanning. The second type of scanning, reactive scanning
When an organization faces a specific problem or crisis and then either makes sense of data/information it poses or searches the external environment for data or information that could be useful.
occurs when an organization faces a specific problem or crisis and then either makes sense of data/information it poses or searches the external environment for data or information that could be useful. Ideally, if an organization does a good job with proactive scanning, reactive scanning will not be necessary very often. When an organization is forced to use reactive scanning, time gets wasted as they attempt to find the data/information and turn it into actionable knowledge.
Throughput
Throughput
What an organization does with inputs within the confines of the organization itself.
is ultimately what an organization does with inputs within the confines of the organization itself. Throughput can range from the use physical materials, people, and information to how organizations structure themselves internally to create goal oriented throughput. While we cannot discuss every possible way an organization can utilize inputs, we should note that the issue of internal organizational structure is very important at this level of an organizations. For this reason, we really must discuss two ways that organizations commonly structure hierarchies.
A hierarchy
A categorization system where individuals/departments are ranked over other individuals/departments based on skills, centrality, and status.
is a categorization system where individuals/departments are ranked over other individuals/departments based on skills, centrality, and status. First, organizations can place people/departments over others because of specific skill sets. For example, managers are placed over workers because of their skills in managing people. While we know this isn’t always why people get promoted, the general idea of a management class of people is because managers can help organize employees towards the organization’s goal (s). Second, people can be ranked over others because of their centrality to the organization’s goals. For example, if your organization is a tech company, the product developers may be ranged structurally over people in customer support or marketing because without the product developers there is no need for customer support or marketing. Lastly, organizations can be organized based on status, an individual’s relative position to others as a result of esteem, privilege, or responsibility. When someone gets promoted to a higher position, her or his status increases in terms of a formal hierarchy. Whether that promotion is a result of esteem, privilege, or responsibility doesn’t matter at this point, only the elevation within the hierarchy.
Now that we’ve discussed what a hierarchy is, let’s talk about the two common ways that organizations are typically patterned: flat vs. tall hierarchies ( Figure 1.2 "Hierarchies" ).
Figure 1.2 Hierarchies
The first image in Figure 1.2 "Hierarchies" represents tall hierarchies
Any stimuli that could elicit meaning that is not contained in words themselves.
, they are called such because they represent many, many hierarchical layers between those at the bottom of the hierarchy and those at the top of the hierarchy. Two commonly discussed tall hierarchies are the Catholic Church and the US military. With the Catholic Church, you have the average parishioner at the bottom of the hierarchy the Pope at the top of the hierarchy. In the US military, you have your average enlisted soldier at the bottom of the hierarchy and the President of the United States (in her/his commander in chief title) at the top of the hierarchy. In both cases, the people at the bottom have little or no communication with those at the top of the hierarchy.
The second image in Figure 1.2 "Hierarchies" represents flat hierarchies where there are only a couple of hierarchical layers between those at the bottom and those at the top of the hierarchy. Think of these organizations like mom and pop restaurants. In a typical small restaurant, the owner may also serve as the chef and may only have a handful of waitstaff, table bussers, and dish cleaners as employees. In these hierarchies, it is very easy for those at the bottom of the hierarchy to communicate with those at the top of the hierarchy.
Output
The final aspect related to organizational structure is output
The ultimate product or service that an organization disseminates back to the external environment.
, which is the ultimate product or service that an organization disseminates back to the external environment. Whether one is create the components of a cell phone or sending computer technicians to people’s homes, every organization is designed to produce some kind of service or product for the external environment. Even nonprofit organizations like the American Red Cross are producing a range of both products and services for the external environment.
Organizational Goals
Organizations have many goals, but it helps to clarify those goals into a simple typology (classification into ordered categories). Edward Gross examined the various types of organizational goals and created a simple typology consisting of five distinct goals that organizations have: output, adaptation, management, motivation, and positional. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294.
Output
The first type of goal that organizations commonly have are referred to as output goals, or organizational goals that are “reflected, immediately or in the future, in some product, service, skill or orientation which will affect (and is intended to affect) that society.” Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294, pg. 287. While Gross was initially discussing goals in terms of educational organizations, the goals also apply to other organizational types as well. In essence, every organization has some type of output goal that will be released back into the external environment. For a pizza chain, the output goal could be the pizza it delivers to your house (product); the customer service it gives customers (service); or the expertise in pizza making it brings to the enterprise (skill).
Adaptation
The second type of organizational goal argued by Edward Gross are adaptation goals, or goals that an organization has in terms of adapting to the external environment. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294. All organizations exist in environments that change, and successful organizations are going to change and adapt to that external environment. One of the biggest risks many organizations face if they do not adapt to the external environment is obsolescence, which “occurs when there is a significant decline in customer desire for an organization’s products or services.” Wrench, J. S. (2012). Casing organizational communication. Dubuque, IA: Kendall-Hunt, pg. 11. Many organizations becomes so focused on making a specific product that the product eventually is no longer wanted or needed by customers, which will lead to the eventual death of an organization.
Management
The next type of organizational goal discussed by Edward Gross are management goals, which involves three types of decisions: (1) who will manage or run an organization, (2) how to handle conflict management, and (3) output goal prioritization. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294. First, organizations need to decide on the formal structure of an organization and who will exist at various rungs of the hierarchy. In addition to determining the formal structure, these goals also determine what type of and who holds power within the organizational hierarchy. Second, managerial goals focus on how conflicts within the organization will be handled. Organizations have a vested interest in keeping the organization running smoothly, so too much conflict can lead to interpersonal or inter-departmental bickering that has negative consequences for the organization. Lastly, management goals determine the overarching direction of the organization itself. As the saying goes, someone has to steer the ship. We’ll discuss different types of leaders in Chapter 7 "Leader and Follower Behaviors & Perspectives", but for now we’ll just note that having a clear direction and clear prioritization of the products and services an organization has is very important for the health of an organization. If an organization tries to do too much, the organization may end up scatter-brained and not function as a cohesive whole. If the organization tries to do one and only one thing, the organization may become obsolescent. Overall, people in management must place output goal prioritization very high on the to-do-list.
Motivation
The fourth common goal organizations have, as discussed by Edward Gross, are motivational goals or goals set out to ensure that all employees are satisfied and remain loyal to the organization. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294. There is a wealth of research that has examined the importance of employee motivation on job satisfaction and worker productivity. Latham, G. P. (2007). Work motivation: History, theory, research, and practice. Thousand Oaks, CA: SAGE. In a study conducted by Whitman, Van Rooy, and Viswesvaran Whitman, D. S., Van Rooy, D. L., & Viswesvaran, C. (2010). Satisfaction, citizenship behaviors, and performance in work units: A meta-analysis of collective construct relations. Personnel Psychology, 63, 41–81. doi:10.1111/j.1744-6570.2009.01162.x, the researchers examined the relationship between job satisfaction and employee productivity across 73 different research studies that have examined the subject. Overall, the researchers concluded that satisfied employees were more productive. Secondly, ensuring that employees are motivated also helps to ensure that employees remain loyal to an organization. According to Hart and Thompson, employee loyalty is “an individual’s perception that both parties to a relationship [employee and organization] have fulfilled reciprocal expectations that 1) demote enduring attachment between two parties, and that 2) involve self-sacrifice in the face of alternatives, and that 3) are laden with obligations of duty.” Hart, D. W., & Thompson, J. A. (2007). Untangling employee loyalty: A psychological contract perspective. Business Ethics Quarterly, 17, 297–323, pg. 300. By this definition employees are loyal because they knowingly enter into a relationship with an organization, sacrifice part of themselves to the organization (and vice versa), and thus feel a sense of obligation or duty to the organization. Of course, loyalty only works when an employee feels that the organization is standing up to its end of the reciprocal expectations. If an employee feels that an organization is not meeting its basic obligations, then the employee will view that organization unkindly and the employees loyalty will diminish over time. Hajdin, M. (2005). Employee Loyalty: An Examination. Journal Of Business Ethics, 59, 259–280. doi:10.1007/s10551-005-3438-4 As such, organizations must strive to make one of its goals ensuring that it is meeting its basic obligations towards employees in an effort to foster employee loyalty.
Positional
The final type of organizational goal described by Edward Gross are positional goals, which are goals that attempt to position an organization within the environment in comparison to other organizations within the same market. Gross, E. (1969). The definition of organizational goals. The British Journal of Sociology, 20, 277–294. For example, imagine that your organization is an automotive tool manufacturer. Your organization will attempt to position itself against other automotive tool manufacturers that exist in the market. There are two common ways to position one’s self within a specific market: 1) higher volume at a lower price or 2) higher quality at a higher price. The first way to position one’s self within a market is to create more products or faster service at a cheaper cost. The second way to position one’s self in the market is to create a luxury product/service that costs more. While the product or service costs more, you provide the appearance of being the luxury brand. In a 2011 article in PCWorld, the authors mention that 56% of new cellphone users were purchasing an Android device as compared to only 28% that purchased an iOS (iPhone) device. Kellog, D. (2011, September 26). In U.S. market, new smartphone buyers increasingly embracing Android [Press release]. Retrieved from http://blog.nielsen.com/nielsenwire/online_mobile/in-u-s-market-new-smartphone-buyers-increasingly-embracing-android/ Simply put, the Android is cheaper and there are more versions of the Android available for cellphone subscribers. Only Apple makes iOS compatible cellphones and they are typically more expensive than Android devices. Apple has historically set itself up as a luxury line in the computing industry while PCs and now Android cellphones are cheaper and made for the mass market. Interestingly, iPhones actually only account for 4% of the overall cell phone market in November 2011, but accounted for 52% of industry profits. Hamburger, E. (2011, December 7). These charts tell the real story of Android vs. Business Insider. iPhone. Retrieved from http://www.businessinsider.com/android-vs-iphone-charts-2011-12 Clearly, the iPhone may not be getting a strong percentage of the market share, but it is still beating out its competition.
Organizational People
The final characteristic common the various definitions of the word “organization” involves people. In Jason Wrench’s original discussion of the three common themes related to people, he discussed interdependency, interaction, and leadership. Wrench, J. S. (in press). Communicating within the modern workplace: Challenges and prospects. In J. S. Wrench (Ed.), Workplace communication for the 21st century: Tools and strategies that impact the bottom line: Vol. 1. Internal workplace communication. Santa Barbara, CA: Praeger. For our purposes, we also pose the notion of control as an important factor related to people as well.
Interdependency
The first term associated with people in organizations is the concept of interdependency. Interdependency
Mutual dependence or depending on one another.
is mutual dependence or depending on one another. Interdependency is the notion that people within an organization are dependent upon one another to achieve the organization’s goals. If one part of the organization stops functioning properly, it will impact the other parts of the organization. For example, imagine you are a copyeditor for a publisher in New York City. If you get behind on your job, the graphic designers, marketing professionals, printers, and other groups of people will also get behind. At the same time, interdependency can also help an organization. If you working with a solid group of colleagues, if something happens to get you behind others can help pull the slack and keep things moving forward on schedule. Overall, people impact each other in organizations.
Interaction
Our interactions with others help define and create what is an organization. Without the interactions we have with our coworkers, customers, and other stakeholders, an organization really doesn’t exist. For this reason, you can almost say that the “thing” we call an organization doesn’t really exist because it’s not a physical structure, but rather an organization is the outcome of our interactions with others. An organization may have physical things within it (desks, computers, pencils, etc.), but the actual organization is ultimately the people that make exist.
At the same time, people within an organization also interact with each other in various roles in an effort to accomplish the organization’s goal (s). People within organizations and people who come in contact with organizations are constantly in a state of interaction. As we will learn later in this book, organizations have many different stakeholders (an individual or group that has an interest in the organization), and each different set of stakeholders requires different communication strategies. Ultimately, communicative interaction is one of the most basic functions of any organization.
Control
As the definition of organization from Dennis Mumby, organizations are inherently entities that must control the behavior of its members while members generally strive for their own sets of needs. Mumby, D. (in press). Organizational communication. Los Angeles, CA: SAGE. When one group has one set of needs and desires and another has a different set of needs and desires, we refer to these groups as being in dialectical tensions. Table 1.2 "Dialectical Tensions" contains many of the dialectical tensions that exist between organizations and its various members.
Table 1.2 Dialectical Tensions
What the Organization Needs/Wants
What Workers Need/Want
Minimize Costs
Maximize Salary/Benefit Package
Systemization of Job Duties
Autonomy to do one’s job
Ability to Streamline the Organization
Job Stability
Agreement
Dissent
Transparency
Privacy
Conventionality
Innovation
Organization-Focused
Self-Focused
Permanence
Change
Rights of the Organization
Rights of the Individual
Work life
Social life
As a result of these inherent dialectical tensions, organizations try to stack the deck in its favor to maximize its needs and desires, and subsequently minimizes the needs and desires of workers in the process. Let’s briefly examine each of these dialectical tensions in turn.
Minimize Costs vs. Maximize Salary/Benefits. The first dialectical tensions occurs when organizations try to keep their overhead costs low while workers try to maximize what they earn in terms of both salary and benefits (insurance, stock options, retirement, etc.).
Systemization vs. Autonomy. Organizations like stability, so they prefer workers who learn how to do a specific task and then systematize that task in the most efficient manner. As such, organizations (especially in manufacturing contexts) will train in explicit detail exactly how an employee should accomplish a task. Workers, on the other hand, prefer to have autonomy when making decisions for how best to accomplish their daily work and do not enjoy being micromanaged.
Streamline vs. Stability. Organizations are fundamentally focused on the bottom line, and therefore often want to have the ability to streamline the organization in an attempt to maximize profits. If an organization can lay off workers and maintain maximum productivity, then it’s often in the organization’s best interest to do so. While streamlining is good for an organization, it can create a chaotic environment for employees who crave job stability. Workers want to know that their work is appreciated and it will keep them employed.
Agreement vs. Dissent. The next dialectical tension listed here is agreement vs. dissent. In this tension, organizations prefer for workers to blindly follow and do what organizational leaders dictate. Workers, on the other hand, want to have a voice to articulate when they disagree with the dictates of leaders or the general direction of the organization. We’ll explore the area of organizational dissent more in Chapter 5 "Communicating Between and Among Internal Stakeholders".
Conventionality vs. Innovation. Organizations are innately slow moving organisms that do not like change, so it’s very common to hear “But we’ve always done it that way.” Workers on the other hand want to bring their own creative problem solving skills to the table and think of new and innovative processes and procedures that could benefit both the organizations and the workers. While not all worker ideas spot-on, organizations that stick to conventional ways of thinking may end up losing a lot of employees who prefer more freedom to be innovative.
Transparency vs. Privacy. In our world today organizations are increasingly want to know what workers are doing in the workplace. As such, organizations expect that employee’s work lives are completely transparent and will do everything from monitoring e-mail and telephone calls to installing software on workers’ computers that logs and monitors key strokes made on a keyboard. Workers, on the other hand, are increasingly demanding that there be some privacy especially in their digital lives.
Organization vs. Self-Focused. Organizations innately want workers to be focused on their jobs and improving their productivity. Workers, on the other hand, want to focus on themselves and improving themselves. Many organizations will support self-improvement as long as it has a clear benefit for the organization, but workers often want to focus on their own improvement even if that improvement has no benefits for the organization or may lead the worker to find a new organization.
Permanence vs. Change. When looking at the permanence/change dialectic, organizations strive to maintain knowledge and thus keep people who are hard workers for the long haul. Often, organizations call this employee loyalty. Workers on the other hand, desire change and can get very bored doing the same work day-in and day-out. Often workers become pigeonholed in specific jobs with specific duties, that there is no way to get out besides leaving the organization itself. Overall, organizations in our society have many more tools at its disposal to get its way than do workers.
Organizational vs. Individual Rights. Ultimately, when it comes to organizations the focus is on the organization and its rights and less on the individual’s rights. Workers believe that their human rights shouldn’t stop at the front door of the organization. For example, many workers are shocked when organizations fire them for posts that are made on social networking websites. Workers believe these posts should be private and organizations looking at these posts is a violation of one’s privacy rights. Organizations, on the other hand, believe looking at social networking site posts is a completely appropriate behavior and well within its rights as an organization. While this specific example also overlaps with the transparency/privacy dialectic, the focus here is on whose rights are more important.
Work vs. Social Life. The last dialectical tension associated with organizational control is the focus on work vs. social life. Organizations believe that workers should be focused purely on their work life. As a result of digital technology, it has become increasingly easier for people to be on call 24-7 by their organizations. Workers, on the other hand, believe they are entitled to a social life that does not involve one’s organization. Furthermore, workers often believe that as long as their private, social life behavior does not impact their work life, their organization’s should stay out of their personal lives. Many organizations go so far as to include “morality clauses” into contracts that enable them to fire employees whose person-life behavior is deemed inappropriate for organizational members.
Leadership
The last term associated with people in organizations is leadership. Any organization must have an individual or clearly discernible group that guides the organization towards accomplishing its goal (s). Without strong leadership, individual members of an organization are left to their own ideas of how to accomplish the organization’s goals. Basically, if you have too many people trying to lead, you’ll end up with an organization that is stretched entirely too thin to accomplish anything.
The opposite of leadership is followership. If an organization is going to thrive, it must have strong leadership and followers who are willing to follow that leader. In Chapter 7 "Leader and Follower Behaviors & Perspectives" we’ll examine leadership and followership.
Types of Organizations
The last factor in understanding organizations is to realize that there are numerous types of organizations. For a good overview of the different taxonomies that have been created trying to categorize these different types of organizations, we recommend reading Carper and Snizek’s article on the subject. Carper, W. B., & Snizek, W. E. (1980). The nature and types of organizational taxonomies: An overview. Academy of Management Review, 5, 65–75. For our purposes in this book, we are going to use the classification scheme originally posed by Peter M. Blau and W. Richard Scott. Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach (2004 printing). Stanford, CA: Stanford University Press. Blau and Scott created a taxonomy of organizations that included four distinct categories: mutual benefit, business concerns, service, and commonweal.
Mutual Benefit Associations
The first type of organization that exists is the mutual benefit organization
Organization focused on providing for its membership.
, which is focused on providing for its membership. Some examples are “political parties, unions, fraternal associations, clubs, veterans’ organizations, professional associations, and religious sects.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 45. People generally join these types of organizations because of the benefits of membership. When these organizations are first being created, organizational members are generally very involved in the creation of the organization. However, once one of these organizations has been around for a while, the majority of the members become passive and let the minority run the organization.
Business Concerns
The second type of organization is the business concerns organization
Organization focused on doing well profitably for the organization and its stakeholders.
, which is focused on doing well for the organization itself. According to Blau and Scott, the “dominant problem of business concerns is that of operating efficiency—the achievement of maximum gain at minimum cost in order to further survival and growth in competition with other organizations.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 49. Most for-profit organizations will fall into the business concerns organization. Business concerns organizations are faced with problems associated with “maximizing operating efficiency in a competitive situation.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 43. Because of the need to cut costs and maintain a competitive advantage, these organizations are often cold and calloused in how they treat its members and customers.
Service Organizations
According to Blau and Scott, service organizations
Organization whose prime concern is providing products or services for a specific public clientele.
are “one whose prime beneficiary is the part of the public in direct contact with the organization, with whom and on whom its members work—in short, an organization whose basic function is to serve clients.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 51. Service organizations can include “social-work agencies, hospitals, schools, legal aid societies, and mental health clinics.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 51. The basic problem service organizations face is “the problems associated with the conflict between professional service to clients and administrative procedures are characteristic of service organizations.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 43. Often service organizations are steeped in organizational hierarchies and procedures that prohibit providing the easiest and fastest service to potential clients.
Commonweal Organizations
The last type of organization discussed by Blau and Scott are commonweal organizations
Organization designed to benefit society at large.
“where the prime beneficiary is the public-at-large.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach (2004 printing). Stanford, CA: Stanford University Press, pg. 44. Some examples of commonweal organizations include “the State Department, the Bureau of Internal Revenue, military services, police and fire departments, and also the research function as distinguished from the teaching function in universities.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach. San Francisco: Chandler, pg. 54. All of these organizations were created because they represented areas where the general public needed some level of protection or knowledge or the organization serves administrative purposes of the government. Overall, the crucial problem posed “by commonweal organizations is the development of democratic mechanisms whereby they can be externally controlled by the public.” Blau, P. M., & Scott, W. R. (1962). Formal organizations: A comparative approach (2004 printing). Stanford, CA: Stanford University Press, pg. 43.
Key Takeaways
When one analyzes a variety of definitions for the term “organization,” three common themes tend to emerge: the structure, the goal, and the people. Organizational structure examines how an organization functions both internally and with its larger external environment. The goal is the general purpose a group of people is trying to achieve. Lastly, the people refer to the various internal and external stakeholders associated with the organization.
There are four common organizational types: mutual benefit, business concerns, service, and commonweal. Mutual benefit organizations are designed to help the individuals who belong to the group (e.g., fraternities, sororities, clubs, etc…). Business concerns organizations are primarily concerned with turning a profit for the organization and its shareholders (e.g. anything from Walmart and Citibank to your local grocery story or restaurant). The third type of organization is the service organization, which is geared towards providing a specific service to people within society (e.g., hospitals, legal-aid societies, etc…). Lastly, commonweal organizations are those that are generally run by the government for the greater good of society (e.g., the military, fire/police departments, department of education, etc…).
Exercises
Think of an organization you currently belong to (or have belong to in the past). Looking at Figure 1.1 "Organizational Structures", how has your organization interacted with its environment with regards to input, throughput, and output.?
Of the ten dialectical tensions discussed in Table 1.2 "Dialectical Tensions", which one do you think has the strongest impact on an organization you current belong to (or has belong to in the past)? Why do you think this dialectical tension causes the most imbalance of control?
From your own organizational interactions, find two different organizations that fit into each of the four types of organizations: mutual benefit, business concerns, service, and commonweal.
1.2 What is Communication?
PLEASE NOTE: This book is currently in draft form; material is not final.
Learning Objectives
Define and explain what is meant by the term “human communication.”
Explain the basic model of communication and how it applies to the organizational context.
First and foremost, there is no agreed upon definition of the word “communication” by various scholars. In fact, various scholars have attempted to examine the term and generally found that there are a vast array of different approaches to understanding the term. Dance, F. E. X. (1970). The “concept” of communication. The Journal of Communication, 20, 201–210.,Dance, F. X. (1984). What is communication?: Nailing Jello to the wall. Association for Communication administration Bulletin, 48, 4–7.,Losee, R. M. (1999). Communication defined as complementary informative processes. Journal of Information, Communication and Library Science, 5(3), 1–15.,Nilsen, T. R. (1957). On defining communication. Speech Teacher, 6(1), 10–17. In one of the most exhaustive examination of the types of definitions created by various academics, Frank Dance examined 95 unique definitions and broke them down into fifteen different types of definitions. Dance, F. E. X. (1970). The “concept” of communication. The Journal of Communication, 20, 201–210. While all of these definitions may exist, not all of them are clearly applicable for our purposes as we study organizational communication. For this reason, we are going to focus on defining the term “human communication.”
The first step in defining the term “human communication” is to acknowledge that the attempt you are making is one in a voice of many. The definition of “human communication” we will provide here is not necessarily the best or the one most commonly used in every communicative context, but it is the one we will use to guide this book. In the words of Frank Dance when he wrote about what makes human communication human, “Human communication is indeed a dappled thing, swift, slow, sweet, sour, adazzle, dim. The search for its essence and the study of its meaning is a search rich in the doing, not in the done.” Dance, F. E. X. (1980). Swift, slow, sweet, sour, adazzle, dim: What makes human communication human. Western Journal of Speech Communication, 44, 60–63, pg. 63.
For the purposes of this book, we define human communication
The process whereby one individual (or group of individuals) attempts to stimulate meaning in the mind of another individual (or group of individuals) through intentional use of verbal, nonverbal, and/or mediated messages.
as the process whereby one individual (or group of individuals) attempts to stimulate meaning in the mind of another individual (or group of individuals) through intentional use of verbal, nonverbal, and/or mediated messages. Wrench, J. S., McCroskey, J. C., & Richmond, V. P. (2008). Human communication in everyday life: Explanations and applications. Boston, MA: Allyn & Bacon. This definition can be easily broken down into a series of characteristics: source, message, channel, and receiver. Figure 1.3 "Basic Model of Communication" provides a general representation of what this model looks like within the public speaking context, but can easily be applied to other communicative contexts (interpersonal communication, small group/team communication, mass communication, etc.). Let’s briefly break this definition and model down into four core areas that must be understood: process, source, message, channel, and receiver.
Figure 1.3 Basic Model of Communication
Process
First, and foremost, it is important for anyone studying communication to remember that communication is a process
The notion that there are no distinct beginnings to communication nor ends.
, which indicates that there are no distinct beginnings to communication nor ends. By process, we mean that communication is a series of interactions that alter with time and produce changes in those involved in the interactions. We should also mention that there are many external factors that can influence the process as well. The success or failure of informative or persuasive attempts can alter how people interact with each other in future interactions. Additionally, one’s cultural background can affect how people approach the communicative process. In essence, there are a number of factors that are constantly at play within an interaction that effect the communication process.
Source
The “ source
The individual (or group of individuals) attempts to stimulate meaning.
” is the individual (or group of individuals) attempts to stimulate meaning. To help us understand the role of the source we will look at the two major components here: individual/group and message.
Individual vs. Group
We refer to this position in the basic communication model as either an individual or a group because depending on the communicative context, the source of a message could represent a single person’s ideas or an entire group’s ideas. For example, if you are providing an employee feedback about her or his job performance, the message you are sending may come from you and you alone. However, if you are the CEO of a corporation delivering a press conference, your message may be coming out of your mouth but may represent dozens of individuals involved in the crafting of the message. Often receivers are completely unaware of the number of people involved in the crafting and filtering of a message before they receive the message itself. Furthermore, in the position as a CEO, you would also be viewed as the mouthpiece of the organization, so anything you say is also attributed to the organization, which could represent thousands of people.
Message
The basic goal of the source is to take an idea that is occurring in her or his mind and someone transmit that same idea to another person (or persons). The “idea” someone is trying to send to a receiver is the message
The “idea” someone is trying to send to a receiver.
. We refer to this transmission of a message from the source to the receiver as “stimulating meaning” because the source is attempting to transmit the idea in her or his head and communicate in such a fashion that the receiver will understand the idea in the same way as the source. One very important caveat to stimulating meaning is ensuring that meaning is actually achieved. One of the biggest mistakes some novice managers have is assuming that if they tell an employee something, their message has actually been understood in the way it was intended to be understood. As such, it’s very important to ensure a receiver is understanding the meaning of a message in the way a source intends for that message to be understood.
One of our coauthors was recently involved in a labor negotiation. The employees in the organization believed that the organization was financially healthy and thus they deserved better pay. The organization, on the other hand was not financially healthy. The discrepancy between the two arose because there was a pot-of-money that the employees believed could be tapped to give them raises. Unfortunately, that specific pot-of-money was untouchable because the organization oversaw the management of the money but could not actually use the money for its own devices. As a peripheral member of the negotiations, our coauthor recommended that the organization get its auditing firm to clearly specify in a note to the employee negotiators what the uses of the fund were. Our coauthor realized that the organization’s negotiators had a problem communicating this message because the receivers viewed them as biased. By having the outside (and thus impartial) auditing team craft the specific message, the employee negotiators finally understood the problem backed down on their demands. This example involves both problems sending a message (from the organization to the employee negotiators) and then a solution to ensure understanding (from the auditing firm to the employee negotiators). The example also illustrates another common problem with transmissions of messages, receivers must see the source as credible and trustworthy or the receivers may dismiss the message as inherently biased.
Channel
When a source decides to create a message, he or she can rely on three primary channels to send that message. A channel
The means by which a message is carried from one person to another.
is “ the means by which a message is carried from one person to another [emphasis in original].” Wrench, J. S., McCroskey, J. C., & Richmond, V. P. (2008). Human communication in everyday life: Explanations and applications. Boston, MA: Allyn & Bacon, pg. 10. As we are discussing human communication, break these channels into three distinct types: verbal, nonverbal, and mediated.
Verbal
The verbal
Specific spoken sounds that represent real phenomena or ideas.
channel consists of specific spoken sounds that represent real phenomena or ideas. For example, when we say the word “office,” we know that the letters o-f-f-i-c-e do not represent an actual physical location but rather the idea of a location where work occurs. Of course, for understanding to occur, the source and the receiver must have the same understanding for how words are intended to be understood. In fact ensuring that people communicating in an organization are using the same lexicon is such a common problem that there are numerous humor books that have been written on the subject. Beckwith, L. (2006) The dictionary of corporate bullshit: An A to Z lexicon of empty, enraging, and just plain stupid office talk. New York, NY: Broadway Books.,Fugere, B., Hardaway, C., Warshawsky, J. (2005). Why business people speak like idiots: A bullfighter's guide. New York, NY: Free Press.
Nonverbal
The second channel people can transmit a message through is the nonverbal
Any stimuli that could elicit meaning that is not contained in words themselves.
channel, which encompasses any stimuli that could elicit meaning that is not contained in words themselves. Everything from how someone gestures, looks (physical attractiveness, dress, jewelry, etc.), sounds, smells, etc… can impact how others will view that person. Research has indicated that between 65 to 95% of someone’s understanding of a verbal message is dependent upon the nonverbal behavior associated with the verbal message. Wrench, J. S., McCroskey, J. C., & Richmond, V. P. (2008). Human communication in everyday life: Explanations and applications. Boston, MA: Allyn & Bacon. For examine, imagine you walk into a colleague’s office and she’s clearly red-faced and her fists are clenched. You ask her how she’s doing and she flatly responds, “fine.” If you pay attention to only the verbal message sent, “fine,” you will interpret her message as she’s excellent (like fine wine). However, when you interpret her nonverbal behavior, you’ll quickly ascertain that she is far from “excellent” but may not want to talk about what happened at the moment.
Mediated
The last channel a source can send a message through is a mediated
Any message that is sent using some kind of technology (print-form, auditory, visual, electronic, etc…).
channel. A mediated message is any message that is sent using some kind of technology (print-form, auditory, visual, electronic, etc…). Historically, some of the earliest writings on communicating with employees were about creating employee newsletters to communicate better. In today’s technologically advanced world, we are increasingly spending more and more time communicating with each other at work using mediated computer technologies. From e-mail, to Skype, to Twitter, LinkedIn, to blogs and vlogs, to who knows what comes next, we are increasingly becoming more and more dependent on mediated forms of communication in the workplace.
Receiver
While we’ve discussed the receiver a message throughout the entire section, we should note that the receiver
The person interpreting and understanding a source’s message.
(s) is ultimately the person interpreting and understanding a source’s message. When a receiver attends to a source’s message, he or she must interpret that message in light of her or his understanding of the message. If the source uses unfamiliar words, the receiver may not accurately interpret the message in the intended way. For this reason, it’s important for a source to consider any feedback the receiver sends about the message to ensure that understanding has occurred.
A Few Notes About The Basic Model
While this model presents communication in an easily digestible, linear fashion, we also recognize that in many communicative contexts (like a business meeting) we may be functioning in the roles of source and receiver simultaneously. The definition presented here (as well as the basic model) are starting points for understanding human communication that have been developed and expanded upon since the 1940s. Shannon, C. E., & Weaver, W. (1949). The mathematical theory of communication. Urbana, Illinois: University of Illinois Press.,Wrench, J. S., McCroskey, J. C., & Richmond, V. P. (2008). Human communication in everyday life: Explanations and applications. Boston, MA: Allyn & Bacon, pg. 10.
Key Takeaways
Human communication is the process whereby one individual (or group of individuals) attempts to stimulate meaning in the mind of another individual (or group of individuals) through intentional use of verbal, nonverbal, and/or mediated messages.
The basic model of communication examines four basic components: source, message, channel, and receiver. The source of a message is the individual or group who is originating an idea and attempting to transmit that idea to another person or persons. The message is the idea that is attempting to be transmitted. The channel is the specific method of communication an individual uses to convey a specific message: verbal (the use of words), nonverbal (other communicative characteristics outside of the words themselves), and mediated (the use of technology to convey a message). Lastly, the receiver is the individual who is targeted for a message who receives the message and then has to make sense of the message itself.
Exercises
Look at the definition of human communication provided in this book. Do you think this definition accurately reflects how humans communicate with one another? Why or why not?
Image you’ve been asked to run a meeting consisting of five people. Explain how a meeting consisting of five people would relate to the basic model of communication.
1.3 History of Organizational Communication
PLEASE NOTE: This book is currently in draft form; material is not final.
Learning Objectives
Explain the three different ways the term “organizational communication” can be understood according to Stanley Deetz.
Define the term “organizational communication” as it is used within this book.
Identify some of the major historical events in the creation of the field of “organizational communication.”
Now that we’ve examined what we mean by “human communication” in this book, let’s switch gears and discuss the nature of “organizational communication.” To help us understand what is meant by the term “organizational communication,” we’ll explore differing ways of viewing the term and then a basic conceptual definition that we will use in this book.
Ways of Viewing Organizational Communication
Stanley Deetz argues that defining what is meant by the term “organizational communication” is only half the question. “A more interesting question is, ‘What do we see or what are we able to do if we think of organizational communication in one way versus another?’ Unlike a definition, the attempt here is not to get it right but to understand our choices.” Deetz, S. (2001). Conceptual Foundations. In F. M. Jablin & L. L. Putnam (Eds.), The new handbook of organizational communication: Advances in theory, research, and methods (pp. 3–46). Thousand Oaks, CA: Sage, pg. 4. Instead, Deetz recommends that we attempt to understand the three conceptualizations that are available to “organizational communication” scholars and students: the discipline, ways to describe organizations, and a phenomenon within organizations.
“Organizational Communication” as a Discipline
The first way the term “organizational communication” is commonly used is as a descriptor tool that refers to a specific sub-division of the communication field. However, organizational communication is not an academic area of study unique to the field of communication studies. Because organizational communication is a unique discipline there are courses, books, and degrees all associated with the study of organizational communication. According to Dennis K. Mumby and Cynthia Stohl, “A community of scholars constitutes a disciplinary matrix when they share a set of paradigmatic assumptions about the stud of a certain phenomenon.” Mumby, D., & Stohl, C. (1996). Disciplining organizational communication studies. Management Communication Quarterly, 10, 50–72, pg. 52. In essence, organizational communication is a discipline because people who study it share a common conception of the study of this thing called “organizational communication.” Mumby and Stohl go on to note that “This does not mean that there is a consensus on every issue, but rather that scholars see objects of study in similar ways, and use the same language game in describing these phenomena.” Mumby, D., & Stohl, C. (1996). Disciplining organizational communication studies. Management Communication Quarterly, 10, 50–72, pg. 52. In fact, you may find your teacher or even yourself disagreeing with our interpretation of certain aspects of organizational communication, which is very much a normal part of any academic discipline.
“Organizational Communication” as a Descriptor
The second way we can view the term “organizational communication” is as descriptor for what happens within organizations. Deetz explains, “to think of communication as a way to describe and explain organizations. In the same way that psychology, sociology, and economics can be thought of as capable of explaining organizations’ processes, communication might also be thought of as a distinct mode of explanation or way of thinking about organizations.” Deetz, S. (2001). Conceptual Foundations. In F. M. Jablin & L. L. Putnam (Eds.), The new handbook of organizational communication: Advances in theory, research, and methods (pp. 3–46). Thousand Oaks, CA: Sage, pg. 5. As you will quickly see in this book, organizational communication as it has been studied in the past and continues to be studied today is a hybrid field, which means that people in a variety of different academic areas conduct research on the topic. People in anthropology, business, psychology, sociology, and other academic areas conduct research that is fundamentally about organizational communication. Communication scholars differ in how we approach organizational communication because our training is first, and foremost, in human communication, so we bring a unique history and set of tools to the stud of organizational communication that other scholars do not possess.
“Organizational Communication” as a Phenomenon
The final way one can view the term “organizational communication” is to view it as a specific phenomenon or set of phenomena that occurs within an organization. For example, when two employees get into a conflict at work, they are enacting organizational communication. When the chief financial officer of an organization is delivering a PowerPoint presentation on the latest quarterly earnings to the organization’s board of directors, he or she is engaging in organizational communication. The latest advertisement campaign an organization has created for the national media is another example of organizational communication.
A Conceptual Definition of “Organizational Communication”
The definition we will use for organizational communication in this book stems primarily out of the last of Deetz’s three views of “organizational communication.” Deetz, S. (2001). Conceptual Foundations. In F. M. Jablin & L. L. Putnam (Eds.), The new handbook of organizational communication: Advances in theory, research, and methods (pp. 3–46). Thousand Oaks, CA: Sage. For the purposes of this book, we define organizational communication
The process whereby an organizational stakeholder (or group of stakeholders) attempts to stimulate meaning in the mind of another an organizational stakeholder (or group of stakeholders) through intentional use of verbal, nonverbal, and/or mediated messages.
as the process whereby an organizational stakeholder (or group of stakeholders) attempts to stimulate meaning in the mind of another an organizational stakeholder (or group of stakeholders) through intentional use of verbal, nonverbal, and/or mediated messages. You’ll notice the similarities between this definition and the one we provided earlier for human communication. Let’s break this definition down by exploring the primary unique factor in this definition, organizational stakeholders.
According to the American Heritage Dictionary of Business Terms, a stakeholder
Any individual or group who has an interest within the organization.
is “any party that has an interest in an organization. Stakeholders of a company include stockholders, bondholders, customers, suppliers, employees, and so forth.” Scott, D. L. (Ed.). (2009). stakeholder. In The American heritage dictionary of business terms (p. 503). Boston, MA: Houghton Mifflin Harcourt. As discussed in the Preface of this book, there are a range of different stakeholders that exist for an organization. Here is just a short list of some of the stakeholders within an organization: workers, managers, shareholders, etc… Every organization also has to be concerned with stakeholders who exist within the organization’s external environment: competitors, community members, governmental agencies, etc… Basically, every organization has a wide range of stakeholders that it must attend to in order to run itself smoothly.
A History of Organizational Communication
Instead of providing a long, drawn out history of the field of organizational communication as we know it today, we’ve provided you a brief timeline dating back to the 1750s when the Industrial Revolution began in the United Kingdom. The introduction of steam-powered machinery forever changed the way businesses operated and led to the eventual creation of the modern corporation. Table 1.3 "Major Events in Organizational Communication" is a summary of the major events in the history of organizational communication. This table is not meant to be an exhaustive list, but only a representative list of some of the major key-moments in the study of organizational communication.
Table 1.3 Major Events in Organizational Communication
1750
Industrial Revolution starts in the United Kingdom and quickly transforms the nature of business.
1908
A. E. Phillips publishes the first public speaking book specifically aimed at business men, Effectively Speaking.
Harvard Business School becomes the first academic program to focus on the scholarship of business.
1910, April
The first meeting of the Eastern Public Speaking Conference is held. The association changed itself to the Speech Association of the Eastern States in 1950 and then to the Eastern Communication Association in 1973.
1914
The National Association of Academic Teachers of Public Speaking is formed and holds is first convention the following the year. This association changed its names four times over the next hundred years: National Association of Teachers of Speech, 1923; Speech Association of America, 1946; Speech Communication Association, 1970; and National Communication Association, 1997.
1919
Edward L. Bernays and Doris Fleishman open the first public relations firm.
1929
William Phillips Sandford and Willard Hayes Yeager are the first speech scholars to publish a public speaking book aimed at business professionals titled Business and Professional Speaking.
1937
W. Charles Redding publishes an article titled “Speech and Human Relations” in the academic journal The Speaker. Redding is widely considered the father of organizational communication.
1938
Chester Barnard publishes The Functions of the Executive and argues that “The first function of the executive is to develop and maintain a system of communication” (p. 226).
1941
Paul F. Lazarsfeld publishes the first review of the discipline of communication based on his and others’ research at the Bureau of Applied Social Research and determines that communication could be broken into four categories: 1) who, 2) said what, 3) to whom, and 4) with what effect.
1942
Alexander R. Heron argues that successful communication with one’s employees is necessary for good business in his book Sharing Information with Employees.
1945
University of Denver holds the first graduate-level seminar in industrial communication.
1949
Claude Shannon and Warren Weaver publish The Mathematical Theory of Communication, which provides the first major model of human communication (source, message, receiver, noise).
1952
The first dissertation specifically in industrial communication was completed by Keith Davis in the department of business at Ohio State University. The title of the manuscript was “Channels of Personnel Communication within the Management Setting.”
1953
Ohio State University and the University of Nebraska offer the first Ph.D. degrees conferred by speech departments in industrial communication.
1961
Lee Thayer, a speech professor with an interest in communication in businesses, publishes Administrative Communication which is the first true textbook in organizational communication.
1963
The Journal of Business Communication is started by the American Business Communication Association.
1964
W. Charles Redding and George A. Sanborn publish Business and Industrial Communication: A Source Book, which compiled copies of previously published articles on a wide range of organizational communication topics. The publication of this book is generally seen as the true start of the field of organizational communication.
1967
The first “Conference on Organizational Communication” is held at Marshall Space Flight Center in Huntsville, Alabama. At the conference, Philip K. Tompkins reviews the state of organizational communication and divides the types of research into two categories: (1) informal and formal channels of communication and (2) superior-subordinate relationships. Tompkins’ presentation marks the official acceptance of the term “organizational communication.”
Henry Voos publishes Organizational Communication: A Bibliography sponsored by the Office of Naval Research.
1968
Division IV, organizational communication, becomes an officially recognized group by NSCC, which became the International Communication Association in 1970.
1972
W. Charles Redding publishes his book Communication with the Organization: An Interpretive Review of Theory and Research. In this monograph he poses 10 basic postulates of organizational communication.
1973
The Academy of Management authorizes a new division within its association titled Organizational Communication.
1982
The Western Journal of Communication publishes a series of articles based out of a conference held in Alta, Utah, “The Summer Conference on Interpretive Approaches to the Study of Organization Communication.” This series of articles argues for the importance of incorporating interpretive methods in the study of organizational communication.
1983
Linda Putnam and Michael E. Pacanowsky publish Communication and Organizations: An Interpretive Approach. This edited book further solidifies the importance of interpretive research methods in organizational communication.
1987
Fredric M. Jablin, Linda L. Putnam, Karlene H. Roberts, and Lyman W. Porter publish the Handbook of Organizational Communication: An Interdisciplinary Perspective.
1991
Wert-Gray, Center, Brashers, and Meyers publish an article titled “Research Topics and Methodological Orientations in Organizational Communication: A Decade in Review.” The authors find that of the 289 articles published in the 1980s, 57.8% were social scientific, 25.9% were qualitative, 2.1% were critical, 14.2% were categorized as other.
1993
Dennis Mumby puts for a research agenda for critical organizational communication research in an article titled “Critical Organizational Communication Studies: The Next 10 Years” in Communication Monographs.
2001
Fredric M. Jablin and Linda L. Putnam publish The New Handbook of Organizational Communication: Advances in Theory, Research, and Methods.
2004
Elizabeth Jones, Bernadette Watson, John Gardner, and Cindy Gallois publish an article titled “Organizational Communication: Challenges for the New Century” in the Journal of Communication. In the article they identify six challenges organizational communication scholars face in the 21st Century: (1) innovate in theory and methodology, (2) acknowledge the role of ethics, (3) move from the microlevel to macrolevel issues, (4) examine new organizational structures, (5) understand the communication of organizational change, and (6) examine diversity and intergroup communication.
Key Takeaways
Stanley Deetz articulated three different ways the term “organizational communication” can be understood: the discipline, ways to describe/explain organizations, and a phenomenon within organizations. His first perspective describes organizational communication as an academic discipline that consists of an intellectual history, textbooks, courses, degrees, etc… The second way to describe organizational communication as a way of describing organizations. Under this perspective, organizational communication is used to describe and/or explain how organizations functions. Lastly, organizational communication is a specific set of behaviors that is exhibited within an organization itself. People talk and interact with one another, which is a form of organizational communication, and through these interactions we actually create the phenomenon that is an organization.
In this book, the authors define “organizational communication” as the process whereby an organizational stakeholder (or group of stakeholders) attempts to stimulate meaning in the mind of another an organizational stakeholder (or group of stakeholders) through intentional use of verbal, nonverbal, and/or mediated messages.
The history of organizational communication is a complicated one. Starting with the industrial revolution and the evolution of the modern corporation, the idea of organizational communication was ultimately crystalized in the 1950s and 1960s. During the early years, most of the research conducted examining communication within an organization was conducted from a social scientific perspective, but starting in the 1980s with the work of Linda Putman, organizational communication research has become more diversified to include both interpretive and critical perspectives.
Exercises
Find two examples of how you could use the term “organizational communication” for each Stanley Deetz’s three conceptualizations of the term. Did you find this process easy or difficult? Why?
Look at the definition of organizational communication provided in this book. Do you think this definition accurately reflects the nature of organizational communication? Why or why not?
Since the 1960s, which decade do you think has been the most important in the transformation of the field of organizational communication? Why?
1.4 Approaches to Organizational Communication Research
PLEASE NOTE: This book is currently in draft form; material is not final.
Learning Objectives
Explain what is meant by the social-scientific approach to organizational communication.
Explain what is meant by the interpretive approach to organizational communication.
Explain what is meant by the critical approach to organizational communication.
In Table 1.3 "Major Events in Organizational Communication" you saw the basic history or of organizational communication and how it’s grown into the academic discipline that it is today. The earliest years in the development of the field were predominantly marked by either thought pieces written about organizational communication or were driven by social-scientific/quantitative research. If you read Table 1.3 "Major Events in Organizational Communication" carefully, starting in the early 1980s new voices began emerging in the field of organizational communication brining both qualitative/interpretive and then rhetorical/critical approaches to the study of organizational communication. In this section, we are going to examine each of these different methodological traditions and the types of research questions commonly posed in each. As authors, we find it very important to have this discussion in the first chapter because you’ll come in contact with all three methodological approaches as you read this book. We want you, as readers, to be able to critically analyze the research we are presenting and understand how the different methodological traditions impact our understanding of the phenomenon that is organizational communication. To help with this purpose, we are going to explore the two major branches of organizational communication: social-scientific/quantitative and qualitative (both interpretive and critical).
Social-Scientific/Quantiative
The first major tradition in organizational communication is the social-scientific/quantitative tradition to organizational communication. The bulk of the early work in organizational communication either focused on prescriptive methods for business speaking or came from outside the field of communication studies until the 1960s. The 1960s represented a period when the field started to solidify and create professional boundaries to differentiate itself from business, psychology, sociology, and speech. During these early years of the field, the goal of organizational communication research was very scientific. In essence, researchers would use theory to form a series of hypotheses, the researchers would then test these hypotheses through experimental observation, and the outcomes of the experimental observations would help the researchers revise the original theory, which inevitably lead to new research questions and hypotheses. The predominant research methodology available at the time stemmed out of the world of social psychology and was based in statistics. As noted in the two studies examining organizational methodology discussed in the history of organizational communication, the bulk of research conducted today is still from this social-scientific or quantitative perspective. Spence, P. R., & Baker, C. R. (2007). State of the method: An examination of levels of analysis, methodology, representation, and setting in current organizational communication research. Journal of the Northwest Communication Association, 36, 111–124.,Wert-Gray, S., Center, C., Brashers, D. E., & Meyers, R. A. (1991). Research topics and methodological orientations in organizational communication: A decade in review. Communication Studies, 42, 141–154. For social scientists, there are three general avenues of research that are common: survey, experiments, and content analyses.
Survey Research in Organizational Communication
The first common type of social scientific method utilized in organizational communication is probably the most common in communication research as a whole, the survey. Surveys
Form of social-scientific research based on a series of questions designed to measure individuals’ personality/communication traits, attitudes, beliefs, and/or knowledge on a given subject.
involve a series of questions designed to measure individuals’ personality/communication traits, attitudes, beliefs, and/or knowledge on a given subject. Surveys are as popular as they are because you can get massive amounts of information from a wide array of people very quickly. However, one always has to question whether or not a survey is adequately using the right types of participants for a specific study. For example, using a group of college students to discuss workplace violence may not be very accurate because of the limited exposure your average undergraduate college student has in the work world. As such, you want to look for studies that utilize people who not in school and work for a living outside of the college environment if at all possible.
Experimental Research in Organizational Communication
The second type of common social-scientific/quantitative study conducted by communication researchers is the experiment. Like in the physical sciences, the goal of an experiment
Form of social-scientific research based on the manipulation of some facet of a participant’s experience to determine how that participant responds.
is to manipulate some facet of a participant’s experience to determine how that participant responds. For example, in a study examining the impact that an initial handshake has on potential interviewers, you could have a trained confederate (someone the participants do not know is working for the researcher) enter into a potential job interview and shake the hands in an aggressive, average firmness, or weak fashion. The goal of this potential study would be to determine if the interviewer’s experiences with the potential job candidate would differ based on the type of handshake he or she used at the beginning of an interview. In this hypothetical study, we, as the researchers, would manipulate the type of handshake an interviewer receives at the beginning of the interview in some kind of random fashion to ensure we are not accidentally biasing the results. Overall, experiments generally involve a lot of planning and time to pull-off competently.
Content Analysis in Organizational Communication
The final type of research conducted on the banner of social-scientific/quantitative research is the content analysis. A content analysis
Form of social-scientific research based on taking a series of artifacts and numerically coding information contained within the artifacts to see if a discernible pattern emerges.
involves taking a series of artifacts and numerically coding information contained within the artifacts to see if a discernible pattern emerges. First, we need to define what we mean by artifacts. In this sense of the word, artifacts are objects made by organizational members capturing communication attempts. For example, speeches of CEOs found on YouTube could be a video artifact or press releases from Fortune 500 corporations could be a different type of artifact. Second, we then numerically code these artifacts looking for specific details. For example, maybe we’re going to analyze speeches made by Fortune 500 CEOs looking for terms that resemble patriotic themes: patriotism, United States, duty, honor, America, etc… Our could would be to get a numerical count of this specific type of image. We could then also analyze the incidence of these themes across different organizational types: banking, automotive, etc… In this case, the goal would be to see if different types of organizations have CEOs who are more likely to invoke images of patriotism than other types of organizations.
For more information on conducting quantitative research, we recommend reading Wrench, Thomas-Maddox, Richmond, and McCroskey’s Quantitative Research Methods for Communication: A Hands-On Approach. Wrench, J. S., Thomas-Maddox, C., Richmond, V. P., & McCroskey, J. C. (2008). Quantitative research methods for communication: A hands-on approach. New York: Oxford. The accompanying sidebar contains an example of a social-scientific/quantitative study in organizational communication.
Example of Quantiative/Social Scientific Research
Individual Differences in Managers’ Use of Humor: Subordinate
Perceptions of Managers’ Humor
By Brian J. Rizzo, Melissa Bekelja Wanzer, and Melanie Booth-Butterfield (1999) Rizzo, B. J., Wanzer, M. B., & Booth-Butterfield, M. (1999). Individual differences in managers’ use of humor: Subordinate perceptions of managers’ humor. Communication Research Reports, 16, 360–369.
In this study, Rizzo, Wanzer, and Booth-Butterfield set out to examine subordinates’ perceptions of their manager’s use of humor in the workplace. The researchers recruited 151 participants in introductory communication courses, graduate communication courses, and MBA courses. All participants were either current or past part-time (less than 40 hours per week) or full time (40 hours per week or more) employees of some organization.
The researchers used three mental measures in this study: Self and Manager Humor Orientation (individual’s use of humor in interpersonal interactions—was completed once for self and once for their manager), Humor Behaviors (Individual’s use of humor strategies in the workplace—was completed once for self and once for their manager), Manager Affect (degree to which a subordinate likes her or his manager), and Manager Effectiveness (degree to which a subordinate perceives her or his manager as effective).
The researchers had four hypotheses in this study (taken from page 362):
H1: High humor oriented individuals will report using more humorous behaviors in the workplace than low humor oriented individuals.
H2: Hugh humor oriented individuals will perceive more types of humorous behaviors as appropriate for their manager to use in the workplace than low humor oriented individuals.
H3: Subordinates perceptions of managers’ humor orientation will be positively associated with liking toward these managers.
H4: Employees’ perceptions of mangers’ humor orientation will be positively related to perceptions of managerial effectiveness.
The Results
First, employees who rated themselves as using large amounts of humor in their daily interactions with others used more humorous behaviors in the workplace than those individuals who did not rate themselves as humorous.
Second, employees who rated themselves as using large amounts of humor in their daily interactions with others believed that managers could use a wider array of humor strategies in the workplace than those individuals who did not rate themselves as humorous.
Third, employees’ perceptions of their manager’s use of humor in her or his interactions with others was positively related to a subordinate’s liking of that manager.
Lastly, employees’ perceptions of their manager’s use of humor in her or his interactions with others was positively related to a subordinate’s perception of the effectiveness of that manager.
In essence, all four of this study’s hypotheses were supported.
Qualitative
Research generally divides methods into two different epistemologies, or ways of knowing: social-scientific and humanistic. We’ve briefly discussed the first approach, social-science, in the previous section and we’re going to explore the nature of this humanistic way of knowing, which is generally referred to as qualitative research. Wrench, J. S., Thomas-Maddox, C., Richmond, V. P., & McCroskey, J. C. (2008). Quantitative research methods for communication: A hands-on approach. New York: Oxford. Qualitative research is “It is at best an umbrella term covering an array of interpretive techniques which seek to describe, decode, translate, and otherwise come to terms with the meaning, not the frequency, of certain more or less naturally occurring phenomena in the social world.” Van Maanen, J. (1979). Reclaiming qualitative methods for organizational research: A preface. Administrative Science Quarterly, 24, 520–526, pg. 520. Because of the variety of different approaches available under the larger title “qualitative,” researchers often break discuss two different qualitative lines of inquiry: interpretive and critical. Fink, E. J., & Gantz, W. (1996). A content analysis of three mass communication research traditions: Social science, interpretive studies, and critical analysis. Journalism & Mass Communication Quarterly, 73, 114–134. We’ll explore each of these in the rest of this section.
Interpretive
Interpretive research is not an easy idea to nail down, so any discussion of what interpretive research is must start by clearly distinguishing this approach from the social scientific one. According to Amedeo P. Giorgi, the social-scientific (often referred to as positivistic research by qualitative researchers) method can be broken into six general parts:
Reductionistic, the goal is to reduce phenomena into operational definitions for easy of study;
Deterministic, the belief that outcomes and phenomena are the result of causes that can be duplicated;
Predictive, the general goal of scientific research is to predict behavior;
Observer independent, researchers attempt to be as objective as possible and avoid influencing the data;
Empirical, only data that can be observed or obtained from participants is worthy of analysis;
Repeatable, research results should be replicated by other researchers; and
Quantitative, all phenomena should be numerically measured. Giorgi, A. (1971). Phenomenology and experimental psychology, In A. Giorgi, W. F. Fischer, & R. Von Echartsberg (Eds.), Duquesne studies in phenomenological psychology (vol. 1, part 1). Pittsburgh, PA: Duquesne University Press.
Fundamentally, Giorgi believed that social-scientific researchers are asking fundamentally wrong questions. Instead of asking how a phenomena should be measured, Giorgi believed that researchers should ask, “What do the phenomena mean?” Giorgi, A. (1971). Phenomenology and experimental psychology, In A. Giorgi, W. F. Fischer, & R. Von Echartsberg (Eds.), Duquesne studies in phenomenological psychology (vol. 1, part 1). Pittsburgh, PA: Duquesne University Press, pg. 21. Put a different way, interpretive research focuses on “how people communicate in their own natural environments, when they are guided by their own personal objectives, how they give meaning to their communication, especially when they are using communication for those pragmatic objectives that determine and control day-to-day existence.” Chesebro, J. W., & Borisoff, D. J. (2008). Interpretive research. In J. S. Wrench, C. Thomas-Maddox, V. P. Richmond, and J. C. McCroskey (Eds.), Quantitative research methods for communication: A hands-on approach (pp. 449–486). New York, NY: Oxford, pg. 451. Let’s break this definition down into its functional parts.
Communicating in Natural Environments
The first major goal of interpretive research is the desire to see how people communicate in their natural environments. By natural environment, interpretive researchers do not want to view people engaging in communication within a laboratory setting. Instead, interpretivists want to observe people going about their daily communicative routines with their coworkers in a fashion that resembles as normal a communication experience as humanly possible. Yanow, D., & Ybema, S. (2009). Interpretivism in organizational research: On elephants and blind researchers. In D. A. Buchannan & A. Bryman (Eds.), The SAGE handbook of organizational research methods (pp. 39–60). Los Angeles, CA: Sage. Interpretivists believe that communication that in one’s natural environment will be unforced and will resemble how people actually communicate instead of how they perceive their communication to be, which is an inherent problem with some social-scientific research (especially surveys).
Guided by Personal Objectives
Second, interpretivists want to observe participants as they go about their daily lives doing what they normally would do and not alter their behavior for the researcher (s). One of the inherent differences between social-scientific research and interpretivistic research is that interpretivists do not go into the research encounter expecting to “see” anything specific. Social-scientists set specific hypotheses, determine how to test those hypotheses, and test the hypotheses. By this purpose, social-scientists go into a research encounter expecting to “see” something very specific. Interpretivists, on the other hand, go into a research encounter to observe and learn and ultimately see what their participants show them. Instead of going in with a pre-set agenda, interpretivists watch how people behave when the participants are guided by their own personal objectives and not those of the researcher.
People Giving Meaning to their Own Communication
Lastly, interpretivists are interested in how people understand their own communicative behavior and give meaning to their own communicative behavior. Humans generally behave and communicate for a variety of reasons, and thus understand and prescribe a variety of meanings to their communication. An interpretivist is less concerned with attaching some kind of meaning to a researcher participant than they are with understanding how that research participant views her or his own communicative behavior. As an outsider looking in, we can ascribe all kinds of incorrect attributions to an individual’s communicative behavior. It’s only when we get inside a communicative interaction from the participant’s point-of-view, that we can truly begin to understand why someone is communicating a specific manner and how that communication is important to her or him. In the organizational environment, maybe a researcher is interested in understanding how people view the balance between their work lives and their personal lives. It’s only after someone engages with people that a researcher can start to develop a better idea of how people view this phenomenon of work-life balance answering the question, “what does this phenomena mean?” Renee Cowan and Mary F. Hoffman did just this in their study examining how people view their work and personal lives in the accompanying sidebar.
For more information on conducting interpretive research, we recommend reading Lindlof and Taylor’s (2002) Lindlof, T. R., & Taylor, B. C. (2002). Qualitative communication research methods (2nd ed.). Thousand Oaks, CA: Sage. book on interpretive research methods in communication.
Example of Interpretive/Qualitative Research
The Flexible Organization: How Contemporary Employees Construct the Work/Life Border
By Renee Cowan and Mary F. Hoffman (2007) Cowan, R., & Hoffman, M. F. (2007). The flexible organization: How contemporary employees construct the work/life border. Qualitative Research Reports in Communication, 8, 37–44.
In this study, the researchers set out to qualitatively examine how individuals manage their work lives and their personal lives with each other. Specifically, the researcher had one overarching research question in this study:
RQ1: How do employees of today define the terms flexibility and permeability in regard to work/life balance?
The researchers recruited 30 participants. All of the participants had to be at least 18 years of age and currently employed in an organization that provided benefits (e.g., retirement, stock options, health care, etc.). 99 percent of the sample were permanent employees, 44 percent were female and 56 percent were male. 70 percent of the sample was married and 76 percent of the sample had children.
All of the participants agreed to take part in an interview about their “perceptions and definitions of work/life balance, what balancing work/life issues meant and looked like in their lives, what their company did that made it easy or difficult to balance work/life issues, and any stories they had heard about people using work/life benefits in their company” (p. 39). Ultimately, the 30 interviews generated 112 single-spaced pages of transcribed text for analysis.
Overall, the researchers found that the terms “flexibility” and “permeability” were used interchangeably by the participants. Furthermore, these issues can be broken into four distinct themes: time, space, evaluation, and compensation.
Time Flexibility. Employees wanted to have flexibility in how their time was calculated by the organizations. This included flex time issues (instead of coming in at 8 and leaving at 4, you could come in at 10 and leave at 6), and the possibility of examining time over a larger period (not always counting up 40 hours within one work week, but averaged over the entire year).
Space Flexibility. Employees saw space issues as a two prong construct: physical space and mental space. Physical space flexibility is the notion that individuals should have the ability to telecommute and work from home when capable. Mental space is the notion that individuals should be allowed to think about work at home and think about home at work.
Evaluation Flexibility. Employees believed that the evaluation of one’s work should be based on the quality of the work itself and not on the amount of time an individual spends in the office doing the work.
Compensation Flexibility. Employees believed that their quality work should receive extra financial compensation (bonuses, increase in pay, etc.) or time compensation (increased number of vacation days, telecommuting options, etc.).
Critical
Traditional social-scientific research wants to make hypotheses and test them interpretive research wants to study how people communicate in a natural environment and understand that communication. Critical research is less interested with explaining or understanding organizational communication than it is with “analyzing values and judging, or criticizing, them.” Fink, E. J., & Gantz, W. (1996). A content analysis of three mass communication research traditions: Social science, interpretive studies, and critical analysis. Journalism & Mass Communication Quarterly, 73, 114–134, pg. 115. As the word “critical” entails, critical research is about seeing how society, or for our purposes an organization, exists in a world of power imbalances. Within most groups there are those with power and those without power. Critical researchers strongly believe that those with power purposefully prevent those without from achieving equality. As such, “critical scholarship tends to stand on the side of ‘weaker’ parties when studying or commenting upon relations of dominance.” Alvesson, M., & Ashcraft, K. L. (2009) Critical methodology in management and organization research. In D. A. Buchannan & A. Bryman (Eds.), The SAGE handbook of organizational research methods (pp. 61–77). Los Angeles, CA: Sage, pg. 61. According to Mats Alvesson and Karen L. Ashcroft, critical theory entails four specific parts:
The critical questioning of ideologies, institutions, interests, and identities (what might be called ‘the 4 I’s’) deemed dominate, in some way harmful, and/or unchallenged.
Through some form of denaturalization and/or rearticulation.
With the aim of inspiring social reform in the presumed interest of the less-privileged and/or majority—particularly resistance to ‘the 4 I’s’ that tend to fix people into unreflectively receiving and reproducing limited ideas, selves, motives, and practices.
While also maintaining at least some degree of recognition that ‘real’ (i.e., lived and living) conditions constrain choice and action in the contemporary organizational world. Alvesson, M., & Ashcraft, K. L. (2009) Critical methodology in management and organization research. In D. A. Buchannan & A. Bryman (Eds.), The SAGE handbook of organizational research methods (pp. 61–77). Los Angeles, CA: Sage, pg. 63.
Questioning the 4 I’s
The first part of critical theory identified by Alvesson and Ashcroft is the idea that critical theory helps people question ideologies, institutions, interests, and identities that appear dominant and are in some way problematic. Alvesson, M., & Ashcraft, K. L. (2009) Critical methodology in management and organization research. In D. A. Buchannan & A. Bryman (Eds.), The SAGE handbook of organizational research methods (pp. 61–77). Los Angeles, CA: Sage. Let’s look at these in turn. First, we have ideologies
The beliefs, myths, and doctrines that guide an individual, group, or organization.
, which are the beliefs, myths, and doctrines that guide an individual, group, or organization. From the critical theorists perspective, they want to examine whether or not these ideologies that have been developed within an organization are fundamentally harmful (especially to workers). Furthermore, critical theorists question if specific ideologies have are unchallenged. By unchallenged, we mask whether or not a specific ideology is allowed to be pervasive and no questions the ideology or where it came from and how it stays. Often organizational leaders create ideologies that are inherently problematic for workers. If workers never question these ideologies, they’ll stay in place for years or decades without ever being challenged. Critical theorists attempt to look at a variety of ideologies that exist (and get communicated) within an organization in an attempt to shed the light on how ideologies function to keep workers subjugated by management.
Second, critical theorists examine various institutions that are dominant in society and examine them to see if they are harmful for the general worker. In fact, it’s this category of critical examination that really focuses its attention specifically on how modern organizations are institutions that attempt to create structures that keep workers subjugated. We’ll talk more about this idea in Chapter 4 "Modern Theories of Organizational Communication".
Third, critical theorists examine various interests to see if they are harmful to workers and remain unchallenged. By interests
Whether or not an individual (or group of individuals) has a clear advantage or advancement of a personal or group agenda that is not necessarily clearly articulated to everyone within an organization.
, we are specifically referring to whether or not an individual (or group of individuals) has a clear advantage or advancement of a personal or group agenda that is not necessarily clearly articulated to everyone within an organization. One of the more interesting and seedy aspects of modern organizational life is the issue of unarticulated or hidden interests that people (especially those in leadership positions) may have. Critical theorists attempt to seek out these interests and bring them to the light of day in an effort to show workers how they are being manipulated to help people in power achieve these interests. Furthermore, often the interests of those with power are not the same as those without the power.
Lastly, critical researchers attempt to examine various identities that could be harmful or under-challenged. For critical purposes, identity
The state of being or believing that you are the same person or thing described or claimed by those with power.
refers to the state of being or believing that you are the same person or thing described or claimed by those with power. Under this premise, workers are often labeled with specific identities that are designed to subjugate the workers. For example, someone may be told that if he or she was a “good worker” then he or she wouldn’t question having to put in 50 of 60 hours a week at a job. Inherent in this use of “good worker” is often the veiled threat that bad workers get fired and good workers have prospects at getting promoted. As such, workers often adopt either the good or bad worker identity without ever realizing that it is a tool of managerial control.
Denaturalization and/or Rearticulation
After identifying relevant ideologies, institutions, interests, and identities, a critical researcher must “articulate an alternative position that challenges conventional representations and critically probes (rather than taking at face value) the reported views and experiences of research participants.” Alvesson, M., & Ashcraft, K. L. (2009) Critical methodology in management and organization research. In D. A. Buchannan & A. Bryman (Eds.), The SAGE handbook of organizational research methods (pp. 61–77). Los Angeles, CA: Sage, pg. 64. In essence, the critical theorist attempts to show individuals that the specific ideologies, institutions, interests, and identities that they believe are steadfast and unchangeable, are in fact creations of people in power and can be altered. Part of this process involves the critical theorists clearly articulating a new vision for ideologies, institutions, interests, and identities that are more egalitarian or worker friendly.
Inspiring Social Reform
Further the notion of rearticulating ideologies, institutions, interests, and identities is taking those changes to a more societal level. The goal of a critical theorist is to not just notice problems that exist in society but to help people change the power imbalances that exist. Part of this process is helping people see new ideas, selves, motives, and practices. In the organizational context, the goal is to emancipate workers or “break away from structures and ideologies that tend to constrain forms of consciousness into prespecified routes that stifle imagination.” Alvesson, M., & Ashcraft, K. L. (2009) Critical methodology in management and organization research. In D. A. Buchannan & A. Bryman (Eds.), The SAGE handbook of organizational research methods (pp. 61–77). Los Angeles, CA: Sage, pg. 64.
Constraining Choice and Action
While it would be wonderful if modern organizations could be utopian enterprises where everyone was truly equal, critical theorists must also realize that overly revolutionary or radical perspectives on organizing and the modern workplace may not be realistic or helpful. Alvesson, M., & Ashcraft, K. L. (2009) Critical methodology in management and organization research. In D. A. Buchannan & A. Bryman (Eds.), The SAGE handbook of organizational research methods (pp. 61–77). Los Angeles, CA: Sage. Instead, critical theorists should focus the real lives and experiences that people in modern organizations have. This isn’t to say that critical theorists must always be strictly “realistic,” but rather critical scholarship “seeks to acknowledge how realizing ideals such as class, gender, race, and ecological justice may have drastic consequences for the material functioning of organizations alongside effects on member subjectivities.” Alvesson, M., & Ashcraft, K. L. (2009) Critical methodology in management and organization research. In D. A. Buchannan & A. Bryman (Eds.), The SAGE handbook of organizational research methods (pp. 61–77). Los Angeles, CA: Sage, pg. 65.
Overall, critical theory provides a very interesting and specific proactive perspective on organizational communication scholarship. For more information on conducting rhetorical/critical research, we recommend reading either Foss’ (2004) Foss, S. K. (2004). Rhetorical criticism: Exploration & practice (3rd ed.). Prospect Heights, IL: Waveland. or Swartz (1996) Swartz, O. (1996). Conducting socially responsible research: Critical theory, neo-pragmatism, and rhetorical inquiry. Thousand Oaks, CA: Sage. books on rhetorical/critical research methods in communication.
Example of Rhetorical/Critical Scientific Research
The Communicational Basis of the Organizational Text as Macroactor:
A Case Study of Multilevel Marketing Discourse
By Walter J. Carl (2005) Carl, W. J. (2005). The communicational basis of the organizational text as macroactor: A case study of multilevel marketing discourse. Qualitative Research Reports in Communication, 6, 21–29.
In this study, Carl wanted to examine a macroactor (an individual who is empowered to speak on behalf of a large number of people). In this specific analysis, the macroactor was a letter to the editor in Forbes magazine by Ken McDonald the managing director of Quixtar, Inc. Prior to this letter, Karen J. Bannan had written an article in Forbes magazine titled “Amway.com” discussing how the notorious multi-level marketing firm Amway was the sister company of Quixtar along with the perils of multi-level marketing. McDonald’s letter in response to the Bannan letter to the editor took issue with the article because it “’did not provide an accurate picture of the company,’ citing an inaccurate understanding of the corporate relationship among Amway, Quixtar, and Alticor, unfair representations of Quixtar business meetings as ‘cult-like,’ and only publishing accounts from dissatisfied ‘Independent Business Owners’” (p. 23).
The purpose of Carl’s analysis of McDonald’s letter was to demonstrate that the letter is a clear piece of organizational rhetoric. While the organization attempts to hide its actions in the voice of a single individual speaking out, the very act of this letter is clearly a message with backing from the institution itself. To aid in the development of his argument, McDonald examined four major issues “ (1) the features of the text that make it a letter to the editor and not, for example, a press release or news story or some other kind of text [company logo, date, salutation, name of author, author identity, etc].; (2) the issue of authorship and its authorizing function [the signature on the letter with the company’s logo makes the letter act as a function of the organization itself]; (3) the presuppositions that, thought absent, are necessary for the text to ‘make sense’ to its audience [the primary presupposition is that the reporter did nto provide a fair, accurate, and objective account of Quixtar]; and (4) how the text is constructed to orient to these presuppositions and to build up a rhetorical case imputing motive to Forbes magazine [the letter systematically explains why Quixtar felt the need to respond]” (pp. 23–24).
Comparing the Three Types
Now that we’ve explained how each of the three methodological traditions approaches organizational communication, let’s see how the three compare when we put them side-by-side. Table 1.4 "How the Three Methods Compare Side-by-Side" provides an explanation for how the three methodological approaches differ in their understanding and approach to organizational communication.
Table 1.4 How the Three Methods Compare Side-by-Side
Issue
Methodological Traditions
Social Science
Interpretive
Critical
Basic Goal
The goal of social scientific research is to classify organizational communicative phenomena, measure them, and construct statistical models to explain the phenomena.
The goal of interpretive research is a complete, detailed description of the organizational communication phenomenon examined.
The goal of critical research is to examine how organizations exists in a world of power imbalances.
View of Organizations
Organizations are naturally existing phenomena open to description, prediction, and control.
Organizations are social entities with day-to-day talk, rites, rituals, and stories that develop its own unique culture that has aspects that are similar to other cultures.
Organizations are inherently places of power imbalances. Workers are typically subjugated by superiors who have implicit or expressed power.
Study Purpose
Social Scientific researchers have a very clear idea what they are examining at the start of a research study.
Interpretive researchers generally only have a vague idea of what they are looking for at the start of a research study and prefer to view organizational phenomena from the viewpoint of their participants.
Critical researchers generally select artifacts from organizations or about organizations and analyze those artifacts in an effort to see how power is communicated and utilized within an organization.
Research Design
Social Scientific research designs are very carefully planned before the data are ever collected.
Interpretive research designs develop over the course of data collection.
Critical researchers can follow very stringent ways of analyzing artifacts or create the ways of analysis while examining the data.
Tools of Research
Scientific/quantitative researchers use a variety of measurement devices (e.g., questionnaires) as the primary tool of data collection.
Interpretive/qualitative researchers collect their data themselves through interviews and observation, so the researcher is the primary tool of data collection.
Rhetorical/critical researchers do not need data sources beyond the act (an actual communication event) or artifact (the record of a communication event) being analyzed.
Writing Style
Numbers and statistics are the primary forms of data. Writing tends to be very formal.
Words, pictures, and artifacts are the primary forms of data. Writing tends to be very narrative.
Acts and artifacts are the primary forms of data. Writing tends to be narrative.
Research Scope
Social Scientific research tends to be more succinct, quickly conducted, and can be generalized to larger groups than the sample utilized in the study.
Interpretive research tends to be more detailed, time consuming, and limited to the group the researcher studied.
Critical research tends to be detailed in its analysis, but the findings should help researchers understand organizational communication in an effort to move towards egalitarian power structures.
View of Research
Social Scientific research is more objective and you are able to achieve a more detached view of the communication phenomena.
Interpretive research is more subjective and you are able to achieve an insider’s point-of-view of the communication phenomena.
Critical research is also highly subjective to the individual point of view of the critic. As such, critics with differing political persuasions will view the same acts and artifacts in differing ways.
Purpose of Theory
Scientific/quantitative researchers view theory as the guiding metaphor for research. As such, research starts with theoretical ideas, poses hypotheses, tests them, and makes revisions to the theory.
Interpretive/qualitative data collection ends with the creation of hypotheses and the generation of theory.
Theory can either guide a critical study or be arrived at through the process of analyzing an artifact.
Critiques
A lot of social scientific research is prescription based and looks at skills people need to have in modern organizations. However, the researcher is ultimately responsible for which skills are analyzed. Furthermore, there tends to be little research examining skills interculturally.
Interpretive research is often very subjective. Furthermore, there is a serious debate as to whether the information gained from one organization can or should impact how we view another organization.
Critical research is often very subjective and open to interpretation based on one’s political persuasion. Furthermore, critical research tends to err on the side of those without power and are in the minority, so the innate political bias can be problematic for some.
Source: Wrench, J. S. (in press). Communicating within the modern workplace: Challenges and prospects. In J. S. Wrench (Ed.), Workplace communication for the 21st century: Tools and strategies that impact the bottom line: Vol. 1. Internal workplace communication. Santa Barbara, CA: Praeger.
At this point, you may be wondering about the state of organizational communication as a field today. Today there are still a wide range of scholars investigating organizational communication from a social-scientific, interpretive, and critical vantage point. In a 2007 article by Patric Spence and Colin Baker, the researchers set out to examine what types of methodologies modern organizational communication scholars were using. Spence, Patric, R., & Baker, C. R. (2007). State of the method: An examination of level of analysis, methodology, representation and setting in current organizational communication research. Journal of the Northwest Communication Association, 36, 111–124. Using a period from 1998 to 2004, the researchers located 153 articles discussing organizational communication in major communication journals published by regional, national, and international communication associations. Figure 1.4 "Types of Research Conducted" demonstrates the basic findings from this study.
Figure 1.4 Types of Research Conducted
Source: Patric Spence & C. R. Baker, “State of the Method: An Examination of Level of Analysis, Methodology, Representation and Setting in Current Organizational Communication Research,” Journal of the Northwest Communication Association 36 (2007): 111-124.
Key Takeaway
The social scientific approach to organizational communication is based on the notion that researchers start by desiring to test a specific theoretical idea about organizational communication, which leads to specific hypotheses being made, data is the gathered and interpreted, and lastly the data leads to further generalizations that help to refine the original theory. Social scientists typically conduct research using surveys, experiments, or content analysis that can be analyzed using statistical reasoning.
Exercise
Create an experiment testing the impact that verbal, nonverbal, or mediated messages have on ensuring employee understanding about a new organizational policy.
1.5 Chapter Exercises
PLEASE NOTE: This book is currently in draft form; material is not final.
Real World Case Study
Around the world this nonprofit has many different names: Albania, Rruga Sesam, Egypt, Alam Simsim; India, Galli Galli Sim Sim; Indonesia, Jalan Sesama; Israel, Rechov Sumsum; Palestine, Shara’a Simsim; Serbia, Ulica Sezam; South Africa, Takalani Sesame; and The United States of America, Sesame Street. In all, there are 20 versions of Sesame Street being produced through the Sesame Workshop, the nonprofit organization behind Sesame Street. The goal of the Sesame Workshop is to improve the lives in children and their societies in four specific domains: health & wellness; respect & understanding; literacy & numeracy; and emotional well being.
In the 2006 documentary The World According to Sesame Street, the filmmakers introduce you to a world coping with violence (Kosovo), AIDS (South Africa), poverty (India), and gender inequality (Egypt). And all over the globe, the Sesame Workshop teaches students their alphabets and numbers because the Sesame Workshop realizes that the only way to ensure a child’s future is through education.
Of the four types of organizations discussed by Blau and Scott (1962), which type of organization is the Sesame Workshop? Why?
The Sesame Workshop is constantly attempting to address local issues with their international programs. If you were going to create a Sesame Street for corporations, what lessons do you think they need to learn?
If you were producing a new Sesame Street in Iraq, what kind of inputs from the environment do you think you would need?
Real World Case Study
Erik Lie and Randall Heron, two University of Iowa associate professors in finance, conducted a research study in 2005 that determined that many Chief Executive Officers (CEOs) were manipulating their stock-option accounting rules in order to increase their annual salaries. In fact, Lie and Heron found that upwards of 29 percent of all public corporations have major stock-option irregularities. Basically, organizations were delaying their stock paperwork for months in an attempt to look back and select the most lucrative dates for reporting, which is a violation of federal law. Lie and Heron found a way to actually determine whether or not an organization was perpetuating this type of fraud. When the researchers realized what they had found, they contacted the United States’ Securities & Exchange Commission and showed The Wall Street Journal how to use options records to look for fraud.
As a result of their research, Lie and Heron established a consulting firm that examines whether accounting irregularities are simple paper-work mistakes or something more fraudulent. The two make more than $400 an hour examining corporations’ accounting records and working with plaintiffs’ lawyers as expert witnesses. In a world where CEOs are often being led out of their corporations in handcuffs, organizations and lawyers are forced to take Lie and Heron’s research findings very seriously.
While this specific case study examines accounting problems, do you think there are any communication problems that can lead to lawsuits?
Do you think a university researcher should be able to financially profit from her or his research?
While more than 2,000 organizations have been found to have options irregularities, Lie and Heron suspect that some of those organizations may be innocent. Could putting their research out into the public have a negative effect on innocent organizations? Do you think putting innocent organizations under more scrutiny in order to find guilty organizations justifiable?
Real World Case Study
On October 9th 2007, Harris Interactive found that in the United States (32%) and Spain (28%) the most important aspect of one’s job was their salary. While salary was found to be important elsewhere in Europe, Great Britain (33%), France (30%), Italy (29%), and Germany (25%); Europeans found the interesting nature of their jobs more important: Great Britain (36%), France (44%), Italy (37%), and Germany (44%). Whereas, in the United States (28%) and Spain (25%), lower percentages of people found the interesting nature of their job to be the most important.
The study also asked the international participants to what degree they liked their current Bosses. In the United States (65%), Great Britain (56%), and France (52%), the majority of individuals polled liked their bosses. However, in Italy (48%), Spain (34%), and Germany (47%), the majority of individuals polled did not like their bosses.
Why do you think individuals in the United States and Spain consider salary more important than the interesting nature of their job?
Why do you think individuals in Great Britain, France, Italy, and Germany find the interesting nature of their job more important than their salary?
Does it surprise you that individuals in the United States are considerably more satisfied with their bosses than the other countries polled?
End-of-Chapter Assessment Head
Joana works for an organization that prides itself on openness and transparency. However, the organization tends to actually insulate itself from what’s going on with its various competitors, its local community, and even governmental regulations. Based on this information, what can you say accurately about Joana’s organizations relationship with its external environment.
the organization has open boundaries
the organization has closed boundaries
the organization has a tall hierarchy
the organization has a flat hierarchy
the organization has limited outputs
Stewart sat down with a set of spreadsheet data and quickly realized that if his coffee shop was going to last the summer it really need to spend more time focusing on business from tourists because they were his only real potential for growth. Which of Edward Gross’s organizational goals is Stewart faced with?
output
adaptation
management
motivation
positional
Diana works for an organization that on the surface says it’s very creative and always looking for new ways of doing business. However, every time Diana brings up a new idea she’s immediately shot down with a “but we’ve always done it this way” attitude from her management. Which of the dialectical tensions of control is Diana facing?
systemization vs. autonomy
agreement vs. dissent
conventionality vs. innovation
organization vs. self-focused
organizational vs. individual rights
Who is considered to be the Father of Organizational Communication?
Elton Mayo
Chester Barnard
Lee Thayer
Fredric M. Jablin
W. Charles Redding
Which of the three methodologies used by organizational communication scholars uses survey, experiments, and content analyses to examine organizational communication phenomena?
social-scientific
qualitative
interpretive
critical
rhetorical
Answer Key
b
b
c
e
a
PLEASE NOTE: This book is currently in draft form; material is not final. | msmarco_doc_00_10639280 |
http://2012books.lardbucket.org/books/an-introduction-to-organizational-communication/s09-02-followership.html | Followership | 7.2
Followership
7.2 Followership
Learning Objectives
Ira Chaleff’s Styles of Followership
Resource
Individualist
Implementer
Partner
Roger Adair’s 4-D Followership Model
Disgruntled
Disengaged
Doer
Disciple
James C. McCroskey and Virginia Richmond’s Organizational Orientations
Organizational Orientations—Short Form
The Three Orientations
Upwardly Mobiles
Indifferents
Ambivalents
Outcomes of Organizational Orientations
Key Takeaways
Exercises
| Followership
7.2 Followership
Learning Objectives
Define the term followership.
Explain Ira Chaleff’s styles of followership.
Describe Roger Adair’s 4-D Followership Model.
Differentiate among McCroskey and Richmond’s three Organizational Orientations.
In 1988, Robert Kelley wrote an article in the Harvard Business Review where he explained that so much of the research on what happens between organizational members is written from the perspective that leadership is king and everything else is periphery. Kelley, R. E. (1988). In praise of followers. Harvard Business Review, 66(6), 142-148. Instead, Kelley believed that followership should be center stage right along research and writing on leadership. Surprisingly, this article was met with a lot of controversy, “Some people just flat out didn’t like it, comparing followers to sled dogs whose destiny is always to look at the rear end of the dog in front of them, but never to see the wider horizon or make the decisions of the lead dog Other readers could not thank me enough for articulating what they secretly held in their hearts.” Kelley, R. E. (2008). Rethinking followership. In R. E. Riggio, I. Chaleff, & J. Lipman-Blumen (Eds.), The art of followership: How great followers create great leaders and organizations (pp. 5-15). San Francisco, CA: Jossey-Bass; pg 6. Since 1988, writings in the popular press and in academic circles have routinely discussed the nature of followership. While there is still some controversy over the nature of followership, leadership researchers uniformly now examine and discuss the importance of followership in the corporate environment.
So what then is followership? As a basic concept, followership
The act or condition under which an individual helps or supports a leader in the accomplishment of organizational goals.
is the act or condition under which an individual helps or supports a leader in the accomplishment of organizational goals. However, Jon Howell and Maria Mendez defined followership as less in terms of a straight-forward definition but more as different roles followership can take. First, followership can take an interactive role, which means that a follower’s role is to complement and support her or his leader in accomplishing organizational goals. Second, followership can be an independent role, where followers act independently of their leaders with little necessity for oversight or management. Lastly, followership can take on a shifting role perspective, where followership is seen as less a concrete title or position but rather a state one embodies depending on the tasks at hands. In some situations, an individual may be a leader and in others a follower depending on the context of the organizational goals. The rest of this section is going to examine a series of different perspectives in the literature involving organizational followership: Ira Chaleff’s styles of followership, Roger Adair’s 4-D Followership Model, and McCroskey and Richmond’s Organizational Orientations.
Ira Chaleff’s Styles of Followership
One of the first models for understanding the nature of leader-follower interactions from the follower’s perspective is Ira Chaleff’s Styles of Followership she discussed in her ground breaking book The Courageous Follower. Chaleff, I. (2003). The courageous follower (2nd ed.). San Francisco, CA: Barrett-Koehler. Based on the name of the book, Chaleff’s perspective is that followership is an act of courage that someone decides to take. As such, she sees followership as having the courage to engage in two different behaviors: the courage to support the leader and the courage to challenge the leader’s behavior and/or policies. Figure 7.5 "Styles of Followership" demonstrates what happens when you combine the courage to challenge and support.
Figure 7.5 Styles of Followership
Resource
The first follower style discussed by Chaleff is the resource
Follower type described by Ira Chaleff who will not challenge nor support the leader doing only the minimal amount of work to keep her or his job.
. The resource is someone who will not challenge nor support the leader. This follower basically does the minimal amount to keep her or his job, but nothing more.
Individualist
The second followership style is the individualist
Follower type described by Ira Chaleff who will provide little to no support for her or his leader but has no problem challenging the leader’s behavior and policies.
. This individual will provide little to no support for her or his leader, but has no problem challenging the leader’s behavior and policies. This individual is generally very argumentative and/or aggressive in her or his behavior. While this individual will often speak out when no one else will, people see this person as inherently contrarian so her or his ideas are generally marginalized.
Implementer
The third followership style is the implementer
Follower type described by Ira Chaleff who will be more than happy to support her or his leader in any way possible, but the implementer will not challenge the leader’s behavior or policies even when the leader is making costly mistakes.
. The implementer is more than happy to support her or his leader in any way possible, but the implementer will not challenge the leader’s behavior and/or policies even when the leader is making costly mistakes. The implementer simply sees it as her or his job to follow order, not question those orders. While this kind of pure-followership may be great in the military, it can be very harmful in the corporate world.
Partner
The final type of followership is the partner
Follower type described by Ira Chaleff who will support and challenge a leader because this follower sees her or himself as having a stake in the leader’s decisions.
. Partner followership occurs when a follower is both supportive and challenging. This type of follower believes that he or she has a stake in a leader’s decisions, so he or she will act accordingly. If the partner thinks a leader’s decision is unwise, he or she will have no problem clearly dissenting within the organizational environment. At the same time, these followers will ultimately provide the most (and most informed) support possible to one’s leader.
Roger Adair’s 4-D Followership Model
In 2008 Roger Adair proposed the 4-D Followership model to help explain the types of people who exist within an organization. Adair, R. (2008). Developing great leaders, one follower at a time. In R. E. Riggio, I. Chaleff, & J. Lipman-Blumen (Eds.), The art of followership: How great followers create great leaders and organizations (pp. 137-153). San Francisco, CA: Jossey-Bass. The basic model Adair proposed for understanding followers examines a follower’s level of job satisfaction and her or his productivity. Based on the combination of job satisfaction and productivity, Adair demonstrates the likelihood that someone will decide to leave the organization. The basic model can be seen in Figure 7.6 "4-D Followership Model".
Figure 7.6 4-D Followership Model
Disgruntled
The first type of follower is called the disgruntled
Type of follower described by Roger Adair who has encountered some event within the organization that has left them feeling detached, angry, or displeased, which leads to low levels of job satisfaction and productivity.
follower. He or she has low levels of job satisfaction and is not overly productive at work either. These followers have typically encountered some event within the organization that has left them feeling detached, angry, or displeased. Maybe this person was passed up for a job promotion or he or she is being bullied in the workplace. Whatever the initial trigger, these individuals are toxic to the work environment. If the disgruntled follower is caught early on in her or his downward slip into this state, there is a chance to pull her or him away from the disgruntled cliff. Unfortunately, too many leaders do not notice the signs early on and these followers either end up reacting negatively in the workplace or they job ship as soon as they get an offer.
Disengaged
The second type of follower is someone who is disengaged
Type of follower described by Roger Adair doesn’t see the value in her or his work so he or she opts to do the minimum necessary to ensure her or his employment.
, or someone who doesn’t see the value in her or his work, so he or she opts to do the minimum necessary to ensure her or his employment. Often these individuals perceive their work as meaningless or not really helping the organization achieve its basic goals, so they basically tune out. Often people who are disengaged become so because the original expectations they had for the job are simply not met, so they may feel lied to by the organization, which can lead to low levels of organizational commitment.
Doer
The third type of follower is called the doer
Type of follower described by Roger Adair is highly motivated and constantly looking for bigger and better work opportunities either within their current organization or in a new one.
. Doers “are motivated, excited to be part of the team. They are enterprising people, and overall are considered high producers. The only real issue with these employees is that no matter where they go in an organization, the grass always looks greener elsewhere.” Adair, R. (2008). Developing great leaders, one follower at a time. In R. E. Riggio, I. Chaleff, & J. Lipman-Blumen (Eds.), The art of followership: How great followers create great leaders and organizations (pp. 137-153). San Francisco, CA: Jossey-Bass; pg. 145. A doer often starts as someone who is upwardly mobile in the organization and become doers when one of two things occurs. First, doers want more out of life and if they don’t feel that there is continued possibilities for upward mobility within an organization, they are very likely to jump ship. Second, if a doer does not feel he or she is receiving adequate recognition for her or his contributions to the organization, then the doer will find someone who will give her or him that affirmation.
Disciple
The last type of follower is the disciple
Type of follower described by Roger Adair believs both in her or his work and in the overarching goal (s) of the organization, so this follower is highly satisfied and productive.
and this individual is highly satisfied and highly productive. In an ideal world, only disciples would fall under leaders because they have no problem sacrificing their own personal lives for the betterment of the organization. These workers are true believers both in their work and in the overarching goal (s) of the organization. While some people may remain disciples for a lifetime, many more workers start as disciples and quickly become disengageds, disgruntleds, or doers. This generally happens because an organization’s own employees, processes, or systems do not encourage disciple behavior and eventually wear the disciple down to the point where their sunny organizational outlook becomes one filled with clouds.
James C. McCroskey and Virginia Richmond’s Organizational Orientations
In 1962, Robert Presthus created a theory of organizational life that defined three unique types of workers: upwardly mobiles, ambivalents, and indifferents. He defined these three terms thusly:
The upward-mobiles are those who react positively to the bureaucratic situation and succeed in it. The indifferents are the uncommitted majority who see their jobs as mere instruments to obtain off-work satisfactions. The ambivalents are a small, perpetually disturbed minority who can neither renounce their claims for status and power nor play the disciplined role that would enable them to cash in such claims [emphasis in original]. Presthus, R. (1962). The organizational society: An analysis and a theory. New York, NY: Random House; pg. 15.
In 2004, James McCroskey and Virginia Richmond along with their students Aaron Johnson and Heather Smith created a measure to examine and test Presthus typology of workers to see whether the three organizational orientations held up to empirical scrutiny. McCroskey, J. C., Richmond, V. P., Johnson, A. D., & Smith, H. T. (2004). Organizational orientations theory and measurement: Development of measures and preliminary investigations. Communication Quarterly, 52, 1-14. Note 7.40 "Organizational Orientations—Short Form" contains a short version of the Organizational Orientations scale. Before continuing, please take a second to complete the measure.
Organizational Orientations—Short Form
Read the following questions and select the answer that corresponds with how you perceive your workplace. Do not be concerned if some of the items appear similar. Please use the scale below to rate the degree to which each statement applies to you:
Strongly Disagree
Disagree
Neutral
Agree
Strongly Agree
1
2
3
4
5
_____One of my goals in life is excelling at in my job.
_____I would like to learn as much as possible in my job.
_____Most of all, I really want to be recognized for the excellent work I do in the workplace.
_____Accomplishing my organization’s goals is worth all the work you have to do.
_____I am willing to work hard to accomplish my organization’s goals.
_____Since I am a really good worker, I know I will succeed in my career.
_____A job is a job, it doesn’t really matter where you work.
_____I am generally indifferent to where I work.
_____Generally, I just do as much as is required by my supervisor to get a paycheck.
_____I don’t much care where I work, so long as I get a paycheck.
_____One job is pretty much like any other.
_____When it comes to choosing a workplace, I found the one that would let me get by doing the least amount of work.
_____I really dislike the rules and regulations I am forced to live with at my job.
_____Generally, I don’t like the rules that my workplace makes me follow.
_____Most of the time, a halfhearted effort is all I feel I need to give at work.
_____I really think my job should just give me a paycheck and leave me alone.
_____One job is about like any other, a pain in the backside.
_____What I want most in my job is to be left alone.
SCORING: To compute your scores follow the instructions below:
Upwardly Mobile
Scoring: Add scores for items 1, 2, 3, 4, 5, & 6
For Upwardly Mobiles, scores should be between 6 and 30. If your score is above 15, you are considered an upwardly mobile worker. If your score is below 15, you’re not considered an upwardly mobile worker.
Indifferent
Scoring: Add scores for items 13, 14, 15, 16, 17, & 18
For Indifferents, scores should be between 6 and 30. If your score is above 15, you are considered a highly indifferent worker. If your score is below 15, you’re not considered an indifferent worker.
Ambivalent
Scoring: Add scores for items 7, 8, 9, 10, 11, & 12
For Ambivalents, scores should be between 6 and 30. If your score is above 15, you are considered an a highly ambivalent worker. If your score is below 15, you’re not considered an ambivalent worker.
Source: Wrench, J. S., Brogan, S. M., Fiore, A. M., & McKean, J. R. (2011, November). Consumerist education in America: When ideology impacts the basic purpose of higher education. Paper presented at the National Communication Association’s Convention, New Orleans, LA.
The Three Orientations
According to Virginia Richmond and James McCroskey, organizational orientations explain how followers orient themselves towards both their work and their workplace. Richmond, V. P., & McCroskey, J. C. (2009). Organizational orientations. In Organizational Communication for Survival: Making work, work (4th ed., pp. 82-93). Boston, MA: Allyn & Bacon. To help us understand the organizational orientations and their relationship to followership, let’s examine each one separately.
Upwardly Mobiles
The upwardly mobile
Organizational orientation described by James C. McCroskey and Virginia Richmond associated with individuals who are devoted to their work, their organization, and the organization’s goals.
organizational orientation is one associated with individuals who are devoted to their work, their organization, and the organization’s goals. To these individuals, working and their jobs are an inherent part of their lives. In fact, these people often identify their jobs as being careers and not just jobs. To upwardly mobiles, a job
Post of employment for an individual who is just looking to earn money.
is a way to earn money, but a career
Post of employment for an individual who is pursuing lifelong ambitions and goals related to one’s chosen occupation.
involves the pursuit of lifelong ambition and goals related to one’s chosen occupation. Upwardly mobile individuals see themselves as having careers and not just jobs. In fact, an inherent part of the identity of an upwardly mobile relates to her or his career (e.g., I’m a lawyer, I’m a teacher, I’m an accountant, etc…). These individuals generally are great followers because they really see their lives and their careers as highly intertwined constructs. However, upwardly mobile individuals want to continue up the hierarchy and will consider jumping ship if they do not see a place for them within an organization in the future.
Indifferents
The second way people orient themselves at work is the indifferent
Organizational orientation described by James C. McCroskey and Virginia Richmond describing followers who go to work and do their jobs in order to get a paycheck, these followers really sees life as something thatbegins once they leave the workplace
organizational orientation. Where upwardly mobile see themselves as having careers, indifferents clearly believe they have a job. In essence, the indifferent follower is one who sees work as a means to an end. The indifferent goes to work, does her or his job in order to get a paycheck, but the indifferent really sees life as something that begins once he or she has left the workplace. Indifferent followers need more guidance because they will do the minimum amount of work necessary to keep their job and earn a paycheck. Indifferents will look for a new job if they believe their current job is starting to encroach on their life outside of work. As for their communicative behavior at work, their “communication on the job is about their family or personal life. When encouraged to communicate about organizational matters with colleagues, they generally say nothing, change the topic, or suggest that others should discuss these matters.” Richmond, V. P., & McCroskey, J. C. (2009). Organizational orientations. In Organizational Communication for Survival: Making work, work (4th ed., pp. 82-93). Boston, MA: Allyn & Bacon; pg. 84.
Ambivalents
The last group of followers commonly seen in the workplace are ambivalents. Ambivalents
Organizational orientation described by James C. McCroskey and Virginia Richmond that depicts a follower who is disgruntled by the existing hierarchical structure, the tasks they are assigned, and/or the organizational goals.
are somewhat hard to describe because they can be unpredictable. Where upwardly mobiles like to work within the hierarchy to accomplish goals, indifferents go along with the hierarchy and do what they are told to do, ambivalents tend to like neither the existing hierarchical structure, the tasks they are assigned, nor the organizational goals. These individuals are just generally discontent. In fact, these individuals often think the grass would be greener in a different pasture. However, when they jump ship to a new organization, they tend to find themselves making the same complaints about their new organization as well. Furthermore, their moods and their behaviors within the organization can change on a daily basis. “These people can be supportive one day and destructive the next. They are moody, which makes it difficult for people to work with or for them.” Richmond, V. P., & McCroskey, J. C. (2009). Organizational orientations. In Organizational Communication for Survival: Making work, work (4th ed., pp. 82-93). Boston, MA: Allyn & Bacon; pg. 85. Sadly, most organizational members and leaders learn to keep their distance of ambivalents and keep their interactions with ambivalents to “small talk” to avoid setting them off. Most organizations (and its members) will be happier and more productive when these individuals leave.
Outcomes of Organizational Orientations
In the original study by McCroskey, Richmond, Johnson, and Smith examining organizational orientations, the researchers set out to examine how the three orientations related to a series of different communication and organizational variables. McCroskey, J. C., Richmond, V. P., Johnson, A. D., & Smith, H. T. (2004). Organizational orientations theory and measurement: Development of measures and preliminary investigations. Communication Quarterly, 52, 1-14. First, they found that upwardly mobile individuals were more motivated and higher levels of job satisfaction, while indifferents and ambivalents were neither motivated nor satisfied. As for their communication with others, upwardly mobile individuals were shown to be considerably more communicatively competent than either indifferents and ambivalents. The third major finding from the first study examined how an individual’s organizational orientation impact her or his views of their supervisor’s credibility. Not surprisingly, upwardly mobile followers saw their leaders as credible (competent, caring, and trustworthy), while indifferent and ambivalent followers did not. These results were later confirmed in a second study that compared both nonprofit and for-profit organizational members. McCroskey, L., McCroskey, J.C., & Richmond, V. P. (2005). Applying organizational Orientations theory to employees of profit and non-profit organizations. Communication Quarterly, 53, 21-40.
In a 2008 study conducted by Alan Goodboy and James McCroskey, the researchers furthered our understanding of organizational orientations by examining the relationship between the three organizational orientations and nonverbal immediacy and Machiavellianism. Goodboy, A. K., & McCroskey, J. C. (2008). Toward a theoretical model of the role of organizational orientations and Machiavellianism on nonverbal immediacy behavior and job satisfaction. Human Communication, 3, 293-308. Nonverbal immediacy is the perceived psychological or physical closeness between two people. The nonverbal literature has consistently shown that nonverbal immediacy (which can be influenced by effective eye contact, appropriate use of gestures, smiling, etc.) is a positive communication trait that improves a variety of different communicative interactions including both leader-follower relationships and coworker relationships. In this study, upwardly mobile individuals were more likely to be nonverbally immediate in the workplace when compared to either indifferents or ambivalents. Machiavellianism, on the other hand, is a personality trait associated with an individual’s tendency towards manipulating those around them. Both indifferents and ambivalents were more likely to be highly Machiavellian in the workplace when compared to their upwardly mobile counterparts.
Overall, these three studies clearly show that understanding one’s follower’s organizational orientations can be very important for follower-leader interactions in the workplace. While leaders should cultivate upwardly mobile they shouldn’t ignore either indifferents or ambivalents in order to have a more productive and harmonious working environment.
Key Takeaways
Followership is the act or condition under which an individual helps or supports a leader in the accomplishment of organizational goals. Followership is considered an act because of the various behaviors associated with following someone. Followership is conserved a condition because of an individual’s place within an organizational hierarchy.
Ira Chaleff’s styles of followership is based on the degree to which an individual follower will support her or his leader and the extent to which a follower will challenge her or his leader. Based on these two characteristics, Chaleff proposes four distinct follower types: (1) resource (low challenge, low support), (2) individualist (high challenge, low support), (3) implementer (low challenge, high support), and (4) partner (high challenge, high support).
Roger Adair’s 4-D Followership Model looks at the combination of worker’s level of job satisfaction and her or his intentions to leave the organization. Based on these two levels, Adair proposed four distinct types of workers: (1) disengage (low job satisfaction, low turnover intention), (2) disgruntled (low job satisfaction, high turnover intention), (3) doer (high job satisfaction, high turnover intention), and (4) disciple (high job satisfaction, low turnover intention). Ultimately, Adair also notes that disengaged and disgruntled followers are not very productive while doers and disciples are very productive followers.
Based on Robert Presthus created a theory of organizational life, McCroskey and Richmond have operationalized and studied three unique Organizational Orientations: upwardly mobiles (individuals who see their careers as a vibrant part of their daily lives, so they strive to be their best at work), indifferents (followers who see work as a means to an end and really see life as something that happens outside the workplace), and ambivalents (individuals who are disgruntled with existing hierarchical structures, the tasks they are assigned, and/or the organizational goals.). Upwardly mobile followers are generally more motivated, productive, and satisfied when compared to their indifferent and ambivalent peers.
Exercises
Thinking back to your most recent job, what type of follower would Ira Chaleff characterize you as? Why?
Thinking back to your most recent job, what type of follower would Roger Adair characterize you as? Why?
After completing the Organizational Orientations-Short Form scale in Note 7.40 "Organizational Orientations—Short Form", what organizational orientation is your most prominent? How do you think your organizational orientation affects your current job? Do you think your organizational orientation would change if you were in a job versus in a career? | msmarco_doc_00_10772110 |
http://2012books.lardbucket.org/books/beginning-chemistry/s07-02-molecules-and-chemical-nomencl.html | Molecules and Chemical Nomenclature | 3.2
Molecules and Chemical Nomenclature
3.2 Molecules and Chemical Nomenclature
Learning Objectives
Example 3
Example 4
Key Takeaways
Exercises
Answers
| Molecules and Chemical Nomenclature
3.2 Molecules and Chemical Nomenclature
Learning Objectives
Define molecule.
Name simple molecules based on their formulas.
Determine a formula of a molecule based on its name.
There are many substances that exist as two or more atoms connected together so strongly that they behave as a single particle. These multiatom combinations are called molecules
The smallest part of a substance that has the physical and chemical properties of that substance.
. A molecule is the smallest part of a substance that has the physical and chemical properties of that substance. In some respects, a molecule is similar to an atom. A molecule, however, is composed of more than one atom.
Some elements exist naturally as molecules. For example, hydrogen and oxygen exist as two-atom molecules. Other elements also exist naturally as diatomic molecules
A molecule with only two atoms.
(see Table 3.3 "Elements That Exist as Diatomic Molecules" ). As with any molecule, these elements are labeled with a molecular formula
A formal listing of what and how many atoms are in a molecule.
, a formal listing of what and how many atoms are in a molecule. (Sometimes only the word formula is used, and its meaning is inferred from the context.) For example, the molecular formula for elemental hydrogen is H 2, with H being the symbol for hydrogen and the subscript 2 implying that there are two atoms of this element in the molecule. Other diatomic elements have similar formulas: O 2, N 2, and so forth. Other elements exist as molecules—for example, sulfur normally exists as an eight-atom molecule, S 8, while phosphorus exists as a four-atom molecule, P 4 (see Figure 3.3 "Molecular Art of S" ). Otherwise, we will assume that elements exist as individual atoms, rather than molecules. It is assumed that there is only one atom in a formula if there is no numerical subscript on the right side of an element’s symbol.
Table 3.3 Elements That Exist as Diatomic Molecules
Hydrogen
Oxygen
Nitrogen
Fluorine
Chlorine
Bromine
Iodine
Figure 3.3 Molecular Art of S 8 and P 4 Molecules
If each green ball represents a sulfur atom, then the diagram on the left represents an S 8 molecule. The molecule on the right shows that one form of elemental phosphorus exists, as a four-atom molecule.
Figure 3.3 "Molecular Art of S" shows two examples of how we will be representing molecules in this text. An atom is represented by a small ball or sphere, which generally indicates where the nucleus is in the molecule. A cylindrical line connecting the balls represents the connection between the atoms that make this collection of atoms a molecule. This connection is called a chemical bond
The connection between two atoms in a molecule.
. In Chapter 9 "Chemical Bonds", we will explore the origin of chemical bonds. You will see other examples of this “ball and cylinder” representation of molecules throughout this book.
Many compounds exist as molecules. In particular, when nonmetals connect with other nonmetals, the compound typically exists as molecules. (Compounds between a metal and a nonmetal are different and will be considered in Section 3.4 "Ions and Ionic Compounds" .) Furthermore, in some cases there are many different kinds of molecules that can be formed between any given elements, with all the different molecules having different chemical and physical properties. How do we tell them apart?
The answer is a very specific system of naming compounds, called chemical nomenclature
A very specific system for naming compounds, in which unique substances get unique names.
. By following the rules of nomenclature, each and every compound has its own unique name, and each name refers to one and only one compound. Here, we will start with relatively simple molecules that have only two elements in them, the so-called binary compounds:
Identify the elements in the molecule from its formula. This is why you need to know the names and symbols of the elements in Table 3.2 "Names and Symbols of Common Elements".
Begin the name with the element name of the first element. If there is more than one atom of this element in the molecular formula, use a numerical prefix to indicate the number of atoms, as listed in Table 3.4 "Numerical Prefixes Used in Naming Molecular Compounds". Do not use the prefix mono- if there is only one atom of the first element.
Table 3.4 Numerical Prefixes Used in Naming Molecular Compounds
The Number of Atoms of an Element
Prefix
1
mono-
2
di-
3
tri-
4
tetra-
5
penta-
6
hexa-
7
hepta-
8
octa-
9
nona-
10
deca-
Name the second element by using three pieces:
a numerical prefix indicating the number of atoms of the second element, plus
the stem of the element name (e.g., ox for oxygen, chlor for chlorine, etc.), plus
the suffix -ide.
Combine the two words, leaving a space between them.
Let us see how these steps work for a molecule whose molecular formula is SO 2, which has one sulfur atom and two oxygen atoms—this completes step 1. According to step 2, we start with the name of the first element—sulfur. Remember, we don’t use the mono- prefix for the first element. Now for step 3, we combine the numerical prefix di- (see Table 3.4 "Numerical Prefixes Used in Naming Molecular Compounds") with the stem ox- and the suffix -ide, to make dioxide. Bringing these two words together, we have the unique name for this compound—sulfur dioxide.
Why all this trouble? There is another common compound consisting of sulfur and oxygen whose molecular formula is SO 3, so the compounds need to be distinguished. SO 3 has three oxygen atoms in it, so it is a different compound with different chemical and physical properties. The system of chemical nomenclature is designed to give this compound its own unique name. Its name, if you go through all the steps, is sulfur trioxide. Different compounds have different names.
In some cases, when a prefix ends in a or o and the element name begins with o we drop the a or o on the prefix. So we see monoxide or pentoxide rather than monooxide or pentaoxide in molecule names.
One great thing about this system is that it works both ways. From the name of a compound, you should be able to determine its molecular formula. Simply list the element symbols, with a numerical subscript if there is more than one atom of that element, in the order of the name (we do not use a subscript 1 if there is only one atom of the element present; 1 is implied). From the name nitrogen trichloride, you should be able to get NCl 3 as the formula for this molecule. From the name diphosphorus pentoxide, you should be able to get the formula P 2 O 5 (note the numerical prefix on the first element, indicating there is more than one atom of phosphorus in the formula).
Example 3
Name each molecule.
PF 3
CO
Se 2 Br 2
Solution
A molecule with a single phosphorus atom and three fluorine atoms is called phosphorus trifluoride.
A compound with one carbon atom and one oxygen atom is properly called carbon monoxide, not carbon monooxide.
There are two atoms of each element, selenium and bromine. According to the rules, the proper name here is diselenium dibromide.
Test Yourself
Name each molecule.
SF 4
P 2 S 5
Answers
sulfur tetrafluoride
diphosphorus pentasulfide
Example 4
Give the formula for each molecule.
carbon tetrachloride
silicon dioxide
trisilicon tetranitride
Solution
The name carbon tetrachloride implies one carbon atom and four chlorine atoms, so the formula is CCl 4.
The name silicon dioxide implies one silicon atom and two oxygen atoms, so the formula is SiO 2.
We have a name that has numerical prefixes on both elements. Tri- means three, and tetra- means four, so the formula of this compound is Si 3 N 4.
Test Yourself
Give the formula for each molecule.
disulfur difluoride
iodine pentabromide
Answers
S 2 F 2
IBr 5
Some simple molecules have common names that we use as part of the formal system of chemical nomenclature. For example, H 2 O is given the name water, not dihydrogen monoxide. NH 3 is called ammonia, while CH 4 is called methane. We will occasionally see other molecules that have common names; we will point them out as they occur.
Key Takeaways
Molecules are groups of atoms that behave as a single unit.
Some elements exist as molecules: hydrogen, oxygen, sulfur, and so forth.
There are rules that can express a unique name for any given molecule, and a unique formula for any given name.
Exercises
Which of these formulas represent molecules? State how many atoms are in each molecule.
Fe
PCl 3
P 4
Ar
Which of these formulas represent molecules? State how many atoms are in each molecule.
I 2
He
H 2 O
Al
What is the difference between CO and Co?
What is the difference between H 2 O and H 2 O 2 (hydrogen peroxide)?
Give the proper formula for each diatomic element.
In 1986, when Halley’s comet last passed the earth, astronomers detected the presence of S 2 in their telescopes. Why is sulfur not considered a diatomic element?
What is the stem of fluorine used in molecule names? CF 4 is one example.
What is the stem of selenium used in molecule names? SiSe 2 is an example.
Give the proper name for each molecule.
PF 3
TeCl 2
N 2 O 3
Give the proper name for each molecule.
NO
CS 2
As 2 O 3
Give the proper name for each molecule.
XeF 2
O 2 F 2
SF 6
Give the proper name for each molecule.
P 4 O 10
B 2 O 3
P 2 S 3
Give the proper name for each molecule.
N 2 O
N 2 O 4
N 2 O 5
Give the proper name for each molecule.
SeO 2
Cl 2 O
XeF 6
Give the proper formula for each name.
dinitrogen pentoxide
tetraboron tricarbide
phosphorus pentachloride
Give the proper formula for each name.
nitrogen triiodide
diarsenic trisulfide
iodine trichloride
Give the proper formula for each name.
dioxygen dichloride
dinitrogen trisulfide
xenon tetrafluoride
Give the proper formula for each name.
chlorine dioxide
selenium dibromide
dinitrogen trioxide
Give the proper formula for each name.
iodine trifluoride
xenon trioxide
disulfur decafluoride
Give the proper formula for each name.
germanium dioxide
carbon disulfide
diselenium dibromide
Answers
not a molecule
a molecule; four atoms total
a molecule; four atoms total
not a molecule
CO is a compound of carbon and oxygen; Co is the element cobalt.
H 2, O 2, N 2, F 2, Cl 2, Br 2, I 2
fluor-
phosphorus trifluoride
tellurium dichloride
dinitrogen trioxide
xenon difluoride
dioxygen difluoride
sulfur hexafluoride
dinitrogen monoxide
dinitrogen tetroxide
dinitrogen pentoxide
N 2 O 5
B 4 C 3
PCl 5
O 2 Cl 2
N 2 S 3
XeF 4
IF 3
XeO 3
S 2 F 10 | msmarco_doc_00_10799622 |
http://2012books.lardbucket.org/books/beginning-chemistry/s08-02-types-of-chemical-reactions-si.html | Types of Chemical Reactions: Single- and Double-Displacement Reactions | 4.2
Types of Chemical Reactions: Single- and Double-Displacement Reactions
4.2 Types of Chemical Reactions: Single- and Double-Displacement Reactions
Learning Objectives
Example 2
Activity Series for Cation Replacement in Single-Replacement Reactions
Example 3
Example 4
Example 5
Key Takeaways
Exercises
Answers
| Types of Chemical Reactions: Single- and Double-Displacement Reactions
4.2 Types of Chemical Reactions: Single- and Double-Displacement Reactions
Learning Objectives
Recognize chemical reactions as single-replacement reactions and double-replacement reactions.
Use the periodic table, an activity series, or solubility rules to predict whether single-replacement reactions or double-replacement reactions will occur.
Up to now, we have presented chemical reactions as a topic, but we have not discussed how the products of a chemical reaction can be predicted. Here we will begin our study of certain types of chemical reactions that allow us to predict what the products of the reaction will be.
A single-replacement reaction
A chemical reaction in which one element is substituted for another element in a compound.
is a chemical reaction in which one element is substituted for another element in a compound, generating a new element and a new compound as products. For example,
2HCl (aq) + Zn (s) → ZnCl2(aq) + H2(g)
is an example of a single-replacement reaction. The hydrogen atoms in HCl are replaced by Zn atoms, and in the process a new element—hydrogen—is formed. Another example of a single-replacement reaction is
2NaCl (aq) + F2(g) → 2NaF (s) + Cl2(g)
Here the negatively charged ion changes from chloride to fluoride. A typical characteristic of a single-replacement reaction is that there is one element as a reactant and another element as a product.
Not all proposed single-replacement reactions will occur between two given reactants. This is most easily demonstrated with fluorine, chlorine, bromine, and iodine. Collectively, these elements are called the halogens and are in the next-to-last column on the periodic table (see Figure 4.1 "Halogens on the Periodic Table" ). The elements on top of the column will replace the elements below them on the periodic table but not the other way around. Thus, the reaction represented by
CaI2(s) + Cl2(g) → CaCl2(s) + I2(s)
will occur, but the reaction
CaF2(s) + Br2(ℓ) → CaBr2(s) + F2(g)
will not because bromine is below fluorine on the periodic table. This is just one of many ways the periodic table helps us understand chemistry.
Figure 4.1 Halogens on the Periodic Table
The halogens are the elements in the next-to-last column on the periodic table.
Example 2
Will a single-replacement reaction occur? If so, identify the products.
MgCl 2 + I 2 → ?
CaBr 2 + F 2 → ?
Solution
Because iodine is below chlorine on the periodic table, a single-replacement reaction will not occur.
Because fluorine is above bromine on the periodic table, a single-replacement reaction will occur, and the products of the reaction will be CaF 2 and Br 2.
Test Yourself
Will a single-replacement reaction occur? If so, identify the products.
FeI 2 + Cl 2 → ?
Answer
Yes; FeCl 2 and I 2
Chemical reactivity trends are easy to predict when replacing anions in simple ionic compounds—simply use their relative positions on the periodic table. However, when replacing the cations, the trends are not as straightforward. This is partly because there are so many elements that can form cations; an element in one column on the periodic table may replace another element nearby, or it may not. A list called the activity series
A list of elements that will replace elements below them in single-replacement reactions.
does the same thing the periodic table does for halogens: it lists the elements that will replace elements below them in single-replacement reactions. A simple activity series is shown below.
Activity Series for Cation Replacement in Single-Replacement Reactions
Li
K
Ba
Sr
Ca
Na
Mg
Al
Mn
Zn
Cr
Fe
Ni
Sn
Pb
H 2
Cu
Hg
Ag
Pd
Pt
Au
Using the activity series is similar to using the positions of the halogens on the periodic table. An element on top will replace an element below it in compounds undergoing a single-replacement reaction. Elements will not replace elements above them in compounds.
Example 3
Use the activity series to predict the products, if any, of each equation.
FeCl 2 + Zn → ?
HNO 3 + Au → ?
Solution
Because zinc is above iron in the activity series, it will replace iron in the compound. The products of this single-replacement reaction are ZnCl 2 and Fe.
Gold is below hydrogen in the activity series. As such, it will not replace hydrogen in a compound with the nitrate ion. No reaction is predicted.
Test Yourself
Use the activity series to predict the products, if any, of this equation.
AlPO 4 + Mg → ?
Answer
Mg 3 (PO 4) 2 and Al
A double-replacement reaction
A chemical reaction in which parts of two ionic compounds are exchanged.
occurs when parts of two ionic compounds are exchanged, making two new compounds. A characteristic of a double-replacement equation is that there are two compounds as reactants and two different compounds as products. An example is
CuCl2(aq) + 2AgNO3(aq) → Cu (NO3)2(aq) + 2AgCl (s)
There are two equivalent ways of considering a double-replacement equation: either the cations are swapped, or the anions are swapped. (You cannot swap both; you would end up with the same substances you started with.) Either perspective should allow you to predict the proper products, as long as you pair a cation with an anion and not a cation with a cation or an anion with an anion.
Example 4
Predict the products of this double-replacement equation: BaCl 2 + Na 2 SO 4 → ?
Solution
Thinking about the reaction as either switching the cations or switching the anions, we would expect the products to be BaSO 4 and NaCl.
Test Yourself
Predict the products of this double-replacement equation: KBr + AgNO 3 → ?
Answer
KNO 3 and AgBr
Predicting whether a double-replacement reaction occurs is somewhat more difficult than predicting a single-replacement reaction. However, there is one type of double-replacement reaction that we can predict: the precipitation reaction. A precipitation reaction
A chemical reaction in which two ionic compounds are dissolved in water and form a new ionic compound that does not dissolve.
occurs when two ionic compounds are dissolved in water and form a new ionic compound that does not dissolve; this new compound falls out of solution as a solid precipitate
A solid that falls out of solution in a precipitation reaction.
. The formation of a solid precipitate is the driving force that makes the reaction proceed.
To judge whether double-replacement reactions will occur, we need to know what kinds of ionic compounds form precipitates. For this, we use solubility rules
General statements that predict which ionic compounds dissolve and which do not.
, which are general statements that predict which ionic compounds dissolve (are soluble) and which do not (are not soluble or insoluble). Table 4.1 "Some Useful Solubility Rules" lists some general solubility rules. We need to consider each ionic compound (both the reactants and the possible products) in light of the solubility rules in Table 4.1 "Some Useful Solubility Rules". If a compound is soluble, we use the (aq) label with it, indicating it dissolves. If a compound is not soluble, we use the (s) label with it and assume that it will precipitate out of solution. If everything is soluble, then no reaction will be expected.
Table 4.1 Some Useful Solubility Rules
These compounds generally dissolve in water (are soluble):
Exceptions:
All compounds of Li +, Na +, K +, Rb +, Cs +, and NH 4+
None
All compounds of NO 3− and C 2 H 3 O 2−
None
Compounds of Cl −, Br −, I −
Ag +, Hg 22+, Pb 2+
Compounds of SO 42
Hg 22+, Pb 2+, Sr 2+, Ba 2+
These compounds generally do not dissolve in water (are insoluble):
Exceptions:
Compounds of CO 32− and PO 43−
Compounds of Li +, Na +, K +, Rb +, Cs +, and NH 4+
Compounds of OH −
Compounds of Li +, Na +, K +, Rb +, Cs +, NH 4+, Sr 2+, and Ba 2+
For example, consider the possible double-replacement reaction between Na 2 SO 4 and SrCl 2. The solubility rules say that all ionic sodium compounds are soluble and all ionic chloride compounds are soluble except for Ag +, Hg 22+, and Pb 2+, which are not being considered here. Therefore, Na 2 SO 4 and SrCl 2 are both soluble. The possible double-replacement reaction products are NaCl and SrSO 4. Are these soluble? NaCl is (by the same rule we just quoted), but what about SrSO 4? Compounds of the sulfate ion are generally soluble, but Sr 2+ is an exception: we expect it to be insoluble—a precipitate. Therefore, we expect a reaction to occur, and the balanced chemical equation would be
Na2SO4(aq) + SrCl2(aq) → 2NaCl (aq) + SrSO4(s)
You would expect to see a visual change corresponding to SrSO 4 precipitating out of solution ( Figure 4.2 "Double-Replacement Reactions" ).
Figure 4.2 Double-Replacement Reactions
Some double-replacement reactions are obvious because you can see a solid precipitate coming out of solution.
Source: Photo courtesy of Choij, http://commons.wikimedia.org/wiki/File:Copper_solution.jpg.
Example 5
Will a double-replacement reaction occur? If so, identify the products.
Ca (NO 3) 2 + KBr → ?
NaOH + FeCl 2 → ?
Solution
According to the solubility rules, both Ca (NO 3) 2 and KBr are soluble. Now we consider what the double-replacement products would be by switching the cations (or the anions)—namely, CaBr 2 and KNO 3. However, the solubility rules predict that these two substances would also be soluble, so no precipitate would form. Thus, we predict no reaction in this case.
According to the solubility rules, both NaOH and FeCl 2 are expected to be soluble. If we assume that a double-replacement reaction may occur, we need to consider the possible products, which would be NaCl and Fe (OH) 2. NaCl is soluble, but, according to the solubility rules, Fe (OH) 2 is not. Therefore, a reaction would occur, and Fe (OH) 2 (s) would precipitate out of solution. The balanced chemical equation is
2NaOH (aq) + FeCl2(aq) → 2NaCl (aq) + Fe (OH)2(s)
Test Yourself
Will a double-replacement equation occur? If so, identify the products.
Sr (NO 3) 2 + KCl → ?
Answer
No reaction; all possible products are soluble.
Key Takeaways
A single-replacement reaction replaces one element for another in a compound.
The periodic table or an activity series can help predict whether single-replacement reactions occur.
A double-replacement reaction exchanges the cations (or the anions) of two ionic compounds.
A precipitation reaction is a double-replacement reaction in which one product is a solid precipitate.
Solubility rules are used to predict whether some double-replacement reactions will occur.
Exercises
What are the general characteristics that help you recognize single-replacement reactions?
What are the general characteristics that help you recognize double-replacement reactions?
Assuming that each single-replacement reaction occurs, predict the products and write each balanced chemical equation.
Zn + Fe (NO 3) 2 → ?
F 2 + FeI 3 → ?
Assuming that each single-replacement reaction occurs, predict the products and write each balanced chemical equation.
Li + MgSO 4 → ?
NaBr + Cl 2 → ?
Assuming that each single-replacement reaction occurs, predict the products and write each balanced chemical equation.
Sn + H 2 SO 4 → ?
Al + NiBr 2 → ?
Assuming that each single-replacement reaction occurs, predict the products and write each balanced chemical equation.
Mg + HCl → ?
HI + Br 2 → ?
Use the periodic table or the activity series to predict if each single-replacement reaction will occur and, if so, write a balanced chemical equation.
FeCl 2 + Br 2 → ?
Fe (NO 3) 3 + Al → ?
Use the periodic table or the activity series to predict if each single-replacement reaction will occur and, if so, write a balanced chemical equation.
Zn + Fe 3 (PO 4) 2 → ?
Ag + HNO 3 → ?
Use the periodic table or the activity series to predict if each single-replacement reaction will occur and, if so, write a balanced chemical equation.
NaI + Cl 2 → ?
AgCl + Au → ?
Use the periodic table or the activity series to predict if each single-replacement reaction will occur and, if so, write a balanced chemical equation.
Pt + H 3 PO 4 → ?
Li + H 2 O → ? (Hint: treat H 2 O as if it were composed of H + and OH − ions.)
Assuming that each double-replacement reaction occurs, predict the products and write each balanced chemical equation.
Zn (NO 3) 2 + NaOH → ?
HCl + Na 2 S → ?
Assuming that each double-replacement reaction occurs, predict the products and write each balanced chemical equation.
Ca (C 2 H 3 O 2) 2 + HNO 3 → ?
Na 2 CO 3 + Sr (NO 2) 2 → ?
Assuming that each double-replacement reaction occurs, predict the products and write each balanced chemical equation.
Pb (NO 3) 2 + KBr → ?
K 2 O + MgCO 3 → ?
Assuming that each double-replacement reaction occurs, predict the products and write each balanced chemical equation.
Sn (OH) 2 + FeBr 3 → ?
CsNO 3 + KCl → ?
Use the solubility rules to predict if each double-replacement reaction will occur and, if so, write a balanced chemical equation.
Pb (NO 3) 2 + KBr → ?
K 2 O + Na 2 CO 3 → ?
Use the solubility rules to predict if each double-replacement reaction will occur and, if so, write a balanced chemical equation.
Na 2 CO 3 + Sr (NO 2) 2 → ?
(NH 4) 2 SO 4 + Ba (NO 3) 2 → ?
Use the solubility rules to predict if each double-replacement reaction will occur and, if so, write a balanced chemical equation.
K 3 PO 4 + SrCl 2 → ?
NaOH + MgCl 2 → ?
Use the solubility rules to predict if each double-replacement reaction will occur and, if so, write a balanced chemical equation.
KC 2 H 3 O 2 + Li 2 CO 3 → ?
KOH + AgNO 3 → ?
Answers
One element replaces another element in a compound.
Zn + Fe (NO 3) 2 → Zn (NO 3) 2 + Fe
3F 2 + 2FeI 3 → 3I 2 + 2FeF 3
Sn + H 2 SO 4 → SnSO 4 + H 2
2Al + 3NiBr 2 → 2AlBr 3 + 3Ni
No reaction occurs.
Fe (NO 3) 3 + Al → Al (NO 3) 3 + Fe
2NaI + Cl 2 → 2NaCl + I 2
No reaction occurs.
Zn (NO 3) 2 + 2NaOH → Zn (OH) 2 + 2NaNO 3
2HCl + Na 2 S → 2NaCl + H 2 S
Pb (NO 3) 2 + 2KBr → PbBr 2 + 2KNO 3
K 2 O + MgCO 3 → K 2 CO 3 + MgO
Pb (NO 3) 2 + 2KBr → PbBr 2 (s) + 2KNO 3
No reaction occurs. | msmarco_doc_00_10810783 |
http://2012books.lardbucket.org/books/beginning-chemistry/s08-03-ionic-equations-a-closer-look.html | Ionic Equations: A Closer Look | 4.3
Ionic Equations: A Closer Look
4.3 Ionic Equations: A Closer Look
Learning Objectives
Example 6
Example 7
Example 8
Chemistry Is Everywhere: Soluble and Insoluble Ionic Compounds
Key Takeaways
Exercises
Answers
| Ionic Equations: A Closer Look
4.3 Ionic Equations: A Closer Look
Learning Objectives
Write ionic equations for chemical reactions between ionic compounds.
Write net ionic equations for chemical reactions between ionic compounds.
For single-replacement and double-replacement reactions, many of the reactions included ionic compounds: compounds between metals and nonmetals or compounds that contained recognizable polyatomic ions. Now we take a closer look at reactions that include ionic compounds.
One important aspect about ionic compounds that differs from molecular compounds has to do with dissolving in a liquid, such as water. When molecular compounds, such as sugar, dissolve in water, the individual molecules drift apart from each other. When ionic compounds dissolve, the ions physically separate from each other. We can use a chemical equation to represent this process—for example, with NaCl:
NaCl (s) → H 2 O Na + (aq) + Cl − (aq)
When NaCl dissolves in water, the ions separate and go their own way in solution; the ions are now written with their respective charges, and the (aq) phase label emphasizes that they are dissolved ( Figure 4.3 "Ionic Solutions" ). This process is called dissociation
The process of an ionic compound separating into ions when it dissolves.
; we say that the ions dissociate.
Figure 4.3 Ionic Solutions
When an ionic compound dissociates in water, water molecules surround each ion and separate it from the rest of the solid. Each ion goes its own way in solution.
All ionic compounds that dissolve behave this way. (This behavior was first suggested by the Swedish chemist Svante August Arrhenius [1859–1927] as part of his PhD dissertation in 1884. Interestingly, his PhD examination team had a hard time believing that ionic compounds would behave like this, so they gave Arrhenius a barely passing grade. Later, this work was cited when Arrhenius was awarded the Nobel Prize in Chemistry.) Keep in mind that when the ions separate, all the ions separate. Thus, when CaCl 2 dissolves, the one Ca 2+ ion and the two Cl − ions separate from each other:
CaCl 2 (s) → H 2 O Ca 2 + (aq) + Cl − (aq) + Cl − (aq) or CaCl 2 (s) → H 2 O Ca 2 + (aq) + 2Cl − (aq)
That is, the two chloride ions go off on their own. They do not remain as Cl 2 (that would be elemental chlorine; these are chloride ions); they do not stick together to make Cl 2− or Cl 22−. They become dissociated ions in their own right. Polyatomic ions also retain their overall identity when they are dissolved.
Example 6
Write the chemical equation that represents the dissociation of each ionic compound.
KBr
Na 2 SO 4
Solution
KBr (s) → K + (aq) + Br − (aq)
Not only do the two sodium ions go their own way, but the sulfate ion stays together as the sulfate ion. The dissolving equation is
Na2SO4(s) → 2Na+(aq) + SO42−(aq)
Test Yourself
Write the chemical equation that represents the dissociation of (NH 4) 2 S.
Answer
(NH 4) 2 S (s) → 2NH 4+ (aq) + S 2− (aq)
When chemicals in solution react, the proper way of writing the chemical formulas of the dissolved ionic compounds is in terms of the dissociated ions, not the complete ionic formula. A complete ionic equation
A chemical equation in which the dissolved ionic compounds are written as separated ions.
is a chemical equation in which the dissolved ionic compounds are written as separated ions. Solubility rules are very useful in determining which ionic compounds are dissolved and which are not. For example, when NaCl (aq) reacts with AgNO 3 (aq) in a double-replacement reaction to precipitate AgCl (s) and form NaNO 3 (aq), the complete ionic equation includes NaCl, AgNO 3, and NaNO 3 written as separated ions:
Na+(aq) + Cl−(aq) + Ag+(aq) + NO3−(aq) → AgCl (s) + Na+(aq) + NO3−(aq)
This is more representative of what is occurring in the solution.
Example 7
Write the complete ionic equation for each chemical reaction.
KBr (aq) + AgC 2 H 3 O 2 (aq) → KC 2 H 3 O 2 (aq) + AgBr (s)
MgSO 4 (aq) + Ba (NO 3) 2 (aq) → Mg (NO 3) 2 (aq) + BaSO 4 (s)
Solution
For any ionic compound that is aqueous, we will write the compound as separated ions.
The complete ionic equation is
K+(aq) + Br−(aq) + Ag+(aq) + C2H3O2−(aq) → K+(aq) + C2H3O2−(aq) + AgBr (s)
The complete ionic equation is
Mg2+(aq) + SO42−(aq) + Ba2+(aq) + 2NO3−(aq) → Mg2+(aq) + 2NO3−(aq) + BaSO4(s)
Test Yourself
Write the complete ionic equation for
CaCl2(aq) + Pb (NO3)2(aq) → Ca (NO3)2(aq) + PbCl2(s)
Answer
Ca 2+ (aq) + 2Cl − (aq) + Pb 2+ (aq) + 2NO 3− (aq) → Ca 2+ (aq) + 2NO 3− (aq) + PbCl 2 (s)
You may notice that in a complete ionic equation, some ions do not change their chemical form; they stay exactly the same on the reactant and product sides of the equation. For example, in
Na+(aq) + Cl−(aq) + Ag+(aq) + NO3−(aq) → AgCl (s) + Na+(aq) + NO3−(aq)
the Ag + (aq) and Cl − (aq) ions become AgCl (s), but the Na + (aq) ions and the NO 3− (aq) ions stay as Na + (aq) ions and NO 3− (aq) ions. These two ions are examples of spectator ions
An ion that does nothing in the overall course of a chemical reaction.
, ions that do nothing in the overall course of a chemical reaction. They are present, but they do not participate in the overall chemistry. It is common to cancel spectator ions (something also done with algebraic quantities) on the opposite sides of a chemical equation:
Na + (aq) + Cl − (aq) + Ag + (aq) + NO 3 − (aq) → AgCl (s) + Na + (aq) + NO 3 − (aq)
What remains when the spectator ions are removed is called the net ionic equation
A chemical equation with the spectator ions removed.
, which represents the actual chemical change occurring between the ionic compounds:
Cl−(aq) + Ag+(aq) → AgCl (s)
It is important to reiterate that the spectator ions are still present in solution, but they don’t experience any net chemical change, so they are not written in a net ionic equation.
Example 8
Write the net ionic equation for each chemical reaction.
K + (aq) + Br − (aq) + Ag + (aq) + C 2 H 3 O 2− (aq) → K + (aq) + C 2 H 3 O 2− (aq) + AgBr (s)
Mg 2+ (aq) + SO 42− (aq) + Ba 2+ (aq) + 2NO 3− (aq) → Mg 2+ (aq) + 2NO 3− (aq) + BaSO 4 (s)
Solution
In the first equation, the K + (aq) and C 2 H 3 O 2− (aq) ions are spectator ions, so they are canceled:
K + (aq) + Br − (aq) + Ag + (aq) + C 2 H 3 O 2 − (aq) → K + (aq) + C 2 H 3 O 2 − (aq) + AgBr (s)
The net ionic equation is
Br−(aq) + Ag+(aq) → AgBr (s)
In the second equation, the Mg 2+ (aq) and NO 3− (aq) ions are spectator ions, so they are canceled:
Mg 2 + (aq) + SO 4 2 − (aq) + Ba 2 + (aq) + 2NO 3 − (aq) → Mg 2 + (aq) + 2NO 3 − (aq) + BaSO 4 (s)
The net ionic equation is
SO42−(aq) + Ba2+(aq) → BaSO4(s)
Test Yourself
Write the net ionic equation for
CaCl2(aq) + Pb (NO3)2(aq) → Ca (NO3)2(aq) + PbCl2(s)
Answer
Pb 2+ (aq) + 2Cl − (aq) → PbCl 2 (s)
Chemistry Is Everywhere: Soluble and Insoluble Ionic Compounds
The concept of solubility versus insolubility in ionic compounds is a matter of degree. Some ionic compounds are very soluble, some are only moderately soluble, and some are soluble so little that they are considered insoluble. For most ionic compounds, there is also a limit to the amount of compound can be dissolved in a sample of water. For example, you can dissolve a maximum of 36.0 g of NaCl in 100 g of water at room temperature, but you can dissolve only 0.00019 g of AgCl in 100 g of water. We consider NaCl soluble but AgCl insoluble.
One place where solubility is important is in the tank-type water heater found in many homes in the United States. Domestic water frequently contains small amounts of dissolved ionic compounds, including calcium carbonate (CaCO 3 ). However, CaCO 3 has the relatively unusual property of being less soluble in hot water than in cold water. So as the water heater operates by heating water, CaCO 3 can precipitate if there is enough of it in the water. This precipitate, called limescale, can also contain magnesium compounds, hydrogen carbonate compounds, and phosphate compounds. The problem is that too much limescale can impede the function of a water heater, requiring more energy to heat water to a specific temperature or even blocking water pipes into or out of the water heater, causing dysfunction.
Most homes in the United States have a tank-type water heater like this one.
© Thinkstock
Another place where solubility versus insolubility is an issue is the Grand Canyon. We usually think of rock as insoluble. But it is actually ever so slightly soluble. This means that over a period of about two billion years, the Colorado River carved rock from the surface by slowly dissolving it, eventually generating a spectacular series of gorges and canyons. And all because of solubility!
The Grand Canyon was formed by water running through rock for billions of years, very slowly dissolving it. Note the Colorado River is still present in the lower part of the photo.
© Thinkstock
Key Takeaways
Ionic compounds that dissolve separate into individual ions.
Complete ionic equations show dissolved ionic solids as separated ions.
Net ionic equations show only the ions and other substances that change in a chemical reaction.
Exercises
Write a chemical equation that represents NaBr (s) dissociating in water.
Write a chemical equation that represents SrCl 2 (s) dissociating in water.
Write a chemical equation that represents (NH 4) 3 PO 4 (s) dissociating in water.
Write a chemical equation that represents Fe (C 2 H 3 O 2) 3 (s) dissociating in water.
Write the complete ionic equation for the reaction of FeCl 2 (aq) and AgNO 3 (aq). You may have to consult the solubility rules.
Write the complete ionic equation for the reaction of BaCl 2 (aq) and Na 2 SO 4 (aq). You may have to consult the solubility rules.
Write the complete ionic equation for the reaction of KCl (aq) and NaC 2 H 3 O 2 (aq). You may have to consult the solubility rules.
Write the complete ionic equation for the reaction of Fe 2 (SO 4) 3 (aq) and Sr (NO 3) 2 (aq). You may have to consult the solubility rules.
Write the net ionic equation for the reaction of FeCl 2 (aq) and AgNO 3 (aq). You may have to consult the solubility rules.
Write the net ionic equation for the reaction of BaCl 2 (aq) and Na 2 SO 4 (aq). You may have to consult the solubility rules.
Write the net ionic equation for the reaction of KCl (aq) and NaC 2 H 3 O 2 (aq). You may have to consult the solubility rules.
Write the net ionic equation for the reaction of Fe 2 (SO 4) 3 (aq) and Sr (NO 3) 2 (aq). You may have to consult the solubility rules.
Identify the spectator ions in Exercises 9 and 10.
Identify the spectator ions in Exercises 11 and 12.
Answers
NaBr (s)
→ H 2 O
Na + (aq) + Br − (aq)
(NH 4) 3 PO 4 (s)
→ H 2 O
3NH 4+ (aq) + PO 43− (aq)
Fe 2+ (aq) + 2Cl − (aq) + 2Ag + (aq) + 2NO 3− (aq) → Fe 2+ (aq) + 2NO 3− (aq) + 2AgCl (s)
K + (aq) + Cl − (aq) + Na + (aq) + C 2 H 3 O 2− (aq) → Na + (aq) + Cl − (aq) + K + (aq) + C 2 H 3 O 2− (aq)
2Cl − (aq) + 2Ag + (aq) → 2AgCl (s)
There is no overall reaction.
In Exercise 9, Fe 2+ (aq) and NO 3− (aq) are spectator ions; in Exercise 10, Na + (aq) and Cl − (aq) are spectator ions. | msmarco_doc_00_10825942 |
http://2012books.lardbucket.org/books/beginning-chemistry/s08-05-neutralization-reactions.html | Neutralization Reactions | 4.5
Neutralization Reactions
4.5 Neutralization Reactions
Learning Objectives
Example 11
Example 12
Key Takeaways
Exercises
Answers
| Neutralization Reactions
4.5 Neutralization Reactions
Learning Objectives
Identify an acid and a base.
Identify a neutralization reaction and predict its products.
In Chapter 3 "Atoms, Molecules, and Ions", Section 3.5 "Acids", we defined an acid as an ionic compound that contains H + as the cation. This is slightly incorrect, but until additional concepts were developed, a better definition needed to wait. Now we can redefine an acid: an acid
A compound that increases the amount of H + ions in an aqueous solution.
is any compound that increases the amount of hydrogen ion (H +) in an aqueous solution. The chemical opposite of an acid is a base. The equivalent definition of a base is that a base
A compound that increases the amount of OH − ions in an aqueous solution.
is a compound that increases the amount of hydroxide ion (OH −) in an aqueous solution. These original definitions were proposed by Arrhenius (the same person who proposed ion dissociation) in 1884, so they are referred to as the Arrhenius definition of an acid and a base, respectively.
You may recognize that, based on the description of a hydrogen atom, an H + ion is a hydrogen atom that has lost its lone electron; that is, H + is simply a proton. Do we really have bare protons moving about in aqueous solution? No. What is more likely is that the H + ion has attached itself to one (or more) water molecule (s). To represent this chemically, we define the hydronium ion
H 3 O + ( aq), a water molecule with an extra hydrogen ion attached to it.
as H 3 O +, which represents an additional proton attached to a water molecule. We use the hydronium ion as the more logical way a hydrogen ion appears in an aqueous solution, although in many chemical reactions H + and H 3 O + are treated equivalently.
The reaction of an acid and a base is called a neutralization reaction
The reaction of an acid with a base to produce water and a salt.
. Although acids and bases have their own unique chemistries, the acid and base cancel each other’s chemistry to produce a rather innocuous substance—water. In fact, the general reaction between an acid and a base is
acid + base → water + salt
where the term salt
Any ionic compound that is formed from a reaction between an acid and a base.
is generally used to define any ionic compound (soluble or insoluble) that is formed from a reaction between an acid and a base. (In chemistry, the word salt refers to more than just table salt.) For example, the balanced chemical equation for the reaction between HCl (aq) and KOH (aq) is
HCl (aq) + KOH (aq) → H2O (ℓ) + KCl (aq)
where the salt is KCl. By counting the number of atoms of each element, we find that only one water molecule is formed as a product. However, in the reaction between HCl (aq) and Mg (OH) 2 (aq), additional molecules of HCl and H 2 O are required to balance the chemical equation:
2HCl (aq) + Mg (OH)2(aq) → 2H2O (ℓ) + MgCl2(aq)
Here, the salt is MgCl 2. (This is one of several reactions that take place when a type of antacid—a base—is used to treat stomach acid.)
Example 11
Write the neutralization reactions between each acid and base.
HNO 3 (aq) and Ba (OH) 2 (aq)
H 3 PO 4 (aq) and Ca (OH) 2 (aq)
Solution
First, we will write the chemical equation with the formulas of the reactants and the expected products; then we will balance the equation.
The expected products are water and barium nitrate, so the initial chemical reaction is
HNO3(aq) + Ba (OH)2(aq) → H2O (ℓ) + Ba (NO3)2(aq)
To balance the equation, we need to realize that there will be two H 2 O molecules, so two HNO 3 molecules are required:
2HNO3(aq) + Ba (OH)2(aq) → 2H2O (ℓ) + Ba (NO3)2(aq)
This chemical equation is now balanced.
The expected products are water and calcium phosphate, so the initial chemical equation is
H3PO4(aq) + Ca (OH)2(aq) → H2O (ℓ) + Ca3(PO4)2(s)
According to the solubility rules, Ca 3 (PO 4) 2 is insoluble, so it has an (s) phase label. To balance this equation, we need two phosphate ions and three calcium ions; we end up with six water molecules to balance the equation:
2H3PO4(aq) + 3Ca (OH)2(aq) → 6H2O (ℓ) + Ca3(PO4)2(s)
This chemical equation is now balanced.
Test Yourself
Write the neutralization reaction between H 2 SO 4 (aq) and Sr (OH) 2 (aq).
Answer
H 2 SO 4 (aq) + Sr (OH) 2 (aq) → 2H 2 O (ℓ) + SrSO 4 (aq)
Neutralization reactions are one type of chemical reaction that proceeds even if one reactant is not in the aqueous phase. For example, the chemical reaction between HCl (aq) and Fe (OH) 3 (s) still proceeds according to the equation
3HCl (aq) + Fe (OH)3(s) → 3H2O (ℓ) + FeCl3(aq)
even though Fe (OH) 3 is not soluble. When one realizes that Fe (OH) 3 (s) is a component of rust, this explains why some cleaning solutions for rust stains contain acids—the neutralization reaction produces products that are soluble and wash away. (Washing with acids like HCl is one way to remove rust and rust stains, but HCl must be used with caution!)
Complete and net ionic reactions for neutralization reactions will depend on whether the reactants and products are soluble, even if the acid and base react. For example, in the reaction of HCl (aq) and NaOH (aq),
HCl (aq) + NaOH (aq) → H2O (ℓ) + NaCl (aq)
the complete ionic reaction is
H+(aq) + Cl−(aq) + Na+(aq) + OH−(aq) → H2O (ℓ) + Na+(aq) + Cl−(aq)
The Na + (aq) and Cl − (aq) ions are spectator ions, so we can remove them to have
H+(aq) + OH−(aq) → H2O (ℓ)
as the net ionic equation. If we wanted to write this in terms of the hydronium ion, H 3 O + (aq), we would write it as
H3O+(aq) + OH−(aq) → 2H2O (ℓ)
With the exception of the introduction of an extra water molecule, these two net ionic equations are equivalent.
However, for the reaction between HCl (aq) and Cr (OH) 2 (s), because chromium (II) hydroxide is insoluble, we cannot separate it into ions for the complete ionic equation:
2H+(aq) + 2Cl−(aq) + Cr (OH)2(s) → 2H2O (ℓ) + Cr2+(aq) + 2Cl−(aq)
The chloride ions are the only spectator ions here, so the net ionic equation is
2H+(aq) + Cr (OH)2(s) → 2H2O (ℓ) + Cr2+(aq)
Example 12
Oxalic acid, H 2 C 2 O 4 (s), and Ca (OH) 2 (s) react very slowly. What is the net ionic equation between these two substances if the salt formed is insoluble? (The anion in oxalic acid is the oxalate ion, C 2 O 42− .)
Solution
The products of the neutralization reaction will be water and calcium oxalate:
H2C2O4(s) + Ca (OH)2(s) → 2H2O (ℓ) + CaC2O4(s)
Because nothing is dissolved, there are no substances to separate into ions, so the net ionic equation is the equation of the three solids and one liquid.
Test Yourself
What is the net ionic equation between HNO 3 (aq) and Ti (OH) 4 (s)?
Answer
4H + (aq) + Ti (OH) 4 (s) → 4H 2 O (ℓ) + Ti 4+ (aq)
Key Takeaways
The Arrhenius definition of an acid is a substance that increases the amount of H + in an aqueous solution.
The Arrhenius definition of a base is a substance that increases the amount of OH − in an aqueous solution.
Neutralization is the reaction of an acid and a base, which forms water and a salt.
Net ionic equations for neutralization reactions may include solid acids, solid bases, solid salts, and water.
Exercises
What is the Arrhenius definition of an acid?
What is the Arrhenius definition of a base?
Predict the products of each acid-base combination listed. Assume that a neutralization reaction occurs.
HCl and KOH
H 2 SO 4 and KOH
H 3 PO 4 and Ni (OH) 2
Predict the products of each acid-base combination listed. Assume that a neutralization reaction occurs.
HBr and Fe (OH) 3
HNO 2 and Al (OH) 3
HClO 3 and Mg (OH) 2
Write a balanced chemical equation for each neutralization reaction in Exercise 3.
Write a balanced chemical equation for each neutralization reaction in Exercise 4.
Write a balanced chemical equation for the neutralization reaction between each given acid and base. Include the proper phase labels.
HI (aq) + KOH (aq) → ?
H 2 SO 4 (aq) + Ba (OH) 2 (aq) → ?
Write a balanced chemical equation for the neutralization reaction between each given acid and base. Include the proper phase labels.
HNO 3 (aq) + Fe (OH) 3 (s) → ?
H 3 PO 4 (aq) + CsOH (aq) → ?
Write the net ionic equation for each neutralization reaction in Exercise 7.
Write the net ionic equation for each neutralization reaction in Exercise 8.
Write the complete and net ionic equations for the neutralization reaction between HClO 3 (aq) and Zn (OH) 2 (s). Assume the salt is soluble.
Write the complete and net ionic equations for the neutralization reaction between H 2 C 2 O 4 (s) and Sr (OH) 2 (aq). Assume the salt is insoluble.
Explain why the net ionic equation for the neutralization reaction between HCl (aq) and KOH (aq) is the same as the net ionic equation for the neutralization reaction between HNO 3 (aq) and RbOH.
Explain why the net ionic equation for the neutralization reaction between HCl (aq) and KOH (aq) is different from the net ionic equation for the neutralization reaction between HCl (aq) and AgOH.
Write the complete and net ionic equations for the neutralization reaction between HCl (aq) and KOH (aq) using the hydronium ion in place of H +. What difference does it make when using the hydronium ion?
Write the complete and net ionic equations for the neutralization reaction between HClO 3 (aq) and Zn (OH) 2 (s) using the hydronium ion in place of H +. Assume the salt is soluble. What difference does it make when using the hydronium ion?
Answers
An Arrhenius acid increases the amount of H + ions in an aqueous solution.
KCl and H 2 O
K 2 SO 4 and H 2 O
Ni 3 (PO 4) 2 and H 2 O
HCl + KOH → KCl + H 2 O
H 2 SO 4 + 2KOH → K 2 SO 4 + 2H 2 O
2H 3 PO 4 + 3Ni (OH) 2 → Ni 3 (PO 4) 2 + 6H 2 O
HI (aq) + KOH (aq) → KCl (aq) + H 2 O (ℓ)
H 2 SO 4 (aq) + Ba (OH) 2 (aq) → BaSO 4 (s) + 2H 2 O (ℓ)
H + (aq) + OH − (aq) → H 2 O (ℓ)
2H + (aq) + SO 42− (aq) + Ba 2+ (aq) + 2OH − (aq) → BaSO 4 (s) + 2H 2 O (ℓ)
Complete ionic equation:
2H+(aq) + 2ClO3−(aq) + Zn2+(aq) + 2OH−(aq) → Zn2+(aq) + 2ClO3−(aq) + 2H2O (ℓ)
Net ionic equation:
2H+(aq) + 2OH−(aq) → 2H2O (ℓ)
Because the salts are soluble in both cases, the net ionic reaction is just H + (aq) + OH − (aq) → H 2 O (ℓ).
Complete ionic equation:
H3O+(aq) + Cl−(aq) + K+(aq) + OH−(aq) → 2H2O (ℓ) + K+(aq) + Cl−(aq)
Net ionic equation:
H3O+(aq) + OH−(aq) → 2H2O (ℓ)
The difference is simply the presence of an extra water molecule as a product. | msmarco_doc_00_10838053 |
http://2012books.lardbucket.org/books/beginning-chemistry/s11-06-formation-reactions.html | Formation Reactions | 7.6
Formation Reactions
7.6 Formation Reactions
Learning Objectives
Example 11
Example 12
Example 13
Example 14
Food and Drink App: Calories and Nutrition
Key Takeaways
Exercises
Answers
| Formation Reactions
7.6 Formation Reactions
Learning Objectives
Define a formation reaction and be able to recognize one.
Use enthalpies of formation to determine the enthalpy of reaction.
Hess’s law allows us to construct new chemical reactions and predict what their enthalpies of reaction will be. This is a very useful tool because now we don’t have to measure the enthalpy changes of every possible reaction. We need measure only the enthalpy changes of certain benchmark reactions and then use these reactions to algebraically construct any possible reaction and combine the enthalpies of the benchmark reactions accordingly.
But what are the benchmark reactions? We need to have some agreed-on sets of reactions that provide the central data for any thermochemical equation.
Formation reactions
A chemical reaction that forms one mole of a substance from its constituent elements in their standard states.
are chemical reactions that form one mole of a substance from its constituent elements in their standard states. By standard states we mean as a diatomic molecule if that is how the element exists and the proper phase at normal temperatures (typically room temperature). The product is one mole of substance, which may require that coefficients on the reactant side be fractional (a change from our normal insistence that all coefficients be whole numbers). For example, the formation reaction for methane (CH 4) is
C (s) + 2H2(g) → CH4(g)
The formation reaction for carbon dioxide (CO 2) is
C (s) + O2(g) → CO2(g)
In both cases, one of the elements is a diatomic molecule because that is the standard state for that particular element. The formation reaction for H 2 O—
2H2(g) + O2(g) → 2H2O (ℓ)
—is not in a standard state because the coefficient on the product is 2; for a proper formation reaction, only one mole of product is formed. Thus, we have to divide all coefficients by 2:
H2(g) + 1/2O2(g) → H2O (ℓ)
On a molecular scale, we are using half of an oxygen molecule, which may be problematic to visualize. However, on a molar level, it implies that we are reacting only half of a mole of oxygen molecules, which should be an easy concept for us to understand.
Example 11
Which of the following are proper formation reactions?
H 2 (g) + Cl 2 (g) → 2HCl (g)
Si (s) + 2F 2 (g) → SiF 4 (g)
CaO (s) + CO 2 → CaCO 3 (s)
Solution
In this reaction, two moles of product are produced, so this is not a proper formation reaction.
In this reaction, one mole of a substance is produced from its elements in their standard states, so this is a proper formation reaction.
One mole of a substance is produced, but it is produced from two other compounds, not its elements. So this is not a proper formation reaction.
Test Yourself
Is this a proper formation reaction? Explain why or why not.
2Fe (s) + 3P (s) + 12O (g) → Fe2(PO4)3(s)
Answer
This is not a proper formation reaction because oxygen is not written as a diatomic molecule.
Given the formula of any substance, you should be able to write the proper formation reaction for that substance.
Example 12
Write formation reactions for each of the following.
FeO (s)
C 2 H 6 (g)
Solution
In both cases, there is one mole of the substance as product, and the coefficients of the reactants may have to be fractional to balance the reaction.
Fe (s) + 1/2O 2 (g) → FeO (s)
2C (s) + 3H 2 (g) → C 2 H 6 (g)
Test Yourself
Write the equation for the formation of CaCO 3 (s).
Answer
Ca (s) + C (s) + 3/2O2(g) → CaCO3(s)
The enthalpy change for a formation reaction is called the enthalpy of formation
The enthalpy change for a formation reaction; denoted Δ H f.
and is given the symbol Δ Hf. The subscript f is the clue that the reaction of interest is a formation reaction. Thus, for the formation of FeO (s),
Fe (s) + 1 2 O 2 (g) → FeO (s) Δ H ≡ Δ H f = − 272 kJ/mol
Note that now we are using kJ/mol as the unit because it is understood that the enthalpy change is for one mole of substance. Note, too, by definition, that the enthalpy of formation of an element is exactly zero because making an element from an element is no change. For example,
H2(g) → H2(g) ΔHf = 0
Formation reactions and their enthalpies are important because these are the thermochemical data that are tabulated for any chemical reaction. Table 7.2 "Enthalpies of Formation for Various Substances" lists some enthalpies of formation for a variety of substances; in some cases, however, phases can be important (e.g., for H 2 O).
It is easy to show that any general chemical equation can be written in terms of the formation reactions of its reactants and products, some of them reversed (which means the sign must change in accordance with Hess’s law). For example, consider
2NO2(g) → N2O4(g)
We can write it in terms of the (reverse) formation reaction of NO 2 and the formation reaction of N 2 O 4:
We must multiply the first reaction by 2 to get the correct overall balanced equation. We are simply using Hess’s law in combining the Δ Hf values of the formation reactions.
Table 7.2 Enthalpies of Formation for Various Substances
Compound
Δ Hf (kJ/mol)
Compound
Δ Hf (kJ/mol)
Compound
Δ Hf (kJ/mol)
Compound
Δ Hf (kJ/mol)
Ag (s)
0
Ca (s)
0
Hg 2 Cl 2 (s)
−265.37
NaHCO 3 (s)
−950.81
AgBr (s)
−100.37
CaCl 2 (s)
−795.80
I 2 (s)
0
NaN 3 (s)
21.71
AgCl (s)
−127.01
CaCO 3 (s, arag)
−1,207.1
K (s)
0
Na 2 CO 3 (s)
−1,130.77
Al (s)
0
CaCO 3 (s, calc)
−1,206.9
KBr (s)
−393.8
Na 2 O (s)
−417.98
Al 2 O 3 (s)
−1,675.7
Cl 2 (g)
0
KCl (s)
−436.5
Na 2 SO 4 (s)
−331.64
Ar (g)
0
Cr (s)
0
KF (s)
−567.3
Ne (g)
0
Au (s)
0
Cr 2 O 3 (s)
−1,134.70
KI (s)
−327.9
Ni (s)
0
BaSO 4 (s)
−1,473.19
Cs (s)
0
Li (s)
0
O 2 (g)
0
Br 2 (ℓ)
0
Cu (s)
0
LiBr (s)
−351.2
O 3 (g)
142.67
C (s, dia)
1.897
F 2 (g)
0
LiCl (s)
−408.27
PH 3 (g)
22.89
C (s, gra)
0
Fe (s)
0
LiF (s)
−616.0
Pb (s)
0
CCl 4 (ℓ)
−128.4
Fe 2 (SO 4) 3 (s)
−2,583.00
LiI (s)
−270.4
PbCl 2 (s)
−359.41
CH 2 O (g)
−115.90
Fe 2 O 3 (s)
−825.5
Mg (s)
0
PbO 2 (s)
−274.47
CH 3 COOH (ℓ)
−483.52
Ga (s)
0
MgO (s)
−601.60
PbSO 4 (s)
−919.97
CH 3 OH (ℓ)
−238.4
HBr (g)
−36.29
NH 3 (g)
−45.94
Pt (s)
0
CH 4 (g)
−74.87
HCl (g)
−92.31
NO (g)
90.29
S (s)
0
CO (g)
−110.5
HF (g)
−273.30
NO 2 (g)
33.10
SO 2 (g)
−296.81
CO 2 (g)
−393.51
HI (g)
26.5
N 2 (g)
0
SO 3 (g)
−395.77
C 2 H 5 OH (ℓ)
−277.0
HNO 2 (g)
−76.73
N 2 O (g)
82.05
SO 3 (ℓ)
−438
C 2 H 6 (g)
−83.8
HNO 3 (g)
−134.31
N 2 O 4 (g)
9.08
Si (s)
0
C 6 H 12 (ℓ)
−157.7
H 2 (g)
0
N 2 O 5 (g)
11.30
U (s)
0
C 6 H 12 O 6 (s)
−1277
H 2 O (g)
−241.8
Na (s)
0
UF 6 (s)
−2,197.0
C 6 H 14 (ℓ)
−198.7
H 2 O (ℓ)
−285.83
NaBr (s)
−361.1
UO 2 (s)
−1,085.0
C 6 H 5 CH 3 (ℓ)
12.0
H 2 O (s)
−292.72
NaCl (s)
−385.9
Xe (g)
0
C 6 H 6 (ℓ)
48.95
He (g)
0
NaF (s)
−576.6
Zn (s)
0
C 10 H 8 (s)
77.0
Hg (ℓ)
0
NaI (s)
−287.8
ZnCl 2 (s)
−415.05
C 12 H 22 O 11 (s)
−2,221.2
Sources: National Institute of Standards and Technology’s Chemistry WebBook, http://webbook.nist.gov/chemistry; D. R. Lide, ed., CRC Handbook of Chemistry and Physics, 89th ed. (Boca Raton, FL: CRC Press, 2008); J. A. Dean, ed., Lange’s Handbook of Chemistry, 14th ed. (New York: McGraw-Hill, 1992).
Example 13
Show that the reaction
Fe2O3(s) + 3SO3(g) → Fe2(SO4)3(s)
can be written as a combination of formation reactions.
Solution
There will be three formation reactions. The one for the products will be written as a formation reaction, while the ones for the reactants will be written in reverse. Furthermore, the formation reaction for SO 3 will be multiplied by 3 because there are three moles of SO 3 in the balanced chemical equation. The formation reactions are as follows:
Fe 2 O 3 (s) → 2 Fe (s) + 3 2 O 2 (g) 3 × [ SO 3 (g) → S (s) + 3 2 O 2 (g)]
2Fe (s) + 3S (s) + 6O2(g) → Fe2(SO4)3(s)
When these three equations are combined and simplified, the overall reaction is
Fe2O3(s) + 3SO3(s) → Fe2(SO4)3(s)
Test Yourself
Write the formation reactions that will yield
2SO2(g) + O2(g) → 2SO3(g).
Answer
2 × [ SO 2 (g) → S (s) + O 2 (g)] 2 × [ S (s) + 3 2 O 2 (g) → 2SO 3 (g)]
Now that we have established formation reactions as the major type of thermochemical reaction we will be interested in, do we always need to write all the formation reactions when we want to determine the enthalpy change of any random chemical reaction? No. There is an easier way. You may have noticed in all our examples that we change the signs on all the enthalpies of formation of the reactants, and we don’t change the signs on the enthalpies of formation of the products. We also multiply the enthalpies of formation of any substance by its coefficient—technically, even when it is just 1. This allows us to make the following statement: the enthalpy change of any chemical reaction is equal to the sum of the enthalpies of formation of the products minus the sum of the enthalpies of formation of the reactants. In mathematical terms,
Δ H rxn = ∑ n p Δ H f,p − ∑ n r Δ H f,r
where np and nr are the number of moles of products and reactants, respectively (even if they are just 1 mol), and Δ Hf,p and Δ Hf,r are the enthalpies of formation of the product and reactant species, respectively. This products-minus-reactants scheme is very useful in determining the enthalpy change of any chemical reaction, if the enthalpy of formation data are available. Because the mol units cancel when multiplying the amount by the enthalpy of formation, the enthalpy change of the chemical reaction has units of energy (joules or kilojoules) only.
Example 14
Use the products-minus-reactants approach to determine the enthalpy of reaction for
2HBr (g) + Cl 2 (g) → 2HCl (g) + Br 2 ( ℓ) Δ H f − 36. 3 0 − 92. 3 0 kJ/mol
Solution
The enthalpies of formation are multiplied by the number of moles of each substance in the chemical equation, and the total enthalpy of formation for reactants is subtracted from the total enthalpy of formation of the products:
Δ H rxn = [ ( 2 mol) ( − 92. 3 kJ/ mol) + ( 1 mol) ( 0 kJ/ mol)] − [ ( 2 mol) ( − 36. 3 kJ/ mol) + ( 1 mol) ( 0 kJ/ mol)]
All the mol units cancel. Multiplying and combining all the values, we get
ΔHrxn = −112.0 kJ
Test Yourself
What is the enthalpy of reaction for this chemical equation?
CO (g) + H 2 O ( ℓ) → CO 2 (g) + H 2 (g) Δ H f − 11 0. 5 − 285. 8 − 393. 5 0 kJ/mol
Answer
+2.8 kJ
Food and Drink App: Calories and Nutrition
Section 7.1 "Energy" mentioned the connection between the calorie unit and nutrition: the calorie is the common unit of energy used in nutrition, but we really consider the kilocalorie (spelled Calorie with a capital C). A daily diet of 2,000 Cal is actually 2,000,000 cal, or over 8,000,000 J, of energy.
Nutritionists typically generalize the Calorie content of foods by separating it into the three main food types: proteins, carbohydrates, and fats. The general rule of thumb is as follows:
If the food is
It has this energy content
protein
4 Cal/g
carbohydrate
4 Cal/g
fat
9 Cal/g
This table is very useful. Assuming a 2,000 Cal daily diet, if our diet consists solely of proteins and carbohydrates, we need only about 500 g of food for sustenance—a little more than a pound. If our diet consists solely of fats, we need only about 220 g of food—less than a half pound. Of course, most of us have a mixture of proteins, carbohydrates, and fats in our diets. Water has no caloric value in the diet, so any water in the diet is calorically useless. (However, it is important for hydration; also, many forms of water in our diet are highly flavored and sweetened, which bring other nutritional issues to bear.)
When your body works, it uses calories provided by the diet as its energy source. If we eat more calories than our body uses, we gain weight—about 1 lb of weight for every additional 3,500 Cal we ingest. Similarly, if we want to lose weight, we need to expend an extra 3,500 Cal than we ingest to lose 1 lb of weight. No fancy or fad diets are needed; maintaining an ideal body weight is a straightforward matter of thermochemistry—pure and simple.
Key Takeaways
A formation reaction is the formation of one mole of a substance from its constituent elements.
Enthalpies of formation are used to determine the enthalpy change of any given reaction.
Exercises
Define formation reaction and give an example.
Explain the importance of formation reactions in thermochemical equations.
Which of the following reactions is a formation reaction? If it is not a formation reaction, explain why.
H 2 (g) + S (s) → H 2 S (g)
2HBr (g) + Cl 2 (g) → 2HCl (g) + Br 2 (ℓ)
Which of the following reactions is a formation reaction? If it is not a formation reaction, explain why.
Fe (g) + 1/2O 2 (g) → FeO (s)
Hg (ℓ) + 1/2O 2 (g) → HgO (s)
Which of the following reactions is a formation reaction? If it is not a formation reaction, explain why.
H 2 (g) + S (s) + 2O 2 (g) → H 2 SO 4 (ℓ)
C 3 H 8 (g) + 5O 2 (g) → 3CO 2 (g) + 4H 2 O (ℓ)
Which of the following reactions is a formation reaction? If it is not a formation reaction, explain why.
Zn (s) + 2HCl (aq) → ZnCl 2 (aq) + H 2 (g)
2Na (s) + C (s) + 3/2O 2 (g) → Na 2 CO 3 (s)
Write a proper formation reaction for each substance.
H 3 PO 4 (s)
Na 2 O (s)
C 3 H 7 OH (ℓ)
Write a proper formation reaction for each substance.
N 2 O 5 (g)
BaSO 4 (s)
Fe (OH) 3 (s)
Write a proper formation reaction for each substance.
C 12 H 22 O 11 (s)
Zn (NO 3) 2 (s)
Al (OH) 3 (s)
Write a proper formation reaction for each substance.
O 3 (g)
Na 2 O 2 (s)
PCl 5 (g)
Write this reaction in terms of formation reactions.
MgCO3(s) → MgO (s) + CO2(g)
Write this reaction in terms of formation reactions.
2NO + 4NO2 → 2N2O5 + N2
Write this reaction in terms of formation reactions.
2CuCl (s) → Cu (s) + CuCl2(s)
Write this reaction in terms of formation reactions.
SiH4 + 4F2 → SiF4 + 4HF
Determine the enthalpy change of this reaction. Data can be found in Table 7.2 "Enthalpies of Formation for Various Substances".
CH2O (g) + O2 → CO2(g) + H2O (ℓ)
Determine the enthalpy change of this reaction. Data can be found in Table 7.2 "Enthalpies of Formation for Various Substances".
2AgBr (s) + Cl2(g) → 2AgCl (s) + Br2(ℓ)
Determine the enthalpy change of this reaction. Data can be found in Table 7.2 "Enthalpies of Formation for Various Substances".
Mg (s) + N2O5(g) → MgO (s) + 2NO2(g)
Determine the enthalpy change of this reaction. Data can be found in Table 7.2 "Enthalpies of Formation for Various Substances".
2C6H6(ℓ) + 15O2(g) → 12CO2(g) + 6H2O (ℓ)
Answers
A formation reaction is a reaction that produces one mole of a substance from its elements. Example: C (s) + O 2 (g) → CO 2 (g)
formation reaction
It is not the formation of a single substance, so it is not a formation reaction.
formation reaction
It is not the formation of a single substance, so it is not a formation reaction.
3/2H 2 (g) + P (s) + 2O 2 (g) → H 3 PO 4 (s)
2Na (s) + 1/2O 2 (g) → Na 2 O (s)
3C (s) + 1/2O 2 (g) + 4H 2 (g) → C 3 H 7 OH (ℓ)
12C (s) + 11H 2 (g) + 11/2O 2 (g) → C 12 H 22 O 11 (s)
Zn (s) + N 2 (g) + 3O 2 (g) → Zn (NO 3) 2
Al (s) + 3/2O 2 (g) + 3/2H 2 (g) → Al (OH) 3 (s)
MgCO 3 (s) → Mg (s) + C (s) + 3/2O 2 (g)
Mg (s) + 1/2O 2 (g) → MgO (s)
C (s) + O 2 (g) → CO 2 (g)
2 × [CuCl (s) → Cu (s) + 1/2Cl 2 (g)]
Cu (s) → Cu (s)
Cu (s) + Cl 2 (g) → CuCl 2 (s)
Δ H = −563.44 kJ
Δ H = −546.7 kJ | msmarco_doc_00_10849295 |
http://2012books.lardbucket.org/books/beginning-chemistry/s13-05-violations-of-the-octet-rule.html | Violations of the Octet Rule | 9.5
Violations of the Octet Rule
9.5 Violations of the Octet Rule
Learning Objective
Example 9
Key Takeaway
Exercises
Answers
| Violations of the Octet Rule
9.5 Violations of the Octet Rule
Learning Objective
Recognize the three major types of violations of the octet rule.
As important and useful as the octet rule is in chemical bonding, there are some well-known violations. This does not mean that the octet rule is useless—quite the contrary. As with many rules, there are exceptions, or violations.
There are three violations to the octet rule. Odd-electron molecules
A molecule with an odd number of electrons in the valence shell of an atom.
represent the first violation to the octet rule. Although they are few, some stable compounds have an odd number of electrons in their valence shells. With an odd number of electrons, at least one atom in the molecule will have to violate the octet rule. Examples of stable odd-electron molecules are NO, NO 2, and ClO 2. The Lewis electron dot diagram for NO is as follows:
Although the O atom has an octet of electrons, the N atom has only seven electrons in its valence shell. Although NO is a stable compound, it is very chemically reactive, as are most other odd-electron compounds.
Electron-deficient molecules
A molecule with less than eight electrons in the valence shell of an atom.
represent the second violation to the octet rule. These stable compounds have less than eight electrons around an atom in the molecule. The most common examples are the covalent compounds of beryllium and boron. For example, beryllium can form two covalent bonds, resulting in only four electrons in its valence shell:
Boron commonly makes only three covalent bonds, resulting in only six valence electrons around the B atom. A well-known example is BF 3:
The third violation to the octet rule is found in those compounds with more than eight electrons assigned to their valence shell. These are called expanded valence shell molecules
A molecule with more than eight electrons in the valence shell of an atom.
. Such compounds are formed only by central atoms in the third row of the periodic table or beyond that have empty d orbitals in their valence shells that can participate in covalent bonding. One such compound is PF 5. The only reasonable Lewis electron dot diagram for this compound has the P atom making five covalent bonds:
Formally, the P atom has 10 electrons in its valence shell.
Example 9
Identify each violation to the octet rule by drawing a Lewis electron dot diagram.
ClO
SF 6
Solution
With one Cl atom and one O atom, this molecule has 6 + 7 = 13 valence electrons, so it is an odd-electron molecule. A Lewis electron dot diagram for this molecule is as follows:
In SF 6, the central S atom makes six covalent bonds to the six surrounding F atoms, so it is an expanded valence shell molecule. Its Lewis electron dot diagram is as follows:
Test Yourself
Identify the violation to the octet rule in XeF 2 by drawing a Lewis electron dot diagram.
Answer
The Xe atom has an expanded valence shell with more than eight electrons around it.
Key Takeaway
There are three violations to the octet rule: odd-electron molecules, electron-deficient molecules, and expanded valence shell molecules.
Exercises
Why can an odd-electron molecule not satisfy the octet rule?
Why can an atom in the second row of the periodic table not form expanded valence shell molecules?
Draw an acceptable Lewis electron dot diagram for these molecules that violate the octet rule.
NO 2
XeF 4
Draw an acceptable Lewis electron dot diagram for these molecules that violate the octet rule.
BCl 3
ClO 2
Draw an acceptable Lewis electron dot diagram for these molecules that violate the octet rule.
POF 3
ClF 3
Draw an acceptable Lewis electron dot diagram for these molecules that violate the octet rule.
SF 4
BeH 2
Answers
There is no way all electrons can be paired if there are an odd number of them. | msmarco_doc_00_10866204 |
http://2012books.lardbucket.org/books/beginning-chemistry/s14-02-phase-transitions-melting-boil.html | Phase Transitions: Melting, Boiling, and Subliming | 10.2
Phase Transitions: Melting, Boiling, and Subliming
10.2 Phase Transitions: Melting, Boiling, and Subliming
Learning Objectives
Example 2
Example 3
Key Takeaways
Exercises
Answers
| Phase Transitions: Melting, Boiling, and Subliming
10.2 Phase Transitions: Melting, Boiling, and Subliming
Learning Objectives
Describe what happens during a phase change.
Calculate the energy change needed for a phase change.
Substances can change phase—often because of a temperature change. At low temperatures, most substances are solid; as the temperature increases, they become liquid; at higher temperatures still, they become gaseous.
The process of a solid becoming a liquid is called melting
The process of a solid becoming a liquid.
(an older term that you may see sometimes is fusion ). The opposite process, a liquid becoming a solid, is called solidification
The process of a liquid becoming a solid.
. For any pure substance, the temperature at which melting occurs—known as the melting point
The characteristic temperature at which a solid becomes a liquid.
—is a characteristic of that substance. It requires energy for a solid to melt into a liquid. Every pure substance has a certain amount of energy it needs to change from a solid to a liquid. This amount is called the enthalpy of fusion (or heat of fusion)
The amount of energy needed to change from a solid to a liquid or from a liquid to a solid.
of the substance, represented as Δ Hfus. Some Δ Hfus values are listed in Table 10.2 "Enthalpies of Fusion for Various Substances"; it is assumed that these values are for the melting point of the substance. Note that the unit of Δ Hfus is kilojoules per mole, so we need to know the quantity of material to know how much energy is involved. The Δ Hfus is always tabulated as a positive number. However, it can be used for both the melting and the solidification processes as long as you keep in mind that melting is always endothermic (so Δ H will be positive), while solidification is always exothermic (so Δ H will be negative).
Table 10.2 Enthalpies of Fusion for Various Substances
Substance (Melting Point)
Δ Hfus (kJ/mol)
Water (0°C)
6.01
Aluminum (660°C)
10.7
Benzene (5.5°C)
9.95
Ethanol (−114.3°C)
5.02
Mercury (−38.8°C)
2.29
Example 2
What is the energy change when 45.7 g of H 2 O melt at 0°C?
Solution
The Δ Hfus of H 2 O is 6.01 kJ/mol. However, our quantity is given in units of grams, not moles, so the first step is to convert grams to moles using the molar mass of H 2 O, which is 18.0 g/mol. Then we can use Δ Hfus as a conversion factor. Because the substance is melting, the process is endothermic, so the energy change will have a positive sign.
45.7 g H 2 O × 1 mol H 2 O 18.0 g × 6.01 kJ mol = 15.3 kJ
Without a sign, the number is assumed to be positive.
Test Yourself
What is the energy change when 108 g of C 6 H 6 freeze at 5.5°C?
Answer
−13.8 kJ
During melting, energy goes exclusively to changing the phase of a substance; it does not go into changing the temperature of a substance. Hence melting is an isothermal
A process that does not change the temperature.
process because a substance stays at the same temperature. Only when all of a substance is melted does any additional energy go to changing its temperature.
What happens when a solid becomes a liquid? In a solid, individual particles are stuck in place because the intermolecular forces cannot be overcome by the energy of the particles. When more energy is supplied (e.g., by raising the temperature), there comes a point at which the particles have enough energy to move around but not enough energy to separate. This is the liquid phase: particles are still in contact but are able to move around each other. This explains why liquids can assume the shape of their containers: the particles move around and, under the influence of gravity, fill the lowest volume possible (unless the liquid is in a zero-gravity environment—see Figure 10.3 "Liquids and Gravity" ).
Figure 10.3 Liquids and Gravity
(a) A liquid fills the bottom of its container as it is drawn downward by gravity and the particles slide over each other. (b) A liquid floats in a zero-gravity environment. The particles still slide over each other because they are in the liquid phase, but now there is no gravity to pull them down.
Source: Photo on the left © Thinkstock. Photo on the right courtesy of NASA, http://www.nasa.gov/mission_pages/station/multimedia/Exp10_image_009.html.
The phase change between a liquid and a gas has some similarities to the phase change between a solid and a liquid. At a certain temperature, the particles in a liquid have enough energy to become a gas. The process of a liquid becoming a gas is called boiling (or vaporization)
The process of a liquid becoming a gas.
, while the process of a gas becoming a liquid is called condensation
The process of a gas becoming a liquid.
. However, unlike the solid/liquid conversion process, the liquid/gas conversion process is noticeably affected by the surrounding pressure on the liquid because gases are strongly affected by pressure. This means that the temperature at which a liquid becomes a gas, the boiling point
The characteristic temperature at which a liquid becomes a gas.
, can change with surrounding pressure. Therefore, we define the normal boiling point
The characteristic temperature at which a liquid becomes a gas when the surrounding pressure is exactly 1 atm.
as the temperature at which a liquid changes to a gas when the surrounding pressure is exactly 1 atm, or 760 torr. Unless otherwise specified, it is assumed that a boiling point is for 1 atm of pressure.
Like the solid/liquid phase change, the liquid/gas phase change involves energy. The amount of energy required to convert a liquid to a gas is called the enthalpy of vaporization
The amount of energy needed to change from a liquid to a gas or from a gas to a liquid.
(or heat of vaporization), represented as Δ Hvap. Some Δ Hvap values are listed in Table 10.3 "Enthalpies of Vaporization for Various Substances"; it is assumed that these values are for the normal boiling point temperature of the substance, which is also given in the table. The unit for Δ Hvap is also kilojoules per mole, so we need to know the quantity of material to know how much energy is involved. The Δ Hvap is also always tabulated as a positive number. It can be used for both the boiling and the condensation processes as long as you keep in mind that boiling is always endothermic (so Δ H will be positive), while condensation is always exothermic (so Δ H will be negative).
Table 10.3 Enthalpies of Vaporization for Various Substances
Substance (Normal Boiling Point)
Δ Hvap (kJ/mol)
Water (100°C)
40.68
Bromine (59.5°C)
15.4
Benzene (80.1°C)
30.8
Ethanol (78.3°C)
38.6
Mercury (357°C)
59.23
Example 3
What is the energy change when 66.7 g of Br 2 (g) condense to a liquid at 59.5°C?
Solution
The Δ Hvap of Br 2 is 15.4 kJ/mol. Even though this is a condensation process, we can still use the numerical value of Δ Hvap as long as we realize that we must take energy out, so the Δ H value will be negative. To determine the magnitude of the energy change, we must first convert the amount of Br 2 to moles. Then we can use Δ Hvap as a conversion factor.
66.7 g Br 2 × 1 mol Br 2 159.8 g × 15.4 kJ mol = 6.43 kJ
Because the process is exothermic, the actual value will be negative: Δ H = −6.43 kJ.
Test Yourself
What is the energy change when 822 g of C 2 H 5 OH (ℓ) boil at its normal boiling point of 78.3°C?
Answer
689 kJ
As with melting, the energy in boiling goes exclusively to changing the phase of a substance; it does not go into changing the temperature of a substance. So boiling is also an isothermal process. Only when all of a substance has boiled does any additional energy go to changing its temperature.
What happens when a liquid becomes a gas? We have already established that a liquid is composed of particles in contact with each other. When a liquid becomes a gas, the particles separate from each other, with each particle going its own way in space. This is how gases tend to fill their containers. Indeed, in the gas phase most of the volume is empty space; only about 1/1,000th of the volume is actually taken up by matter ( Figure 10.4 "Liquids and Gases" ). It is this property of gases that explains why they can be compressed, a fact that is considered in Chapter 6 "Gases".
Figure 10.4 Liquids and Gases
In (a), the particles are a liquid; the particles are in contact but are also able to move around each other. In (b), the particles are a gas, and most of the volume is actually empty space. The particles are not to scale; in reality, the dots representing the particles would be about 1/100th the size as depicted.
Under some circumstances, the solid phase can transition directly to the gas phase without going through a liquid phase, and a gas can directly become a solid. The solid-to-gas change is called sublimation
The process of a solid becoming a gas.
, while the reverse process is called deposition
The process of a gas becoming a solid.
. Sublimation is isothermal, like the other phase changes. There is a measurable energy change during sublimation; this energy change is called the enthalpy of sublimation
The amount of energy needed to change from a solid to a gas or from a gas to a solid.
, represented as Δ Hsub. The relationship between the Δ Hsub and the other enthalpy changes is as follows:
ΔHsub = ΔHfus + ΔHvap
As such, Δ Hsub is not always tabulated because it can be simply calculated from Δ Hfus and Δ Hvap.
There are several common examples of sublimation. A well-known product—dry ice—is actually solid CO 2. Dry ice is dry because it sublimes, with the solid bypassing the liquid phase and going straight to the gas phase. The sublimation occurs at temperature of −77°C, so it must be handled with caution. If you have ever noticed that ice cubes in a freezer tend to get smaller over time, it is because the solid water is very slowly subliming. “Freezer burn” isn’t actually a burn; it occurs when certain foods, such as meats, slowly lose solid water content because of sublimation. The food is still good but looks unappetizing. Reducing the temperature of a freezer will slow the sublimation of solid water.
Chemical equations can be used to represent a phase change. In such cases, it is crucial to use phase labels on the substances. For example, the chemical equation for the melting of ice to make liquid water is as follows:
H2O (s) → H2O (ℓ)
No chemical change is taking place; however, a physical change is taking place.
Key Takeaways
Phase changes can occur between any two phases of matter.
All phase changes occur with a simultaneous change in energy.
All phase changes are isothermal.
Exercises
What is the difference between melting and solidification?
What is the difference between boiling and condensation?
Describe the molecular changes when a solid becomes a liquid.
Describe the molecular changes when a liquid becomes a gas.
What is the energy change when 78.0 g of Hg melt at −38.8°C?
What is the energy change when 30.8 g of Al solidify at 660°C?
What is the energy change when 111 g of Br 2 boil at 59.5°C?
What is the energy change when 98.6 g of H 2 O condense at 100°C?
Each of the following statements is incorrect. Rewrite them so they are correct.
Temperature changes during a phase change.
The process of a liquid becoming a gas is called sublimation.
Each of the following statements is incorrect. Rewrite them so they are correct.
The volume of a gas contains only about 10% matter, with the rest being empty space.
Δ Hsub is equal to Δ Hvap.
Write the chemical equation for the melting of elemental sodium.
Write the chemical equation for the solidification of benzene (C 6 H 6 ).
Write the chemical equation for the sublimation of CO 2.
Write the chemical equation for the boiling of propanol (C 3 H 7 OH).
What is the Δ Hsub of H 2 O? (Hint: see Table 10.2 "Enthalpies of Fusion for Various Substances" and Table 10.3 "Enthalpies of Vaporization for Various Substances" .)
The Δ Hsub of I 2 is 60.46 kJ/mol, while its Δ Hvap is 41.71 kJ/mol. What is the Δ Hfus of I 2?
Answers
Melting is the phase change from a solid to a liquid, whereas solidification is the phase change from a liquid to a solid.
The molecules have enough energy to move about each other but not enough to completely separate from each other.
890 J
10.7 kJ
Temperature does not change during a phase change.
The process of a liquid becoming a gas is called boiling; the process of a solid becoming a gas is called sublimation.
Na (s) → Na (ℓ)
CO 2 (s) → CO 2 (g) | msmarco_doc_00_10870414 |
http://2012books.lardbucket.org/books/beginning-chemistry/s16-01-arrhenius-acids-and-bases.html | Arrhenius Acids and Bases | 12.1
Arrhenius Acids and Bases
12.1 Arrhenius Acids and Bases
Learning Objectives
Example 1
Example 2
Key Takeaways
Exercises
Answers
| Arrhenius Acids and Bases
12.1 Arrhenius Acids and Bases
Learning Objectives
Identify an Arrhenius acid and an Arrhenius base.
Write the chemical reaction between an Arrhenius acid and an Arrhenius base.
Historically, the first chemical definition of an acid and a base was put forward by Svante Arrhenius, a Swedish chemist, in 1884. An Arrhenius acid
A compound that increases the hydrogen ion concentration in aqueous solution.
is a compound that increases the H + ion concentration in aqueous solution. The H + ion is just a bare proton, and it is rather clear that bare protons are not floating around in an aqueous solution. Instead, chemistry has defined the hydronium ion
The actual chemical species that represents a hydrogen ion.
(H 3 O +) as the actual chemical species that represents an H + ion. H + ions and H 3 O + ions are often considered interchangeable when writing chemical equations (although a properly balanced chemical equation should also include the additional H 2 O). Classic Arrhenius acids can be considered ionic compounds in which H + is the cation. Table 12.1 "Some Arrhenius Acids" lists some Arrhenius acids and their names.
Table 12.1 Some Arrhenius Acids
Formula
Name
HC 2 H 3 O 2 (also written CH 3 COOH)
acetic acid
HClO 3
chloric acid
HCl
hydrochloric acid
HBr
hydrobromic acid
HI
hydriodic acid
HF
hydrofluoric acid
HNO 3
nitric acid
H 2 C 2 O 4
oxalic acid
HClO 4
perchloric acid
H 3 PO 4
phosphoric acid
H 2 SO 4
sulfuric acid
H 2 SO 3
sulfurous acid
An Arrhenius base
A compound that increases the hydroxide ion concentration in aqueous solution.
is a compound that increases the OH − ion concentration in aqueous solution. Ionic compounds of the OH − ion are classic Arrhenius bases.
Example 1
Identify each compound as an Arrhenius acid, an Arrhenius base, or neither.
HNO 3
CH 3 OH
Mg (OH) 2
Solution
This compound is an ionic compound between H + ions and NO 3− ions, so it is an Arrhenius acid.
Although this formula has an OH in it, we do not recognize the remaining part of the molecule as a cation. It is neither an acid nor a base. (In fact, it is the formula for methanol, an organic compound.)
This formula also has an OH in it, but this time we recognize that the magnesium is present as Mg 2+ cations. As such, this is an ionic compound of the OH − ion and is an Arrhenius base.
Test Yourself
Identify each compound as an Arrhenius acid, an Arrhenius base, or neither.
KOH
H 2 SO 4
C 2 H 6
Answer
Arrhenius base
Arrhenius acid
neither
Acids have some properties in common. They turn litmus, a plant extract, red. They react with some metals to give off H 2 gas. They react with carbonate and hydrogen carbonate salts to give off CO 2 gas. Acids that are ingested typically have a sour, sharp taste. (The name acid comes from the Latin word acidus, meaning “sour.”) Bases also have some properties in common. They are slippery to the touch, turn litmus blue, and have a bitter flavor if ingested.
Acids and bases have another property: they react with each other to make water and an ionic compound called a salt. A salt
Any ionic compound that is formed from a reaction between an acid and a base.
, in chemistry, is any ionic compound made by combining an acid with a base. A reaction between an acid and a base is called a neutralization reaction
The reaction of an acid and a base to produce water and a salt.
and can be represented as follows:
acid + base → H2O + salt
The stoichiometry of the balanced chemical equation depends on the number of H + ions in the acid and the number of OH − ions in the base.
Example 2
Write the balanced chemical equation for the neutralization reaction between H 2 SO 4 and KOH. What is the name of the salt that is formed?
Solution
The general reaction is as follows:
H2SO4 + KOH → H2O + salt
Because the acid has two H + ions in its formula, we need two OH − ions to react with it, making two H 2 O molecules as product. The remaining ions, K + and SO 42−, make the salt potassium sulfate (K 2 SO 4 ). The balanced chemical reaction is as follows:
H2SO4 + 2KOH → 2H2O + K2SO4
Test Yourself
Write the balanced chemical equation for the neutralization reaction between HCl and Mg (OH) 2. What is the name of the salt that is formed?
Answer
2HCl + Mg (OH) 2 → 2H 2 O + MgCl 2; magnesium chloride
Key Takeaways
An Arrhenius acid is a compound that increases the H + ion concentration in aqueous solution.
An Arrhenius base is a compound that increases the OH − ion concentration in aqueous solution.
The reaction between an Arrhenius acid and an Arrhenius base is called neutralization and results in the formation of water and a salt.
Exercises
Define Arrhenius acid.
Define Arrhenius base.
What are some general properties of Arrhenius acids?
What are some general properties of Arrhenius bases?
Identify each substance as an Arrhenius acid, an Arrhenius base, or neither.
NaOH
C 2 H 5 OH
H 3 PO 4
Identify each substance as an Arrhenius acid, an Arrhenius base, or neither.
C 6 H 12 O 6
HNO 2
Ba (OH) 2
Write the balanced chemical equation for the neutralization reaction between KOH and H 2 C 2 O 4. What is the salt?
Write the balanced chemical equation for the neutralization reaction between Sr (OH) 2 and H 3 PO 4. What is the salt?
Write the balanced chemical equation for the neutralization reaction between HCl and Fe (OH) 3. What is the salt?
Write the balanced chemical equation for the neutralization reaction between H 2 SO 4 and Cr (OH) 3. What is the salt?
CaCl 2 would be the product of the reaction of what acid and what base?
Zn (NO 3) 2 would be product of the reaction of what acid and what base?
BaSO 4 would be product of the reaction of what acid and what base?
Na 3 PO 4 would be product of the reaction of what acid and what base?
Answers
a compound that increases the H + concentration in water
sour taste, react with metals, and turn litmus red
Arrhenius base
neither
Arrhenius acid
2KOH + H 2 C 2 O 4 → 2H 2 O + K 2 C 2 O 4; K 2 C 2 O 4
3HCl + Fe (OH) 3 → 3H 2 O + FeCl 3; FeCl 3
HCl and Ca (OH) 2
H 2 SO 4 and Ba (OH) 2 | msmarco_doc_00_10883857 |
http://2012books.lardbucket.org/books/beginning-chemistry/s16-04-strong-and-weak-acids-and-base.html | Strong and Weak Acids and Bases and Their Salts | 12.4
Strong and Weak Acids and Bases and Their Salts
12.4 Strong and Weak Acids and Bases and Their Salts
Learning Objectives
Example 6
Example 7
Example 8
Key Takeaways
Exercises
Answers
| Strong and Weak Acids and Bases and Their Salts
12.4 Strong and Weak Acids and Bases and Their Salts
Learning Objectives
Define a strong and a weak acid and base.
Recognize an acid or a base as strong or weak.
Determine if a salt produces an acidic or a basic solution.
Except for their names and formulas, so far we have treated all acids as equals, especially in a chemical reaction. However, acids can be very different in a very important way. Consider HCl (aq). When HCl is dissolved in H 2 O, it completely dissociates into H + (aq) and Cl − (aq) ions; all the HCl molecules become ions:
HCl → 100% H + (aq) + Cl − (aq)
Any acid that dissociates 100% into ions is called a strong acid
Any acid that is 100% dissociated into ions in aqueous solution.
. If it does not dissociate 100%, it is a weak acid
Any acid that is less than 100% dissociated into ions in aqueous solution.
. HC 2 H 3 O 2 is an example of a weak acid:
HC 2 H 3 O 2 → ~ 5 % H + (aq) + C 2 H 3 O 2 − (aq)
Because this reaction does not go 100% to completion, it is more appropriate to write it as an equilibrium:
HC 2 H 3 O 2 ⇄ H + (aq) + C 2 H 3 O 2 − (aq)
As it turns out, there are very few strong acids, which are given in Table 12.2 "Strong Acids and Bases". If an acid is not listed here, it is a weak acid. It may be 1% ionized or 99% ionized, but it is still classified as a weak acid.
The issue is similar with bases: a strong base
Any base that is 100% dissociated into ions in aqueous solution.
is a base that is 100% ionized in solution. If it is less than 100% ionized in solution, it is a weak base
Any base that is less than 100% dissociated into ions in aqueous solution.
. There are very few strong bases (see Table 12.2 "Strong Acids and Bases" ); any base not listed is a weak base. All strong bases are OH – compounds. So a base based on some other mechanism, such as NH 3 (which does not contain OH − ions as part of its formula), will be a weak base.
Table 12.2 Strong Acids and Bases
Acids
Bases
HCl
LiOH
HBr
NaOH
HI
KOH
HNO 3
RbOH
H 2 SO 4
CsOH
HClO 3
Mg (OH) 2
HClO 4
Ca (OH) 2
Sr (OH) 2
Ba (OH) 2
Example 6
Identify each acid or base as strong or weak.
HCl
Mg (OH) 2
C 5 H 5 N
Solution
Because HCl is listed in Table 12.2 "Strong Acids and Bases", it is a strong acid.
Because Mg (OH) 2 is listed in Table 12.2 "Strong Acids and Bases", it is a strong base.
The nitrogen in C 5 H 5 N would act as a proton acceptor and therefore can be considered a base, but because it does not contain an OH compound, it cannot be considered a strong base; it is a weak base.
Test Yourself
Identify each acid or base as strong or weak.
RbOH
HNO 2
Answers
strong base
weak acid
Example 7
Write the balanced chemical equation for the dissociation of Ca (OH) 2 and indicate whether it proceeds 100% to products or not.
Solution
This is an ionic compound of Ca 2+ ions and OH − ions. When an ionic compound dissolves, it separates into its constituent ions:
Ca (OH)2 → Ca2+(aq) + 2OH−(aq)
Because Ca (OH) 2 is listed in Table 12.2 "Strong Acids and Bases", this reaction proceeds 100% to products.
Test Yourself
Write the balanced chemical equation for the dissociation of hydrazoic acid (HN 3) and indicate whether it proceeds 100% to products or not.
Answer
The reaction is as follows:
HN3 → H+(aq) + N3−(aq)
It does not proceed 100% to products because hydrazoic acid is not a strong acid.
Certain salts will also affect the acidity or basicity of aqueous solutions because some of the ions will undergo hydrolysis, just like NH 3 does to make a basic solution. The general rule is that salts with ions that are part of strong acids or bases will not hydrolyze, while salts with ions that are part of weak acids or bases will hydrolyze.
Consider NaCl. When it dissolves in an aqueous solution, it separates into Na + ions and Cl − ions:
NaCl → Na+(aq) + Cl−(aq)
Will the Na + (aq) ion hydrolyze? If it does, it will interact with the OH − ion to make NaOH:
Na+(aq) + H2O → NaOH + H+(aq)
However, NaOH is a strong base, which means that it is 100% ionized in solution:
NaOH → Na+(aq) + OH−(aq)
The free OH − (aq) ion reacts with the H + (aq) ion to remake a water molecule:
H+(aq) + OH−(aq) → H2O
The net result? There is no change, so there is no effect on the acidity or basicity of the solution from the Na + (aq) ion. What about the Cl − ion? Will it hydrolyze? If it does, it will take an H + ion from a water molecule:
Cl−(aq) + H2O → HCl + OH−
However, HCl is a strong acid, which means that it is 100% ionized in solution:
HCl → H+(aq) + Cl−(aq)
The free H + (aq) ion reacts with the OH − (aq) ion to remake a water molecule:
H+(aq) + OH−(aq) → H2O
The net result? There is no change, so there is no effect on the acidity or basicity of the solution from the Cl − (aq) ion. Because neither ion in NaCl affects the acidity or basicity of the solution, NaCl is an example of a neutral salt
An ionic compound that does not affect the acidity of its aqueous solution.
.
Things change, however, when we consider a salt like NaC 2 H 3 O 2. We already know that the Na + ion won’t affect the acidity of the solution. What about the acetate ion? If it hydrolyzes, it will take an H + from a water molecule:
C2H3O2−(aq) + H2O → HC2H3O2 + OH−(aq)
Does this happen? Yes, it does. Why? Because HC2H3O2 is a weak acid. Any chance a weak acid has to form, it will (the same with a weak base). As some C 2 H 3 O 2− ions hydrolyze with H 2 O to make the molecular weak acid, OH − ions are produced. OH − ions make solutions basic. Thus NaC 2 H 3 O 2 solutions are slightly basic, so such a salt is called a basic salt
An ionic compound whose aqueous solution is slightly basic.
.
There are also salts whose aqueous solutions are slightly acidic. NH 4 Cl is an example. When NH 4 Cl is dissolved in H 2 O, it separates into NH 4+ ions and Cl − ions. We have already seen that the Cl − ion does not hydrolyze. However, the NH 4+ ion will:
NH4+(aq) + H2O → NH3(aq) + H3O+(aq)
Recall from Section 12.1 "Arrhenius Acids and Bases" that H 3 O + ion is the hydronium ion, the more chemically proper way to represent the H + ion. This is the classic acid species in solution, so a solution of NH 4+ (aq) ions is slightly acidic. NH 4 Cl is an example of an acid salt
An ionic compound whose aqueous solution is slightly acidic.
. The molecule NH 3 is a weak base, and it will form when it can, just like a weak acid will form when it can.
So there are two general rules: (1) If an ion derives from a strong acid or base, it will not affect the acidity of the solution. (2) If an ion derives from a weak acid, it will make the solution basic; if an ion derives from a weak base, it will make the solution acidic.
Example 8
Identify each salt as acidic, basic, or neutral.
KCl
KNO 2
NH 4 Br
Solution
The ions from KCl derive from a strong acid (HCl) and a strong base (KOH). Therefore, neither ion will affect the acidity of the solution, so KCl is a neutral salt.
Although the K + ion derives from a strong base (KOH), the NO 2− ion derives from a weak acid (HNO 2 ). Therefore the solution will be basic, and KNO 2 is a basic salt.
Although the Br − ions derive from a strong acid (HBr), the NH 4+ ion derives from a weak base (NH 3 ), so the solution will be acidic, and NH 4 Br is an acidic salt.
Test Yourself
Identify each salt as acidic, basic, or neutral.
(C 5 H 5 NH)Cl
Na 2 SO 3
Answers
acidic
basic
Some salts are composed of ions that come from both weak acids and weak bases. The overall effect on an aqueous solution depends on which ion exerts more influence on the overall acidity. We will not consider such salts here.
Key Takeaways
Strong acids and bases are 100% ionized in aqueous solution.
Weak acids and bases are less than 100% ionized in aqueous solution.
Salts of weak acids or bases can affect the acidity or basicity of their aqueous solutions.
Exercises
Differentiate between a strong acid and a weak acid.
Differentiate between a strong base and a weak base.
Identify each as a strong acid or a weak acid. Assume aqueous solutions.
HF
HCl
HC 2 O 4
Identify each as a strong base or a weak base. Assume aqueous solutions.
NaOH
Al (OH) 3
C 4 H 9 NH 2
Write a chemical equation for the ionization of each acid and indicate whether it proceeds 100% to products or not.
HNO 3
HNO 2
HI 3
Write a chemical equation for the ionization of each base and indicate whether it proceeds 100% to products or not.
NH 3
(CH 3) 3 N
Mg (OH) 2
Write the balanced chemical equation for the reaction of each acid and base pair.
HCl + C 5 H 5 N
H 2 C 2 O 4 + NH 3
HNO 2 + C 7 H 9 N
Write the balanced chemical equation for the reaction of each acid and base pair.
H 3 C 5 H 5 O 7 + Mg (OH) 2
HC 3 H 3 O 3 + (CH 3) 3 N
HBr + Fe (OH) 3
Identify each salt as neutral, acidic, or basic.
NaBr
Fe (NO 3) 2
Fe (NO 3) 3
Identify each salt as neutral, acidic, or basic.
NH 4 I
C 2 H 5 NH 3 Cl
KI
Identify each salt as neutral, acidic, or basic.
NaNO 2
NaNO 3
NH 4 NO 3
Identify each salt as neutral, acidic, or basic.
KC 2 H 3 O 2
KHSO 4
KClO 3
Write the hydrolysis reaction that occurs, if any, when each salt dissolves in water.
K 2 SO 3
KI
NH 4 ClO 3
Write the hydrolysis reaction that occurs, if any, when each salt dissolves in water.
NaNO 3
CaC 2 O 4
C 5 H 5 NHCl
When NH 4 NO 2 dissolves in H 2 O, both ions hydrolyze. Write chemical equations for both reactions. Can you tell if the solution will be acidic or basic overall?
When pyridinium acetate (C 5 H 5 NHC 2 H 3 O 2) dissolves in H 2 O, both ions hydrolyze. Write chemical equations for both reactions. Can you tell if the solution will be acidic or basic overall?
A lab technician mixes a solution of 0.015 M Mg (OH) 2. Is the resulting OH − concentration greater than, equal to, or less than 0.015 M? Explain your answer.
A lab technician mixes a solution of 0.55 M HNO 3. Is the resulting H + concentration greater than, equal to, or less than 0.55 M? Explain your answer.
Answers
A strong acid is 100% ionized in aqueous solution, whereas a weak acid is not 100% ionized.
weak acid
strong acid
weak acid
HNO 3 (aq) → H + (aq) + NO 3− (aq); proceeds 100%
HNO 2 (aq) → H + (aq) + NO 2− (aq); does not proceed 100%
HI 3 (aq) → H + (aq) + I 3− (aq); does not proceed 100%
HCl + C 5 H 5 N → Cl − + C 5 H 5 NH +
H 2 C 2 O 4 + 2NH 3 → C 2 O 42− + 2NH 4+
HNO 2 + C 7 H 9 N → NO 2− + C 7 H 9 NH +
neutral
acidic
acidic
basic
neutral
acidic
SO 32− + H 2 O → HSO 3− + OH −
no reaction
NH 4+ + H 2 O → NH 3 + H 3 O +
NH 4+ + H 2 O → NH 3 + H 3 O +; NO 2− + H 2 O → HNO 2 + OH −; it is not possible to determine whether the solution will be acidic or basic.
greater than 0.015 M because there are two OH − ions per formula unit of Mg (OH) 2 | msmarco_doc_00_10890447 |
http://2012books.lardbucket.org/books/beginning-chemistry/s17-03-shifting-equilibria-le-chateli.html | Shifting Equilibria: Le Chatelier’s Principle | 13.3
Shifting Equilibria: Le Chatelier’s Principle
13.3 Shifting Equilibria: Le Chatelier’s Principle
Learning Objectives
Example 6
Example 7
Example 8
Chemistry Is Everywhere: Equilibria in the Garden
Key Takeaways
Exercises
Answers
| Shifting Equilibria: Le Chatelier’s Principle
13.3 Shifting Equilibria: Le Chatelier’s Principle
Learning Objectives
Define Le Chatelier’s principle.
Predict the direction of shift for an equilibrium under stress.
Once equilibrium is established, the reaction is over, right? Not exactly. An experimenter has some ability to affect the equilibrium.
Chemical equilibria can be shifted by changing the conditions that the system experiences. We say that we “stress” the equilibrium. When we stress the equilibrium, the chemical reaction is no longer at equilibrium, and the reaction starts to move back toward equilibrium in such a way as to decrease the stress. The formal statement is called Le Chatelier’s principle
If an equilibrium is stressed, then the reaction shifts to reduce the stress.
: If an equilibrium is stressed, then the reaction shifts to reduce the stress.
There are several ways to stress an equilibrium. One way is to add or remove a product or a reactant in a chemical reaction at equilibrium. When additional reactant is added, the equilibrium shifts to reduce this stress: it makes more product. When additional product is added, the equilibrium shifts to reactants to reduce the stress. If reactant or product is removed, the equilibrium shifts to make more reactant or product, respectively, to make up for the loss.
Example 6
Given this reaction at equilibrium:
N 2 + 3H 2 ⇄ 2 NH 3
In which direction—toward reactants or toward products—does the reaction shift if the equilibrium is stressed by each change?
H 2 is added.
NH 3 is added.
NH 3 is removed.
Solution
If H 2 is added, there is now more reactant, so the reaction will shift toward products to reduce the added H 2.
If NH 3 is added, there is now more product, so the reaction will shift toward reactants to reduce the added NH 3.
If NH 3 is removed, there is now less product, so the reaction will shift toward products to replace the product removed.
Test Yourself
Given this reaction at equilibrium:
CO (g) + Br 2 (g) ⇄ COBr 2 (g)
In which direction—toward reactants or toward products—does the reaction shift if the equilibrium is stressed by each change?
Br 2 is removed.
COBr 2 is added.
Answers
toward reactants
toward reactants
It is worth noting that when reactants or products are added or removed, the value of the K eq does not change. The chemical reaction simply shifts, in a predictable fashion, to reestablish concentrations so that the Keq expression reverts to the correct value.
How does an equilibrium react to a change in pressure? Pressure changes do not markedly affect the solid or liquid phases. However, pressure strongly impacts the gas phase. Le Chatelier’s principle implies that a pressure increase shifts an equilibrium to the side of the reaction with the fewer number of moles of gas, while a pressure decrease shifts an equilibrium to the side of the reaction with the greater number of moles of gas. If the number of moles of gas is the same on both sides of the reaction, pressure has no effect.
Example 7
What is the effect on this equilibrium if pressure is increased?
N 2 (g) + 3H 2 (g) ⇄ 2 NH 3 (g)
Solution
According to Le Chatelier’s principle, if pressure is increased, then the equilibrium shifts to the side with the fewer number of moles of gas. This particular reaction shows a total of 4 mol of gas as reactants and 2 mol of gas as products, so the reaction shifts toward the products side.
Test Yourself
What is the effect on this equilibrium if pressure is decreased?
3O 2 (g) ⇄ 2O 3 (g)
Answer
Reaction shifts toward reactants.
What is the effect of temperature changes on an equilibrium? It depends on whether the reaction is endothermic or exothermic. Recall that endothermic means that energy is absorbed by a chemical reaction, while exothermic means that energy is given off by the reaction. As such, energy can be thought of as a reactant or a product, respectively, of a reaction:
endothermic: energy + reactants → products exothermic: reactants → products + energy
Because temperature is a measure of the energy of the system, increasing temperature can be thought of as adding energy. The reaction will react as if a reactant or a product is being added and will act accordingly by shifting to the other side. For example, if the temperature is increased for an endothermic reaction, essentially a reactant is being added, so the equilibrium shifts toward products. Decreasing the temperature is equivalent to decreasing a reactant (for endothermic reactions) or a product (for exothermic reactions), and the equilibrium shifts accordingly.
Example 8
Predict the effect of increasing the temperature on this equilibrium.
PCl 3 + Cl 2 ⇄ PCl 5 + 60 kJ
Solution
Because energy is listed as a product, it is being produced, so the reaction is exothermic. If the temperature is increasing, a product is being added to the equilibrium, so the equilibrium shifts to minimize the addition of extra product: it shifts back toward reactants.
Test Yourself
Predict the effect of decreasing the temperature on this equilibrium.
N 2 O 4 + 57 kJ ⇄ 2NO 2
Answer
Equilibrium shifts toward reactants.
In the case of temperature, the value of the equilibrium has changed because the Keq is dependent on temperature. That is why equilibria shift with changes in temperature.
A catalyst
A substance that increases the speed of a reaction.
is a substance that increases the speed of a reaction. Overall, a catalyst is not a reactant and is not used up, but it still affects how fast a reaction proceeds. However, a catalyst does not affect the extent or position of a reaction at equilibrium. It helps a reaction achieve equilibrium faster.
Chemistry Is Everywhere: Equilibria in the Garden
Hydrangeas are common flowering plants around the world. Although many hydrangeas are white, there is one common species ( Hydrangea macrophylla) whose flowers can be either red or blue, as shown in the accompanying figure. How is it that a plant can have different colored flowers like this?
Figure 13.1 Garden Equilibria
This species of hydrangea has flowers that can be either red or blue. Why the color difference?
© Thinkstock
Interestingly, the color of the flowers is due to the acidity of the soil that the hydrangea is planted in. An astute gardener can adjust the pH of the soil and actually change the color of the flowers. However, it is not the H + or OH − ions that affect the color of the flowers. Rather, it is the presence of aluminum that causes the color change.
The solubility of aluminum in soil—and thus the ability of plants to absorb it—is dependent on the acidity of the soil. If the soil is relatively acidic, the aluminum is more soluble, and plants can absorb it more easily. Under these conditions, hydrangea flowers are blue as Al ions interact with anthocyanin pigments in the plant. In more basic soils, aluminum is less soluble, and under these conditions the hydrangea flowers are red. Gardeners who change the pH of their soils to change the color of their hydrangea flowers are therefore employing Le Chatelier’s principle: the amount of acid in the soil changes the equilibrium of aluminum solubility, which in turn affects the color of the flowers.
Key Takeaways
Le Chatelier’s principle addresses how an equilibrium shifts when the conditions of an equilibrium are changed.
The direction of shift can be predicted for changes in concentrations, temperature, or pressure.
Catalysts do not affect the position of an equilibrium; they help reactions achieve equilibrium faster.
Exercises
Define Le Chatelier’s principle.
What is meant by a stress? What are some of the ways an equilibrium can be stressed?
Given this equilibrium, predict the direction of shift for each stress.
H 2 (g) + I 2 (s) + 53 kJ ⇄ 2HI (g)
decreased temperature
increased pressure
removal of HI
Given this equilibrium, predict the direction of shift for each stress.
H 2 (g) + F 2 (g) ⇄ 2HF (g) + 546 kJ
increased temperature
addition of H 2
decreased pressure
Given this equilibrium, predict the direction of shift for each stress.
2SO 2 (g) + O 2 (g) ⇄ 2SO 3 (g) + 196 kJ
removal of SO 3
addition of O 2
decreased temperature
Given this equilibrium, predict the direction of shift for each stress listed.
CO 2 (g) + C (s) + 171 kJ ⇄ 2CO (g)
addition of CO
increased pressure
addition of a catalyst
The synthesis of NH 3 uses this chemical reaction.
N 2 (g) + 3H 2 (g) ⇄ 2 NH 3 (g) + 92 kJ
Identify three stresses that can be imposed on the equilibrium to maximize the amount of NH 3.
The synthesis of CaCO 3 uses this chemical reaction.
CaO (s) + CO 2 (g) ⇄ CaCO 3 (s) + 180 kJ
Identify three stresses that can be imposed on the equilibrium to maximize the amount of CaCO 3.
Answers
When an equilibrium is stressed, the equilibrium shifts to minimize that stress.
toward reactants
toward reactants
toward products
toward products
toward products
toward products
increased pressure, decreased temperature, removal of NH 3 | msmarco_doc_00_10902097 |
http://2012books.lardbucket.org/books/beginning-chemistry/s20-04-other-oxygen-containing-functi.html | Other Oxygen-Containing Functional Groups | 16.4
Other Oxygen-Containing Functional Groups
16.4 Other Oxygen-Containing Functional Groups
Learning Objective
Example 9
Example 10
Chemistry Is Everywhere: Esters, Fragrances, and Flavorings
Key Takeaway
Exercises
Answers
| Other Oxygen-Containing Functional Groups
16.4 Other Oxygen-Containing Functional Groups
Learning Objective
Identify the aldehyde, ketone, acid, ester, and ether functional groups.
There are other functional groups that contain O atoms. Before we introduce them, we define the carbonyl group
A functional group formed when an O atom and a C atom are joined with a double bond.
, which is formed when an O atom and a C atom are joined by a double bond:
The other two bonds on the C atom are attached to other atoms. It is the identities of these other atoms that define what specific type of compound an organic molecule is.
If one bond of the carbonyl group is made to an H atom, then the molecule is classified as an aldehyde
A compound that has a carbonyl functional group at the end of a chain of C atoms.
. (If there are two H atoms, there is only 1 C atom.) When naming aldehydes, the main chain of C atoms must include the carbon in the carbonyl group, which is numbered as position 1 in the carbon chain. The parent name of the hydrocarbon is used, but the suffix - al is appended. (Do not confuse - al with - ol, which is the suffix used for alcohols.) So we have
Methanal has a common name with which you may be familiar: formaldehyde. The main thing to note about aldehydes is that the carbonyl group is at the end of a carbon chain.
A carbonyl group in the middle of a carbon chain implies that both remaining bonds of the carbonyl group are made to C atoms. This type of molecule is called a ketone
A compound that has a carbonyl group in the middle of a carbon chain.
. Despite the fact that aldehydes and ketones have the same carbonyl group, they have different chemical and physical properties and are properly grouped as two different types of compounds. The smallest ketone has three C atoms in it. When naming a ketone, we take the name of the parent hydrocarbon and change the suffix to - one:
The common name for propanone is acetone. With larger ketones, we must use a number to indicate the position of the carbonyl group, much like a number is used with alkenes and alkynes:
There is another way to name ketones: name the alkyl groups that are attached to the carbonyl group and add the word ketone to the name. So propanone can also be called dimethyl ketone, while 2-butanone is called methyl ethyl ketone.
Example 9
Draw the structure of 2-pentanone.
Solution
This molecule has five C atoms in a chain, with the carbonyl group on the second C atom. Its structure is as follows:
Test Yourself
Draw the structure of methyl butyl ketone.
Answer
The combination of a carbonyl functional group and an OH group makes the carboxyl group
A functional group composed of a carbonyl group and an OH group.
.
Molecules with a carboxyl group are called carboxylic acids
A molecule with a carboxyl group.
. As with aldehydes, the functional group in carboxylic acids is at the end of a carbon chain. Also as with aldehydes, the C atom in the functional group is counted as one of the C atoms that defines the parent hydrocarbon name. To name carboxylic acids, the parent name of the hydrocarbon is used, but the suffix - oic acid is added:
Methanoic acid and ethanoic acid are also called formic acid and acetic acid, respectively. Formic acid is the compound that makes certain ant bites sting, while acetic acid is the active substance in vinegar.
How acidic are carboxylic acids? It turns out that they are not very acidic. No carboxylic acid is on the list of strong acids ( Table 12.2 "Strong Acids and Bases" ). (For more information about strong acids, see Chapter 12 "Acids and Bases", Section 12.4 "Strong and Weak Acids and Bases and Their Salts" .) This means that all carboxylic acids are weak acids. A 1 M solution of formic acid is only about 1.3% dissociated into H + ions and formate ions, while a similar solution of acetic acid is ionized by about only 0.4%. Some carboxylic acids are stronger—for example, trichloroacetic acid is about 45% dissociated in aqueous solution. But no carboxylic acid approaches the 100% dissociation amount required by the definition of a strong acid.
As their name suggests, however, carboxylic acids do act like acids in the presence of bases. The H atom in the carboxyl group comes off as the H + ion, leaving a carboxylate
A negatively charged ion derived from a carboxylic acid.
anion:
Carboxylate ions are named from the acid name: the - oic acid is replaced with - oate to name the ion.
Example 10
Complete the chemical reaction. Can you name the carboxylate ion formed?
Solution
The OH – ion removes the H atom that is part of the carboxyl group:
The carboxylate ion, which has the condensed structural formula CH 3 CO 2−, is the ethanoate ion, but it is commonly called the acetate ion.
Test Yourself
Complete the chemical reaction. Can you name the carboxylate ion formed?
Answer
The anion is the methanoate ion, which is commonly called the formate ion.
One reaction to consider is that of a carboxylic acid and an alcohol. When combined under the proper conditions, a water molecule will be removed, and the remaining pieces will combine to form a new functional group—the ester
A functional group made by combining a carboxylic acid with an alcohol.
functional group:
Note how the acid molecule contributes one alkyl side (represented by R), while the alcohol contributes the other side (represented by R′). Esters are named using the alkyl group name from the alcohol plus the carboxylate name from the acid—for example, the molecule
is called methyl propanoate.
Chemistry Is Everywhere: Esters, Fragrances, and Flavorings
Esters are very interesting compounds, in part because many have very pleasant odors and flavors. (Remember, never taste anything in the chemistry lab!) Many esters occur naturally and contribute to the odor of flowers and the taste of fruits. Other esters are synthesized industrially and are added to food products to improve their smell or taste; it is likely that if you eat a product whose ingredients include artificial flavorings, those flavorings are esters. Here are some esters and their uses, thanks to their odors, flavors, or both:
Ester
Tastes/Smells Like
Ester
Tastes/Smells Like
allyl hexanoate
pineapple
isobutyl formate
raspberry
benzyl acetate
pear
isobutyl acetate
pear
butyl butanoate
pineapple
methyl phenylacetate
honey
ethyl butanoate
banana
nonyl caprylate
orange
ethyl hexanoate
pineapple
pentyl acetate
apple
ethyl heptanoate
apricot
propyl ethanoate
pear
ethyl pentanoate
apple
propyl isobutyrate
rum
Finally, the ether
A functional group that has an O atom attached to two organic groups.
functional group is an O atom that is bonded to two organic groups:
R—O—R′
The two R groups may be the same or different. Naming ethers is like the alternate way of naming ketones. In this case, the R groups are named sequentially, and the word ether is appended. The molecule
CH3OCH3
is dimethyl ether, while
CH3OCH2CH3
is methyl ethyl ether. Diethyl ether, another ether, was once used as an anesthetic, but its flammability and toxicity caused it to fall out of favor. Smaller ether molecules that are liquids at room temperature are common solvents for organic chemical reactions.
Key Takeaway
Aldehydes, ketones, carboxylic acids, esters, and ethers have oxygen-containing functional groups.
Exercises
Name a similarity between the functional groups found in aldehydes and ketones. Can you name a difference between them?
Explain how a carboxylic acid is used to make an ester.
Name each molecule.
Name each molecule.
Name each molecule.
Name each molecule.
Name this molecule.
Name this molecule.
Give an alternate but acceptable name to the molecule in Exercise 3b.
Give an alternate but acceptable name to the molecule in Exercise 4b.
Complete this chemical reaction.
Complete this chemical reaction.
The drug known as aspirin has this molecular structure:
Identify the functional group (s) in this molecule.
The drug known as naproxen sodium is the sodium salt of this molecule:
(The extra H atoms are omitted for clarity.) Identify the functional group (s) in this molecule.
Identify the ester made by reacting these molecules.
Identify the ester made by reacting these molecules.
Answers
They both have a carbonyl group, but an aldehyde has the carbonyl group at the end of a carbon chain, and a ketone has the carbonyl group in the middle.
propanal
2-butanone
3-methylbutanoic acid
ethyl propionate
ethyl propyl ether
ethyl methyl ketone
H 2 O + KCH 3 CH 2 CO 2
acid, ester, and aromatic (benzene ring) | msmarco_doc_00_10911814 |
http://2012books.lardbucket.org/books/beginning-management-of-human-resources/s05-the-role-of-human-resources.html | The Role of Human Resources | Chapter 1
The Role of Human Resources
Chapter 1 The Role of Human Resources
Human Resource Management Day to Day
The Role of Human Resources
1.1 What Is Human Resources?
Learning Objectives
What Is HRM?
Human Resource Recall
The Role of HRM
Staffing
Development of Workplace Policies
Compensation and Benefits Administration
Retention
Training and Development
Dealing with Laws Affecting Employment
Worker Protection
Communication
Awareness of External Factors
Key Takeaways
Exercises
1.2 Skills Needed for HRM
Learning Objectives
Dilbert and the Evil HR Director
Human Resource Recall
People Skills in HR
Key Takeaways
Exercise
1.3 Today’s HRM Challenges
Learning Objective
Containing Costs
Technology
How Would You Handle This?
The Economy
The Changing and Diverse Workforce
Fortune 500 Focus
Human Resource Recall
Ethics
Key Takeaways
Exercises
1.4 Cases and Problems
Chapter Summary
Chapter Case
Team Activities
| The Role of Human Resources
Chapter 1 The Role of Human Resources
Human Resource Management Day to Day
You have just been hired to work in the human resource department of a small company. You heard about the job through a conference you attended, put on by the Society for Human Resource Management (SHRM). Previously, the owner of the company, Jennifer, had been doing everything related to human resource management (HRM). You can tell she is a bit critical about paying a good salary for something she was able to juggle all on her own. On your first day, you meet the ten employees and spend several hours with the company owner, hoping to get a handle on which human resource processes are already set up.
Shortly after the meeting begins, you see she has a completely different perspective of what HRM is, and you realize it will be your job to educate her on the value of a human resource manager. You look at it as a personal challenge—both to educate her and also to show her the value of this role in the organization.
First, you tell her that HRM is a strategic process having to do with the staffing, compensation, retention, training, and employment law and policies side of the business. In other words, your job as human resources (HR) manager will be not only to write policy and procedures and to hire people (the administrative role) but also to use strategic plans to ensure the right people are hired and trained for the right job at the right time. For example, you ask her if she knows what the revenue will be in six months, and Jennifer answers, “Of course. We expect it to increase by 20 percent.” You ask, “Have you thought about how many people you will need due to this increase?” Jennifer looks a bit sheepish and says, “No, I guess I haven’t gotten that far.” Then you ask her about the training programs the company offers, the software used to allow employees to access pay information online, and the compensation policies. She responds, “It looks like we have some work to do. I didn’t know that human resources involved all of that.” You smile at her and start discussing some of the specifics of the business, so you can get started right away writing the strategic human resource management plan.
The Role of Human Resources
(click to see video)
The author introduces the chapter defining the role of human resource management.
1.1 What Is Human Resources?
Learning Objectives
Explain the role of HRM in organizations.
Define and discuss some of the major HRM activities.
Every organization, large or small, uses a variety of capital
Capital includes cash, valuables, or goods used to generate income for a business.
to make the business work. Capital includes cash, valuables, or goods used to generate income for a business. For example, a retail store uses registers and inventory, while a consulting firm may have proprietary software or buildings. No matter the industry, all companies have one thing in common: they must have people to make their capital work for them. This will be our focus throughout the text: generation of revenue through the use of people’s skills and abilities.
What Is HRM?
Human resource management (HRM)
The process of employing people, training them, compensating them, developing policies relating to the workplace, and developing strategies to retain employees.
is the process of employing people, training them, compensating them, developing policies relating to them, and developing strategies to retain them. As a field, HRM has undergone many changes over the last twenty years, giving it an even more important role in today’s organizations. In the past, HRM meant processing payroll, sending birthday gifts to employees, arranging company outings, and making sure forms were filled out correctly—in other words, more of an administrative role rather than a strategic role crucial to the success of the organization. Jack Welch, former CEO of General Electric and management guru, sums up the new role of HRM: “Get out of the parties and birthdays and enrollment forms.… Remember, HR is important in good times, HR is defined in hard times.” Kristen B. Frasch, David Shadovitz, and Jared Shelly, “There’s No Whining in HR,” Human Resource Executive Online, June 30, 2009, accessed September 24, 2010, http://www.hreonline.com/HRE/story.jsp?storyId=227738167.
It’s necessary to point out here, at the very beginning of this text, that every manager has some role relating to human resource management. Just because we do not have the title of HR manager doesn’t mean we won’t perform all or at least some of the HRM tasks. For example, most managers deal with compensation, motivation, and retention of employees—making these aspects not only part of HRM but also part of management. As a result, this book is equally important to someone who wants to be an HR manager and to someone who will manage a business.
Human Resource Recall
Have you ever had to work with a human resource department at your job? What was the interaction like? What was the department’s role in that specific organization?
The Role of HRM
Keep in mind that many functions of HRM are also tasks other department managers perform, which is what makes this information important, despite the career path taken. Most experts agree on seven main roles that HRM plays in organizations. These are described in the following sections.
Staffing
You need people to perform tasks and get work done in the organization. Even with the most sophisticated machines, humans are still needed. Because of this, one of the major tasks in HRM is staffing. Staffing
The entire hiring process from the first step of posting a job to the actual hiring of an employee.
involves the entire hiring process from posting a job to negotiating a salary package. Within the staffing function, there are four main steps:
Development of a staffing plan. This plan allows HRM to see how many people they should hire based on revenue expectations.
Development of policies to encourage multiculturalism at work. Multiculturalism in the workplace is becoming more and more important, as we have many more people from a variety of backgrounds in the workforce.
Recruitment. This involves finding people to fill the open positions.
Selection. In this stage, people will be interviewed and selected, and a proper compensation package will be negotiated. This step is followed by training, retention, and motivation.
Development of Workplace Policies
Every organization has policies to ensure fairness and continuity within the organization. One of the jobs of HRM is to develop the verbiage surrounding these policies. In the development of policies, HRM, management, and executives are involved in the process. For example, the HRM professional will likely recognize the need for a policy or a change of policy, seek opinions on the policy, write the policy, and then communicate that policy to employees. It is key to note here that HR departments do not and cannot work alone. Everything they do needs to involve all other departments in the organization. Some examples of workplace policies might be the following:
Discipline process policy
Vacation time policy
Dress code
Ethics policy
Internet usage policy
These topics are addressed further in Chapter 6 "Compensation and Benefits", Chapter 7 "Retention and Motivation", Chapter 8 "Training and Development", and Chapter 9 "Successful Employee Communication".
Compensation and Benefits Administration
HRM professionals need to determine that compensation is fair, meets industry standards, and is high enough to entice people to work for the organization. Compensation
Anything the employee receives for his or her work. It can include pay, benefits, vacation time, and sick leave.
includes anything the employee receives for his or her work. In addition, HRM professionals need to make sure the pay is comparable to what other people performing similar jobs are being paid. This involves setting up pay systems that take into consideration the number of years with the organization, years of experience, education, and similar aspects. Examples of employee compensation include the following:
Pay
Health benefits
401 (k) (retirement plans)
Stock purchase plans
Vacation time
Sick leave
Bonuses
Tuition reimbursement
Since this is not an exhaustive list, compensation is discussed further in Chapter 6 "Compensation and Benefits".
Retention
Retention
The process and strategies of keeping and motivating employees to stay with the organization.
involves keeping and motivating employees to stay with the organization. Compensation is a major factor in employee retention, but there are other factors as well. Ninety percent of employees leave a company for the following reasons:
Issues around the job they are performing
Challenges with their manager
Poor fit with organizational culture
Poor workplace environment
Despite this, 90 percent of managers think employees leave as a result of pay. Leigh Rivenbark, “The 7 Hidden Reasons Why Employees Leave,” HR Magazine, May 2005, accessed October 10, 2010, http://findarticles.com/p/articles/mi_m3495/is_5_50/ai_n13721406. As a result, managers often try to change their compensation packages to keep people from leaving, when compensation isn’t the reason they are leaving at all. Chapter 7 "Retention and Motivation" and Chapter 11 "Employee Assessment" discuss some strategies to retain the best employees based on these four factors.
Training and Development
Once we have spent the time to hire new employees, we want to make sure they not only are trained to do the job but also continue to grow and develop new skills in their job. This results in higher productivity for the organization. Training is also a key component in employee motivation. Employees who feel they are developing their skills tend to be happier in their jobs, which results in increased employee retention. Examples of training programs might include the following:
Job skills training, such as how to run a particular computer program
Training on communication
Team-building activities
Policy and legal training, such as sexual harassment training and ethics training
We address each of these types of training and more in detail in Chapter 8 "Training and Development".
Dealing with Laws Affecting Employment
Human resource people must be aware of all the laws that affect the workplace. An HRM professional might work with some of these laws:
Discrimination laws
Health-care requirements
Compensation requirements such as the minimum wage
Worker safety laws
Labor laws
The legal environment of HRM is always changing, so HRM must always be aware of changes taking place and then communicate those changes to the entire management organization. Rather than presenting a chapter focused on HRM laws, we will address these laws in each relevant chapter.
Worker Protection
Safety is a major consideration in all organizations. Oftentimes new laws are created with the goal of setting federal or state standards to ensure worker safety. Unions and union contracts can also impact the requirements for worker safety in a workplace. It is up to the human resource manager to be aware of worker protection requirements and ensure the workplace is meeting both federal and union standards. Worker protection issues might include the following:
Chemical hazards
Heating and ventilation requirements
Use of “no fragrance” zones
Protection of private employee information
We take a closer look at these issues in Chapter 12 "Working with Labor Unions" and Chapter 13 "Safety and Health at Work".
Figure 1.1
Knowing the law regarding worker protection is generally the job of human resources. In some industries it is extremely important; in fact, it can mean life or death.
© Thinkstock
Communication
Besides these major roles, good communication skills and excellent management skills are key to successful human resource management as well as general management. We discuss these issues in Chapter 9 "Successful Employee Communication".
Awareness of External Factors
In addition to managing internal factors, the HR manager needs to consider the outside forces at play that may affect the organization. Outside forces, or external factors
Anything the company has no direct control over; it could positively or negatively impact human resources.
, are those things the company has no direct control over; however, they may be things that could positively or negatively impact human resources. External factors might include the following:
Globalization and offshoring
Changes to employment law
Health-care costs
Employee expectations
Diversity of the workforce
Changing demographics of the workforce
A more highly educated workforce
Layoffs and downsizing
Technology used, such as HR databases
Increased use of social networking to distribute information to employees
For example, the recent trend in flexible work schedules
A policy that allows employees to set their own schedules to work around family and personal needs.
(allowing employees to set their own schedules) and telecommuting
Allows employees to work from home or a remote location for a specified period of time, such as one day per week.
(allowing employees to work from home or a remote location for a specified period of time, such as one day per week) are external factors that have affected HR. HRM has to be aware of these outside issues, so they can develop policies that meet not only the needs of the company but also the needs of the individuals. Another example is the Patient Protection and Affordable Care Act, signed into law in 2010. Compliance with this bill has huge implications for HR. For example, a company with more than fifty employees must provide health-care coverage or pay a penalty. Currently, it is estimated that 60 percent of employers offer health-care insurance to their employees. Peter Cappelli, “HR Implications of Healthcare Reform,” Human Resource Executive Online, March 29, 2010, accessed August 18, 2011, http://www.hreonline.com/HRE/story.jsp?storyId=379096509. Because health-care insurance will be mandatory, cost concerns as well as using health benefits as a recruitment strategy are big external challenges. Any manager operating without considering outside forces will likely alienate employees, resulting in unmotivated, unhappy workers. Not understanding the external factors can also mean breaking the law, which has a concerning set of implications as well.
Figure 1.2
An understanding of key external factors is important to the successful HR professional. This allows him or her to be able to make strategic decisions based on changes in the external environment. To develop this understanding, reading various publications is necessary.
One way managers can be aware of the outside forces is to attend conferences and read various articles on the web. For example, the website of the Society for Human Resource Management, SHRM Online, Society for Human Resource Management, accessed August 18, 2011, http://www.shrm.org/Pages/default.aspx. not only has job postings in the field but discusses many contemporary human resource issues that may help the manager make better decisions when it comes to people management. In Section 1.3 "Today’s HRM Challenges", we go into more depth about some recent external issues that are affecting human resource management roles. In Section 1.1.2 "The Role of HRM", we discuss some of the skills needed to be successful in HRM.
Figure 1.3
Most professionals agree that there are seven main tasks HRM professionals perform. All these need to be considered in relation to external and outside forces.
Key Takeaways
Capital includes all resources a company uses to generate revenue. Human resources or the people working in the organization are the most important resource.
Human resource management is the process of employing people, training them, compensating them, developing policies relating to the workplace, and developing strategies to retain employees.
There are seven main responsibilities of HRM managers: staffing, setting policies, compensation and benefits, retention, training, employment laws, and worker protection. In this book, each of these major areas will be included in a chapter or two.
In addition to being concerned with the seven internal aspects, HRM managers must keep up to date with changes in the external environment that may impact their employees. The trends toward flexible schedules and telecommuting are examples of external aspects.
To effectively understand how the external forces might affect human resources, it is important for the HR manager to read the HR literature, attend conferences, and utilize other ways to stay up to date with new laws, trends, and policies.
Exercises
State arguments for and against the following statement: there are other things more valuable in an organization besides the people who work there.
Of the seven tasks an HR manager does, which do you think is the most challenging? Why?
1.2 Skills Needed for HRM
Learning Objectives
Explain the professional and personal skills needed to be successful in HRM.
Be able to define human resource management and the certifications that can be achieved in this profession.
One of the major factors of a successful manager or human resource (HR) manager is an array of skills to deal with a variety of situations. It simply isn’t enough to have knowledge of HR, such as knowing which forms need to be filled out. It takes multiple skills to create and manage people, as well as a cutting-edge human resource department.
The first skill needed is organization. The need for this skill makes sense, given that you are managing people’s pay, benefits, and careers. Having organized files on your computer and good time-management skills are crucial for success in any job, but especially if you take on a role in human resources.
Like most jobs, being able to multitask
The ability to work on more than one task at a time.
—that is, work on more than one task at a time—is important in managing human resources. A typical person managing human resources may have to deal with an employee issue one minute, then switch and deal with recruiting. Unlike many management positions, which only focus on one task or one part of the business, human resources focuses on all areas of the business, where multitasking is a must.
As trite as it may sound, people skills are necessary in any type of management and perhaps might be the most important skills for achieving success at any job. Being able to manage a variety of personalities, deal with conflict, and coach others are all in the realm of people management. The ability to communicate goes along with people skills. The ability to communicate good news (hiring a new employee), bad news (layoffs), and everything in between, such as changes to policy, makes for an excellent manager and human resource management (HRM) professional.
Keys to a successful career in HRM or management include understanding specific job areas, such as managing the employee database, understanding employment laws, and knowing how to write and develop a strategic plan that aligns with the business. All these skills will be discussed in this book.
A strategic mind-set as an HR professional is a key skill as well. A person with a strategic mind-set can plan far in advance and look at trends that could affect the environment in which the business is operating. Too often, managers focus on their own area and not enough on the business as a whole. The strategic HR professional is able to not only work within his or her area but also understand how HR fits into the bigger picture of the business.
Ethics
A concept that examines the moral rights and wrongs of certain situations.
and a sense of fairness are also necessary in human resources. Ethics is a concept that examines the moral rights and wrongs of a certain situation. Consider the fact that many HR managers negotiate salary and union contracts and manage conflict. In addition, HR managers have the task of ensuring compliance with ethics standards within the organization. Many HR managers are required to work with highly confidential information, such as salary information, so a sense of ethics when managing this information is essential. We discuss ethics from the organizational perspective in Section 1.1.2 "The Role of HRM".
Dilbert and the Evil HR Director
(click to see video)
Ethics is perhaps one of the most important aspects to being a great HR professional. This humorous video shows how unethical behavior can undermine motivation at work.
Human Resource Recall
Think of your current skills. Are there personal or professional skills you would like to work on?
Finally, while we can list a few skills that are important, understanding the particular business, knowing the business strategy, and being able to think critically about how HR can align itself with the strategy are ways to ensure HR departments are critical parts of the business. HR is a specialized area, much like accounting or finance. However, many individuals are placed in HR roles without having the specific knowledge to do the job. Oftentimes people with excellent skills are promoted to management and then expected (if the company is small) to perform recruiting, hiring, and compensation tasks. This is the reason we will refer to management and HR management interchangeably throughout the chapters. In addition, these skills are important for HRM professionals and managers alike.
Having said that, for those of you wanting a career in HRM, there are three exams you can take to show your mastery of HRM material:
Professional in Human Resources (PHR). To take this exam, an HR professional must have at least two years’ experience. The exam is four hours long and consists of 225 multiple-choice questions in a variety of areas. Twelve percent of the test focuses on strategic management, 26 percent on workforce planning, 17 percent on human resource development, 16 percent on rewards, 22 percent on employee and labor relations, and 7 percent on risk management. The application process for taking the exam is given on the Human Resource Certification Institute website at http://www.hrci.org.
Senior Professional in Human Resources (SPHR). This exam is designed for HR professionals who focus on designing and planning, rather than actual implementation. It is recommended that the person taking this exam has six to eight years of experience and oversees and manages an HR department. In this test, the greater focus is on the strategic aspect of HRM.
Global Professional in Human Resources (GPHR). This exam is for HR professionals who perform many of their tasks on a global level and whose companies often work across borders. This exam is three hours long, with 165 multiple-choice questions. A person with two years of professional experience can take the certification test. However, because the test has the international aspect, someone who designs HR-related programs and processes to achieve business goals would be best suited to earn this certification.
The benefits of achieving certifications are great. In addition to demonstrating the abilities of the HR professional, certification allows the professional to be more marketable in a very competitive field.
Figure 1.4
Perhaps one of the most important skills in any kind of management is the ability to communicate.
© Thinkstock
Most companies need a human resource department or a manager with HR skills. The industries and job titles are so varied that it is possible only to list general job titles in human resources:
Recruiter
Compensation analyst
Human resources assistant
Employee relations manager
Benefits manager
Work-life coordinator
Training and development manager
Human resources manager
Vice president for human resources
This is not an exhaustive list, but it can be a starting point for research on this career path.
People Skills in HR
(click to see video)
This chapter makes the point that communication and people skills, or “soft skills,” are necessary to be successful in any job. This video addresses the importance of these skills.
Key Takeaways
There are a number of skills crucial to human resource management. First, being able to organize and multitask is necessary. In this job, files must be managed, and an HR manager is constantly working in different areas of the business.
Communication skills are necessary in HRM as well. The ability to present good and bad news, work with a variety of personalities, and coach employees is important in HRM.
Specific job skills, such as computer skills, knowledge of employment law, writing and developing strategic plans, and general critical-thinking skills are important in any type of management, but especially in human resource management.
A sense of fairness and strong ethics will make for the best HR manager. Because HR works with a variety of departments to manage conflict and negotiate union contracts and salary, the HR professional needs ethics skills and the ability to maintain confidentiality.
Since one of the major responsibilities of an HR department is to align the HR strategic plan with the business strategic plan, critical and creative thinking, as well as writing, are skills that will benefit the HR manager as well.
Many people find themselves in the role of HR manager, so we will use the term HR manager throughout this book. However, many other types of managers also perform the tasks of recruiting, selecting, and compensating, making this book and the skills listed in this section applicable to all majors.
Certification exams can be taken to make you more marketable in the field of HRM. These certifications are offered by the HR Certification Institute (HRCI).
Exercise
What are your perceptions of what an HR manager does on a day-to-day basis? Research this job title and describe your findings. Is this the type of job you expected?
1.3 Today’s HRM Challenges
Learning Objective
Identify and explain some of the challenges associated with HRM.
All departments within an organization must prove their value and contributions to the overall business strategy, and the same is true with HRM. As companies are becoming more concerned with cutting costs, HRM departments must show the value they add to the organization through alignment with business objectives. Being able to add value starts with understanding some of the challenges of businesses and finding ways to reduce a negative impact on the business. This section will discuss some of the HRM challenges, and the rest of this text will dive into greater detail about how to manage these challenges.
Containing Costs
If you were to ask most business owners what their biggest challenges are, they will likely tell you that cost management is a major factor to the success or failure of their business. In most businesses today, the people part of the business is the most likely place for cuts when the economy isn’t doing well.
Consider the expenses that involve the people part of any business:
Health-care benefits
Training costs
Hiring process costs
And many more…
These costs cut into the bottom line of any business. The trick is to figure out how much, how many, or how often benefits should be offered, without sacrificing employee motivation. A company can cut costs by not offering benefits or 401 (k) plans, but if its goal is to hire the best people, a hiring package without these items will most certainly not get the best people. Containment of costs, therefore, is a balancing act. An HR manager must offer as much as he or she can to attract and retain employees, but not offer too much, as this can put pressure on the company’s bottom line. We will discuss ways to alleviate this concern throughout this book.
For example, there are three ways to cut costs associated with health care:
Shift more of the cost of health care to employees
Reduce the benefits offered to cut costs
Change or better negotiate the plan to reduce health-care costs
Health care costs companies approximately $4,003 per year for a single employee and $9,764 for families. This equals roughly 83 percent and 73 percent of total health-care costs for single employees and employees with families, “Use Three Strategies to Cut Health Care Costs,” Business Management Daily, September 9, 2010, accessed October 10, 2010, http://www.businessmanagementdaily.com/articles/23381/1/Use-3-strategies-to-cut-health-care-costs/Page1.html. respectively. One possible strategy for containment for health-care plans is to implement a cafeteria plan. Cafeteria plans
A type of benefits plan that gives all employees a minimum level of benefits and a set amount the employee can spend on flexible benefits, such as additional health care or vacation time.
started becoming popular in the 1980s and have become standard in many organizations. Mary Allen, “Benefits, Buffet Style—Flexible Plans,” Nation’s Business, January 1997, accessed October 1, 2010, http://findarticles.com/p/articles/mi_m1154/is_v75/ai_4587731. This type of plan gives all employees a minimum level of benefits and a set amount to spend on flexible benefits, such as additional health care or vacation time. It creates more flexible benefits, allowing the employee, based on his or her family situation, to choose which benefits are right for them. For example, a mother of two may choose to spend her flexible benefits on health care for her children, while a single, childless female may opt for more vacation days. In other words, these plans offer flexibility, while saving money, too. Cost containment strategies around benefits will be discussed in Chapter 6 "Compensation and Benefits".
Another way to contain costs is by offering training. While this may seem counterintuitive, as training does cost money up front, it can actually save money in the long run. Consider how expensive a sexual harassment lawsuit or wrongful termination lawsuit might be. For example, a Sonic Drive-In was investigated by the Equal Opportunity Employment Commission (EEOC) on behalf of seventy women who worked there, and it was found that a manager at one of the stores subjected the victims to inappropriate touching and comments. This lawsuit cost the organization $2 million. “LL Sonic Settles EEOC Lawsuit for $2 Million,” Valencia County News Bulletin, June 23, 2011. Some simple training up front (costing less than the lawsuit) likely would have prevented this from happening. Training employees and management on how to work within the law, thereby reducing legal exposure, is a great way for HR to cut costs for the organization as a whole. In Chapter 8 "Training and Development", we will further discuss how to organize, set up, and measure the success of a training program.
The hiring process and the cost of turnover
Replacement of employees who are fired or quit. The term is normally expressed as a percentage: the ratio of the number of workers who had to be replaced in a given period to the average number of workers at the organization.
in an organization can be very expensive. Turnover refers to the number of employees who leave a company in a particular period of time. By creating a recruiting and selection process with cost containment in mind, HR can contribute directly to cost-containment strategies company wide. In fact, the cost of hiring an employee or replacing an old one (turnover) can be as high as $9,777 for a position that pays $60,000. James Del Monte, “Cost of Hiring and Turnover,” JDA Professional Services, Inc., 2010, accessed October 1, 2010, http://www.jdapsi.com/Client/articles/coh. By hiring smart the first time, HR managers can contain costs for their organization. This will be discussed in Chapter 4 "Recruitment" and Chapter 5 "Selection". Reducing turnover includes employee motivational strategies. This will be addressed in Chapter 7 "Retention and Motivation".
In a survey reported on by the Sales and Marketing Management newsletter, “The Cost of Poor Communications,” Sales and Marketing, December 22, 2006, accessed October 1, 2010, http://www.allbusiness.com/marketing-advertising/4278862-1.html. 85 percent of managers say that ineffective communication is the cause of lost revenue. E-mail, instant messaging, text messages, and meetings are all examples of communication in business. An understanding of communication styles, personality styles, and channels of communication can help us be more effective in our communications, resulting in cost containment. In HRM, we can help ensure our people have the tools to communicate better, and contain costs and save dollars in doing so. Some of these tools for better communication will be addressed in Chapter 9 "Successful Employee Communication".
One cost-containment strategy for US businesses has been offshoring. Offshoring
Moving jobs overseas to contain costs.
refers to the movement of jobs overseas to contain costs. It is estimated that 3.3 million US jobs will be moved overseas by 2015. Vivek Agrawal and Diana Farrell, “Who Wins in Offshoring?” in “Global Directions,” special issue, McKinsey Quarterly, (2003): 36–41, https://www.mckinseyquarterly.com/Who_wins_in_offshoring_1363. According to the US Census Bureau, most of these jobs are Information Technology (IT) jobs as well as manufacturing jobs. This issue is unique to HR, as the responsibility for developing training for new workers and laying off domestic workers will often fall under the realm of HRM. Offshoring will be discussed in Chapter 14 "International HRM", and training for new workers will be discussed in Chapter 8 "Training and Development".
Figure 1.5
One of the biggest contemporary challenges in HRM is figuring out the balance between what benefits to offer versus the impact those benefits have on employee motivation.
© Thinkstock
Of course, cost containment isn’t only up to HRM and managers, but as organizations look at various ways to contain costs, human resources can certainly provide solutions.
Technology
Technology has greatly impacted human resources and will continue to do so as new technology is developed. Through use of technology, many companies have virtual workforces that perform tasks from nearly all corners of the world. When employees are not located just down the hall, management of these human resources creates some unique challenges. For example, technology creates an even greater need to have multicultural or diversity understanding. Since many people will work with individuals from across the globe, cultural sensitivity and understanding is the only way to ensure the use of technology results in increased productivity rather than decreased productivity due to miscommunications. Chapter 3 "Diversity and Multiculturalism" and Chapter 14 "International HRM" will discuss some specific diversity issues surrounding a global workforce.
Technology also creates a workforce that expects to be mobile. Because of the ability to work from home or anywhere else, many employees may request and even demand a flexible schedule to meet their own family and personal needs. Productivity can be a concern for all managers in the area of flextime, and another challenge is the fairness to other workers when one person is offered a flexible schedule. Chapter 6 "Compensation and Benefits" and Chapter 7 "Retention and Motivation" will discuss flextime as a way to reward employees. Many companies, however, are going a step further and creating virtual organizations
An organization that does not have a physical office; rather, employees use technology and do their job from home or the location of their choice.
, which don’t have a physical location (cost containment) and allow all employees to work from home or the location of their choice. As you can imagine, this creates concerns over productivity and communication within the organization.
The use of smartphones and social networking has impacted human resources, as many companies now disseminate information to employees via these methods. Of course, technology changes constantly, so the methods used today will likely be different one year or even six months from now.
The large variety of databases available to perform HR tasks is mind boggling. For example, databases are used to track employee data, compensation, and training. There are also databases available to track the recruiting and hiring processes. We will discuss more about technology in HR in Chapter 4 "Recruitment" through Chapter 8 "Training and Development".
Of course, the major challenge with technology is its constantly changing nature, which can impact all practices in HRM.
How Would You Handle This?
Too Many Friends
You are the HR manager for a small company, consisting of twenty-three people plus the two owners, Steve and Corey. Every time you go into Steve’s office, you see he is on Facebook. Because he is Facebook friends with several people in the organization, you have also heard he constantly updates his status and uploads pictures during work time. Then, at meetings, Steve will ask employees if they saw the pictures he recently uploaded from his vacation, weekend, or backpacking trip. One employee, Sam, comes to you with a concern about this. “I am just trying to do my job, but I feel if I don’t look at his photos, he may not think I am a good employee,” she says. How would you handle this?
How Would You Handle This?
https://api.wistia.com/v1/medias/1371241/embed
The author discusses the How Would You Handle This situation in this chapter at: https://api.wistia.com/v1/medias/1371241/embed.
Cyberloafing
Using a work computer for personal reasons, resulting in lost productivity.
, a term used to describe lost productivity as a result of an employee using a work computer for personal reasons, is another concern created by technology. One study performed by Nucleus Research found that the average worker uses Facebook for fifteen minutes per day, which results in an average loss of 1.5 percent of productivity. “Facebook Use Cuts Productivity at Work,” Economic Times, July 25, 2009, accessed October 4, 2010, http://economictimes.indiatimes.com/tech/internet/Facebook-use-cuts-productivity-at-work-Study/articleshow/4818848.cms. Some workers, in fact, use Facebook over two hours per day during working hours. Restricting or blocking access to the Internet, however, can result in angry employees and impact motivation at work. Motivational factors will be discussed in Chapter 7 "Retention and Motivation".
Technology can create additional stress for workers. Increased job demands, constant change, constant e-mailing and texting, and the physical aspects of sitting in front of a computer can be not only stressful but also physically harmful to employees. Chapter 13 "Safety and Health at Work" will deal with some of these stress issues, as well as safety issues such as carpal tunnel, which can occur as a result of technology in the workplace. More on health and safety will be covered in Chapter 10 "Managing Employee Performance".
The Economy
Tough economic times in a country usually results in tough times for business, too. High unemployment and layoffs are clearly HRM and managerial issues. If a human resource manager works for a unionized company, union contracts are the guiding source when having to downsize owing to a tough economy. We will discuss union contracts in greater detail in Chapter 12 "Working with Labor Unions". Besides union restrictions, legal restrictions on who is let go and the process followed to let someone go should be on the forefront of any manager’s mind when he or she is required to lay off people because of a poor economy. Dealing with performance issues and measuring performance can be considerations when it is necessary to lay off employees. These issues will be discussed in Chapter 10 "Managing Employee Performance" and Chapter 11 "Employee Assessment".
Likewise, in a growth economy, the HR manager may experience a different kind of stress. Massive hiring to meet demand might occur if the economy is doing well. For example, McDonald’s restaurants had to fill six hundred positions throughout Las Vegas and held hiring day events in 2010. “McDonald’s Readies for Massive Hiring Spree,” Fox 5 News, Las Vegas, May 2010, accessed October 5, 2010, http://www.fox5vegas.com/news/23661640/detail.html (site discontinued). Imagine the process of hiring this many people in a short period of time The same recruiting and selection processes used under normal circumstances will be helpful in mass hiring situations. Recruiting and selection will be discussed in Chapter 4 "Recruitment" and Chapter 5 "Selection".
The Changing and Diverse Workforce
Human resources should be aware that the workforce is constantly changing. For example, in the 2010 census, the national population was 308,745,538, with 99,531,000 in 2010 working full time, down from 2008 when 106,648,000 were working full time. Bureau of Labor Statistics, Current Population Survey Report, accessed July 7, 2011, http://www.bls.gov/cps/earnings.htm#education. For full-time workers, the average weekly salary was higher the more educated the worker. See Figure 1.6 for details.
Figure 1.6
The average weekly earnings for workers in the United States increase with more education.
Source: Data from US Bureau of Labor Statistics, “Usual Weekly Earnings of Wage and Salary Workers,” Table 5, Economic News Release, July 20, 2010, accessed August 19, 2011, http://www.bls.gov/opub/ted/2010/ted_20100726_data.htm.
Fortune 500 Focus
Multigenerational is here to stay, and Xerox is the leader in recruiting of Generation Y talent. This age group has been moving into the labor market over the last six years, and this major demographic change, along with the retirement of baby boomers, has many companies thinking. Fortune 500 companies know they must find out where their new stars are coming from. In recruiting this new talent, Xerox isn’t looking to old methods, because they know each generation is different. For example, Xerox developed the “Express Yourself” recruiting campaign, which is geared around a core value of this generation, to develop solutions and change. Joe Hammill, the director of talent acquisition, says, “Gen Y is very important. Xerox and other companies view this emerging workforce as the future of our organization.” Stephanie Armour, “Generation Y: They’ve Arrived at Work with a New Attitude,” USA Today, November 6, 2005. Besides the new recruiting campaign, recruiters are working at what they term “core colleges”—that is, those that produce the kind of talent they need. For example, they developed recruitment campaigns with specific institutions such as the Rochester Institute of Technology because of its strong engineering and printing science programs. On their company website, they have a specific tab for the recent college graduate, emphasizing core values of this generation, including the ability to contribute, support, and build skills. With its understanding of multicultural generations, Xerox has created a talent pool for years to come.
It is expected that over the next ten years, over 40 percent of the workforce will retire, and there will not be enough younger workers to take the jobs once held by the retiring workforce. Alvaro Fernandez, “Training the Aging Workforce,” SharpBrains, August 10, 2007, accessed October 6, 2010, http://www.sharpbrains.com/blog/2007/08/10/training-the-aging-workforce-and-their-brains. In fact, the American Society of Training and Development says that in the next twenty years, seventy-six million Americans will retire, and only forty-six million will replace them. As you can imagine, this will create a unique staffing obstacle for human resources and managers alike, as they try to find talented people in a pool that doesn’t have enough people to perform necessary jobs. The reason for this increase in retirement is the aging baby boomers. Baby boomers
Defined by being born during the baby boom, which occurred after World War II during the years between 1946 and 1964.
can be defined as those born between the years 1946 and 1964, according to the Census Bureau. They are called the baby boomers because there was a large increase of babies born after soldiers came back from World War II. Baby boomers account for seventy-six million people in the United States in 2011, the same year in which the first of the baby boomers have started to retire.
The impact of the baby boomer generation on our country and on human resource management is huge. First, the retirement of baby boomers results in a loss of a major part of the working population, and there are not enough people to fill those jobs that are left vacant. Second, the baby boomers’ knowledge is lost upon their retirement. Much of this knowledge isn’t formalized or written down, but it contributes to the success of business. Third, elderly people are living longer, and this results in higher health-care costs for all currently in the workforce. It is estimated that three out of five baby boomers do not have enough money saved for retirement, Joe Weisenthal, “3 of 5 Baby Boomers Don’t Have Enough for Retirement,” Business Insider Magazine, August 16, 2010, http://www.businessinsider.com/boomers-cutting-back-2010-8. meaning that many of them will depend on Social Security payments to meet basic needs. However, since the Social Security system is a pay-as-you-go system (i.e., those paying into the system now are paying for current retirees), there may not be enough current workers to cover the current Social Security needs. In fact, in 1950 there were 16 workers to support each Social Security beneficiary, but today there are only 3.3 workers supporting each beneficiary. Brenda Wenning, “Baby Boomer Retirement May Be a Bust,” Metrowest News Daily, March 21, 2010. The implications can mean that more will be paid by current workers to support retirees.
As a result of the aging workforce, human resources should keep abreast of changes in Social Security legislation and health-care costs, which will be discussed in Chapter 6 "Compensation and Benefits". In addition, human resource managers should review current workers’ skill levels and monitor retirements and skills lost upon those retirements, which is part of strategic planning. This will be discussed in Chapter 2 "Developing and Implementing Strategic HRM Plans". Having knowledge about current workers and skills, as well as predicting future workforce needs, will be necessary to deal with the challenges of an aging workforce.
Figure 1.7
Developing an HR strategy around retirement of workers is a key factor in working with a multigenerational workforce. In addition, HR must understand the various psychologies of varying ages of workers and develop benefits and compensation that meet the needs of all generations.
© Thinkstock
Human Resource Recall
Have you ever worked in a multigenerational organization? What were some of the challenges in working with people who may have grown up in a different era?
Another challenge, besides lack of workers, is the multigenerational workforce. Employees between the ages of seventeen and sixty-eight have different values and different expectations of their jobs. Any manager who tries to manage these workers from varying generations will likely have some challenges. Even compensation preferences are different among generations. For example, the traditional baby boomer built a career during a time of pensions and strongly held values of longevity and loyalty to a company. Compare the benefit needs of this person to someone who is younger and expects to save through a 401 (k) plan, and it is clear that the needs and expectations are different. Michelle Capezza, “Employee Benefits in a Multigenerational Workplace,” EpsteinBeckerGreen, August 12, 2010, accessed October 6, 2010, http://www.ebglaw.com/showNewsletter.aspx?Show=13313. Throughout this book, we will discuss compensation and motivational strategies for the multigenerational workforce.
Awareness of the diversity of the workforce will be discussed in Chapter 3 "Diversity and Multiculturalism", but laws regarding diversity will be discussed throughout the book. Diversity refers to age, disability, race, sex, national origin, and religion. Each of these components makes up the productive workforce, and each employee has different needs, wants, and goals. This is why it is imperative for the HRM professional to understand how to motivate the workforce, while ensuring that no laws are broken. We will discuss laws regarding diversity (and the components of diversity, such as disabilities) in Chapter 3 "Diversity and Multiculturalism", Chapter 4 "Recruitment", Chapter 5 "Selection", Chapter 6 "Compensation and Benefits", and Chapter 7 "Retention and Motivation".
Figure 1.8 Demographic Data for the United States by Race
Source: Map courtesy of the US Census Department.
Ethics
A discussion of ethics is necessary when considering challenges of human resources. Much of the discussion surrounding ethics happened after the early to mid-2000s, when several companies were found to have engaged in gross unethical and illegal conduct, resulting in the loss of billions of dollars from shareholders. Consider the statistics: only 25 percent of employees trusted their CEO to tell the truth, and 80 percent of people said that employers have a moral responsibility to society. Strategic Management Partners, “Unethical Statistics Announced At Business Leaders Event,” news release, http://www.consult-smp.com/archives/2005/02/unethical_stati.html, accessed August 31, 2011. Based on these numbers, an ethical workplace is important not only for shareholder satisfaction but for employee satisfaction as well. Companies are seeing the value of implementing ethics codes within the business.
Many human resource departments have the responsibility of designing codes of ethics and developing policies for ethical decision making. Some organizations hire ethics officers to specifically focus on this area of the business. Out of four hundred companies surveyed, 48 percent had an ethics officer, who reported to either the CEO or the HR executive. Mark McGraw, “The HR-Ethics Alliance,” HR Executive Online, June 16, 2011, accessed July 7, 2011, http://www.hreonline.com/HRE/story.jsp?storyId=533339153. According to Steve Miranda, chief human resources officer for the Society for Human Resource Management (SHRM), “ [the presence of an ethics officer] provides a high-level individual with positional authority who can ensure that policies, practices, and guidelines are effectively communicated across the organization.” Mark McGraw, “The HR-Ethics Alliance,” HR Executive Online, June 16, 2011, accessed July 7, 2011, http://www.hreonline.com/HRE/story.jsp?storyId=533339153, brackets in the original.
For example, the insurance company Allstate recently hired a chief ethics and compliance officer (CECO) who offers a series of workshops geared toward leaders in the organization, because they believe that maintaining high ethical standards starts at the top of an organization. In addition, the CECO monitors reports of ethics complaints within the organization and trains employees on the code of ethics or code of conduct. Mark McGraw, “The HR-Ethics Alliance,” HR Executive Online, June 16, 2011, accessed July 7, 2011, http://www.hreonline.com/HRE/story.jsp?storyId=533339153. A code of ethics
A document that explains the expected ethical behavior of employees.
is an outline that explains the expected ethical behavior of employees. For example, General Electric (GE) has a sixty-four-page code of conduct that outlines the expected ethics, defines them, and provides information on penalties for not adhering to the code. The code of conduct is presented below. Of course, simply having a written code of ethics does little to encourage positive behavior, so many organizations (such as GE) offer stiff penalties for ethics violations. Developing policies, monitoring behavior, and informing people of ethics are necessary to ensure a fair and legal business.
The following is an outline of GE’s code of conduct: “The Spirit and the Letter,” General Electric Company, accessed August 10, 2011, http://files.gecompany.com/gecom/citizenship/pdfs/TheSpirit&TheLetter.pdf.
Obey the applicable laws and regulations governing our business conduct worldwide.
Be honest, fair, and trustworthy in all your GE activities and relationships.
Avoid all conflicts of interest between work and personal affairs.
Foster an atmosphere in which fair employment practices extend to every member of the diverse GE community.
Strive to create a safe workplace and to protect the environment.
Through leadership at all levels, sustain a culture where ethical conduct is recognized, valued, and exemplified by all employees.
Key Takeaways
One of the most important aspects to productive HRM is to ensure the department adds value to the rest of the organization, based on the organization’s strategic plan.
One of the major challenges of HRM is containment of costs. This can be done in several ways, for example, in the way health care and benefits are offered. Many companies are developing cafeteria plans that satisfy the employee and help contain costs.
HRM can also contain costs by developing and managing training programs and ensuring employees are well trained to be productive in the job.
Hiring is a very expensive part of human resources, and therefore HRM should take steps to ensure they are hiring the right people for the job the first time. Turnover is a term used to describe the departure of an employee.
Poor communication results in wasting time and resources. We can communicate better by understanding communication channels, personalities, and styles.
Technology is also a challenge to be met by human resources. For example, employees may request alternative work schedules because they can use technology at home to get their work done.
Because technology is part of our work life, cyberloafing, or employees spending too much time on the Internet, creates new challenges for managers. Technology can also create challenges such as workplace stress and lack of work-life balance.
The economy is a major factor in human resource management. HR managers, no matter what the state of the economy, must plan effectively to make sure they have the right number of workers at the right time. When we deal with a down economy, the legal and union implications of layoffs must be considered, and in an up economy, hiring of workers to meet the internal demand is necessary.
The retirement of baby boomers is creating a gap in the workplace, related to not only the number of people available but also the skills people have. Multigenerational companies, or companies with workers of a variety of ages, must find ways to motivate employees, even though those employees may have different needs. HR must be aware of this and continually plan for the challenge of a changing workforce. Diversity in the workplace is an important challenge in human resource management. Diversity will be discussed in Chapter 3 "Diversity and Multiculturalism".
Ethics and monitoring of ethical behavior are also challenges in HRM. Setting ethical standards and monitoring ethical behavior, including developing a code of conduct, is a must for any successful business.
Exercises
Research the various generations: baby boomers, Generation X, and the Y Generation (millennials). Compare and contrast five differences between the generations. How might these differences impact HRM?
Review news articles on the current state of the economy. Which aspects of these articles do you think can relate to HRM?
1.4 Cases and Problems
Chapter Summary
Human resource management is the process of employing people, training them, compensating them, developing policies relating to the workplace, and developing strategies to retain employees. Three certification exams, which are offered by the Human Resource Certification Institute, can be taken to show HRM skills and become more marketable.
Human resource management involves seven main areas: (1) staffing, (2) workplace policies, (3) benefits and compensation, (4) retention, (5) training, (6) employment laws, and (7) employee protection.
Human resource managers need many different types of skills. Being able to organize, multitask, and communicate effectively, as well as having specific job skills, such as how to run a particular computer program, and a sense of fairness and ethics, is crucial to a successful career in HRM.
There are many contemporary challenges associated with HRM. First, it is up to everyone in the organization to contain costs. HR managers need to look at their individual departments and demonstrate the necessity and value of their functions to the organization. HR managers can also help contain costs in several ways, such as managing benefits plans and compensation and providing training.
The fast-changing nature of technology is also a challenge in HRM. As new technologies are developed, employees may be able to implement innovative ways of working such as flextime. HR managers are also responsible for developing policies dealing with cyberloafing and other workplace time wasters revolving around technology. Employee stress and lack of work-life balance are also greatly influenced by technology.
Awareness of the changes in the economy allows the human resource manager to adequately plan for reductions and additions to the workforce.
The aging and changing workforce is our final factor. As baby boomers retire, there likely will not be enough people to replace them, and many of the skills the baby boomers have may be lost. In addition, having to work with multiple generations at once can create challenges as different expectations and needs arise from multigenerational workforces.
Chapter Summary
(click to see video)
The author provides a video summary of the chapter.
Chapter Case
Changes, Changes
Jennifer, the owner and manager of a company with ten employees, has hired you to take over the HRM function so she can focus on other areas of her business. During your first two weeks, you find out that the company has been greatly affected by the up economy and is expected to experience overall revenue growth by 10 percent over the next three years, with some quarters seeing growth as high as 30 percent. However, five of the ten workers are expected to retire within three years. These workers have been with the organization since the beginning and provide a unique historical perspective of the company. The other five workers are of diverse ages.
In addition to these changes, Jennifer believes they may be able to save costs by allowing employees to telecommute one to two days per week. She has some concerns about productivity if she allows employees to work from home. Despite these concerns, Jennifer has even considered closing down the physical office and making her company a virtual organization, but she wonders how such a major change will affect the ability to communicate and worker motivation.
Jennifer shares with you her thoughts about the costs of health care on the organization. She has considered cutting benefits entirely and having her employees work for her on a contract basis, instead of being full-time employees. She isn’t sure if this would be a good choice.
Jennifer schedules a meeting with you to discuss some of her thoughts. To prepare for the meeting, you perform research so you can impress your new boss with recommendations on the challenges presented.
Point out which changes are occurring in the business that affect HRM.
What are some considerations the company and HR should be aware of when making changes related to this case study?
What would the initial steps be to start planning for these changes?
What would your role be in implementing these changes? What would Jennifer’s role be?
Team Activities
In a group of two to three people, research possible career paths in HRM and prepare a PowerPoint presentation to discuss your findings.
Interview an HR manager and discuss his or her career path, skills, and daily tasks. Present your findings to your class. | msmarco_doc_00_10920990 |
http://2012books.lardbucket.org/books/beginning-psychology/s07-02-our-brains-control-our-thought.html | Our Brains Control Our Thoughts, Feelings, and Behavior | 3.2
Our Brains Control Our Thoughts, Feelings, and Behavior
3.2 Our Brains Control Our Thoughts, Feelings, and Behavior
Learning Objectives
The Old Brain: Wired for Survival
The Cerebral Cortex Creates Consciousness and Thinking
Functions of the Cortex
The Brain Is Flexible: Neuroplasticity
Research Focus: Identifying the Unique Functions of the Left and Right Hemispheres Using Split-Brain Patients
Psychology in Everyday Life: Why Are Some People Left-Handed?
Key Takeaways
Exercises and Critical Thinking
| Our Brains Control Our Thoughts, Feelings, and Behavior
3.2 Our Brains Control Our Thoughts, Feelings, and Behavior
Learning Objectives
Describe the structures and function of the “old brain” and its influence on behavior.
Explain the structure of the cerebral cortex (its hemispheres and lobes) and the function of each area of the cortex.
Define the concepts of brain plasticity, neurogenesis, and brain lateralization.
If you were someone who understood brain anatomy and were to look at the brain of an animal that you had never seen before, you would nevertheless be able to deduce the likely capacities of the animal. This is because the brains of all animals are very similar in overall form. In each animal the brain is layered, and the basic structures of the brain are similar (see Figure 3.6 "The Major Structures in the Human Brain" ). The innermost structures of the brain—the parts nearest the spinal cord—are the oldest part of the brain, and these areas carry out the same the functions they did for our distant ancestors. The “old brain” regulates basic survival functions, such as breathing, moving, resting, and feeding, and creates our experiences of emotion. Mammals, including humans, have developed further brain layers that provide more advanced functions—for instance, better memory, more sophisticated social interactions, and the ability to experience emotions. Humans have a very large and highly developed outer layer known as the cerebral cortex (see Figure 3.7 "Cerebral Cortex" ), which makes us particularly adept at these processes.
Figure 3.6 The Major Structures in the Human Brain
The major brain parts are colored and labeled.
Source: Adapted from Camazine, S. (n.d.). Images of the brain. Medical, science, and nature things: Photography and digital imagery by Scott Camazine. Retrieved from http://www.scottcamazine.com/photos/brain/pages/09MRIBrain_jpg.htm.
Figure 3.7 Cerebral Cortex
Humans have a very large and highly developed outer brain layer known as the cerebral cortex. The cortex provides humans with excellent memory, outstanding cognitive skills, and the ability to experience complex emotions.
Source: Adapted from Wikia Education. (n.d.). Cerebral cortex. Retrieved from http://psychology.wikia.com/wiki/Cerebral_cortex.
The Old Brain: Wired for Survival
The brain stem
The oldest and innermost region of the brain, it serves to control the most basic functions of life, including breathing, attention, and motor responses.
is the oldest and innermost region of the brain. It’s designed to control the most basic functions of life, including breathing, attention, and motor responses ( Figure 3.8 "The Brain Stem and the Thalamus" ). The brain stem begins where the spinal cord enters the skull and forms the medulla
The area of the brain stem that controls heart rate and breathing.
, the area of the brain stem that controls heart rate and breathing. In many cases the medulla alone is sufficient to maintain life—animals that have the remainder of their brains above the medulla severed are still able to eat, breathe, and even move. The spherical shape above the medulla is the pons
A structure in the brain stem that helps control the movements of the body, playing a particularly important role in balance and walking.
, a structure in the brain stem that helps control the movements of the body, playing a particularly important role in balance and walking.
Running through the medulla and the pons is a long, narrow network of neurons known as the reticular formation
A long, narrow network of neurons that runs through the medulla and the pons.
. The job of the reticular formation is to filter out some of the stimuli that are coming into the brain from the spinal cord and to relay the remainder of the signals to other areas of the brain. The reticular formation also plays important roles in walking, eating, sexual activity, and sleeping. When electrical stimulation is applied to the reticular formation of an animal, it immediately becomes fully awake, and when the reticular formation is severed from the higher brain regions, the animal falls into a deep coma.
Figure 3.8 The Brain Stem and the Thalamus
The brain stem is an extension of the spinal cord, including the medulla, the pons, the thalamus, and the reticular formation.
Above the brain stem are other parts of the old brain that also are involved in the processing of behavior and emotions (see Figure 3.9 "The Limbic System" ). The thalamus
The egg-shaped structure above the brain stem that filters sensory information coming up from the spinal cord and relays signals to the higher brain levels.
is the egg-shaped structure above the brain stem that applies still more filtering to the sensory information that is coming up from the spinal cord and through the reticular formation, and it relays some of these remaining signals to the higher brain levels (Guillery & Sherman, 2002). Sherman, S. M., & Guillery, R. W. (2006). Exploring the thalamus and its role in cortical function (2nd ed.). Cambridge, MA: MIT Press. The thalamus also receives some of the higher brain’s replies, forwarding them to the medulla and the cerebellum. The thalamus is also important in sleep because it shuts off incoming signals from the senses, allowing us to rest.
Figure 3.9 The Limbic System
This diagram shows the major parts of the limbic system, as well as the pituitary gland, which is controlled by it.
The cerebellum
Two wrinkled ovals located behind the brain stem that function to coordinate voluntary movement.
(literally, “little brain”) consists of two wrinkled ovals behind the brain stem. It functions to coordinate voluntary movement. People who have damage to the cerebellum have difficulty walking, keeping their balance, and holding their hands steady. Consuming alcohol influences the cerebellum, which is why people who are drunk have more difficulty walking in a straight line. Also, the cerebellum contributes to emotional responses, helps us discriminate between different sounds and textures, and is important in learning (Bower & Parsons, 2003). Bower, J. M., & Parsons, J. M. (2003). Rethinking the lesser brain. Scientific American, 289, 50–57.
Whereas the primary function of the brain stem is to regulate the most basic aspects of life, including motor functions, the limbic system is largely responsible for memory and emotions, including our responses to reward and punishment. The limbic system
A brain area located between the brain stem and the two cerebral hemispheres that governs emotion and memory.
is a brain area, located between the brain stem and the two cerebral hemispheres, that governs emotion and memory. It includes the amygdala, the hypothalamus, and the hippocampus.
The amygdala
A region of the old brain primarily responsible for regulating our perceptions of, and reactions to, aggression and fear.
consists of two “almond-shaped” clusters (amygdala comes from the Latin word for “almond”) and is primarily responsible for regulating our perceptions of, and reactions to, aggression and fear. The amygdala has connections to other bodily systems related to fear, including the sympathetic nervous system (which we will see later is important in fear responses), facial responses (which perceive and express emotions), the processing of smells, and the release of neurotransmitters related to stress and aggression (Best, 2009). Best, B. (2009). The amygdala and the emotions. In Anatomy of the mind (chap. 9). Retrieved from Welcome to the World of Ben Best website: http://www.benbest.com/science/anatmind/anatmd9.html In one early study, Klüver and Bucy (1939) Klüver, H., & Bucy, P. C. (1939). Preliminary analysis of functions of the temporal lobes in monkeys. Archives of Neurology & Psychiatry (Chicago), 42, 979–1000. damaged the amygdala of an aggressive rhesus monkey. They found that the once angry animal immediately became passive and no longer responded to fearful situations with aggressive behavior. Electrical stimulation of the amygdala in other animals also influences aggression. In addition to helping us experience fear, the amygdala also helps us learn from situations that create fear. When we experience events that are dangerous, the amygdala stimulates the brain to remember the details of the situation so that we learn to avoid it in the future (Sigurdsson, Doyère, Cain, & LeDoux, 2007). Sigurdsson, T., Doyère, V., Cain, C. K., & LeDoux, J. E. (2007). Long-term potentiation in the amygdala: A cellular mechanism of fear learning and memory. Neuropharmacology, 52(1), 215–227.
Located just under the thalamus (hence its name) the hypothalamus
A brain structure that performs a variety of functions, including the regulation of hunger and sexual behavior, as well as linking the nervous system to the endocrine system via the pituitary gland.
is a brain structure that contains a number of small areas that perform a variety of functions, including the important role of linking the nervous system to the endocrine system via the pituitary gland. Through its many interactions with other parts of the brain, the hypothalamus helps regulate body temperature, hunger, thirst, and sex, and responds to the satisfaction of these needs by creating feelings of pleasure. Olds and Milner (1954) Olds, J., & Milner, P. (1954). Positive reinforcement produced by electrical stimulation of septal area and other regions of rat brain. Journal of Comparative and Physiological Psychology, 47, 419–427. discovered these reward centers accidentally after they had momentarily stimulated the hypothalamus of a rat. The researchers noticed that after being stimulated, the rat continued to move to the exact spot in its cage where the stimulation had occurred, as if it were trying to re-create the circumstances surrounding its original experience. Upon further research into these reward centers, Olds (1958) Olds, J. (1958). Self-stimulation of the brain: Its use to study local effects of hunger, sex, and drugs. Science, 127, 315–324. discovered that animals would do almost anything to re-create enjoyable stimulation, including crossing a painful electrified grid to receive it. In one experiment a rat was given the opportunity to electrically stimulate its own hypothalamus by pressing a pedal. The rat enjoyed the experience so much that it pressed the pedal more than 7,000 times per hour until it collapsed from sheer exhaustion.
The hippocampus
A limbic system brain structure important in storing information in long-term memory.
consists of two “horns” that curve back from the amygdala. The hippocampus is important in storing information in long-term memory. If the hippocampus is damaged, a person cannot build new memories, living instead in a strange world where everything he or she experiences just fades away, even while older memories from the time before the damage are untouched.
The Cerebral Cortex Creates Consciousness and Thinking
All animals have adapted to their environments by developing abilities that help them survive. Some animals have hard shells, others run extremely fast, and some have acute hearing. Human beings do not have any of these particular characteristics, but we do have one big advantage over other animals—we are very, very smart.
You might think that we should be able to determine the intelligence of an animal by looking at the ratio of the animal’s brain weight to the weight of its entire body. But this does not really work. The elephant’s brain is one thousandth of its weight, but the whale’s brain is only one ten-thousandth of its body weight. On the other hand, although the human brain is one 60th of its body weight, the mouse’s brain represents one fortieth of its body weight. Despite these comparisons, elephants do not seem 10 times smarter than whales, and humans definitely seem smarter than mice.
The key to the advanced intelligence of humans is not found in the size of our brains. What sets humans apart from other animals is our larger cerebral cortex
The outer bark-like layer of the brain that allows us to so successfully use language, acquire complex skills, create tools, and live in social groups.
— the outer bark-like layer of our brain that allows us to so successfully use language, acquire complex skills, create tools, and live in social groups (Gibson, 2002). Gibson, K. R. (2002). Evolution of human intelligence: The roles of brain size and mental construction. Brain Behavior and Evolution 59, 10–20. In humans, the cerebral cortex is wrinkled and folded, rather than smooth as it is in most other animals. This creates a much greater surface area and size, and allows increased capacities for learning, remembering, and thinking. The folding of the cerebral cortex is referred to as corticalization.
Although the cortex is only about one tenth of an inch thick, it makes up more than 80% of the brain’s weight. The cortex contains about 20 billion nerve cells and 300 trillion synaptic connections (de Courten-Myers, 1999). de Courten-Myers, G. M. (1999). The human cerebral cortex: Gender differences in structure and function. Journal of Neuropathology and Experimental Neurology, 58, 217–226. Supporting all these neurons are billions more glial cells (glia)
Cells that surround and link to the neurons, protecting them, providing them with nutrients, and absorbing unused neurotransmitters.
, cells that surround and link to the neurons, protecting them, providing them with nutrients, and absorbing unused neurotransmitters. The glia come in different forms and have different functions. For instance, the myelin sheath surrounding the axon of many neurons is a type of glial cell. The glia are essential partners of neurons, without which the neurons could not survive or function (Miller, 2005). Miller, G. (2005). Neuroscience: The dark side of glia. Science, 308(5723), 778–781.
The cerebral cortex is divided into two hemispheres, and each hemisphere is divided into four lobes, each separated by folds known as fissures. If we look at the cortex starting at the front of the brain and moving over the top (see Figure 3.10 "The Two Hemispheres" ), we see first the frontal lobe
One of the four brain lobes, responsible primarily for thinking, planning, memory, and judgment.
(behind the forehead), which is responsible primarily for thinking, planning, memory, and judgment. Following the frontal lobe is the parietal lobe
One of the four brain lobes, responsible primarily for processing information about touch.
, which extends from the middle to the back of the skull and which is responsible primarily for processing information about touch. Then comes the occipital lobe
One of the four brain lobes, responsible primarily for processing visual information.
, at the very back of the skull, which processes visual information. Finally, in front of the occipital lobe (pretty much between the ears) is the temporal lobe
One of the four brain lobes, responsible primarily for hearing and language.
, responsible primarily for hearing and language.
Figure 3.10 The Two Hemispheres
The brain is divided into two hemispheres (left and right), each of which has four lobes (temporal, frontal, occipital, and parietal). Furthermore, there are specific cortical areas that control different processes.
Functions of the Cortex
When the German physicists Gustav Fritsch and Eduard Hitzig (1870/2009) Fritsch, G., & Hitzig, E. (2009). Electric excitability of the cerebrum (Über die Elektrische erregbarkeit des Grosshirns). Epilepsy & Behavior, 15(2), 123–130. (Original work published 1870) applied mild electric stimulation to different parts of a dog’s cortex, they discovered that they could make different parts of the dog’s body move. Furthermore, they discovered an important and unexpected principle of brain activity. They found that stimulating the right side of the brain produced movement in the left side of the dog’s body, and vice versa. This finding follows from a general principle about how the brain is structured, called contralateral control. The brain is wired such that in most cases the left hemisphere receives sensations from and controls the right side of the body, and vice versa.
Fritsch and Hitzig also found that the movement that followed the brain stimulation only occurred when they stimulated a specific arch-shaped region that runs across the top of the brain from ear to ear, just at the front of the parietal lobe (see Figure 3.11 "The Sensory Cortex and the Motor Cortex" ). Fritsch and Hitzig had discovered the motor cortex
The part of the cortex that controls and executes movements of the body by sending signals to the cerebellum and the spinal cord.
, the part of the cortex that controls and executes movements of the body by sending signals to the cerebellum and the spinal cord. More recent research has mapped the motor cortex even more fully, by providing mild electronic stimulation to different areas of the motor cortex in fully conscious patients while observing their bodily responses (because the brain has no sensory receptors, these patients feel no pain). As you can see in Figure 3.11 "The Sensory Cortex and the Motor Cortex", this research has revealed that the motor cortex is specialized for providing control over the body, in the sense that the parts of the body that require more precise and finer movements, such as the face and the hands, also are allotted the greatest amount of cortical space.
Figure 3.11 The Sensory Cortex and the Motor Cortex
The portion of the sensory and motor cortex devoted to receiving messages that control specific regions of the body is determined by the amount of fine movement that area is capable of performing. Thus the hand and fingers have as much area in the cerebral cortex as does the entire trunk of the body.
Just as the motor cortex sends out messages to the specific parts of the body, the somatosensory cortex
An area just behind and parallel to the motor cortex at the back of the frontal lobe that receives information from the skin’s sensory receptors and the movements of different body parts.
, an area just behind and parallel to the motor cortex at the back of the frontal lobe, receives information from the skin’s sensory receptors and the movements of different body parts. Again, the more sensitive the body region, the more area is dedicated to it in the sensory cortex. Our sensitive lips, for example, occupy a large area in the sensory cortex, as do our fingers and genitals.
Other areas of the cortex process other types of sensory information. The visual cortex
The area located in the occipital lobe that processes visual information.
is the area located in the occipital lobe (at the very back of the brain) that processes visual information. If you were stimulated in the visual cortex, you would see flashes of light or color, and perhaps you remember having had the experience of “seeing stars” when you were hit in, or fell on, the back of your head. The temporal lobe, located on the lower side of each hemisphere, contains the auditory cortex
The area located in the temporal lobe that is responsible for hearing and language.
, which is responsible for hearing and language. The temporal lobe also processes some visual information, providing us with the ability to name the objects around us (Martin, 2007). Martin, A. (2007). The representation of object concepts in the brain. Annual Review of Psychology, 58, 25–45.
As you can see in Figure 3.11 "The Sensory Cortex and the Motor Cortex", the motor and sensory areas of the cortex account for a relatively small part of the total cortex. The remainder of the cortex is made up of association areas
Brain regions in which sensory and motor information is combined and associated with stored knowledge.
in which sensory and motor information is combined and associated with our stored knowledge. These association areas are the places in the brain that are responsible for most of the things that make human beings seem human. The association areas are involved in higher mental functions, such as learning, thinking, planning, judging, moral reflecting, figuring, and spatial reasoning.
The Brain Is Flexible: Neuroplasticity
The control of some specific bodily functions, such as movement, vision, and hearing, is performed in specified areas of the cortex, and if these areas are damaged, the individual will likely lose the ability to perform the corresponding function. For instance, if an infant suffers damage to facial recognition areas in the temporal lobe, it is likely that he or she will never be able to recognize faces (Farah, Rabinowitz, Quinn, & Liu, 2000). Farah, M. J., Rabinowitz, C., Quinn, G. E., & Liu, G. T. (2000). Early commitment of neural substrates for face recognition. Cognitive Neuropsychology, 17(1–3), 117–123. On the other hand, the brain is not divided up in an entirely rigid way. The brain’s neurons have a remarkable capacity to reorganize and extend themselves to carry out particular functions in response to the needs of the organism, and to repair damage. As a result, the brain constantly creates new neural communication routes and rewires existing ones. Neuroplasticity
The brain’s ability to change its structure and function in response to experience or damage.
refers to the brain’s ability to change its structure and function in response to experience or damage. Neuroplasticity enables us to learn and remember new things and adjust to new experiences.
Our brains are the most “plastic” when we are young children, as it is during this time that we learn the most about our environment. On the other hand, neuroplasticity continues to be observed even in adults (Kolb & Fantie, 1989). Kolb, B., & Fantie, B. (1989). Development of the child’s brain and behavior. In C. R. Reynolds & E. Fletcher-Janzen (Eds.), Handbook of clinical child neuropsychology (pp. 17–39). New York, NY: Plenum Press. The principles of neuroplasticity help us understand how our brains develop to reflect our experiences. For instance, accomplished musicians have a larger auditory cortex compared with the general population (Bengtsson et al., 2005) Bengtsson, S. L., Nagy, Z., Skare, S., Forsman, L., Forssberg, H., & Ullén, F. (2005). Extensive piano practicing has regionally specific effects on white matter development. Nature Neuroscience, 8(9), 1148–1150. and also require less neural activity to move their fingers over the keys than do novices (Münte, Altenmüller, & Jäncke, 2002). Münte, T. F., Altenmüller, E., & Jäncke, L. (2002). The musician’s brain as a model of neuroplasticity. Nature Reviews Neuroscience, 3(6), 473–478. These observations reflect the changes in the brain that follow our experiences.
Plasticity is also observed when there is damage to the brain or to parts of the body that are represented in the motor and sensory cortexes. When a tumor in the left hemisphere of the brain impairs language, the right hemisphere will begin to compensate to help the person recover the ability to speak (Thiel et al., 2006). Thiel, A., Habedank, B., Herholz, K., Kessler, J., Winhuisen, L., Haupt, W. F., & Heiss, W. D. (2006). From the left to the right: How the brain compensates progressive loss of language function. Brain and Language, 98(1), 57–65. And if a person loses a finger, the area of the sensory cortex that previously received information from the missing finger will begin to receive input from adjacent fingers, causing the remaining digits to become more sensitive to touch (Fox, 1984). Fox, J. L. (1984). The brain’s dynamic way of keeping in touch. Science, 225(4664), 820–821.
Although neurons cannot repair or regenerate themselves as skin or blood vessels can, new evidence suggests that the brain can engage in neurogenesis
The forming of new neurons
, the forming of new neurons (Van Praag, Zhao, Gage, & Gazzaniga, 2004). Van Praag, H., Zhao, X., Gage, F. H., & Gazzaniga, M. S. (2004). Neurogenesis in the adult mammalian brain. In The cognitive neurosciences (3rd ed., pp. 127–137). Cambridge, MA: MIT Press. These new neurons originate deep in the brain and may then migrate to other brain areas where they form new connections with other neurons (Gould, 2007). Gould, E. (2007). How widespread is adult neurogenesis in mammals? Nature Reviews Neuroscience 8, 481–488. doi:10.1038/nrn2147 This leaves open the possibility that someday scientists might be able to “rebuild” damaged brains by creating drugs that help grow neurons.
Research Focus: Identifying the Unique Functions of the Left and Right Hemispheres Using Split-Brain Patients
We have seen that the left hemisphere of the brain primarily senses and controls the motor movements on the right side of the body, and vice versa. This fact provides an interesting way to study brain lateralization
The idea that the left and the right hemispheres of the brain are specialized to perform different functions.
— the idea that the left and the right hemispheres of the brain are specialized to perform different functions. Gazzaniga, Bogen, and Sperry (1965) Gazzaniga, M. S., Bogen, J. E., & Sperry, R. W. (1965). Observations on visual perception after disconnexion of the cerebral hemispheres in man. Brain, 88(2), 221–236. studied a patient, known as W. J., who had undergone an operation to relieve severe seizures. In this surgery the region that normally connects the two halves of the brain and supports communication between the hemispheres, known as the corpus callosum
The region that connects the two halves of the brain and supports communication between the hemispheres.
, is severed. As a result, the patient essentially becomes a person with two separate brains. Because the left and right hemispheres are separated, each hemisphere develops a mind of its own, with its own sensations, concepts, and motivations (Gazzaniga, 2005). Gazzaniga, M. S. (2005). Forty-five years of split-brain research and still going strong. Nature Reviews Neuroscience, 6(8), 653–659.
In their research, Gazzaniga and his colleagues tested the ability of W. J. to recognize and respond to objects and written passages that were presented to only the left or to only the right brain hemispheres (see Figure 3.12 "Visual and Verbal Processing in the Split-Brain Patient" ). The researchers had W. J. look straight ahead and then flashed, for a fraction of a second, a picture of a geometrical shape to the left of where he was looking. By doing so, they assured that—because the two hemispheres had been separated—the image of the shape was experienced only in the right brain hemisphere (remember that sensory input from the left side of the body is sent to the right side of the brain). Gazzaniga and his colleagues found that W. J. was able to identify what he had been shown when he was asked to pick the object from a series of shapes, using his left hand, but that he could not do this when the object was shown in the right visual field. On the other hand, W. J. could easily read written material presented in the right visual field (and thus experienced in the left hemisphere) but not when it was presented in the left visual field.
Figure 3.12 Visual and Verbal Processing in the Split-Brain Patient
The information that is presented on the left side of our field of vision is transmitted to the right brain hemisphere, and vice versa. In split-brain patients, the severed corpus callosum does not permit information to be transferred between hemispheres, which allows researchers to learn about the functions of each hemisphere. In the sample on the left, the split-brain patient could not choose which image had been presented because the left hemisphere cannot process visual information. In the sample on the right the patient could not read the passage because the right brain hemisphere cannot process language.
This research, and many other studies following it, has demonstrated that the two brain hemispheres specialize in different abilities. In most people the ability to speak, write, and understand language is located in the left hemisphere. This is why W. J. could read passages that were presented on the right side and thus transmitted to the left hemisphere, but could not read passages that were only experienced in the right brain hemisphere. The left hemisphere is also better at math and at judging time and rhythm. It is also superior in coordinating the order of complex movements—for example, lip movements needed for speech. The right hemisphere, on the other hand, has only very limited verbal abilities, and yet it excels in perceptual skills. The right hemisphere is able to recognize objects, including faces, patterns, and melodies, and it can put a puzzle together or draw a picture. This is why W. J. could pick out the image when he saw it on the left, but not the right, visual field.
Although Gazzaniga’s research demonstrated that the brain is in fact lateralized, such that the two hemispheres specialize in different activities, this does not mean that when people behave in a certain way or perform a certain activity they are only using one hemisphere of their brains at a time. That would be drastically oversimplifying the concept of brain differences. We normally use both hemispheres at the same time, and the difference between the abilities of the two hemispheres is not absolute (Soroker et al., 2005). Soroker, N., Kasher, A., Giora, R., Batori, G., Corn, C., Gil, M., & Zaidel, E. (2005). Processing of basic speech acts following localized brain damage: A new light on the neuroanatomy of language. Brain and Cognition, 57(2), 214–217.
Psychology in Everyday Life: Why Are Some People Left-Handed?
Across cultures and ethnic groups, about 90% of people are mainly right-handed, whereas only 10% are primarily left-handed (Peters, Reimers, & Manning, 2006). Peters, M., Reimers, S., & Manning, J. T. (2006). Hand preference for writing and associations with selected demographic and behavioral variables in 255,100 subjects: The BBC Internet study. Brain and Cognition, 62(2), 177–189. This fact is puzzling, in part because the number of left-handers is so low, and in part because other animals, including our closest primate relatives, do not show any type of handedness. The existence of right-handers and left-handers provides an interesting example of the relationship among evolution, biology, and social factors and how the same phenomenon can be understood at different levels of analysis (Harris, 1990; McManus, 2002). Harris, L. J. (1990). Cultural influences on handedness: Historical and contemporary theory and evidence. In S. Coren (Ed.), Left-handedness: Behavioral implications and anomalies. New York, NY: Elsevier; McManus, I. C. (2002). Right hand, left hand: The origins of asymmetry in brains, bodies, atoms, and cultures. Cambridge, MA: Harvard University Press.
At least some handedness is determined by genetics. Ultrasound scans show that 9 out of 10 fetuses suck the thumb of their right hand, suggesting that the preference is determined before birth (Hepper, Wells, & Lynch, 2005), Hepper, P. G., Wells, D. L., & Lynch, C. (2005). Prenatal thumb sucking is related to postnatal handedness. Neuropsychologia, 43, 313–315. and the mechanism of transmission has been linked to a gene on the X chromosome (Jones & Martin, 2000). Jones, G. V., & Martin, M. (2000). A note on Corballis (1997) and the genetics and evolution of handedness: Developing a unified distributional model from the sex-chromosomes gene hypothesis. Psychological Review, 107(1), 213–218. It has also been observed that left-handed people are likely to have fewer children, and this may be in part because the mothers of left-handers are more prone to miscarriages and other prenatal problems (McKeever, Cerone, Suter, & Wu, 2000). McKeever, W. F., Cerone, L. J., Suter, P. J., & Wu, S. M. (2000). Family size, miscarriage-proneness, and handedness: Tests of hypotheses of the developmental instability theory of handedness. Laterality: Asymmetries of Body, Brain, and Cognition, 5(2), 111–120.
But culture also plays a role. In the past, left-handed children were forced to write with their right hands in many countries, and this practice continues, particularly in collectivistic cultures, such as India and Japan, where left-handedness is viewed negatively as compared with individualistic societies, such as the United States. For example, India has about half as many left-handers as the United States (Ida & Mandal, 2003). Ida, Y., & Mandal, M. K. (2003). Cultural differences in side bias: Evidence from Japan and India. Laterality: Asymmetries of Body, Brain, and Cognition, 8(2), 121–133.
There are both advantages and disadvantages to being left-handed in a world where most people are right-handed. One problem for lefties is that the world is designed for right-handers. Automatic teller machines (ATMs), classroom desks, scissors, microscopes, drill presses, and table saws are just some examples of everyday machinery that is designed with the most important controls on the right side. This may explain in part why left-handers suffer somewhat more accidents than do right-handers (Dutta & Mandal, 2006). Dutta, T., & Mandal, M. K. (2006). Hand preference and accidents in India. Laterality: Asymmetries of Body, Brain, and Cognition, 11, 368–372.
Despite the potential difficulty living and working in a world designed for right-handers, there seem to be some advantages to being left-handed. Throughout history, a number of prominent artists have been left-handed, including Leonardo da Vinci, Michelangelo, Pablo Picasso, and Max Escher. Because the right hemisphere is superior in imaging and visual abilities, there may be some advantage to using the left hand for drawing or painting (Springer & Deutsch, 1998). Springer, S. P., & Deutsch, G. (1998). Left brain, right brain: Perspectives from cognitive neuroscience (5th ed.). A series of books in psychology. New York, NY: W. H. Freeman/Times Books/Henry Holt & Co. Left-handed people are also better at envisioning three-dimensional objects, which may explain why there is such a high number of left-handed architects, artists, and chess players in proportion to their numbers (Coren, 1992). Coren, S. (1992). The left-hander syndrome: The causes and consequences of left-handedness. New York, NY: Free Press. However, there are also more left-handers among those with reading disabilities, allergies, and migraine headaches (Geschwind & Behan, 2007), Geschwind, N., & Behan, P. (2007). Left-handedness: Association with immune disease, migraine, and developmental learning disorder. Cambridge, MA: MIT Press. perhaps due to the fact that a small minority of left-handers owe their handedness to a birth trauma, such as being born prematurely (Betancur, Vélez, Cabanieu, & le Moal, 1990). Betancur, C., Vélez, A., Cabanieu, G., & le Moal, M. (1990). Association between left-handedness and allergy: A reappraisal. Neuropsychologia, 28(2), 223–227.
In sports in which handedness may matter, such as tennis, boxing, fencing, or judo, left-handers may have an advantage. They play many games against right-handers and learn how to best handle their styles. Right-handers, however, play very few games against left-handers, which may make them more vulnerable. This explains why a disproportionately high number of left-handers are found in sports where direct one-on-one action predominates. In other sports, such as golf, there are fewer left-handed players because the handedness of one player has no effect on the competition.
The fact that left-handers excel in some sports suggests the possibility that they may have also had an evolutionary advantage because their ancestors may have been more successful in important skills such as hand-to-hand combat (Bodmer & McKie, 1994). Bodmer, W., & McKie, R. (1994). The book of man: The quest to discover our genetic heritage. London, England: Little, Brown and Company. At this point, however, this idea remains only a hypothesis, and determinants of human handedness are yet to be fully understood.
Key Takeaways
The old brain—including the brain stem, medulla, pons, reticular formation, thalamus, cerebellum, amygdala, hypothalamus, and hippocampus—regulates basic survival functions, such as breathing, moving, resting, feeding, emotions, and memory.
The cerebral cortex, made up of billions of neurons and glial cells, is divided into the right and left hemispheres and into four lobes.
The frontal lobe is primarily responsible for thinking, planning, memory, and judgment. The parietal lobe is primarily responsible for bodily sensations and touch. The temporal lobe is primarily responsible for hearing and language. The occipital lobe is primarily responsible for vision. Other areas of the cortex act as association areas, responsible for integrating information.
The brain changes as a function of experience and potential damage in a process known as plasticity. The brain can generate new neurons through neurogenesis.
The motor cortex controls voluntary movements. Body parts requiring the most control and dexterity take up the most space in the motor cortex.
The sensory cortex receives and processes bodily sensations. Body parts that are the most sensitive occupy the greatest amount of space in the sensory cortex.
The left cerebral hemisphere is primarily responsible for language and speech in most people, whereas the right hemisphere specializes in spatial and perceptual skills, visualization, and the recognition of patterns, faces, and melodies.
The severing of the corpus callosum, which connects the two hemispheres, creates a “split-brain patient,” with the effect of creating two separate minds operating in one person.
Studies with split-brain patients as research participants have been used to study brain lateralization.
Neuroplasticity allows the brain to adapt and change as a function of experience or damage.
Exercises and Critical Thinking
Do you think that animals experience emotion? What aspects of brain structure might lead you to believe that they do or do not?
Consider your own experiences and speculate on which parts of your brain might be particularly well developed as a result of these experiences.
Which brain hemisphere are you likely to be using when you search for a fork in the silverware drawer? Which brain hemisphere are you most likely to be using when you struggle to remember the name of an old friend?
Do you think that encouraging left-handed children to use their right hands is a good idea? Why or why not? | msmarco_doc_00_10983505 |
http://2012books.lardbucket.org/books/beginning-psychology/s07-04-putting-it-all-together-the-ne.html | Putting It All Together: The Nervous System and the Endocrine System | 3.4
Putting It All Together: The Nervous System and the Endocrine System
3.4 Putting It All Together: The Nervous System and the Endocrine System
Learning Objectives
Electrical Control of Behavior: The Nervous System
The Body’s Chemicals Help Control Behavior: The Endocrine System
Key Takeaways
Exercises and Critical Thinking
| Putting It All Together: The Nervous System and the Endocrine System
3.4 Putting It All Together: The Nervous System and the Endocrine System
Learning Objectives
Summarize the primary functions of the CNS and of the subsystems of the PNS.
Explain how the electrical components of the nervous system and the chemical components of the endocrine system work together to influence behavior.
Now that we have considered how individual neurons operate and the roles of the different brain areas, it is time to ask how the body manages to “put it all together.” How do the complex activities in the various parts of the brain, the simple all-or-nothing firings of billions of interconnected neurons, and the various chemical systems within the body, work together to allow the body to respond to the social environment and engage in everyday behaviors? In this section we will see that the complexities of human behavior are accomplished through the joint actions of electrical and chemical processes in the nervous system and the endocrine system.
Electrical Control of Behavior: The Nervous System
The nervous system (see Figure 3.17 "The Functional Divisions of the Nervous System" ), the electrical information highway of the body, is made up of nerves
A bundle of interconnected neurons that fires in synchrony to carry messages.
— bundles of interconnected neurons that fire in synchrony to carry messages. The central nervous system (CNS), made up of the brain and spinal cord, is the major controller of the body’s functions, charged with interpreting sensory information and responding to it with its own directives. The CNS interprets information coming in from the senses, formulates an appropriate reaction, and sends responses to the appropriate system to respond accordingly. Everything that we see, hear, smell, touch, and taste is conveyed to us from our sensory organs as neural impulses, and each of the commands that the brain sends to the body, both consciously and unconsciously, travels through this system as well.
Figure 3.17 The Functional Divisions of the Nervous System
Nerves are differentiated according to their function. A sensory (or afferent) neuron
A neuron that carries information from the sensory receptors.
carries information from the sensory receptors, whereas a motor (or efferent) neuron
A neuron that transmits information to the muscles and glands.
transmits information to the muscles and glands. An interneuron
The most common type of neuron, responsible for communicating among neurons.
, which is by far the most common type of neuron, is located primarily within the CNS and is responsible for communicating among the neurons. Interneurons allow the brain to combine the multiple sources of available information to create a coherent picture of the sensory information being conveyed.
The spinal cord
The long, thin, tubular bundle of nerves and supporting cells that extends down from the brain.
is the long, thin, tubular bundle of nerves and supporting cells that extends down from the brain. It is the central throughway of information for the body. Within the spinal cord, ascending tracts of sensory neurons relay sensory information from the sense organs to the brain while descending tracts of motor neurons relay motor commands back to the body. When a quicker-than-usual response is required, the spinal cord can do its own processing, bypassing the brain altogether. A reflex
An involuntary and nearly instantaneous movement in response to a stimulus.
is an involuntary and nearly instantaneous movement in response to a stimulus. Reflexes are triggered when sensory information is powerful enough to reach a given threshold and the interneurons in the spinal cord act to send a message back through the motor neurons without relaying the information to the brain (see Figure 3.18 "The Reflex" ). When you touch a hot stove and immediately pull your hand back, or when you fumble your cell phone and instinctively reach to catch it before it falls, reflexes in your spinal cord order the appropriate responses before your brain even knows what is happening.
Figure 3.18 The Reflex
The central nervous system can interpret signals from sensory neurons and respond to them extremely quickly via the motor neurons without any need for the brain to be involved. These quick responses, known as reflexes, can reduce the damage that we might experience as a result of, for instance, touching a hot stove.
If the central nervous system is the command center of the body, the peripheral nervous system (PNS) represents the front line. The PNS links the CNS to the body’s sense receptors, muscles, and glands. As you can see in Figure 3.19 "The Autonomic Nervous System", the peripheral nervous system is itself divided into two subsystems, one controlling internal responses and one controlling external responses.
The autonomic nervous system (ANS)
The division of the PNS that governs the internal activities of the human body, including heart rate, breathing, digestion, salivation, perspiration, urination, and sexual arousal.
is the division of the PNS that governs the internal activities of the human body, including heart rate, breathing, digestion, salivation, perspiration, urination, and sexual arousal. Many of the actions of the ANS, such as heart rate and digestion, are automatic and out of our conscious control, but others, such as breathing and sexual activity, can be controlled and influenced by conscious processes.
The somatic nervous system (SNS)
The division of the PNS that controls the external aspects of the body, including the skeletal muscles, skin, and sense organs.
is the division of the PNS that controls the external aspects of the body, including the skeletal muscles, skin, and sense organs. The somatic nervous system consists primarily of motor nerves responsible for sending brain signals for muscle contraction.
The autonomic nervous system itself can be further subdivided into the sympathetic and parasympathetic systems (see Figure 3.19 "The Autonomic Nervous System" ). The sympathetic division of the ANS
Involved in preparing the body for behavior, particularly in response to stress, by activating the organs and the glands in the endocrine system.
is involved in preparing the body for behavior, particularly in response to stress, by activating the organs and the glands in the endocrine system. The parasympathetic division of the ANS
Tends to calm the body by slowing the heart and breathing and by allowing the body to recover from the activities that the sympathetic system causes.
tends to calm the body by slowing the heart and breathing and by allowing the body to recover from the activities that the sympathetic system causes. The sympathetic and the parasympathetic divisions normally function in opposition to each other, such that the sympathetic division acts a bit like the accelerator pedal on a car and the parasympathetic division acts like the brake.
Figure 3.19 The Autonomic Nervous System
The autonomic nervous system has two divisions: The sympathetic division acts to energize the body, preparing it for action. The parasympathetic division acts to calm the body, allowing it to rest.
Our everyday activities are controlled by the interaction between the sympathetic and parasympathetic nervous systems. For example, when we get out of bed in the morning, we would experience a sharp drop in blood pressure if it were not for the action of the sympathetic system, which automatically increases blood flow through the body. Similarly, after we eat a big meal, the parasympathetic system automatically sends more blood to the stomach and intestines, allowing us to efficiently digest the food. And perhaps you’ve had the experience of not being at all hungry before a stressful event, such as a sports game or an exam (when the sympathetic division was primarily in action), but suddenly finding yourself starved afterward, as the parasympathetic takes over. The two systems work together to maintain vital bodily functions, resulting in homeostasis
The natural balance in the body’s systems.
, the natural balance in the body’s systems.
The Body’s Chemicals Help Control Behavior: The Endocrine System
The nervous system is designed to protect us from danger through its interpretation of and reactions to stimuli. But a primary function of the sympathetic and parasympathetic nervous systems is to interact with the endocrine system to elicit chemicals that provide another system for influencing our feelings and behaviors.
A gland
A groups of cells that functions to secrete hormones.
in the endocrine system is made up of groups of cells that function to secrete hormones. A hormone
A chemical that moves throughout the body to help regulate emotions and behaviors.
is a chemical that moves throughout the body to help regulate emotions and behaviors. When the hormones released by one gland arrive at receptor tissues or other glands, these receiving receptors may trigger the release of other hormones, resulting in a series of complex chemical chain reactions. The endocrine system works together with the nervous system to influence many aspects of human behavior, including growth, reproduction, and metabolism. And the endocrine system plays a vital role in emotions. Because the glands in men and women differ, hormones also help explain some of the observed behavioral differences between men and women. The major glands in the endocrine system are shown in Figure 3.20 "The Major Glands of the Endocrine System".
Figure 3.20 The Major Glands of the Endocrine System
The male is shown on the left and the female on the right.
The pituitary gland
A small pea-sized gland located near the center of the brain that is responsible for controlling the body’s growth.
, a small pea-sized gland located near the center of the brain, is responsible for controlling the body’s growth, but it also has many other influences that make it of primary importance to regulating behavior. The pituitary secretes hormones that influence our responses to pain as well as hormones that signal the ovaries and testes to make sex hormones. The pituitary gland also controls ovulation and the menstrual cycle in women. Because the pituitary has such an important influence on other glands, it is sometimes known as the “master gland.”
Other glands in the endocrine system include the pancreas, which secretes hormones designed to keep the body supplied with fuel to produce and maintain stores of energy; the pineal gland, located in the middle of the brain, which secretes melatonin, a hormone that helps regulate the wake-sleep cycle; and the thyroid and parathyroid glands, which are responsible for determining how quickly the body uses energy and hormones, and controlling the amount of calcium in the blood and bones.
The body has two triangular adrenal glands, one atop each kidney. The adrenal glands
Produce hormones that regulate salt and water balance in the body, and are involved in metabolism, the immune system, and sexual development and function.
produce hormones that regulate salt and water balance in the body, and they are involved in metabolism, the immune system, and sexual development and function. The most important function of the adrenal glands is to secrete the hormones epinephrine (also known as adrenaline) and norepinephrine (also known as noradrenaline) when we are excited, threatened, or stressed. Epinephrine and norepinephrine stimulate the sympathetic division of the ANS, causing increased heart and lung activity, dilation of the pupils, and increases in blood sugar, which give the body a surge of energy to respond to a threat. The activity and role of the adrenal glands in response to stress provides an excellent example of the close relationship and interdependency of the nervous and endocrine systems. A quick-acting nervous system is essential for immediate activation of the adrenal glands, while the endocrine system mobilizes the body for action.
The male sex glands, known as the testes
The male sex glands.
, secrete a number of hormones, the most important of which is testosterone
The male sex hormone.
, the male sex hormone. Testosterone regulates body changes associated with sexual development, including enlargement of the penis, deepening of the voice, growth of facial and pubic hair, and the increase in muscle growth and strength. The ovaries
The female sex glands.
, the female sex glands, are located in the pelvis. They produce eggs and secrete the female hormones estrogen and progesterone. Estrogen is involved in the development of female sexual features, including breast growth, the accumulation of body fat around the hips and thighs, and the growth spurt that occurs during puberty. Both estrogen and progesterone are also involved in pregnancy and the regulation of the menstrual cycle.
Recent research has pinpointed some of the important roles of the sex hormones in social behavior. Dabbs, Hargrove, and Heusel (1996) Dabbs, J. M., Jr., Hargrove, M. F., & Heusel, C. (1996). Testosterone differences among college fraternities: Well-behaved vs. rambunctious. Personality and Individual Differences, 20(2), 157–161. measured the testosterone levels of 240 men who were members of 12 fraternities at two universities. They also obtained descriptions of the fraternities from university officials, fraternity officers, yearbook and chapter house photographs, and researcher field notes. The researchers correlated the testosterone levels and the descriptions of each fraternity. They found that the fraternities with the highest average testosterone levels were also more wild and unruly, and one of these fraternities was known across campus for the crudeness of its behavior. On the other hand, the fraternities with the lowest average testosterone levels were more well behaved, friendly and pleasant, academically successful, and socially responsible. Banks and Dabbs (1996) Banks, T., & Dabbs, J. M., Jr. (1996). Salivary testosterone and cortisol in delinquent and violent urban subculture. Journal of Social Psychology, 136(1), 49–56. found that juvenile delinquents and prisoners who had high levels of testosterone also acted more violently, and Tremblay et al. (1998) Tremblay, R. E., Schaal, B., Boulerice, B., Arseneault, L., Soussignan, R. G., Paquette, D., & Laurent, D. (1998). Testosterone, physical aggression, dominance, and physical development in early adolescence. International Journal of Behavioral Development, 22(4), 753–777. found that testosterone was related to toughness and leadership behaviors in adolescent boys. Although testosterone levels are higher in men than in women, the relationship between testosterone and aggression is not limited to males. Studies have also shown a positive relationship between testosterone and aggression and related behaviors (such as competitiveness) in women (Cashdan, 2003). Cashdan, E. (2003). Hormones and competitive aggression in women. Aggressive Behavior, 29(2), 107–115.
It must be kept in mind that the observed relationships between testosterone levels and aggressive behavior that have been found in these studies do not prove that testosterone causes aggression—the relationships are only correlational. In fact, there is evidence that the relationship between violence and testosterone also goes in the other direction: Playing an aggressive game, such as tennis or even chess, increases the testosterone levels of the winners and decreases the testosterone levels of losers (Gladue, Boechler, & McCaul, 1989; Mazur, Booth, & Dabbs, 1992), Gladue, B. A., Boechler, M., & McCaul, K. D. (1989). Hormonal response to competition in human males. Aggressive Behavior, 15(6), 409–422; Mazur, A., Booth, A., & Dabbs, J. M. (1992). Testosterone and chess competition. Social Psychology Quarterly, 55(1), 70–77. and perhaps this is why excited soccer fans sometimes riot when their team wins.
Recent research has also begun to document the role that female sex hormones may play in reactions to others. A study about hormonal influences on social-cognitive functioning (Macrae, Alnwick, Milne, & Schloerscheidt, 2002) Macrae, C. N., Alnwick, K. A., Milne, A. B., & Schloerscheidt, A. M. (2002). Person perception across the menstrual cycle: Hormonal influences on social-cognitive functioning. Psychological Science, 13(6), 532–536. found that women were more easily able to perceive and categorize male faces during the more fertile phases of their menstrual cycles. Although researchers did not directly measure the presence of hormones, it is likely that phase-specific hormonal differences influenced the women’s perceptions.
At this point you can begin to see the important role the hormones play in behavior. But the hormones we have reviewed in this section represent only a subset of the many influences that hormones have on our behaviors. In the chapters to come we will consider the important roles that hormones play in many other behaviors, including sleeping, sexual activity, and helping and harming others.
Key Takeaways
The body uses both electrical and chemical systems to create homeostasis.
The CNS is made up of bundles of nerves that carry messages to and from the PNS
The peripheral nervous system is composed of the autonomic nervous system (ANS) and the peripheral nervous system (PNS). The ANS is further divided into the sympathetic (activating) and parasympathetic (calming) nervous systems. These divisions are activated by glands and organs in the endocrine system.
Specific nerves, including sensory neurons, motor neurons, and interneurons, each have specific functions.
The spinal cord may bypass the brain by responding rapidly using reflexes.
The pituitary gland is a master gland, affecting many other glands.
Hormones produced by the pituitary and adrenal glands regulate growth, stress, sexual functions, and chemical balance in the body.
The adrenal glands produce epinephrine and norepinephrine, the hormones responsible for our reactions to stress.
The sex hormones, testosterone, estrogen, and progesterone, play an important role in sex differences.
Exercises and Critical Thinking
Recall a time when you were threatened or stressed. What physiological reactions did you experience in the situation, and what aspects of the endocrine system do you think created those reactions?
Consider the emotions that you have experienced over the past several weeks. What hormones do you think might have been involved in creating those emotions? | msmarco_doc_00_11023448 |
http://2012books.lardbucket.org/books/beginning-psychology/s10-04-early-and-middle-adulthood-bui.html | Early and Middle Adulthood: Building Effective Lives | 6.4
Early and Middle Adulthood: Building Effective Lives
6.4 Early and Middle Adulthood: Building Effective Lives
Learning Objective
Psychology in Everyday Life: What Makes a Good Parent?
Physical and Cognitive Changes in Early and Middle Adulthood
Menopause
Social Changes in Early and Middle Adulthood
Key Takeaways
Exercises and Critical Thinking
| Early and Middle Adulthood: Building Effective Lives
6.4 Early and Middle Adulthood: Building Effective Lives
Learning Objective
Review the physical and cognitive changes that accompany early and middle adulthood
Until the 1970s, psychologists tended to treat adulthood as a single developmental stage, with few or no distinctions made among the various periods that we pass through between adolescence and death. Present-day psychologists realize, however, that physical, cognitive, and emotional responses continue to develop throughout life, with corresponding changes in our social needs and desires. Thus the three stages of early adulthood, middle adulthood, and late adulthood each has its own physical, cognitive, and social challenges.
In this section, we will consider the development of our cognitive and physical aspects that occur during early adulthood
The ages between 25 and 45.
and middle adulthood
The ages between 45 and 65.
—roughly the ages between 25 and 45 and between 45 and 65, respectively. These stages represent a long period of time—longer, in fact, than any of the other developmental stages—and the bulk of our lives is spent in them. These are also the periods in which most of us make our most substantial contributions to society, by meeting two of Erik Erikson’s life challenges: We learn to give and receive love in a close, long-term relationship, and we develop an interest in guiding the development of the next generation, often by becoming parents.
Psychology in Everyday Life: What Makes a Good Parent?
One thing that you may have wondered about as you grew up, and which you may start to think about again if you decide to have children yourself, concerns the skills involved in parenting. Some parents are strict, others are lax; some parents spend a lot of time with their kids, trying to resolve their problems and helping to keep them out of dangerous situations, whereas others leave their children with nannies or in day care. Some parents hug and kiss their kids and say that they love them over and over every day, whereas others never do. Do these behaviors matter? And what makes a “good parent”?
We have already considered two answers to this question, in the form of what all children require: (1) babies need a conscientious mother who does not smoke, drink, or use drugs during her pregnancy, and (2) infants need caretakers who are consistently available, loving, and supportive to help them form a secure base. One case in which these basic goals are less likely to be met is when the mother is an adolescent. Adolescent mothers are more likely to use drugs and alcohol during their pregnancies, to have poor parenting skills in general, and to provide insufficient support for the child (Ekéus, Christensson, & Hjern, 2004). Ekéus, C., Christensson, K., & Hjern, A. (2004). Unintentional and violent injuries among pre-school children of teenage mothers in Sweden: A national cohort study. Journal of Epidemiology and Community Health, 58(8), 680–685. As a result, the babies of adolescent mothers have higher rates of academic failure, delinquency, and incarceration in comparison to children of older mothers (Moore & Brooks-Gunn, 2002). Moore, M. R., & Brooks-Gunn, J. (2002). Adolescent parenthood. In M. H. Bornstein (Ed.), Handbook of parenting: Being and becoming a parent (2nd ed., Vol. 3, pp. 173–214). Mahwah, NJ: Lawrence Erlbaum Associates.
Normally, it is the mother who provides early attachment, but fathers are not irrelevant. In fact, studies have found that children whose fathers are more involved tend to be more cognitively and socially competent, more empathic, and psychologically better adjusted, compared with children whose fathers are less involved (Rohner & Veneziano, 2001). Rohner, R. P., & Veneziano, R. A. (2001). The importance of father love: History and contemporary evidence. Review of General Psychology, 5(4), 382–405. In fact, Amato (1994) Amato, P. R. (1994). Father-child relations, mother-child relations, and offspring psychological well-being in adulthood. Journal of Marriage and the Family, 56, 1031–1042. found that, in some cases, the role of the father can be as or even more important than that of the mother in the child’s overall psychological health and well-being. Amato concluded, “Regardless of the quality of the mother-child relationship, the closer adult offspring were to their fathers, the happier, more satisfied, and less distressed they reported being” (p. 1039).
As the child grows, parents take on one of four types of parenting styles
Parental behaviors that determine the nature of parent-child interactions.
— parental behaviors that determine the nature of parent-child interactions and that guide their interaction with the child. These styles depend on whether the parent is more or less demanding and more or less responsive to the child (see Figure 6.11 "Parenting Styles" ). Authoritarian parents are demanding but not responsive. They impose rules and expect obedience, tending to give orders (“Eat your food!”) and enforcing their commands with rewards and punishment, without providing any explanation of where the rules came from, except “Because I said so!” Permissive parents, on the other hand, tend to make few demands and give little punishment, but they are responsive in the sense that they generally allow their children to make their own rules. Authoritative parents are demanding (“You must be home by curfew”), but they are also responsive to the needs and opinions of the child (“Let’s discuss what an appropriate curfew might be”). They set rules and enforce them, but they also explain and discuss the reasons behind the rules. Finally, rejecting-neglecting parents are undemanding and unresponsive overall.
Figure 6.11 Parenting Styles
Parenting styles can be divided into four types, based on the combination of demandingness and responsiveness. The authoritative style, characterized by both responsiveness and also demandingness, is the most effective.
Many studies of children and their parents, using different methods, measures, and samples, have reached the same conclusion—namely, that authoritative parenting, in comparison to the other three styles, is associated with a wide range of psychological and social advantages for children. Parents who use the authoritative style, with its combination of demands on the children as well as responsiveness to the children’s needs, have kids who have better psychological adjustment, school performance, and psychosocial maturity, compared with parents who use the other styles (Baumrind, 1996; Grolnick & Ryan, 1989). Baumrind, D. (1996). The discipline controversy revisited. Family Relations, 45(4), 405–414; Grolnick, W. S., & Ryan, R. M. (1989). Parent styles associated with children’s self-regulation and competence in school. Journal of Educational Psychology, 81(2), 143–154. On the other hand, there are at least some cultural differences in the effectiveness of different parenting styles. Although the reasons for the differences are not completely understood, strict authoritarian parenting styles seem to work better in African American families than in European American families (Tamis-LeMonda, Briggs, McClowry, & Snow, 2008), Tamis-LeMonda, C. S., Briggs, R. D., McClowry, S. G., & Snow, D. L. (2008). Challenges to the study of African American parenting: Conceptualization, sampling, research approaches, measurement, and design. Parenting: Science and Practice, 8(4), 319–358. and better in Chinese families than in American families (Chang, Lansford, Schwartz, & Farver, 2004). Chang, L., Lansford, J. E., Schwartz, D., & Farver, J. M. (2004). Marital quality, maternal depressed affect, harsh parenting, and child externalising in Hong Kong Chinese families. International Journal of Behavioral Development, 28(4), 311–318.
Despite the fact that different parenting styles are differentially effective overall, every child is different and parents must be adaptable. Some children have particularly difficult temperaments, and these children require more parenting. Because these difficult children demand more parenting, the behaviors of the parents matter more for the children’s development than they do for other, less demanding children who require less parenting overall (Pleuss & Belsky, 2010). Pluess, M., & Belsky, J. (2010). Differential susceptibility to parenting and quality child care. Developmental Psychology, 46(2), 379–390. These findings remind us how the behavior of the child can influence the behavior of the people in his or her environment.
Although the focus is on the child, the parents must never forget about each other. Parenting is time consuming and emotionally taxing, and the parents must work together to create a relationship in which both mother and father contribute to the household tasks and support each other. It is also important for the parents to invest time in their own intimacy, as happy parents are more likely to stay together, and divorce has a profoundly negative impact on children, particularly during and immediately after the divorce (Burt, Barnes, McGue, & Iaconon, 2008; Ge, Natsuaki, & Conger, 2006). Burt, S. A., Barnes, A. R., McGue, M., & Iacono, W. G. (2008). Parental divorce and adolescent delinquency: Ruling out the impact of common genes. Developmental Psychology, 44(6), 1668–1677; Ge, X., Natsuaki, M. N., & Conger, R. D. (2006). Trajectories of depressive symptoms and stressful life events among male and female adolescents in divorced and nondivorced families. Development and Psychopathology, 18(1), 253–273.
Physical and Cognitive Changes in Early and Middle Adulthood
Compared with the other stages, the physical and cognitive changes that occur in the stages of early and middle adulthood are less dramatic. As individuals pass into their 30s and 40s, their recovery from muscular strain becomes more prolonged, and their sensory abilities may become somewhat diminished, at least when compared with their prime years, during the teens and early 20s (Panno, 2004). Panno, J. (2004). Aging: Theories and potential therapies. New York, NY: Facts on File Publishers. Visual acuity diminishes somewhat, and many people in their late 30s and early 40s begin to notice that their eyes are changing and they need eyeglasses. Adults in their 30s and 40s may also begin to suffer some hearing loss because of damage to the hair cells ( cilia) in the inner ear (Lacher-Fougëre & Demany, 2005). Lacher-Fougëre, S., & Demany, L. (2005). Consequences of cochlear damage for the detection of inter-aural phase differences. Journal of the Acoustical Society of America, 118, 2519–2526. And it is during middle adulthood that many people first begin to suffer from ailments such as high cholesterol and high blood pressure as well as low bone density (Shelton, 2006). Shelton, H. M. (2006). High blood pressure. Whitefish, MT: Kessinger Publishers. Corresponding to changes in our physical abilities, our cognitive and sensory abilities also seem to show some, but not dramatic, decline during this stage.
Menopause
The stages of both early and middle adulthood bring about a gradual decline in fertility, particularly for women. Eventually, women experience menopause
The cessation of the menstrual cycle, which usually occurs at around age 50.
, the cessation of the menstrual cycle, which usually occurs at around age 50. Menopause occurs because of the gradual decrease in the production of the female sex hormones estrogen and progesterone, which slows the production and release of eggs into the uterus. Women whose menstrual cycles have stopped for 12 consecutive months are considered to have entered menopause (Minkin & Wright, 2004). Minkin, M. J., & Wright, C. V. (2004). A woman’s guide to menopause and perimenopause. New Haven, CT: Yale University Press.
Researchers have found that women’s responses to menopause are both social as well as physical, and that they vary substantially across both individuals and cultures. Within individuals, some women may react more negatively to menopause, worrying that they have lost their femininity and that their final chance to bear children is over, whereas other women may regard menopause more positively, focusing on the new freedom from menstrual discomfort and unwanted pregnancy. In Western cultures such as in the United States, women are likely to see menopause as a challenging and potentially negative event, whereas in India, where older women enjoy more social privileges than do younger ones, menopause is more positively regarded (Avis & Crawford, 2008). Avis, N. E., & Crawford, S. (2008). Cultural differences in symptoms and attitudes toward menopause. Menopause Management, 17(3), 8–13.
Menopause may have evolutionary benefits. Infants have better chances of survival when their mothers are younger and have more energy to care for them, and the presence of older women who do not have children of their own to care for (but who can help out with raising grandchildren) can be beneficial to the family group. Also consistent with the idea of an evolutionary benefit of menopause is that the decline in fertility occurs primarily for women, who do most of the child care and who need the energy of youth to accomplish it. If older women were able to have children they might not be as able to effectively care for them. Most men never completely lose their fertility, but they do experience a gradual decrease in testosterone levels, sperm count, and speed of erection and ejaculation.
Social Changes in Early and Middle Adulthood
Perhaps the major marker of adulthood is the ability to create an effective and independent life. Whereas children and adolescents are generally supported by parents, adults must make their own living and must start their own families. Furthermore, the needs of adults are different from those of younger persons.
Although the timing of the major life events that occur in early and middle adulthood vary substantially across individuals, they nevertheless tend to follow a general sequence, known as a social clock
The culturally preferred “right time” for major life events, such as moving out of the house, getting married, and having children.
. The social clock refers to the culturally preferred “right time” for major life events, such as moving out of the childhood house, getting married, and having children. People who do not appear to be following the social clock (e.g., young adults who still live with their parents, individuals who never marry, and couples who choose not to have children) may be seen as unusual or deviant, and they may be stigmatized by others (DePaulo, 2006; Rook, Catalano, & Dooley, 1989). DePaulo, B. M. (2006). Singled out: How singles are stereotyped, stigmatized and ignored, and still live happily ever after. New York, NY: St. Martin’s Press; Rook, K. S., Catalano, R. C., & Dooley, D. (1989). The timing of major life events: Effects of departing from the social clock. American Journal of Community Psychology, 17, 223–258.
Although they are doing it later, on average, than they did even 20 or 30 years ago, most people do eventually marry. Marriage is beneficial to the partners, both in terms of mental health and physical health. People who are married report greater life satisfaction than those who are not married and also suffer fewer health problems (Gallagher & Waite, 2001; Liu & Umberson, 2008). Gallagher, M., & Waite, L. J. (2001). The case for marriage: Why married people are happier, healthier, and better off financially. New York, NY: Random House; Liu, H., & Umberson, D. (2008). The times they are a changin’: Marital status and health differentials from 1972 to 2003. Journal of Health and Social Behavior, 49, 239–253.
Divorce is more common now than it was 50 years ago. In 2003 almost half of marriages in the United States ended in divorce (Bureau of the Census, 2007), Bureau of the Census. (2007). Statistical abstract of the United States 2006 (p. 218). Washington, DC: U.S. Government Printing Office. although about three quarters of people who divorce will remarry. Most divorces occur for couples in their 20s, because younger people are frequently not mature enough to make good marriage choices or to make marriages last. Marriages are more successful for older adults and for those with more education (Goodwin, Mosher, & Chandra, 2010). Goodwin, P. Y., Mosher, W. D., Chandra A. (2010, February). Marriage and cohabitation in the United States: A statistical portrait based on Cycle 6 (2002) of the National Survey of Family Growth. Vital Health Statistics 23(28), 1–45. Retrieved from National Center for Health Statistics, Centers for Disease Control and Prevention, website: http://www.cdc.gov/nchs/data/series/sr_23/sr23_028.pdf
Parenthood also involves a major and long-lasting commitment, and one that can cause substantial stress on the parents. The time and finances invested in children create stress, which frequently results in decreased marital satisfaction (Twenge, Campbell, & Foster, 2003). Twenge, J., Campbell, W., & Foster, C. (2003). Parenthood and marital satisfaction: A meta-analytic review. Journal of Marriage and Family, 65(3), 574–583. This decline is especially true for women, who bear the larger part of the burden of raising the children and taking care of the house, despite the fact they increasingly also work and have careers.
Despite the challenges of early and middle adulthood, the majority of middle-aged adults are not unhappy. These years are often very satisfying, as families have been established, careers have been entered into, and some percentage of life goals has been realized (Eid & Larsen, 2008). Eid, M., & Larsen, R. J. (Eds.). (2008). The science of subjective well-being. New York, NY: Guilford Press.
Key Takeaways
It is in early and middle adulthood that muscle strength, reaction time, cardiac output, and sensory abilities begin to decline.
One of the key signs of aging in women is the decline in fertility, culminating in menopause, which is marked by the cessation of the menstrual period.
The different social stages in adulthood, such as marriage, parenthood, and work, are loosely determined by a social clock, a culturally recognized time for each phase.
Exercises and Critical Thinking
Compare your behavior, values, and attitudes regarding marriage and work to the attitudes of your parents and grandparents. In what way are your values similar? In what ways are they different?
Draw a timeline of your own planned or preferred social clock. What factors do you think will make it more or less likely that you will be able to follow the timeline? | msmarco_doc_00_11042786 |
http://2012books.lardbucket.org/books/beginning-statistics/s10-01-the-mean-and-standard-deviatio.html | The Mean and Standard Deviation of the Sample Mean | 6.1
The Mean and Standard Deviation of the Sample Mean
6.1 The Mean and Standard Deviation of the Sample Mean
Learning Objectives
Example 1
Example 2
Key Takeaways
Exercises
Answers
| The Mean and Standard Deviation of the Sample Mean
6.1 The Mean and Standard Deviation of the Sample Mean
Learning Objectives
To become familiar with the concept of the probability distribution of the sample mean.
To understand the meaning of the formulas for the mean and standard deviation of the sample mean.
Suppose we wish to estimate the mean μ of a population. In actual practice we would typically take just one sample. Imagine however that we take sample after sample, all of the same size n, and compute the sample mean x - of each one. We will likely get a different value of x - each time. The sample mean x - is a random variable: it varies from sample to sample in a way that cannot be predicted with certainty. We will write X - when the sample mean is thought of as a random variable, and write x - for the values that it takes. The random variable X - has a mean
The number about which means computed from samples of the same size center.
, denoted μ X -, and a standard deviation
A measure of the variability of means computed from samples of the same size.
, denoted σ X -. Here is an example with such a small population and small sample size that we can actually write down every single sample.
Example 1
A rowing team consists of four rowers who weigh 152, 156, 160, and 164 pounds. Find all possible random samples with replacement of size two and compute the sample mean for each one. Use them to find the probability distribution, the mean, and the standard deviation of the sample mean X -.
Solution
The following table shows all possible samples with replacement of size two, along with the mean of each:
Sample
Mean
Sample
Mean
Sample
Mean
Sample
Mean
152, 152
152
156, 152
154
160, 152
156
164, 152
158
152, 156
154
156, 156
156
160, 156
158
164, 156
160
152, 160
156
156, 160
158
160, 160
160
164, 160
162
152, 164
158
156, 164
160
160, 164
162
164, 164
164
The table shows that there are seven possible values of the sample mean X -. The value x - = 152 happens only one way (the rower weighing 152 pounds must be selected both times), as does the value x - = 164, but the other values happen more than one way, hence are more likely to be observed than 152 and 164 are. Since the 16 samples are equally likely, we obtain the probability distribution of the sample mean just by counting:
x - 152 154 156 158 160 162 164 P ( x -) 1 16 2 16 3 16 4 16 3 16 2 16 1 16
Now we apply the formulas from Section 4.2.2 "The Mean and Standard Deviation of a Discrete Random Variable" in Chapter 4 "Discrete Random Variables" for the mean and standard deviation of a discrete random variable to X -. For μ X - we obtain.
μ X - = Σ x - P ( x -) = 152 ( 1 16) + 154 ( 2 16) + 156 ( 3 16) + 158 ( 4 16) + 160 ( 3 16) + 162 ( 2 16) + 164 ( 1 16) = 158
For σ X - we first compute Σ x - 2 P ( x -):
152 2 ( 1 16) + 154 2 ( 2 16) + 156 2 ( 3 16) + 158 2 ( 4 16) + 160 2 ( 3 16) + 162 2 ( 2 16) + 164 2 ( 1 16)
which is 24,974, so that
σ X - = Σ x - 2 P ( x -) − μ x - 2 = 24,974 − 158 2 = 10
The mean and standard deviation of the population {152,156,160,164} in the example are μ = 158 and σ = 20. The mean of the sample mean X - that we have just computed is exactly the mean of the population. The standard deviation of the sample mean X - that we have just computed is the standard deviation of the population divided by the square root of the sample size: 10 = 20 / 2. These relationships are not coincidences, but are illustrations of the following formulas.
Suppose random samples of size n are drawn from a population with mean μ and standard deviation σ. The mean μ X - and standard deviation σ X - of the sample mean X - satisfy
μ X - = μ and σ X - = σ n
The first formula says that if we could take every possible sample from the population and compute the corresponding sample mean, then those numbers would center at the number we wish to estimate, the population mean μ.
The second formula says that averages computed from samples vary less than individual measurements on the population do, and quantifies the relationship.
Example 2
The mean and standard deviation of the tax value of all vehicles registered in a certain state are μ = $ 13,525 and σ = $ 4,180. Suppose random samples of size 100 are drawn from the population of vehicles. What are the mean μ X - and standard deviation σ X - of the sample mean X -?
Solution
Since n = 100, the formulas yield
μ X - = μ = $ 13,525 and σ X - = σ n = $ 4180 100 = $ 418
Key Takeaways
The sample mean is a random variable; as such it is written X -, and x - stands for individual values it takes.
As a random variable the sample mean has a probability distribution, a mean μ X -, and a standard deviation σ X -.
There are formulas that relate the mean and standard deviation of the sample mean to the mean and standard deviation of the population from which the sample is drawn.
Exercises
Random samples of size 225 are drawn from a population with mean 100 and standard deviation 20. Find the mean and standard deviation of the sample mean.
Random samples of size 64 are drawn from a population with mean 32 and standard deviation 5. Find the mean and standard deviation of the sample mean.
A population has mean 75 and standard deviation 12.
Random samples of size 121 are taken. Find the mean and standard deviation of the sample mean.
How would the answers to part (a) change if the size of the samples were 400 instead of 121?
A population has mean 5.75 and standard deviation 1.02.
Random samples of size 81 are taken. Find the mean and standard deviation of the sample mean.
How would the answers to part (a) change if the size of the samples were 25 instead of 81?
Answers
μ X - = 100, σ X - = 1.33
μ X - = 75, σ X - = 1.09
μ X - stays the same but σ X - decreases to 0.6 | msmarco_doc_00_11062390 |
http://2012books.lardbucket.org/books/business-accounting/s13-in-a-set-of-financial-statemen.html | In a Set of Financial Statements, What Information Is Conveyed about Property and Equipment? | Chapter 10
In a Set of Financial Statements, What Information Is Conveyed about Property and Equipment?
Chapter 10 In a Set of Financial Statements, What Information Is Conveyed about Property and Equipment?
Video Clip
10.1 The Reporting of Property and Equipment
Initially Reporting Property and Equipment at Historical Cost
The Reporting of Accumulated Depreciation
Failure of Accounting to Reflect the Fair Value of Property and Equipment
Talking with an Independent Auditor about International Financial Reporting Standards (Continued)
10.2 Determining Historical Cost and Depreciation Expense
Assets Classified as Property and Equipment
Determining Historical Cost
Straight-Line Method of Determining Depreciation
Recording Depreciation Expense
10.3 Recording Depreciation Expense for a Partial Year
Recording the Disposal of Property or Equipment
Recognizing Depreciation When Asset Is Used for a Partial Year
The Half-Year Convention
10.4 Alternative Depreciation Patterns and the Recording of a Wasting Asset
Accelerated Depreciation
Units-Of-Production Method
MACRS
Determining Depletion
10.5 Recording Asset Exchanges and Expenditures That Affect Older Assets
Exchanging One Asset for Another
Determining the Fair Value to Record in an Exchange
Allocating a Purchase Price between Two Assets
Subsequent Expenditures for Property and Equipment
10.6 Reporting Land Improvements and Impairments in the Value of Property and Equipment
Recognition of Land Improvements
Property and Equipment with Impaired Value
Talking with an Independent Auditor about International Financial Reporting Standards
Capitalizing the Cost of Interest During Construction
Fixed Asset Turnover
Talking with a Real Investing Pro (Continued)
Video Clip
10.7 End-of-Chapter Exercises
Questions
True or False
Multiple Choice
Video Problems
Problems
Comprehensive Problem
Research Assignment
| In a Set of Financial Statements, What Information Is Conveyed about Property and Equipment?
Chapter 10 In a Set of Financial Statements, What Information Is Conveyed about Property and Equipment?
Video Clip
(click to see video)
In this video, Professor Joe Hoyle introduces the essential points covered in Chapter 10 "In a Set of Financial Statements, What Information Is Conveyed about Property and Equipment?".
10.1 The Reporting of Property and Equipment
Learning Objectives
At the end of this section, students should be able to meet the following objectives:
Recognize that tangible operating assets with lives of over one year (such as property and equipment) are initially reported at historical cost.
Understand the rationale for assigning the cost of these operating assets to expense over time if the item has a finite life.
Recognize that these assets are normally reported on the balance sheet at net book value, which is their cost less accumulated depreciation.
Explain the reason for not reporting property and equipment at fair value except in certain specified circumstances.
Initially Reporting Property and Equipment at Historical Cost
Question: The retail giant Walmart owns thousands of huge outlets and supercenters located throughout the United States as well as in many foreign countries. These facilities contain a wide variety of machinery, fixtures, and the like such as cash registers and shelving. On its January 31, 2011, balance sheet, Walmart reports “property and equipment, net” of over $105 billion, a figure that made up almost 60 percent of the company’s total assets. This monetary amount was more than twice as large as any other asset reported by this business. Based on sheer size, the information conveyed about this group of accounts is extremely significant to any decision maker analyzing Walmart or another similar company. In creating financial statements, what is the underlying meaning of the monetary figure reported for property, equipment, and the like? What information is conveyed by the $105 billion balance disclosed by Walmart?
Answer: Four accounts make up the property and equipment reported by Walmart:
Land
Buildings and improvements
Fixtures and equipment
Transportation equipment
These are common titles, but a variety of other names are also used to report similar asset groups such as property, plant, and equipment (PP&E), fixed assets, and plant assets. Regardless of the name that is applied, the starting basis in reporting property, equipment, and any other tangible operating assets with a life of over one year is historical cost
All the normal and necessary amounts incurred to get an asset into the position and condition to help generate revenues; it is the starting basis for the balance sheet presentation of assets such as inventory, land, and equipment.
.
This initial accounting is consistent with the recording process demonstrated previously for inventory. When available, accountants like historical cost because it is objective. Cost reflects the amount sacrificed to obtain land, machinery, buildings, furniture, and so forth. It can usually be determined when an arm’s length acquisition takes place: a willing buyer and a willing seller, both acting in their own self-interests, agree on an exchange price.
Thus, the cost incurred to obtain property and equipment provides information to decision makers about management policy and decision making. Cost indicates the amount management chose to sacrifice in order to gain the use of a specific asset. Unless the seller was forced to dispose of the property in a hurry (because of an urgent need for funds, as an example), cost is likely to approximate fair value when purchased. However, after the date of acquisition, the figure reported on the balance sheet will probably never again reflect the actual value of the asset.
Subsequently, for each of these operating assets that has a finite life (and most pieces of property and equipment other than land do have finite lives), the matching principle necessitates that the historical cost be allocated to expense over the anticipated years of service. This depreciation
A mechanically derived pattern allocating the cost of long-lived assets such as buildings and equipment to expense over the expected number of years that they will be used by a company to help generate revenues.
expense is recognized systematically each period as the company utilizes the asset to generate revenue.
For example, if equipment has a life of ten years, all (or most) of its cost is assigned to expense over that period. This accounting resembles the handling of a prepaid expense such as rent. The cost is first recorded as an asset and then moved to expense over time in some logical fashion as the utility is consumed. At any point, the reported net book value for the asset is the original cost less the portion of that amount that has been reclassified to expense. For example, Walmart actually reported property and equipment costing $148 billion but then disclosed that $43 billion of that figure had been moved to expense leaving the $105 billion net asset balance. As the future value becomes a past value, the asset account shrinks to reflect the cost reclassified to expense.
The Reporting of Accumulated Depreciation
Question: The basic accounting for property and equipment resembles that utilized for prepaid expenses such as rent and insurance. Do any significant differences exist between the method of reporting prepaid expenses and the handling of operating assets like machinery and equipment?
Answer: One important mechanical distinction does exist when comparing the accounting for prepayments and that used for property and equipment having a finite life. With a prepaid expense (such as rent), the asset is directly reduced over time as the cost is assigned to expense. Prepaid rent balances get smaller each day as the period of usage passes. This reclassification creates the rent expense reported on the income statement.
In accounting for property and equipment, the asset does not physically shrink. A seven-story building does not become a six-story building and then a five-story building. As the utility is consumed, buildings and equipment do not get smaller; they only get older. To reflect that reality, a separate accumulated depreciation
A contra-asset account created to measure the cost of a depreciable asset (such as buildings and equipment) that has been assigned to expense to date.
account As discussed in the coverage of accounts receivable and the allowance for doubtful accounts, an account that appears with another but as a direct reduction is known as a contra account. Accumulated depreciation is a contra account that decreases the reported cost of property and equipment to reflect the portion of that cost that has now be assigned to expense. is created to represent the total amount of the asset’s cost that has been reclassified to expense. Through this approach, information about the original cost continues to be available. For example, if equipment is reported as $30,000 and the related accumulated depreciation currently holds a balance of $10,000, the reader knows that the asset cost $30,000, but $10,000 of that amount has been expensed since the date of acquisition. If the asset has been used for two years to generate revenue, $6,000 might have been moved to expense in the first year and $4,000 in the second. The $20,000 net book value
Original cost of a depreciable asset such as buildings and equipment less the total amount of accumulated depreciation to date; it is also called net book value or carrying value.
appearing on the balance sheet is the cost that has not yet been expensed because the asset still has future value.
As indicated previously, land does not have a finite life and, therefore, remains reported at historical cost with no assignment to expense and no accumulated depreciation balance.
Test Yourself
Question:
A company buys equipment for $100,000 with a ten-year life. Three years later, the company produces financial statements and prepares a balance sheet. The asset is not impaired in any way. What figure is reported for this equipment?
The fair value on that date.
The resale value at the end of the third year.
$100,000 less the accumulated depreciation recorded for these three years.
Fair value less accumulated depreciation for the most recent year.
Answer:
The correct answer is choice c: $100,000 less the accumulated depreciation recorded for these three years.
Explanation:
The historical cost ($100,000) serves as the beginning basis for the financial reporting of property and equipment. This monetary figure is then systematically transferred to expense over the life of the asset. The total amount of the expense recognized to date is recorded in an accumulated depreciation account. The book value to be shown on the balance sheet for this equipment is its historical cost less the accumulated depreciation to date.
Failure of Accounting to Reflect the Fair Value of Property and Equipment
Question: Walmart reports property and equipment with a net book value of $105 billion. However, that figure has virtually nothing to do with the value of these assets. They might actually be worth hundreds of billions. Decision makers analyze financial statements in order to make decisions about an organization at the current moment. Are these decision makers not more interested in the fair value of these assets than in what remains of historical cost? Why are property and equipment not reported at fair value? Is fair value not a much more useful piece of information than cost minus accumulated depreciation when assessing the financial health and prospects of a business?
Answer: The debate among accountants, company officials, investors, creditors, and others over whether various assets should be reported based on historical cost or fair value has raged for many years. There is no easy resolution. Good points can be made on each side of the argument. As financial accounting has evolved over the decades, rules for reporting certain assets (such as many types of stock and debt investments where exact market prices can be readily determined) have been changed to abandon historical cost in favor of reflecting fair value. However, no such radical changes in U.S. GAAP have taken place for property and equipment. Reporting has remained relatively unchanged for many decades. Unless the value of one of these assets has been impaired or it is going to be sold in the near future, historical cost less accumulated depreciation remains the basis for balance sheet presentation.
The fair value of property and equipment is a reporting alternative preferred by some decision makers, but only if the amount is objective and reliable. That is where the difficulty begins. Historical cost is both an objective and a reliable measure, determined through a transaction between a willing buyer and a willing seller. In contrast, any gathering of “experts” could assess the value of a large building or an acre of land at widely differing figures with equal certitude. No definitive value can possibly exist until sold. What is the informational benefit of a number that is so subjective? Furthermore, the asset’s value might change radically on a daily basis rendering previous assessments useless. For that reason, historical cost, as adjusted for accumulated depreciation, remains the accepted method for reporting property and equipment on an owner’s balance sheet.
Use of historical cost is supported by the going concern assumption that has long existed as part of the foundation of financial accounting. In simple terms, a long life is anticipated for virtually all organizations. Officials expect operations to continue for the years required to fulfill the goals that serve as the basis for their decisions. They do not plan to sell property and equipment prematurely but rather to utilize these assets for their entire lives. Consequently, financial statements are constructed assuming that the organization will function until all of its assets are consumed. Unless impaired or a sale is anticipated in the near future, the fair value of property and equipment is not truly of significance to the operations of a business. It might be interesting information but it is not directly relevant if no sale is contemplated.
However, the estimated fair value of a company’s property and equipment is a factor that does influence the current price of ownership shares traded actively on a stock exchange. For example, the price of shares of The Coca-Cola Company is certainly impacted by the perceived value of its property and equipment. A widely discussed calculation known as market capitalization
Figure computed by multiplying a company’s current stock price times the number of ownership shares outstanding in the hands of the public; it is used to gauge the fair value of a business as a whole.
is one method used to gauge the fair value of a business as a whole. Market capitalization is determined by multiplying the current price of a company’s stock times the number of ownership shares outstanding. For example, approximately 2.3 billion shares of The Coca-Cola Company were in the hands of investors at December 31, 2010. Because the stock was selling for $65.77 per share on that day, the company’s market capitalization was about $151 billion. This figure does not provide a direct valuation for any specific asset but does give a general idea as to whether fair value approximates net book value or is radically different.
Talking with an Independent Auditor about International Financial Reporting Standards (Continued)
Following is a continuation of our interview with Robert A. Vallejo, partner with the accounting firm PricewaterhouseCoopers.
Question: In U.S. GAAP, land, buildings, and equipment have traditionally been reported at historical cost less the accumulated depreciation recognized to date. Adjustment to fair value is prohibited unless the asset’s value has been impaired. Because of the conservative nature of accounting, increases in value are ignored completely until proven through a disposal. Thus, land might be worth $20 million but only shown on the balance sheet as $400,000 if that amount reflects cost. According to IFRS, can increases in the fair value of these assets be reported?
Rob Vallejo: Under IFRS, a company can elect to account for all or specific types of assets using fair value. In that instance, the designated assets are valued each reporting period, adjusted up or down accordingly. Based on my experience working with companies reporting under IFRS, companies do not elect to account for fixed assets using fair value. This decision is primarily due to the administrative challenges of determining fair value each and every reporting period (quarterly for US listed companies) and the volatility that would be created by such a policy. Financial officers and the financial investors that follow their stocks rarely like to see such swings, especially those swings that cannot be predicted. However, in the right circumstances, using fair value might be a reasonable decision for some companies.
Key Takeaway
Land, buildings, and equipment are reported on a company’s balance sheet at net book value, which is historical cost less any portion of that figure that has been assigned to expense. Over time, the cost balance is not directly reduced. Instead, the expensed amount is maintained in a separate contra asset account known as accumulated depreciation. Thus, the asset’s cost remains readily apparent as well as net book value. Land and any other asset that does not have a finite life continue to be reported at cost. Unless the value of specific items has been impaired or an asset is to be sold in the near future, fair value is never used in reporting land, buildings, and equipment. It is not viewed as an objective or reliable amount. In addition, because such assets are usually not expected to be sold, fair value is of limited informational benefit to decision makers.
10.2 Determining Historical Cost and Depreciation Expense
Learning Objectives
At the end of this section, students should be able to meet the following objectives:
Make use of the guiding accounting rule to ascertain which costs are capitalized and which are expensed when acquiring property and equipment.
List the variables that impact the amount of depreciation to be expensed each period in connection with the property and equipment owned by a company.
Recognize that the straight-line method for assigning depreciation predominates in practice but any system that provides a rational approach can be used to create a pattern for this cost allocation.
Assets Classified as Property and Equipment
Question: Businesses hold numerous types of assets, such as receivables, inventory, cash, investments, and patents. Proper classification is important for the clarity of the reported information. In preparing a balance sheet, what requirements must be met for an asset to be included as part of a business’s property and equipment?
Answer: To be classified within the property and equipment category, an asset must have tangible physical substance and be expected to help generate revenues for longer than a single year. In addition, it must function within the normal operating activities of the business. However, it cannot be held for immediate resale, like inventory.
A building used as a warehouse and machinery operated in the production of inventory both meet these characteristics. Other examples include computers, furniture, fixtures, and equipment. Conversely, land acquired as a future plant site and a building held for speculative purposes are both classified as investments (or, possibly, “other assets”) rather than as property and equipment. Neither of these assets is being used at the current time to help generate operating revenues.
Determining Historical Cost
Question: The accounting basis for reporting property and equipment is historical cost. What amounts are included in determining the cost of such assets? Assume, for example, that Walmart purchases a parcel of land and then constructs a retail store on the site. Walmart also buys a new cash register to use at this outlet. Initially, such assets are reported at cost. For property and equipment, how is historical cost defined?
Answer: In the previous chapter, the cost of a company’s inventory was identified as the sum of all normal and necessary amounts paid to get the merchandise into condition and position to be sold. Property and equipment are not bought for resale, so this rule must be modified slightly. All expenditures are included within the cost of property and equipment if the amounts are normal and necessary to get the asset into condition and position to assist the company in generating revenues. That is the purpose of assets: to produce profits by helping to create the sale of goods and services.
Land can serve as an example. When purchased, the various normal and necessary expenditures made by the owner to ready the property for its intended use are capitalized to arrive at reported cost. These amounts include payments made to attain ownership as well as any fees required to obtain legal title. If the land is acquired as a building site, money spent for any needed grading and clearing is also included as a cost of the land rather than as a cost of the building or as an expense. These activities readied the land for its ultimate purpose.
Buildings, machinery, furniture, equipment and the like are all reported in a similar fashion. For example, the cost of constructing a retail store includes money spent for materials and labor as well as charges for permits and any fees paid to architects and engineers. These expenditures are all normal and necessary to get the structure into condition and position to help generate revenues.
As another example, the cost of a new cash register might well include shipping charges, installation fees, and training sessions to teach employees to use the asset. These costs all meet the criterion for capitalization. They are normal and necessary payments to permit use of the equipment for its intended purpose. Hence, a new cash register bought at a price of $4,100 might actually be reported as an asset by its owner at $5,300 as follows:
Figure 10.1 Capitalized Cost of Equipment
Test Yourself
Question:
On January 1, Year One, a company buys a plot of land and proceeds to construct a warehouse on that spot. One specific cost of $10,000 was normal and necessary to the acquisition of the land. However, by accident, this charge was capitalized within the building account. Which of the following statements is not correct?
The building account will always be overstated by $10,000.
The land will be understated by $10,000 as long as the company owns it.
For the next few years, net income will be understated.
For the next few years, expenses will be overstated.
Answer:
The correct answer is choice a: The building account will always be overstated by $10,000.
Explanation:
A building has a finite life. During its use, the cost is systematically moved to expense. The $10,000 misstatement here overstates the building balance. However, the gradual expensing of that amount through depreciation reduces the overstatement over time. This error inflates the amount of expense reported each year understating net income. The land does not have a finite life. Therefore, its cost is not expensed, and the $10,000 understatement remains intact as long as the land is held.
Straight-Line Method of Determining Depreciation
Question: If a company pays $600,000 on January 1, Year One to rent a building to serve as a store for five years, a prepaid rent account (an asset) is established for that amount. Because the rented facility is used to generate revenues throughout this period, a portion of the cost is reclassified annually as expense to comply with the matching principle. At the end of Year One, $120,000 (or one-fifth) of the cost is moved from the asset balance into rent expense by means of an adjusting entry. Prepaid rent shown on the balance sheet drops to $480,000, the amount paid for the four remaining years. The same adjustment is required for each of the subsequent years as the time passes.
If, instead, the company buys a building with an expected five-year lifeThe estimated lives of property and equipment will vary widely. For example, in notes to its financial statements as of January 31, 2011, and for the year then ended, Walmart disclosed that the expected lives of its buildings and improvements ranged from three years to forty. for $600,000, the accounting is quite similar. The initial cost is capitalized to reflect the future economic benefit. Once again, at the end of each year, a portion of this cost is assigned to expense to satisfy the matching principle. This expense is referred to as depreciation. It is the cost of a long-lived asset that is recorded as expense each period. Should the Year One depreciation that is recognized in connection with this building also be $120,000 (one-fifth of the total cost)? How is the annual amount of depreciation expense determined for reporting purposes?
Answer: Depreciation is based on a mathematically derived system that allocates the asset’s cost to expense over the expected years of use. It does not mirror the actual loss of value over that period. The specific amount of depreciation expense recorded each year for buildings, machinery, furniture, and the like is determined using four variables:
The historical cost of the asset
Its expected useful life
Any residual (or salvage) value anticipated at the end of the expected useful life
An allocation pattern
After total cost is computed, officials estimate the useful life based on company experience with similar assets or on other sources of information such as guidelines provided by the manufacturer. As mentioned previously, land does not have a finite life and is, therefore, not subjected to the recording of depreciation expense. In a similar fashion, officials arrive at the expected residual value—an estimate of the likely worth of the asset at the end of its useful life. Both life expectancy and residual value can be no more than guesses.
To illustrate, assume a building is purchased by a company on January 1, Year One, for cash of $600,000. Based on experience with similar properties, officials believe that this structure will be worth only $30,000 at the end of an expected five-year life. U.S. GAAP does not require any specific computational method for determining the annual allocation of the asset’s cost to expense. Over fifty years ago, the Committee on Accounting Procedure (the authoritative body at the time) issued Accounting Research Bulletin 43, which stated that any method could be used to determine annual depreciation if it provided an expense in a “systematic and rational manner.” This guidance remains in effect today.
Consequently, a vast majority of reporting companies (including Walmart) have chosen to adopt the straight-line method to assign the cost of property and equipment to expense over their useful lives. The estimated residual value is subtracted from cost to arrive at the asset’s depreciable base. This figure is then expensed evenly over the expected life. It is systematic and rational. Straight-line depreciation
Method used to calculate the annual amount of depreciation expense by subtracting any estimated residual value from cost and then dividing this depreciable base by the asset’s estimated useful life; a majority of companies in the United States use this method for financial reporting purposes.
allocates an equal expense to each period in which the asset is used to generate revenue.
Straight-line method:
(cost – estimated residual value) = depreciable base depreciable base/expected useful life = annual depreciation ($600,000 – $30,000) = $570,000/5 years = depreciation expense of $114,000 per year
Recording Depreciation Expense
Question: An accountant determines depreciation for the current year based on the asset’s cost and estimated life and residual value. After depreciation has been calculated, how is this allocation of the asset’s cost to expense recorded within the company’s accounting system?
Answer: An adjusting entry is prepared at the end of each period to move the assigned cost from the asset account on the balance sheet to expense on the income statement. To reiterate, the building account is not directly reduced. A separate negative or contra account (accumulated depreciation) is created to reflect the total amount of the cost that has been expensed to date. Thus, the asset’s net book value as well as its original historical cost are both still in evidence.
The entries to record the cost of acquiring this building and the annual depreciation expense over the five-year life are shown in Figure 10.2 "Building Acquisition and Straight-Line Depreciation". The straight-line method is used here to determine each individual allocation to expense. Now that students are familiar with using debits and credits for recording, the number in parenthesis is included (where relevant to the discussion) to indicate the total account balance after the entry is posted. As has been indicated, revenues, expenses, and dividends are closed out each year. Thus, the depreciation expense reported on each income statement measures only the expense assigned to that period.
Figure 10.2 Building Acquisition and Straight-Line Depreciation
Because the straight-line method is applied, depreciation expense is a consistent $114,000 each year. As a result, the net book value reported on the balance sheet drops during the asset’s useful life from $600,000 to $30,000. At the end of the first year, it is $486,000 ($600,000 cost minus accumulated depreciation $114,000). At the end of the second year, net book value is reduced to $372,000 ($600,000 cost minus accumulated depreciation of $228,000). This pattern continues over the entire five years until the net book value equals the expected residual value of $30,000.
Test Yourself
Question:
On January 1, Year One, the Ramalda Corporation pays $600,000 for a piece of equipment that will produce widgets to be sold to the public. The company expects the asset to carry out this function for ten years and then be sold for $50,000. The straight-line method of depreciation is used. At the end of Year Two, company officials receive an offer to buy the equipment for $500,000. They reject this offer because they believe the asset is actually worth $525,000. What is the net reported balance for this equipment on the company’s balance sheet as of December 31, Year Two?
$480,000
$490,000
$500,000
$525,000
Answer:
The correct answer is choice b: $490,000.
Explanation:
Unless the value of property or equipment is impaired or the asset will be sold in the near future, fair value is ignored. Cost is the reporting basis. This equipment has a depreciable base of $550,000 ($600,000 cost less $50,000 residual value). The asset is expected to generate revenues for ten years. Annual depreciation is $55,000 ($550,000/ten years). After two years, net book value is $490,000 ($600,000 cost less $55,000 and $55,000 or accumulated depreciation of $110,000).
Key Takeaway
Tangible operating assets with lives of over a year are initially reported at historical cost. All expenditures are capitalized if they are normal and necessary to put the property into the position and condition to assist the owner in generating revenue. If the asset has a finite life, this cost is then assigned to expense over the years of expected use by means of a systematic and rational pattern. Many companies apply the straight-line method, which assigns an equal amount of expense to every full year of use. In that approach, the expected residual value is subtracted from cost to get the depreciable base. This figure is allocated evenly over the anticipated years of use by the company.
10.3 Recording Depreciation Expense for a Partial Year
Learning Objectives
At the end of this section, students should be able to meet the following objectives:
Understand the need to record depreciation for each period of use even when property and equipment are disposed of prior to the end of the year.
Construct the journal entry to record the disposal of property or equipment and the recognition of a gain or loss.
Explain the half-year convention and the reason that it is frequently used by companies for reporting purposes.
Recording the Disposal of Property or Equipment
Question: Property and equipment are occasionally sold before the end of their estimated lives. A company’s operational needs might change or officials could want to gain the benefit of a newer or more efficient model. What accounting is necessary in the event that a piece of property or equipment is sold prior to the conclusion of its useful life? In the example illustrated in Figure 10.2 "Building Acquisition and Straight-Line Depreciation", assume that after the adjusting entry for depreciation is made on December 31, Year Two, the building is sold for $290,000 cash. How is that transaction recorded?
Answer: Accounting for the disposal of property and equipment is relatively straightforward.
First, to establish account balances that are appropriate as of the date of sale, depreciation is recorded for the period of use during the current year. In this way, the expense is matched with the revenues earned in the current period.
Second, the amount received from the sale is recorded while the net book value of the asset (both its cost and accumulated depreciation) is removed. If the owner receives less for the asset than net book value, a loss is recognized for the difference. If more is received than net book value, the excess is recorded as a gain so that net income increases.
Because the building is sold for $290,000 on December 31, Year Two, when the net book value is $372,000 (cost of $600,000 less accumulated depreciation of $228,000), a loss of $82,000 is reported by the seller ($372,000 net book value less $290,000 proceeds). The journal entry shown in Figure 10.3 "Sale of Building at a Loss" is recorded after the depreciation adjustment for the period is made.
Figure 10.3 Sale of Building at a Loss
Conversely, if this building is sold on that same date for $440,000 rather than $290,000, the company receives $68,000 more than net book value ($440,000 less $372,000) so that a gain of that amount is recognized. The entry under this second possibility is presented in Figure 10.4 "Sale of Building at a Gain".
Figure 10.4 Sale of Building at a Gain
Although gains and losses such as these appear on the income statement, they are often shown separately from revenues and expenses. In that way, a decision maker can determine both the income derived from primary operations (revenues less expenses) and the amount that resulted from tangential activities such as the sale of a building or other property (gains less losses).
Test Yourself
Question:
The Lombardi Company buys equipment on January 1, Year One, for $2 million with an expected twenty-year life and a residual value of $100,000. Company officials apply the straight-line method to determine depreciation expense. On December 31, Year Three, this equipment is sold for $1.8 million. What gain is recognized on this sale?
$10,000
$85,000
$100,000
$185,000
Answer:
The correct answer is choice b: $85,000.
Explanation:
The depreciable basis for this asset is $1.9 million ($2 million cost less $100,000 estimated residual value). This amount is to be expensed over twenty years at a rate of $95,000 per year ($1.9 million/20 years). After three years, accumulated depreciation is $285,000 ($95,000 × 3) so net book value is $1,715,000 ($2 million cost less $285,000 accumulated depreciation). The sale was for $1.8 million. The company reports a gain of $85,000 ($1.8 million received less $1,715,000 book value).
Recognizing Depreciation When Asset Is Used for a Partial Year
Question: In the previous reporting, the building was bought on January 1 and later sold on December 31 so that depreciation was always determined and recorded for a full year. However, in reality, virtually all such assets are bought and sold at some point within the year so that a partial period of use is more likely. What amount of depreciation is appropriate if property or equipment is held for less than twelve months during a year?
Answer: The recording of depreciation follows the matching principle. If an asset is owned for less than a full year, it does not help generate revenues for all twelve months. The amount of expense should be reduced accordingly. For example, if the building from the previous reporting is purchased on April 1, Year One, depreciation expense of only $85,500 (9/12 of the full-year amount of $114,000) is recognized on December 31, Year One. Similarly, if the asset is sold on a day other than December 31, less than a full year’s depreciation is assigned to expense in the year of sale. Revenue is not generated for the entire period; therefore, depreciation must also be recognized proportionally.
To illustrate, assume the building was purchased on April 1 of Year One for $600,000 and then sold for $350,000 on September 1 of Year Three. As just calculated, depreciation for Year One is $85,500 or 9/12 of the annual amount. In Year Three, depreciation for the final eight months that the property was used is $76,000 (8/12 of $114,000). The journal entries shown in Figure 10.5 "Acquisition, Depreciation, and Sale of Building" reduce the asset’s net book value to $324,500 (cost of $600,000 less accumulated depreciation of $275,500). Because cash of $350,000 is collected from the sale, a gain of $25,500 is recognized ($350,000 less $324,500).
Figure 10.5 Acquisition, Depreciation, and Sale of Building
The Half-Year Convention
Question: Monitoring the specific days on which depreciable assets are bought and sold seems like a tedious process. For example, what happens when equipment is bought on August 8 or when a building is sold on April 24? In practice, how do companies assign depreciation to expense when a piece of property or equipment is held for less than a full year?
Answer: Most companies hold a great many depreciable assets, often thousands. Depreciation is nothing more than a mechanical cost allocation process. It is not an attempt to mirror current value. Cost is mathematically assigned to expense in a systematic and rational manner. Consequently, company officials often prefer not to invest the time and effort needed to keep track of the specific number of days or weeks of an asset’s use during the years of purchase and sale.
As a result, depreciation can be calculated to the nearest month when one of these transactions is made. A full month of expense is recorded if an asset is held for fifteen days or more whereas no depreciation is recognized in a month where usage is less than fifteen days. No genuine informational value comes from calculating the depreciation of assets down to days, hours, and minutes. An automobile acquired on March 19, for example, is depreciated as if bought on April 1. A computer sold on November 11 is assumed to have been used until October 31.
As another accepted alternative, many companies apply the half-year convention
Method of calculating depreciation for assets that are held for any period of time less than a year; automatically records one-half year of depreciation; it makes the maintenance of exact records as to the period of use unnecessary.
(or some variation). When property or equipment is owned for any period less than a full year, a half year of depreciation is automatically assumed. The costly maintenance of exact records is not necessary. Long-lived assets are typically bought and sold at various times throughout each period so that, on the average, one-half year is a reasonable assumption. As long as such approaches are applied consistently, reported figures are viewed as fairly presented. Property and equipment bought on February 3 or sold on November 27 is depreciated for exactly one-half year in both situations.
Test Yourself
Question:
On August 12, Year One, the O’Connell Company buys a warehouse for $1.2 million with a ten-year expected life and an estimated residual value of $200,000. This building is eventually sold on March 18, Year Three, for $1,080,000 in cash. The straight-line method of depreciation is used for allocation purposes along with the half-year convention. What gain should O’Connell recognize on the sale of the warehouse?
$80,000
$84,000
$108,000
$120,000
Answer:
The correct answer is choice a: $80,000.
Explanation:
Annual depreciation is $100,000: the depreciable basis of $1 million ($1.2 million less $200,000) allocated over ten years. Because the half-year convention is used, $50,000 is recorded in Years One and Three. The asset was used less than twelve months in each of these periods. When sold, accumulated depreciation is $200,000 ($50,000 + $100,000 + $50,000) and net book value is $1 million (cost was $1.2 million). Cash of $1,080,000 was received so that a gain of $80,000 must be recognized.
Key Takeaway
Depreciation expense is recorded for property and equipment at the end of each fiscal year and also at the time of an asset’s disposal. To record a disposal, cost and the accumulated depreciation as of that date are removed. Any proceeds are recorded and the difference between the amount received and the net book value surrendered is recognized as a gain (if more than net book value is collected) or a loss (if less is collected). Many companies automatically record depreciation for one-half year for any period of use of less than a full year. The process is much simpler and, as a mechanical allocation process, no need for absolute precision is warranted.
10.4 Alternative Depreciation Patterns and the Recording of a Wasting Asset
Learning Objectives
At the end of this section, students should be able to meet the following objectives:
Explain the justification for accelerated methods of depreciation.
Compute depreciation expense using the double-declining balance method.
Realize that the overall impact on net income is not affected by a particular cost allocation pattern.
Describe the units-of-production method, including its advantages and disadvantages.
Explain the purpose and characteristics of MACRS.
Compute depletion expense for a wasting asset such as an oil well or a forest of trees.
Explain the reason that depletion amounts are not directly recorded as an expense.
Accelerated Depreciation
Question: Straight-line depreciation certainly qualifies as systematic and rational. The same amount of cost is assigned to expense during each period of an asset’s use. Because no specific method is required by U.S. GAAP, do companies ever use other approaches to create different allocation patterns for depreciation? If so, how are these methods justified?
Answer: The most common alternative to the straight-line method is accelerated depreciation
Any method of determining depreciation that assigns larger expenses to the initial years of an asset’s service and smaller expenses to the later years; it is often justified by the assumption that newer assets generate more revenues than older assets do.
, which records a larger expense in the initial years of an asset’s service. The primary rationale for this pattern is that property and equipment frequently produce higher amounts of revenue earlier in their lives because they are newer. The matching principle would suggest that recognizing more depreciation in these periods is appropriate to better align the expense with the revenues earned.
A second justification for accelerated depreciation is that some types of property and equipment lose value more quickly in their first few years than they do in later years. Automobiles and other vehicles are a typical example of this pattern. Consequently, recording a greater expense in the initial years of use is said to better reflect reality.
Over the decades, a number of formulas have been invented to mathematically create an accelerated depreciation pattern—high expense at first with subsequent cost allocations falling each year throughout the life of the property. The most common is the double-declining balance method (DDB)
A common accelerated depreciation method that computes expense each year by multiplying the asset’s net book value (cost less accumulated depreciation) times two divided by the expected useful life.
. When using DDB, annual depreciation is determined by multiplying the current net book value of the asset times two divided by the expected years of life. As the net book value drops, the annual expense drops. This formula has no internal logic except that it creates the desired pattern, an expense that is higher in the first years of operation and less after that. Although residual value is not utilized in this computation, the final amount of depreciation recognized must be manipulated to arrive at this ending balance.
Depreciation for the building bought above for $600,000 with an expected five-year life and a residual value of $30,000 is calculated as follows if DDB is applied. Note how different this cost allocation pattern is than that shown in Figure 10.2 "Building Acquisition and Straight-Line Depreciation" using the straight-line method.
(cost – accumulated depreciation) × 2/expected life = depreciation expense for period
Year One:
($600,000 – $0) = $600,000 × 2/5 = $240,000 depreciation expense
Year Two:
($600,000 – $240,000) = $360,000 × 2/5 = $144,000 depreciation expense
Year Three:
($600,000 – $384,000) = $216,000 × 2/5 = $86,400 depreciation expense
Year Four:
($600,000 – $470,400) = $129,600 × 2/5 = $51,840 depreciation expense
Year Five:
($600,000 – $522,240) = $77,760,
so depreciation for Year Five must be set at $47,760 to reduce the $77,760 net book value to the expected residual value of $30,000.
Note that the desired expense pattern for accelerated depreciation has resulted. The expense starts at $240,000 and becomes smaller in each subsequent period as can be seen in the adjusting entries prepared in Figure 10.6 "Building Acquisition and Double-Declining Balance Depreciation".
Figure 10.6 Building Acquisition and Double-Declining Balance Depreciation
When applying an accelerated depreciation method, net book value falls quickly at first because of the high initial expense levels. Thus, if an asset is sold early in its life, a reported gain is more likely (the amount received will be greater than this lower net book value). For example, in Figure 10.3 "Sale of Building at a Loss", the building was depreciated using the straight-line method and sold after two years for $290,000, creating a reported $82,000 loss because the net book value was $372,000. Net book value was high in comparison to the amount received.
With DDB, the accumulated depreciation will be $384,000 after two years as shown in Figure 10.6 "Building Acquisition and Double-Declining Balance Depreciation". If the building is then sold on December 31, Year Two for $290,000, a $74,000 gain is reported because net book value has dropped all the way to $216,000 ($600,000 cost less $384,000 accumulated depreciation). Accelerated depreciation creates a lower net book value, especially in the early years of ownership.
Figure 10.7 Building Sold after Two Years—Double-Declining Balance Method Used
Although the annual amounts are quite different, the overall net income is never affected by the allocation pattern. In this example, a building was bought for $600,000 and later sold after two years for $290,000. Thus, net income for the entire period of use must be reduced by the $310,000 difference regardless of the approach applied.
Figure 10.8 Depreciation Methods—Overall Impact on Net Income
Test Yourself
Question:
On April 1, Year One, Hayden Corporation buys machinery for $30,000 and pays an additional $4,000 to have it delivered to its factory and then assembled. Company officials believe this machinery will last for ten years and then have a $2,000 remaining residual value. Depreciation is to be computed by applying the double-declining balance method. The half-year convention is utilized. The value of the asset actually declines at only a rate of 10 percent per year. On the company’s balance sheet as of December 31, Year Three, what is reported as the net book value for this asset?
$18,432
$18,496
$19,584
$25,500
Answer:
The correct answer is choice c: $19,584.
Explanation:
Cost of the asset is $34,000, which is multiplied by 2/10 to get $6,800. Because of the half-year convention, $6,800 is multiplied by 1/2. Depreciation is $3,400. For Year Two, book value is $30,600 ($34,000 less $3,400). When multiplied by 2/10, depreciation is $6,120. The contra account rises to $9,520 and book value falls to $24,480. When multiplied by 2/10, expense for the third year is $4,896. Accumulated depreciation is now $14,416 and book value is $19,584 ($34,000 less $14,416).
Units-Of-Production Method
Question: The two methods demonstrated so far for establishing a depreciation pattern are based on time, five years to be precise. In most cases, though, it is the physical use of the asset rather than the passage of time that is actually relevant to this process. Use is the action that generates revenues. How is the depreciation of a long-lived tangible asset determined if usage can be measured?
For example, assume that a limousine company buys a new vehicle for $90,000 to serve as an addition to its fleet. Company officials expect this limousine to be driven for 300,000 miles and then have no residual value. How is depreciation expense determined each period?
Answer: Depreciation does not have to be based on time; it only has to be computed in a systematic and rational manner. Thus, the units-of-production method (UOP)
A method of determining depreciation that is not based on the passage of time but rather on the level of actual usage during the period.
is another alternative that is occasionally encountered. UOP is justified because the periodic expense is matched with the work actually performed. In this illustration, the limousine’s depreciation is based on the total number of miles expected. Then, the annual expense is computed using the number of miles driven in a year, an easy figure to determine.
($90,000 less $0)/300,000 miles = $0.30 per mile
Depreciation is recorded at a rate of $0.30 per mile. The depreciable cost basis is allocated evenly over the miles that the vehicle is expected to be driven. UOP is a straight-line method but one that is based on usage (miles driven, in this example) rather than years. Because of the direct connection between the expense allocation and the work performed, UOP is a very appealing approach. It truly mirrors the matching principle. Unfortunately, measuring the physical use of most assets is rarely as easy as with a limousine.
To illustrate, assume this vehicle is driven 80,000 miles in Year One, 120,000 miles in Year Two, and 100,000 miles in Year Three, depreciation will be $24,000, $36,000, and $30,000 when the $0.30 per mile rate is applied. The annual adjusting entries are shown in Figure 10.9 "Depreciation—Units-of-Production Method".
Figure 10.9 Depreciation—Units-of-Production Method
Estimations rarely prove to be precise reflections of reality. This vehicle will not likely be driven exactly 300,000 miles. If used for less and then retired, both the cost and accumulated depreciation are removed. A loss is recorded equal to the remaining net book value unless some cash or other asset is received. If driven more than the anticipated number of miles, depreciation stops at 300,000 miles. At that point, the cost of the asset will have been depreciated completely.
Although alternative methods such as the double-declining balance method and the units-of-production method are interesting theoretically, they are not very widely used in practice. Probably only about 5–10 percent of companies apply a method other than straight-line depreciation. However, as indicated later, accelerated depreciation is an important method when computing a company’s taxable income.
Test Yourself
Question:
On March 1, Year One, the Good Eating Company buys a machine to make donuts so that it can expand its menu. The donut maker cost the company $22,000 but has an expected residual value of $4,000. Officials believe this machine should be able to produce 100,000 dozen donuts over a ten-year period. In Year One, 7,000 dozen donuts are prepared and sold while in Year Two, another 11,000 dozen are made. However, the company is not satisfied with the profits made from selling donuts. Thus, on April 1, Year Three, after making 3,000 more dozen, the company sells the machine for $19,000 in cash. If the units-of-production method is used to compute depreciation, what gain or loss should the company recognize on the sale of the donut maker?
Gain of $780
Gain of $320
Loss of $320
Loss of $780
Answer:
The correct answer is choice a: Gain of $780.
Explanation:
The company expects to recognize an expense of $18,000 ($22,000 less $4,000) as it makes 100,000 dozen. That is $0.18 per dozen ($18,000/100,000 dozen). While being used, 21,000 dozen donuts are prepared (7,000 + 11,000 + 3,000). At $0.18 per dozen, total depreciation of $3,780 is recognized (21,000 dozen at $0.18 each). This expense reduces book value to $18,220 ($22,000 less $3,780). If sold for $19,000, the company reports a gain of $780 based on the excess received ($19,000 less $18,220).
MACRS
Question: Companies use straight-line depreciation, accelerated depreciation, or units-of-production depreciation for financial reporting. What method of determining depreciation is applied when a business files its federal income tax return? Can one of these methods be selected or is a specific approach required?
Answer: In most cases, the government wants businesses to buy more machinery, equipment, and the like because such purchases help stimulate the economy and create jobs. Consequently, for federal income tax purposes, companies are required to use a designed method known as Modified Accelerated Cost Recovery System (MACRS). MACRS has several built-in tax incentives inserted to encourage businesses to acquire more depreciable assets. Greater depreciation expense is allowed, especially in the earlier years of use, so that the purchase reduces tax payments.
Each depreciable asset must be placed into one of eight classes based upon its type and life. For example, a light truck goes into one class, but a typewriter is placed in another. Every asset within a class is depreciated by the same method and over the same life.
For most of these classes, the number of years is relatively short so that the benefit of the expense is received quickly for tax purposes.
Residual value is ignored completely. The entire cost can be expensed.
For six of the eight classes, accelerated depreciation is required, which again creates more expense in the initial years.
Determining Depletion
Question: The cost of land is not depreciated because it does not have a finite life. However, land is often acquired solely for the natural resources that it might contain such as oil, timber, gold or the like. As the oil is pumped, the timber harvested or the gold extracted, a portion of the value is physically separated from the land. How is the reported cost of land affected when its natural resources are removed?
Answer: Oil, timber, gold, and the like are known as “wasting assets.” They are taken from land over time, a process referred to as depletion
A method of allocating the cost of a wasting asset (such as a gold mine or an oil well) to expense over the periods during which the value is removed from the property.
. Value is literally removed from the asset rather than being consumed through use as with the depreciation of property and equipment. The same mechanical calculation demonstrated above for the units-of-production (UOP) method is applied. The 2010 financial statements for Alpha Natural Resources state that “costs to obtain coal lands and leased mineral rights are capitalized and amortized to operations as depletion expense using the units-of-production method.”
Because the value is separated rather than used up, depletion initially leads to the recording of inventory (such as oil or gold, for example). An expense is recognized only at the eventual point of sale.
As with other types of property and equipment, historical cost is the sum of all normal and necessary expenditures to get the wasting asset into condition and position to generate revenues. To illustrate, assume that at the beginning of Year One, land is acquired for $1.6 million cash while another $400,000 is spent to construct a mining operation. Total cost is $2 million. The land is estimated to hold ten thousand tons of ore to be mined and sold. The land will be worth an estimated amount of only $100,000 after all ore is removed. Depletion is $190 per ton ( [$2,000,000 cost less $100,000 residual value]/10,000 tons). It is a straight-line approach based on tons and not years, an allocation that follows the procedures of the units-of-production method.
Assume that 3,000 tons of ore are extracted in Year One and sold in Year Two for $1 million cash. Another 3,600 tons are removed in the second year for sale at a later time. Depletion is $570,000 in Year One ($190 × 3,000 tons) and $684,000 in Year Two ($190 × 3,600 tons). Note in Figure 10.10 "Depletion of Wasting Asset" that the ore is initially recorded as inventory and only moved to expense (cost of goods sold) when sold in the subsequent period. For depreciation, expense is recognized immediately as the asset’s utility is consumed. With depletion, no expense is recorded until the inventory is eventually sold.
Figure 10.10 Depletion of Wasting Asset
After two years, this land is reported on the company’s balance sheet at a net book value of $746,000 based on its historical cost of $2 million and accumulated depletion to date of $1,254,000 ($570,000 + $684,000). The remaining inventory of ore is reported as an asset at $684,000 because it has not yet been sold.
Figure 10.11 Net Book Value of Land with Mineral Rights After Depletion
Test Yourself
Question:
When crude oil is selling for $30 per barrel, the Ohio Oil Company buys an acre of land for $3.2 million because it believes that a reserve of oil lies under the ground. The company spends another $500,000 to set up the proper drilling apparatus. The company believes that 200,000 barrels of oil are in the ground at this location. Once the oil has been extracted, the land will have a resale value of only $100,000. In both Years One and Two, 70,000 barrels are pumped out but only 50,000 are sold in Year One and another 40,000 in Year Two. The price of crude oil stays steady in Year One but jumps to $39 per barrel during Year Two. What is the net book value of the land account at the end of Year Two?
$1,080,000
$1,180,000
$1,740,000
$2,340,000
Answer:
The correct answer is choice b: $1,180,000.
Explanation:
The cost of this property is $3.7 million ($3.2 million plus $500,000). Expected residual value is $100,000 so $3.6 million will be the total depletion ($3.7 million minus $100,000). The land holds an estimated 200,000 barrels; thus, the depletion rate is $18 per barrel ($3.6 million/200,000 barrels). Over the two years, 140,000 barrels are extracted so that total depletion is $2.52 million ($18 × 140,000). Net book value is reduced to $1.18 million ($3.7 million less $2.52 million).
Key Takeaway
Additional cost allocation patterns for determining depreciation exist beyond the straight-line method. Accelerated depreciation records more expense in the earlier years of use than in later periods. This pattern is sometimes considered a better matching of expenses with revenues and closer to actual drops in value. The double-declining balance method is the most common version of accelerated depreciation. Its formula was designed to create the appropriate allocation pattern. The units-of-production method can be used for property and equipment where the quantity of work performed is easily monitored. This approach is also used in recording the depletion of wasting assets such as oil wells and silver mines. For federal income tax purposes, the Modified Accelerated Cost Recovery System (MACRS) is required. It provides certain benefits for the acquisition of depreciable assets as a way of encouraging more purchases to help the economy grow. For example, residual values are ignored and the expense is computed for most assets using accelerated depreciation methods.
10.5 Recording Asset Exchanges and Expenditures That Affect Older Assets
Learning Objectives
At the end of this section, students should be able to meet the following objectives:
Record the exchange of one asset for another and explain the rationale for this method of accounting.
Explain when the fair value of an asset received must be used for recording an exchange rather than the fair value of the property surrendered.
Compute the allocation of cost between assets when more than one is acquired in a single transaction.
Determine which costs are capitalized when incurred in connection with an asset that has already been in use for some time and explain the impact on future depreciation expense calculations.
Exchanging One Asset for Another
Question: Some items are acquired by a company through an asset exchange
A trade of one asset for another in which the net book value of the old asset is removed from the records while the new asset is recorded at the fair value surrendered (if known); the difference between the recorded fair value and the previous net book value creates a gain or loss to be shown on the income statement.
instead of as the result of a purchase. For example, the limousine discussed earlier might well be traded away after two years for a newer model. Such transactions are common, especially with vehicles. How is the historical cost of a new asset measured if obtained through an exchange rather than an acquisition?
To illustrate, assume that this limousine is traded to an automobile manufacturer for a new model on December 31, Year Two. By that time, as shown in Figure 10.9 "Depreciation—Units-of-Production Method", the net book value had fallen to $30,000 (cost of $90,000 less accumulated depreciation of $60,000). However, because company employees have taken excellent care of the vehicle during its two years of use, its fair value is $45,000. As has been discussed, net book value rarely equals fair value during the life of property and equipment. Assume that the vehicle being acquired is worth $100,000 so the company also pays $55,000 in cash ($100,000 value received less $45,000 value surrendered) to complete the trade. How is such an exchange recorded?
Answer: In virtually all cases, fair value is the accounting basis used to record items received in an exchange. The net book value of the old asset is removed from the accounts and the new model is reported at fair value. Fair value is added; net book value is removed. A gain or loss is recognized for the difference.
In this example, the company surrenders two assets with a total fair value of $100,000 ($45,000 value for the old limousine plus $55,000 in cash) to obtain the new vehicle. However, the assets given up have a total net book value of only $85,000 ($30,000 and $55,000). A $15,000 gain is recognized on the exchange ($100,000 fair value less $85,000 net book value). The gain results because the old limousine had not lost as much value as the depreciation process had expensed. The net book value was reduced to $30,000 but the vehicle was worth $45,000. Accounting rules are created through a slow and meticulous process to avoid unintended consequences. For example, assume that Company A and Company B buy identical antique limousines for $30,000 that then appreciate in value to $100,000 because of their scarcity. Based solely on the accounting rule described in this section, if the two companies exchange these assets, each reports a gain of $70,000 while still retaining possession of an identical vehicle. This reporting is not appropriate because nothing has changed for either party. In reality, there was no gain since the companies retain the same financial position as before the trade. Thus, in creating the official guidance described previously, FASB held that an exchange must have commercial substance to justify using fair value. In simple terms, the asset acquired has to be different from the asset surrendered as demonstrated by the amount and timing of future cash flows. Without a difference, no rationale exists for making the exchange. If a trade does not have commercial substance, net book value is retained for the newly received asset and no gain is recognized. Based on the actual decline in value, too much expense had been recognized.
The journal entry to record this exchange of assets is presented in Figure 10.12 "Recording Exchange of Assets".
Figure 10.12 Recording Exchange of Assets
Determining the Fair Value to Record in an Exchange
Question: In the previous example, the value of the assets surrendered ($45,000 plus $55,000 or $100,000) equals the value of the new limousine received ($100,000). The trade was exactly even. Because one party might have better negotiating skills or a serious need for a quick trade, the two values can differ, at least slightly. For example, the limousine company could give up its old vehicle (worth $45,000) and cash ($55,000) and manage to convince the automobile manufacturer to hand over a new asset worth $110,000. If the values are not equal in an exchange, which fair value is used for reporting the newly acquired asset? Should the new limousine be recorded at the $100,000 value given up or the $110,000 value received?
Answer: To stay consistent with the historical cost principle, the new asset received in a trade is recorded at the fair value of the item or items surrendered. Giving up the previously owned property is the sacrifice made to obtain the new asset. That is the cost to the new buyer.
Generally, the fair value of the items sacrificed equals the fair value of the items received. Most exchanges involve properties of relatively equal worth; a value of $100,000 is surrendered to acquire a value of $100,000. However, that is not always the case. Thus, if known, the fair value of the assets given up always serves as the basis for recording the asset received. Only if the value of the property traded away cannot be readily determined is the new asset recorded at its own fair value.
Test Yourself
Question:
On January 1, Year One, a company spends $39,000 to buy a new piece of machinery with an expected residual value of $3,000 and a useful life of ten years. The straight-line method of depreciation is applied but not the half-year convention. On October 1, Year Three, the company wants to exchange this asset (which is now worth $31,000) for a new machine worth $40,000. To finalize the exchange, the company also pays cash of $9,000. What is the gain or loss on the trade?
Loss of $600
Loss of $1,100
Gain of $1,300
Gain of $1,900
Answer:
The correct answer is choice d: Gain of $1,900.
Explanation:
The new asset is recorded at $40,000 ($31,000 fair value + $9,000 cash). Depreciation has been $3,600 per year—cost less residual value ($39,000 − $3,000 or $36,000) over a ten-year life. Depreciation in Year Three is $2,700 (9/12 of $3,600). Accumulated depreciation is $9,900 ($3,600 + $3,600 + $2,700); book value is $29,100 ($39,000 less $9,900). If new asset is $40,000 and book value surrendered is $38,100 ($29,100 plus $9,000), the increase in financial position creates a gain of $1,900.
Allocating a Purchase Price between Two Assets
Question: Occasionally, two or more assets are bought for a single purchase price. The most common example is the acquisition of a building along with the land on which it sits. As has been discussed, the portion of the cost assigned to the building is depreciated to expense over its useful life in some systematic and rational manner. However, land does not have a finite life. Its cost remains an asset so that this portion of the price has no impact on reported net income over time. How does an accountant separate the amount paid for land from the cost assigned to a building when the two assets are purchased together?
Assume a business pays $5.0 million for three acres of land along with a five-story building. What part of this cost is attributed to the land and what part to the building? Does management not have a bias to assign more of the $5.0 million to land and less to the building to reduce the future amounts reported as depreciation expense?
Answer: Companies commonly purchase more than one asset at a time. This is sometimes referred to as a basket purchase
The acquisition of more than one asset at a single cost; the cost is then allocated among those assets based on their relative values.
. For example, a manufacturer might buy several machines in a single transaction. The cost assigned to each should be based on their relative values.
For this illustration, assume that the land and building bought for $5.0 million have been appraised at $4.5 million and $1.5 million, respectively, for a total of $6.0 million. Perhaps the owner needed cash immediately and was willing to accept a price of only $5.0 million. For the buyer, the land makes up 75 percent of the value received ($4.5 million/$6.0 million) and the building the remaining 25 percent ($1.5 million/$6.0 million). The cost is simply assigned in those same proportions: $3.75 million to the land ($5.0 million × 75 percent) and $1.25 million to the building ($5.0 million × 25 percent). This allocation enables the buyer to make the journal entry presented in Figure 10.13 "Allocation of Cost between Land and Building with Both Values Known".
Figure 10.13 Allocation of Cost between Land and Building with Both Values Known
Occasionally, in a basket purchase, the value can be determined for one of the assets but not for all. As an example, the land might be worth $4.6 million, but no legitimate value is available for the building. Perhaps similar structures do not exist in this location for comparison purposes. In such cases, the known value is used for that asset with the remainder of the cost assigned to the other property. If the land is worth $4.6 million but no reasonable value can be ascribed to the building, the excess $400,000 ($5,000,000 cost less $4,600,000 assigned to the land) is arbitrarily assigned to the second asset.
Figure 10.14 Allocation of Cost Based on Known Value for Land Only
Does the possibility of bias exist in these allocations? Accounting is managed by human beings and they always face a variety of biases. That potential problem is one of the primary reasons that independent auditors play such an important role in the financial reporting process. These outside experts work to ensure that financial figures are presented fairly without bias. Obviously, if the buyer assigns more of the cost of a basket purchase to land, future depreciation will be less and reported net income higher. In contrast, if more of the cost is allocated to the building, depreciation expense is higher and taxable income and income tax payments are reduced. That is also a tempting choice.
Thus, the independent auditor gathers sufficient evidence to provide reasonable assurance that such allocations are based on reliable appraisal values so that both the land and the building figures are fairly presented. However, a decision maker is naïve not to realize that potential bias does exist in any reporting process.
Subsequent Expenditures for Property and Equipment
Question: Assume that the building discussed earlier is assigned a cost of $1,250,000 as shown in Figure 10.13 "Allocation of Cost between Land and Building with Both Values Known". Assume further that this asset has an expected life of twenty years and that straight-line depreciation is applied with no residual value. After eight years, accumulated depreciation is $500,000 ($1,250,000 × 8 years/20 years). At that point, when the building has a remaining life of 12 years, the owner spends an additional $150,000 on this asset. Should a later expenditure made in connection with a piece of property or equipment that is already in use be capitalized (added to the asset account) or expensed immediately?
Answer: The answer to this question depends on the impact that this later expenditure has on the building. In many cases, additional money is spent simply to keep the asset operating with no change in expected life or improvement in future productivity. As shown in Figure 10.15 "Recording of Cost to Maintain or Repair Asset", such costs are recorded as maintenance expense if anticipated or repair expense if unexpected. For example, changing the oil in a truck at regular intervals is a maintenance expense whereas fixing a dent from an accident is a repair expense. However, this distinction has no impact on reported net income.
Figure 10.15 Recording of Cost to Maintain or Repair Asset
Other possibilities do exist. If the $150,000 expenditure increases the future operating capacity of the asset, the cost should be capitalized as shown in Figure 10.16 "Cost Capitalized Because of Increase in Operating Capacity". The building might have been made bigger, more efficient, more productive, or less expensive to operate. If the asset has been improved as a result of this expenditure, historical cost is raised.
Figure 10.16 Cost Capitalized Because of Increase in Operating Capacity
Assuming that no change in either the useful life of the building or its residual value occurs as a result of this work, depreciation expense will be $75,000 in each of the subsequent twelve years. The newly increased net book value is simply allocated over the useful life that remains.
($1,250,000 + $150,000 - $500,000)/12 remaining years = $75,000
Another possibility does exist. The $150,000 might extend the building’s life without creating any other improvement. Because the building will now generate revenue for a longer period of time than previously expected, this cost is capitalized. A clear benefit has been gained from the amount spent. The asset is not physically bigger or improved but its estimated life has been extended. Consequently, the building is not increased directly, but instead, accumulated depreciation is reduced as shown in Figure 10.17 "Cost Capitalized Because Expected Life Is Extended". In effect, this expenditure has recaptured some of the previously expensed utility.
Figure 10.17 Cost Capitalized Because Expected Life Is Extended
Assuming that the $150,000 payment extends the remaining useful life of the building from twelve to eighteen years with no accompanying change in residual value, depreciation expense will be $50,000 in each of these remaining eighteen years. Once again, net book value has increased by $150,000 but, in this situation, the life of the asset has also been lengthened.
reduced accumulated depreciation: $500,000 - $150,000 = $350,000 adjusted net book value: $1,250,000 - $350,000 = $900,000 annual depreciation: $900,000/18 years = $50,000
Test Yourself
Question:
The Hatcher Company buys a building on January 1, Year One for $9 million. It has no anticipated residual value and should help generate revenues for thirty years. On December 31, Year Three, the company spends another $500,000 to cover the entire structure in a new type of plastic that will extend its useful life for an additional sixteen years. On December 31, Year Four, what will Hatcher report as accumulated depreciation for this building?
$600,000
$820,930
$1,088,372
$1,100,000
Answer:
The correct answer is choice a: $600,000.
Explanation:
Annual depreciation is $300,000 ($9 million/30 years) or $900,000 after three years. The $500,000 expenditure reduces that balance to $400,000 because it extends the life (from twenty-seven years to forty-three) with no other increase in productivity. Book value is now $8.6 million ($9 million cost less $400,000 accumulated depreciation), which is allocated over forty-three years at a rate of $200,000 per year. Depreciation for Year Four raises accumulated depreciation from $400,000 to $600,000.
Key Takeaway
Assets are occasionally obtained through exchange. The reported cost for the new acquisition is based on the fair value of the property surrendered because that figure reflects the company’s sacrifice. The asset received is only recorded at its own fair value if the value of the asset given up cannot be determined. The difference between the net book value removed and the fair value recorded is recognized as a gain or loss. When more than one asset is acquired in a single transaction, the cost allocation is based on the relative fair values of the items received. Any subsequent costs incurred in connection with property and equipment are capitalized if the asset has been made bigger or better in some way or is just more efficient. If the length of the remaining useful life is extended, capitalization is established by reducing accumulated depreciation.
10.6 Reporting Land Improvements and Impairments in the Value of Property and Equipment
Learning Objectives
At the end of this section, students should be able to meet the following objectives:
Identify assets that qualify as land improvements and understand that the distinction between land and land improvements is not always clear.
Perform the two tests used in financial accounting to determine the necessity of recognizing a loss because of an impairment in the value of a piece of property or equipment.
Explain the theoretical justification for capitalizing interest incurred during the construction of property and equipment.
Recognition of Land Improvements
Question: Land is not subjected to the recording of depreciation expense because it has an infinite life. Often, though, a parking lot, fence, sidewalk, or the like will be attached to land. Those assets do have finite lives. How are attachments to land—such as a sidewalk—reported in financial accounting? Is that cost added to the land account or is some other reporting more appropriate? Should these assets be depreciated?
Answer: Any asset that is attached to land but has a finite life is recorded in a separate account, frequently referred to as land improvements
Assets attached to land with a finite life such as a parking lot or sidewalk.
. This cost is then depreciated over the estimated life in the same way as equipment or machinery. The cost of a parking lot or sidewalk, for example, is capitalized and then reclassified to expense in a systematical and rational manner.
In some cases, a distinction between land and improvements is difficult to draw. Accounting rules do not always provide clear guidance for every possible situation. Judgment is occasionally necessary. For example, trees, shrubbery, and sewer systems might be viewed as normal and necessary costs to get land into the condition and position to generate revenues rather than serving as separate assets. Is a sewer system a cost incurred so that land can be utilized or is it truly a distinct asset? U.S. GAAP does not provide absolute rules. Such costs may be carried within the land account and not depreciated or reported as land improvements subject to depreciation. Such flexibility in accounting is more prevalent than might be imagined.
Property and Equipment with Impaired Value
Question: Property and equipment acquisitions are recorded at historical cost, a figure which is depreciated over the asset’s anticipated useful life. Land is an exception because it will last forever. These assets are eventually sold, traded, consumed, or disposed of in some other manner. While in use, their value may decline rather rapidly if adverse conditions arise. The economy as a whole or the local business environment might suffer a recession that reduces the worth of a wide array of assets. Or, some unexpected action could create a drop in the value of a specific asset.
In financial reporting, increases in the fair value of property and equipment are ignored because of the conservative nature of accounting, but what about decreases? If the value of property and equipment becomes impaired, is any accounting recognition made of that loss prior to disposal? Is historical cost always the basis for reporting such assets regardless of their worth? For example, as discussed previously, inventory is reported at the lower of cost or market whenever a decline in value has occurred. Is a similar treatment required in reporting property and equipment?
To illustrate, assume that a company constructs a plant for $3 million to manufacture widgets. Shortly thereafter, the global market for widgets falls precipitously so that the owner of this structure has little use for it. Furthermore, no one else wants to own a manufacturing plant for widgets. Does historical cost continue to be reported for this asset even if the value has been damaged significantly?
Answer: Accounting is influenced by conservatism. Concern should always arise when any piece of property or equipment is thought to be worth less than its normal net book value. Because temporary swings in value can happen frequently and often have no long-term impact, they do not require accounting modification. Historical cost remains the reporting basis.
Permanent declines in the worth of an asset, though, are a problem for the owner that needs to be recognized in some appropriate manner. Consequently, two tests have been created by FASB to determine if the value of property or equipment has been impaired in such a serious fashion that a loss must be recognized.
If a possible impairment of the value of property or equipment is suspected, the owner must estimate the total amount of cash that will be generated by the asset during its remaining life. The resulting cash figure is then compared with the asset’s current net book value (cost less accumulated depreciation). A reporting problem exists if the company does not anticipate receiving even enough cash to recover the net book value of the asset. At that point, the asset is a detriment to the company rather than a benefit. This recoverability test
A test used to determine whether the value of a long-lived asset has been impaired; if expected future cash flows are less than present net book value, a fair value test is then performed to determine the amount of impairment.
highlights situations that are so dire that immediate recognition of a loss must be considered.
If expected future cash flows exceed the current net book value of a piece of property or equipment, no reporting is necessary. The asset can still be used to recover its net book value. No permanent impairment has occurred according to the rules of U.S. GAAP.
Conversely, if an asset cannot even generate sufficient cash to recover its own net book value, the accountant performs a second test (the fair value test
A test to determine the amount, if any, by which the value of a long-lived asset has been impaired; if fair value is less than present net book value, this fair value becomes the new basis for reporting and an impairment loss is recorded.
) to determine the amount of loss, if any, to be reported. Net book value is compared to present fair value, the amount for which the asset could be sold. For property and equipment, the lower of these two figures is then reported on the balance sheet. Any reduction in the reported asset balance creates a loss to be recognized on the income statement. Mechanically, an impairment loss for property and equipment could be calculated in any one of several ways. FASB established these two tests. Thus, according to U.S. GAAP, the recoverability test and the fair value test must be used when impairment is suspected. Some might argue that this process is not the best method for determining an impairment loss. Standardization, though, helps to better ensure universal understanding of the figures being reported.
The recoverability test illustrated. Assume that the $3.0 million building in the previous example has been used for a short time so that it now has a net book value of $2.8 million. Also assume that because of the change in demand for its product, this building is now expected to generate a net positive cash flow of only $200,000 during each of the next five years or a total of $1.0 million. No amount of cash is expected after that time. This amount is far below the net book value of $2.8 million. The company will not be able to recover the asset’s net book value through these cash flows. Thus, the building has failed the recoverability test. The fair value test must now be applied to see if a reported loss is necessary.
The fair value test illustrated. Assuming that a real estate appraiser believes this building could be sold for only $760,000, fair value is below net book value ($2.8 million is obviously greater than $760,000). Therefore, the asset account is reduced to this lower figure creating a reported loss of $2,040,000 ($2.8 million less $760,000).
Figure 10.18 Loss on Impaired Value of Building
In its 2010 financial statements, the Ford Motor Company describes this process as follows:
We monitor our asset groups for conditions that may indicate a potential impairment of long-lived assets. These conditions include current-period operating losses combined with a history of losses and a projection of continuing losses, and significant negative industry or economic trends. When these conditions exist, we test for impairment. An impairment charge is recognized for the amount by which the carrying value of the asset group exceeds its estimated fair value…. Based upon the financial impact of rapidly-changing U.S. market conditions during the second quarter of 2008, we projected a decline in net cash flows for the Ford North America segment. As a result, in the second quarter of 2008 we tested the long-lived assets for impairment and recorded in Automotive cost of sales a pretax charge of $5.3 billion.
Talking with an Independent Auditor about International Financial Reporting Standards
Following is more of our interview with Robert A. Vallejo, partner with the accounting firm PricewaterhouseCoopers.
Question: The impairment of operational assets is an important reporting issue for many companies because acquired property does not always achieve anticipated levels of profitability. Buildings can be constructed and machinery purchased that simply fail to be as productive as forecasted. According to U.S. GAAP, an asset of this type is viewed as impaired when the total of all future cash flows generated by the asset are expected to be less than its current net book value. At that point, the owner cannot recover the net book value of the asset through continued usage. Consequently, the amount reported for the operational asset is reduced to fair value and a loss recognized. Does IFRS handle this type of problem in the same way as U.S. GAAP?
Rob Vallejo: The need to record impairment losses is the same under IFRS but the measurement process is different. The international standards require companies to identify an asset’s fair value by calculating the present value of the future cash flows As will be demonstrated in Chapter 11 "In a Set of Financial Statements, What Information Is Conveyed about Intangible Assets?", present value is a method used to compute the current worth of a future stream of cash flows by removing the amount of those payments that can be mathematically attributed to interest. or its net realizable value (anticipated sales price less costs required to sell) if that figure is higher. The asset’s value is said to be impaired if this fair value (rather than total cash flows) is below net book value. If so, a loss is reported for the reduction from net book value to fair value. Also, under IFRS, companies return previously impaired assets to original net book value if fair value subsequently increases. In contrast, U.S. GAAP does not allow a write up in value once an impairment has been recorded.
Test Yourself
Question:
Multi-Co. Company owns a small retail clothing store in a shopping center in Houston, Maine. This store has been reporting a loss in recent years because it is in a relatively remote location. The store cost $1.2 million but its book value has been reduced to $500,000 as the result of depreciation over the years. Cash flows remain positive at $40,000 per year. The store has several possible uses and it could be sold for $530,000. Or the company could continue to hold it for twelve additional years until its utility is consumed. What loss, if any, should the company report at the current time because of the impairment to the value of this asset?
Zero
$20,000
$30,000
$60,000
Answer:
The correct answer is choice a: Zero.
Explanation:
A possible impairment in the value of this store is indicated by the recoverability test. Book value is $500,000 but all future cash flows only amount to $480,000 ($40,000 per year for twelve years). The fair value test then becomes relevant. A reduction is required if the fair value of the asset is below book value. Fair value ($530,000) is above book value ($500,000) so no loss is reported. If fair value had been less than $500,000, the reported balance would be reduced and a loss recognized.
Capitalizing the Cost of Interest During Construction
Question: A company is considering buying a building for $1.0 million on January 1, Year One so that a retail store can be opened immediately. The company can borrow the money from a bank that requires payment of $100,000 in interest (an assumed annual rate of 10 percent) at the end of each year.
As a second possibility, the company can borrow the same $1.0 million on the first day of the current year and use it to build a similar store to be completed and opened on December 31. Again, $100,000 in interest (10 percent annual rate) must be paid every year, starting at the end of Year One. In both cases, the same amount of money is expended to acquire the structure. If money is borrowed and a building constructed, is the financial reporting the same as if the money had been spent to buy property that could be used immediately?
Answer: A payment of $1 million is made in both cases for a building to serve as a retail store. Although the monetary cost is the same, the interest payments are handled differently from an accounting perspective. If a building is purchased, the structure can be used immediately to generate revenue. Borrowing the money and paying the $100,000 interest for Year One allows the company to open the store and start making sales at the beginning of that year. There is no waiting. The matching principle requires this cost to be reported as interest expense for Year One. Expense is matched with the revenue it helps to create.
In contrast, if company officials choose to construct the building, no revenue is generated during Year One. Because of the decision to build rather than buy, revenues are postponed until Year Two. Without any corresponding revenues, expenses are not normally recognized. Choosing to build this structure means that the interest paid during Year One is a normal and necessary cost to get the building ready to use in Year Two. Thus, if the asset is constructed, all interest is capitalized
Interest cost incurred during the construction of a long-lived asset; the interest is added to the historical cost of the asset rather than being recorded as interest expense; it is viewed as a normal and necessary expenditure to get the asset into position and condition to generate revenues.
rather than expensed until revenues are generated. The $100,000 is reported as part of the building’s historical cost. The cost is then expensed over the useful life—as depreciation—in the years when revenues are earned.
The key distinction is that buying enables the company to generate revenue right away whereas constructing the building means that no revenue will be earned during Year One.
To illustrate, assume that this building is expected to generate revenues for twenty years with no expected residual value and that the straight-method is used for depreciation purposes. Notice the difference in many of the reported figures.
Store Bought on January 1, Year One—Revenues Generated Immediately
Historical cost: $1 million
Interest expense reported for Year One: $100,000
Interest expense reported for Year Two: $100,000
Depreciation expense reported for Year One: $50,000 ($1 million/20 years)
Depreciation expense reported for Year Two: $50,000
Net book value at end of Year Two: $900,000 ($1 million less $50,000 and $50,000)
Store Constructed during Year One—No Revenues Generated until Year Two
Historical cost: $1.1 million (includes Year One interest) As discussed in intermediate accounting textbooks, the full amount of interest is not actually capitalized here because the borrowed money is only tied up during the construction gradually. Until added to the project, all remaining funds can be used to generate revenues. However, for this introductory textbook, focus is on the need to capitalize interest because the decision to build defers the earning of revenue until the project is completed. Complete coverage of the rules to be applied can be obtained in an intermediate accounting textbook.
Interest expense reported for Year One: -0- (no revenues earned)
Interest expense reported for Year Two: $100,000
Depreciation expense reported for Year One: Zero (no revenues earned)
Depreciation expense reported for Year Two: $55,000 ($1.1 million/20 years)
Net book value at end of Year Two: $1,045,000 ($1.1 million less $55,000)
Fixed Asset Turnover
Question: In previous chapters, a number of vital signs were examined in analyzing receivables and inventory. These ratios and computations are computed by decision makers to help them evaluate the operations of a reporting entity. Are there any vital signs normally studied in connection with property and equipment that a decision maker calculates in analyzing the financial health of a business?
Answer: Ratios and other computed amounts are not as common with noncurrent assets as has been seen with current assets. However, the fixed asset turnover
Ratio calculated by dividing net sales by the average of the net fixed assets reported for the period; it indicates the efficiency by which property and equipment have been used to generate sales revenues.
indicates the efficiency by which a company uses its property and equipment to generate sales revenues. If a company holds large amounts of fixed assets but fails to generate an appropriate amount of revenue, the ability of management to make good use of those assets should be questioned.
This figure is calculated by taking net sales for a period and dividing it by the average net book value of the company’s property and equipment (fixed assets). For example, assume a company reports $1 million in property and equipment on its balance sheet at the beginning of the year but $1.2 million at the end. During the year, the company generates $6.16 million in net sales. The average amount of the fixed assets for this period is $1.1 million and the fixed asset turnover is 5.6 times for the year.
net sales/average net fixed assets $6,160,000/$1,100,000 5.6 times
Key Takeaway
“Land improvements” is an asset category that includes property attached to land (such as a fence, sidewalk, or sewer system) that has a finite life and should be depreciated. Unfortunately, the distinction between land and land improvements is sometimes difficult to draw. The accountant must determine whether the cost of property, such as shrubbery, is a separate asset or a cost to get the land into the condition to be used to generate revenues. Over time, property and equipment can lose a significant amount of value for many reasons. If impairment of that value is suspected, a recoverability test is applied to determine whether sufficient cash will be generated by the asset to recover its current net book value. If not, a fair value test is then applied and the asset’s net book value is reduced to fair value if that number is lower. During construction of property and equipment, interest is capitalized rather than expensed because revenues are not being generated. The matching principle requires that recognition of this expense be deferred until revenue is earned. For that reason, interest incurred during construction is added to the cost of the asset.
Talking with a Real Investing Pro (Continued)
Following is a continuation of our interview with Kevin G. Burns.
Question: On a company’s balance sheet, the reporting of land, buildings, and equipment is based on historical cost unless the value is impaired in some manner. Consequently, reported figures often represent expenditures that were made decades ago. However, the fair value of such assets is a very subjective and ever-changing number. The debate over the most relevant type of property and equipment information to provide decision makers is ongoing. Do you think a move should be made to report land, buildings, and equipment at current fair values?
Kevin Burns: I am a value investor. I look for companies that are worth more than is reflected in the current price of their ownership shares. Therefore, I always like “discovering” little nuggets—like hidden land values—that are still carried at cost after decades of ownership. However in the interest of full disclosure and transparency, I think it would be fairer to the average investor to have some sort of appraisal done to estimate fair market value. This information could be reported or just disclosed. The difficulty is, of course, how often to appraise? In a perfect world, a revaluation would be made at least every five years or if a major event occurs that changes the value of the land, building, and equipment by a significant amount.
Video Clip
(click to see video)
Professor Joe Hoyle talks about the five most important points in Chapter 10 "In a Set of Financial Statements, What Information Is Conveyed about Property and Equipment?".
10.7 End-of-Chapter Exercises
Questions
The Ames Corporation reports property and equipment as $19,300,000 on its balance sheet. What does that figure represent?
What is meant by the term “accumulated depreciation?”
In determining the historical cost of property and equipment, what amounts are included?
What is meant by the term “market capitalization?”
Why is property and equipment not reported on the balance sheet at fair value?
Why is the recording of depreciation expense necessary?
Why is the cost of land not subjected to depreciation?
A company is preparing to determine depreciation expense for a large piece of equipment. What information is needed to determine the amount to report in the current period?
Assume a machine is bought for $300,000, and depreciation each year is $25,000. What annual adjusting entry is recorded for this depreciation? What is reported as the net book value of the machine at the end of the second year? What expense is reported for the second year?
How does an asset qualify to be included as property and equipment on a company’s balance sheet?
How is straight-line depreciation determined?
Equipment with a five-year expected life is bought during Year One but is later sold on November 8, Year Four. What journal entries are necessary to record the sale?
What is the half-year convention? Why is the half-year convention considered acceptable in financial accounting?
What is meant by accelerated depreciation? How is the use of accelerated depreciation methods justified theoretically?
How does the double-declining balance method determine depreciation expense for each year? What pattern is created by double-declining balance depreciation?
When is a company most likely to use the units-of-production method to determine depreciation expense? The units-of-production method is often referred to as a straight-line method. Why is that?
Why is the units-of-production method not more widely used?
What is meant by MACRS?
What are some characteristics commonly associated with MACRS? Why does the government allow those characteristics?
What is depletion? How is depletion different from depreciation?
A company buys a large building with four acres of land. Why is the allocation of the cost between the building and the land important?
A company buys a large building with four acres of land. How is the acquisition cost allocated between these two assets?
A company has been using a building for six years to generate revenues. In the current year, the company spends $900,000 on the building. How would the accountant determine whether this cost should be expensed or capitalized?
A company pays $6 million for a parcel of land and then spends another $500,000 to install a sewer system. The accountant is not sure whether this $500,000 cost should be reported within the land account or as a land improvement. Why is that decision important?
A company owns a piece of equipment and its value appears to have been impaired. What two tests should the accountant apply? Under what condition is loss reported on an asset impairment?
A company constructs a large warehouse. Why is the interest incurred during construction capitalized rather than being expensed? How is the impact of that capitalization reflected in the financial reporting?
How does a decision maker calculate the fixed asset turnover for a company?
True or False
____ A machine is bought, and the price agreed on with the seller is $13,250. The buyer must report this asset on its balance sheet on that date at $13,250.
____ The depreciation process is designed to keep the net book value of property and equipment aligned with the asset’s fair value.
____ The depreciation for an asset is $10,000 in the first year, $20,000 in the second year, and $12,000 in the third year. On financial statements produced at the end of the third year, depreciation expense is $12,000, whereas accumulated depreciation is $42,000.
____ Equipment is bought on October 9, Year One, for $75,000. It has a five -year life and expected residual value of $5,000. The half-year convention is used. If the straight-line method of depreciation is applied, accumulated depreciation at the end of Year Two is $21,000.
____ The Osborne Company sells a piece of equipment that it held for several years. The sale results in a reported loss. This information indicates that the company is more likely to have used the double-declining balance method of depreciation rather than the straight-line method.
____ On January 1, Year One, a company buys a large machine for $480,000. It has an expected life of eight years and residual value of $40,000. The double-declining balance method is applied but not the half-year convention. The machine is sold on April 1, Year Three, for cash of $280,000. The company should record a gain of $26,875 on the sale.
____ Equipment is bought with an expected life of ten years and no residual value. After two years of use, the net book value will be higher if the straight-line method of depreciation is used rather than the double-declining balance method.
____ A company buys machinery on October 1, Year One, for $500,000 with a $100,000 estimated residual value and an expected useful life of ten years. The double-declining balance method is applied along with the half-year convention. The machinery is destroyed on May 1, Year Three, in a flood. The insurance company pays $300,000 in cash to the company as settlement for the damages. The company will recognize a loss from the flood of $27,000.
____ Equipment is acquired for $140,000 with a $20,000 residual value. The double-declining balance method is used. At the end of its useful life, the asset is sold for $19,000 in cash. A loss of $1,000 should be recognized.
____ Equipment is acquired with a cost of $76,000 and an expected residual value of $20,000. In applying MACRS, the residual value is ignored. The primary reason that the government does not take residual value into consideration is to force businesses to pay more money in income taxes.
____ Equipment is acquired for $78,000 with an expected residual value of $15,000. After the first year of use, depreciation recognized for financial reporting purposes will be larger than the figure expensed for federal income tax purposes.
____ A company buys an oil well costing $8 million under the assumption that the well holds one million barrels of oil. The oil well has no residual value. During the first year of ownership, 220,000 barrels of oil are pumped out of the well. Cost of $1,760,000 must be expensed in that year.
____ A piece of equipment with a cost of $40,000 and accumulated depreciation of $28,000 (and a fair value of $15,000) is traded along with $4,000 in cash for a similar piece of equipment valued at $20,000. This new equipment will be reported by the buyer on its financial records at a cost of $16,000.
____ A piece of equipment with a cost of $40,000 and accumulated depreciation of $28,000 (and a fair value of $15,000) is traded along with $4,000 in cash for a similar piece of equipment valued at $20,000. This new equipment will be reported by the buyer on its financial records at a cost of $20,000.
____ Equipment is bought by the Solomon Corporation for $360,000 on January 1, Year One. It has an expected life of 10 years with a $30,000 residual value. Straight-line depreciation is used, but the half-year convention is not applied. On January 1, Year Three, the equipment is traded for similar equipment with a value of $288,000. However, the value of the equipment surrendered is unknown. The Solomon Corporation should not recognize either a gain or a loss on this exchange.
____ Poston Corporation buys equipment for $360,000 on January 1, Year One. It has an expected life of ten years and a residual value of $30,000. Straight-line depreciation is used but not the half-year convention. On January 1, Year Three, the company spends $39,000 on an improvement to this equipment that will enable it to last four years longer than originally expected. The expenditure has no impact on the estimated residual value. Depreciation expense for Year Three should be $28,000.
____ On January 1, Year One, the Epstein Corporation buys a plot of land with a four-story office building. The company believes the building is worth $1.9 million and has an estimated life of twenty years (with no anticipated residual value). The straight-line method is used. The land has an assessed value of $100,000. Because the seller was interested in a quick sale, Epstein was able to buy this land and building for $1.7 million. Depreciation expense to be recognized in Year One is $80,750.
____ A company buys a machine on October 1, Year One, for $500,000 with a $100,000 estimated residual value and an expected life of 10 years. The straight-line method of depreciation and the half-year convention are both used. On December 31, Year Three, company officials examine the machine and decide that it will only be able to generate $406,000 in future cash flows over its remaining life. It has a fair value at that date of $338,000. From an accounting perspective, the asset’s value is not impaired, and no loss should be recognized.
____ A company buys machinery for $320,000 in Year One. It has an expected residual value of $40,000 and a useful life of ten years. After three years, this machinery is sold for $210,000 in cash. Over the three-year period, the double-declining balance method will reduce net income more than the straight-line method will.
____ A building is being constructed by a company to use in its operations. Interest of $55,000 is incurred during the construction process. This interest is not expensed but rather added to the capitalized cost of the building.
____ A company has net sales in Year One of $10 million. The company starts the year with net property and equipment on its balance sheet of $1 million but ends the year with net property and equipment of $2.4 million. The fixed asset turnover for Year One is 5.9 times.
Multiple Choice
On January 1, Year One, the Rhode Island Redbirds organization purchased new workout equipment for its athletes. The equipment had a cost of $15,600, transportation costs of $450, and set-up costs of $290. The Redbirds spent an additional $350 training their athletes on the proper use of this equipment. The expected useful life is five years. No residual value is anticipated. How much accumulated depreciation should the Redbirds report after two years if the straight-line method is used?
$6,240
$6,420
$6,536
$6,676
Refer to the information in number 1. Assume the Redbirds decide to use the double-declining balance depreciation method instead of the straight-line method. What amount of accumulated depreciation is reported on the balance sheet at the end of Year Two?
$9,890
$10,214
$10,682
$10,918
Ace Company buys a machine on April 1, Year One, for $50,000 in cash. It has a residual value of $10,000 and an expected useful life of ten years. The straight-line method and the half-year convention are applied. The asset is sold on September 1, Year Three, for $39,900. What loss should be reported on this sale?
$100 loss
$850 loss
$1,767 loss
$2,100 loss
The Timmons Company buys equipment on August 1, Year One, for a reported total amount of $60,000. It has a residual value of $10,000 and an expected useful life of five years. The straight-line method and the half-year convention are applied. The company reports net income in Year One of $70,000. However, an error was made. When this equipment was bought, a $5,000 cost was capitalized when it should have been expensed. What was the appropriate amount of net income that Timmons should have reported?
$65,500
$67,000
$68,000
$68,500
The Anna Corporation buys equipment on September 1, Year One, for $80,000 with a ten-year expected life and an estimated residual value of $10,000. The asset is depreciated using the double-declining balance method and the half-year convention. What is the net book value for this asset at the end of Year Three?
$40,320
$46,080
$48,840
$51,220
The Larisa Company buys machinery on April 1, Year One, for $50,000 with an expected life of ten years and residual value of $10,000. The double-declining balance method is applied along with the half-year convention. The machinery is sold on September 1, Year Three, for $32,400. What gain should be reported on this sale?
$0
$667
$4,965
$6,480
Which of the following is a characteristic of the MACRS system that is used in computing a company’s taxable income for federal income tax purposes?
Assets are assigned especially long lives for tax purposes.
An automatic residual value of 10 percent of cost is always assumed.
All assets are expensed by means of the straight-line method.
Especially large amounts of expense are recognized in the first few years of an asset’s life.
The Greenville Company starts operations in Year One and buys several pieces of equipment. All of this equipment is expected to last for ten years and have a residual value equal to 25 percent of cost. MACRS is properly used for tax purposes while straight-line depreciation is applied for financial reporting purposes. Based solely on the expensing of this equipment in Year One, which of the following statements is true?
Reported net income for financial accounting purposes will be higher than taxable income.
Reported net income for financial accounting purposes will be the same as taxable income.
Reported net income for financial accounting purposes is likely to be lower than taxable income.
Reported net income for financial accounting purposes must be lower than taxable income.
On January 3, Year One, Jewels Inc. purchases a South American mine (found to be rich in amethyst) for $560,000. After all of the amethyst has been removed, the land is estimated to be worth only $100,000. Experts predict that the mine contains 4,000 pounds of amethyst. Jewels plans on completing the extraction process in four years. In Year One, 400 pounds are dug from the mine. None of it has yet been sold. What should be reported as the net book value for the mine at the end of Year One?
$420,000
$445,000
$514,000
$560,000
Kite Corporation wishes to trade equipment it owns for a vehicle owned by the Runner Corporation. Kite’s equipment has a net book value of $4,000 and a fair value of $4,500. Runner’s vehicle has a net book value and fair value of $5,100. Kite agrees to pay Runner $600 in cash in addition to giving up the equipment. What is Kite’s reported gain or loss on this exchange?
$100
$500
$600
$1,100
A company has equipment with a cost of $50,000 and a net book value at present of $15,000. The equipment is actually worth $18,000. It is traded along with cash of $12,000 for a truck that has a value of $30,400. What is the company’s reported gain or loss on this exchange?
$3,000 gain
$3,000 loss
$3,400 gain
$3,400 loss
The Bristol Corporation buys equipment on January 1, Year One, for $50,000. It has a ten-year life and an expected residual value of $5,000. The double-declining balance method of determining depreciation is applied. The equipment actually loses exactly 10 percent of its initial value every year. On January 1, Year Three, this equipment is traded for some new machinery that has a fair value of $42,000. At what amount should this new machinery be recorded by Bristol?
$28,800
$32,000
$40,000
$42,000
At the beginning of Year Three, the Kelvin Company owned equipment that appeared on its balance sheet with a cost of $7 million and accumulated depreciation of $2 million. The equipment was purchased two years earlier and assigned a useful life of six years. The estimated residual value was $1 million. At the beginning of Year Three, Kelvin made several modifications to the equipment that increased its remaining useful life from four years to five years. No other changes occurred as a result of these modifications. Their cost was $50,000. What is the balance in the accumulated depreciation account on December 31, Year Three?
$2,000,000
$2,760,000
$2,810,000
$3,000,000
The Winslett Company buys a retail store on January 1, Year One, with a ten-year life and a cost of $800,000. No residual value is anticipated. Straight-line depreciation is used. The building was bought because the company believed that it could generate post-cash flows of $98,000 per year. On January 1, Year Four, a new road is opened in the area that takes much of the traffic away from the store. For the remainder of its life, the company only expects to generate a positive cash flow of $82,000 per year. An appraisal is made that indicates the building has a fair value of only $480,000. What recording should be made on that date for this building?
No change should be made.
A loss of $77,000 is recognized.
A loss of $80,000 is recognized.
A loss of $82,000 is recognized.
On January 1, Year One, the Capricorn Corporation borrows money on a loan paying 9 percent interest each year. The money is used to construct a new building, which takes exactly one year to complete. The building has a twenty-year expected life with no residual value. In determining net income for Year One, which of the following statements is true?
Neither interest expense nor depreciation expense is recognized in Year One.
Both interest expense and depreciation expense are recognized in Year One.
Interest expense is recognized in Year One but not depreciation expense.
Depreciation expense is recognized in Year One but not interest expense.
Video Problems
Professor Joe Hoyle discusses the answers to these two problems at the links that are indicated. After formulating your answers, watch each video to see how Professor Hoyle answers these questions.
Your roommate is an English major. The roommate’s parents own a chain of ice cream shops throughout Florida. One day, while packing to go home on spring break, your roommate poses this question: “My parents have always rented their store locations. However, last year, they built their first standalone shop in Orlando. It has been doing great business, but I know they spent a lot of money to build it. They have been talking recently about the depreciation making the first-year results look bad for that shop. I am not sure what they are talking about. The shop looks better than ever. It hasn’t depreciated at all. In fact, the value of that facility has probably gone up. What is this depreciation, and why has it hurt the reported results for the shop in Orlando?” How would you respond?
(click to see video)
Your uncle and two friends started a small office supply store several years ago. The company has expanded and now has several large locations. Your uncle knows that you are taking a financial accounting class and asks you the following question: “We bought one of our facilities too far from our other stores. We thought it was a good idea at the time. The store does well, but we have trouble managing it and keeping it stocked with merchandise because of the distance. It is a valuable asset, but it does not fit in with our future plans. Another company has come up to us and offered to trade a large warehouse near our headquarters for that store. The warehouse is actually worth slightly more than the store, but the other company would really like to have a store at that location. And, we could use the warehouse space. We are inclined to make the exchange, but we want to have a careful understanding of how this transaction might impact our financial statements. We don’t want to do anything that would make us look bad. We don’t want to scare our creditors. How would we record such a swap?” How would you respond?
(click to see video)
Problems
Equipment was bought by a company on January 1, Year One, for $40,000. It had an expected useful life of five years and a $5,000 residual value. Unfortunately, at the time of purchase, an error was made. The accountant debited supplies expense for $40,000 and credited cash. No adjusting entry was ever made. At the end of Year One, the company reported net income of $100,000 and total assets of $300,000. What should those reported figures have been under each of the following situations?
The company uses the straight-line method to depreciate all equipment.
The company uses the double-declining balance method to depreciate all equipment.
Company X and Company Y are identical in every way except as follows. On August 1, Year One, both companies buy machinery with a cost of $80,000 and an estimated residual value of $10,000. The equipment has an expected useful life of ten years. Both companies use the half-year convention. Company X reported net income for Year One of $160,000. Company X used the straight-line method of determining depreciation expense. What would have been the reported net income for Company Y if it applied the double-declining balance method?
On January 1, Year One, the Sanborn Corporation buys a donut maker for $10,000 that has a ten-year estimated life and an estimated residual value of $1,000. The donut maker is expected to produce a total of 100,000 dozen donuts over its life. In Year One, 13,000 dozen are produced and, in Year Two, 11,000 dozen are produced.
If the straight-line method of depreciation is applied, what appears in the Year One and in the Year Two financial statements in connection with this donut maker?
If the double-declining balance method of depreciation is applied, what appears in the Year One and in the Year Two financial statements in connection with this donut maker?
If the units-of-production method of depreciation is applied, what appears in the Year One and in the Year Two financial statements in connection with this donut maker?
Based on the answers to the previous questions, what is the fair value of the donut maker at the end of Year Two?
Which of these depreciation methods provides the fairest representation of the donut maker and its use?
If the donut maker is sold on October 1, Year Three, depreciation must be recorded for the period from the beginning of the year until the sale. What are the two reasons that this recording is necessary?
Assume the straight-line method is used, and the donut maker is sold on October 1, Year Three, for $7,100 in cash. What journal entry is recorded for the sale? Assume that the half-year convention is not in use.
How is the journal entry in problem 3.g. impacted if the half-year convention is being used for any period of time of less than a full year?
Company A and Company Z both bought buildings on January 1, Year One, for $700,000 in cash. They each spent an additional $60,000 in connection with their buildings. Company A believed the $60,000 expenditure was normal and necessary to get the building into the condition to generate revenue. Company Z did not believe that cost was normal and necessary. Both companies use straight-line depreciation and believe the buildings have a ten-year life with a residual value of $50,000. What will be the difference in the reported net income of these two companies for Year One? What will be the difference in the reported net income of these two companies for Year Two?
On April 1, Year One, Chang and Chang Inc. invested in a new machine to manufacture soccer balls. The machine is expected to manufacture 1.4 million soccer balls over its life of three years and then be scrapped. The machine cost $50,000 including the normal and necessary costs of setting it up. The units-of-production method is used to depreciate the machine.
Record depreciation for Year One and Year Two assuming that 450,000 soccer balls were manufactured and sold in Year One and 600,000 were manufactured and sold in Year Two.
On January 1, Year Three, Chang and Chang decides to get out of the soccer ball production business and sells the machine for $15,000 in cash. Record this journal entry.
Springfield Corporation purchases a new machine on March 3, Year One, for $35,600 in cash. It pays an additional $3,400 to transport and set up the machine. Springfield’s accountant determines that the equipment has no residual value and that the useful life is five years. It is expected to generate 2.4 million units during its life. If applicable, assume that Springfield employs the half-year convention.
Record the purchase of the machine.
Assume that Springfield uses the straight-line method of depreciation. Record depreciation expense for the first two years of the machine’s life.
Assume that Springfield uses the double-declining balance method of depreciation. Record depreciation expense for the first two years of the machine’s life.
Assume that Springfield uses the units-of-production method of depreciation. During Year One, the machine produces 600,000 units. During Year Two, the machine produces 578,000 units. Record depreciation expense for the first two years of the machine’s life.
A company uses the half-year convention and buys equipment for $200,000 on December 1, Year One. The equipment has an expected life of ten years and a $40,000 anticipated residual value. The equipment is sold on March 1, Year Three, for $165,000 in cash.
Make all the entries from December 1, Year One, to March 1, Year Three, for this equipment assuming that the double-declining balance method is in use.
Make all the entries from December 1, Year One, to March 1, Year Three, for this equipment assuming that the straight-line method is in use.
The Huguenot Corporation buys equipment on October 1, Year One, for $120,000. It has an expected residual value of $30,000. The company expects to make use of it for ten years.The straight-line method of depreciation is applied but not the half-year convention. The equipment is sold on April 1, Year Three, for $107,000.
What would have been the difference in reported net income for Year Three if the double-declining balance method had been used along with the half-year convention?
On January 1, Year One, the Oklahoma Corporation buys an oil well for $2 million in cash. The company believes that this well holds 400,000 barrels in crude oil. However, the oil well will have no residual value after the oil has been removed. In Year One, the company pumps out 100,000 barrels and sells 70,000 barrels for $19 per barrel. In Year Two, the company pumps out another 50,000 barrels but sells a total of 60,000 barrels for $20 per barrel.
Make the necessary journal entries.
Markov Corporation owns forests that are harvested with the wood sold to papermaking companies. Markov purchases a new tract of forest on January 1, Year One, for $360,000. Company officials estimate that 4,000 tons of wood can be harvested from the forest and sold. After that, the land will be worth about $20,000.
In Year One, 2,500 tons of wood are harvested, and 2,200 are sold for $120 per ton. Make any necessary journal entries.
In Year Two, the remaining 1,500 tons of wood are harvested, and then 1,800 tons are sold for $120 per ton. Make any necessary journal entries.
The Watson Company buys a truck on February 3, Year One, for $53,000 with a six-year life and a $5,000 estimated residual value. The half-year convention is used along with straight-line depreciation. On May 23, Year Three, the truck is traded for a different style of truck. The old truck had a fair value of $40,000 at that time. The new truck had a fair value of $41,000. Because the dealer really wanted to make the trade, the $1,000 difference in the two fair values was ignored. What journal entry does the Watson Company make to record this trade?
The Ferrum Company acquired a large machine for $360,000 in cash on January 1, Year One. Straight-line depreciation is going to be recorded over an expected life of ten years. The asset has an estimated residual value of $20,000. In reality, this machine lost $60,000 of its value each year. On the first day of Year Three, the asset was traded for another machine with a fair value of $254,000. What journal entry does Ferrum prepare to record this exchange?
Gameplay Company operates in mall locations and sells videogame equipment and games. The company purchased furniture and fixtures to use in one of its stores for $440,000 on January 1, Year One. The furniture and fixtures were being depreciated using the straight-line method over ten years with a residual value of $10,000. Near the end of December, Year Five, Gameplay decided to close this location and entered into an exchange agreement with Allero Corporation. Allero agreed to give Gameplay vehicles with a fair value of $200,000 and cash of $50,000 in exchange for the furniture and fixtures from this store. The furniture and fixtures have an estimated fair value of $250,000 on the date of exchange.
Make the depreciation entry for the furniture and fixtures necessary in December Year Five, assuming that no entries have been made during the year.
Determine the net book value of the furniture and fixtures on the date of exchange.
Record the journal entry Gameplay makes to record this exchange.
The Milan Corporation owns a building that it has used for a number of years. At the start of the current year, the building has a cost of $1.5 million and accumulated depreciation of $600,000. Straight line depreciation has been used with no expected residual value. The asset was originally assumed to have a thirty-year life, and twelve years have now passed.
Assume that each of the following situations is entirely independent. For each, prepare the appropriate journal entry and determine the amount of depreciation expense that should be reported for the current year.
The company spends $22,000 in cash to paint the building. When the company bought the building originally, officials had anticipated that it would need to be painted periodically in order to last for thirty years.
The company spends $80,000 to add a new room at the back of the building.
The company spends $35,000 to fix a rotten space on the roof which was beginning to leak. Officials had not expected that the roof would rot.
The company spends $30,000 on a new type of foundation improvement. Officials had not expected to do this but now believe the building will last for an additional five years because of this work.
The Monster Cookie Company buys a machine to make cookies on January 1, Year One. It costs $500,000 but has a $100,000 residual value and an expected life of ten years. Straight-line depreciation is to be applied. On January 1, Year Three, the company makes two changes to this machine. First, $30,000 is spent to add an attachment so that the company can make two types of cookies rather than just one. Second, the company spends $40,000 so that the machine will last five years longer than originally anticipated.
In connection with this machine, what figures are reported on the company’s financial statements for Year Three?
The Romo Corporation buys equipment for $190,000 on January 1, Year One. It has a twelve-year life and an expected residual value of $40,000. Straight-line depreciation is being applied. At the start of Year Three, the company spends $40,000 on this equipment to make it more effective at generating revenue (more widgets can be produced each period, and they will be of a better quality). This added cost did not extend the life of the asset or impact its residual value. Make all journal entries and adjusting entries for Year Three.
On June 30, Partyplace, a popular spot for receptions and other events, purchased a used limousine and a used Hummer from a car dealership. The company received a good deal because it was willing to buy both vehicles, paying a total of only $75,000. The market values were $45,000 for the limousine and $40,000 for the Hummer.
Record the purchase of the vehicles.
During the year, Partyplace performed maintenance on the vehicles (oil changes and the like) that amounted to $600. Record this expenditure.
During the year, Partyplace made some modifications to the limo that should make it more appealing to its customers, thus, in effect, increasing its ability to generate revenues. These modifications cost $4,000. Record this expenditure.
An asset is bought for $360,000 on the first day of Year One. The life of this asset is ten years. There is no expected residual value. Straight-line depreciation is used for this asset but not the half-year convention. Subsequently, on the first day of Year Three, the asset is worth $240,000. On that day, company officials estimate that this asset will generate positive cash flows of $35,000 per year for the rest of its useful life. At what net book value should the asset be reported at that time?
The Randolph Corporation owns a building in Waynesboro, Arkansas, that originally cost $2 million. At the current time, this building has a net book value of $900,000 and a remaining useful life of ten years with no expected residual value. However, the company no longer uses the building for manufacturing purposes, so its fair value has fallen to only $576,000. To generate some revenue from the building, several rooms are rented out to other businesses as warehouse space. In each of the following questions, should the company recognize an impairment loss? If so, how much loss should be recognized?
The cash received from the rental income is $86,000 per year and is expected to last for the remaining life of the building.
The cash received from the rental income is $93,000 per year and is expected to last for the remaining life of the building.
Fairfield Inc. invested in a plant to manufacture “Jphones,” thinking these devices would be the next “big thing.” Unfortunately, things did not work out so well for the Jphone.
Fairfield purchased the plant on March 1, Year One, for $46,790,000. Additional costs to get the facility up and running amounted to $3,780,000. Fairfield assigned a thirty-year useful life to the asset. The expected residual value is $4 million for the building. Fairfield uses the double-declining balance method. Record the acquisition of the plant and depreciation for the first three years, assuming that Fairfield does not use the half-year convention.
On December 31, Year Three, Fairfield’s auditors raise concerns that the plant’s market value might be below its net book value due to the failure of the Jphone to gain market share. The auditors believe this decline is permanent and decide to test for impairment. The accountants and auditors agree that the plant will generate net cash flows of approximately $2 million each year but only for the next fifteen years. Perform a test of recoverability on the plant.
Assume that the auditors determine that the plant’s expected future cash flows are below its net book value. The company must now perform the fair value test. Several appraisers are called in, and the average fair value is $15,600,000. Determine if Fairfield must record an impairment loss and, if so, determine the amount.
Company A borrows $4 million on January 1, Year One, and uses the money to buy a retail store in Trenton, New Jersey. The store opens immediately and starts to make sales. The annual interest rate on the debt is 6 percent with payments made every December 31. The building has a twenty-year expected life and no residual value. Straight-line depreciation is used.
Company Z also borrows $4 million on January 1, Year One, but uses the money to construct a store in Reno, Nevada, that is exactly like the store owned by Company A. Construction takes one year, and the store is opened for business on January 1, Year Two. The annual interest rate is 6 percent, and the building is expected to last twenty years with no anticipated residual value. Straight-line depreciation is used.
On Year Two financial statements, how will the balances be different between the reporting by Company A and the reporting by Company Z?
Comprehensive Problem
This problem will carry through over several chapters to enable students to build their accounting skills using knowledge gained in previous chapters.
In Chapter 9 "Why Does a Company Need a Cost Flow Assumption in Reporting Inventory?", financial statements were prepared for Webworks for September 30, and the month then ended. Those financial statements are included here as a starting point for the financial reporting for October.
Figure 10.19
Figure 10.20
Figure 10.21
The following events occur during October:
Webworks purchases supplies worth $100 on account.
Webworks paid $600 in rent for October, November, and December.
At the beginning of October, Webworks had nine keyboards costing $105 each and forty flash drives costing $11 each. Webworks uses periodic FIFO to cost its inventory.
On account, Webworks purchases fifty keyboards for $110 each and 100 flash drives for $12 each.
Webworks starts and completes seven more sites and bills clients for $3,900.
Webworks pays Nancy Po $700 for her work during the first three weeks of October.
Webworks sells 50 keyboards for $7,500 and 110 flash drives for $2,200 cash.
The Web site paid for in August and started in September was completed. The client originally paid the entire $100 in advance.
Webworks paid off the remainder of its note payable.
Webworks collects $4,000 in accounts receivable.
Webworks pays off its salaries payable from September.
Webworks pays off $6,000 of its accounts payable.
One Web site client is dissatisfied with the work done and refuses to pay his bill. Rather than incur the expense of taking the client to court, Webworks writes off the $200 account as uncollectible.
Webworks pays Leon Jackson (the owner of this business) a salary of $2,000.
Webworks purchased office furniture on account for $1,000, including transportation and setup.
Webworks pays taxes of $868 in cash.
Required:
Prepare journal entries for the previous events.
Post the journal entries to T-accounts.
Prepare an unadjusted trial balance for Webworks for October.
Prepare adjusting entries for the following and post them to your T-accounts.
Webworks owes Nancy Po $100 for her work during the last week of October.
Leon’s parents let him know that Webworks owes $300 toward the electricity bill. Webworks will pay them in November.
Webworks determines that it has $50 worth of supplies remaining at the end of October.
Prepaid rent should be adjusted for October’s portion.
Webworks is continuing to accrue bad debts at 10 percent of accounts receivable.
A CPA tells Leon that Webworks should be depreciating its equipment and furniture. The CPA recommends that Webworks use the straight-line method with a four-year life for the equipment and a five-year life for the furniture. Since Webworks is only generating these monthly statements for internal information, the CPA recommends that Leon just “catch up” the prior month’s depreciation on the equipment this month. So when Webworks records October’s equipment depreciation, it will also record the deprecation that should have been taken in July, August and September. The depreciation on the furniture should just be for one month. Round to the nearest whole number.
Record cost of goods sold.
Prepare an adjusted trial balance.
Prepare financial statements for October.
Research Assignment
Assume that you take a job as a summer employee for an investment advisory service. One of the partners for that firm is currently looking at the possibility of investing in DuPont (official name is E. I. Du Pont de Nemours and Company ). The partner knows that this manufacturing company has been in business for many years and wonders about the age of its property and equipment. The partner asks you to look at the 2011 financial statements for DuPont by following this path:
Go to investors.dupont.com.
At the bottom of this screen, click on “SEC Filings.”
In the “Groupings Filter,” click on “Annual Filings.”
Scroll through the document tables until you find the 10-K form for 2011 (issued early in 2012).
Go to page F-5 and find the balance sheet for December 31, 2011.
Go to page F-9 and read the note to the financial statements titled “Property, Plant and Equipment.”
Using the amounts reported on the 2011 balance sheet for property, plant, and equipment and accumulated depreciation, divide the net book value by the cost of the asset. What does the resulting percentage tell about the current age and utility of the company’s property, plant, and equipment?
Using the information disclosed on page F-9, what method of depreciation is being used by DuPont? What is the age used by the company for depreciation purposes?
Combine the information found in a. and b. to arrive at an estimation of the age of the property, plant, and equipment held by DuPont. | msmarco_doc_00_11068900 |
http://2012books.lardbucket.org/books/business-and-the-legal-and-ethical-environment/s04-04-importance-of-rule-of-law-to-b.html | Importance of Rule of Law to Business | 1.4
Importance of Rule of Law to Business
1.4 Importance of Rule of Law to Business
Learning Objectives
Key Takeaways
Exercises
| Importance of Rule of Law to Business
1.4 Importance of Rule of Law to Business
Learning Objectives
Determine why the rule of law is important to business.
Identify several areas of law that are especially relevant to business and the importance of the rule of law to those areas.
Identify how the rule of law limits government.
Identify how the rule of law protects people from harmful business practices.
As you may have guessed by now, the rule of law is important to business. Can you imagine trying to do business without being able to have any reasonable expectations of other people’s behavior? Would you be willing to conduct business if you had no legal means by which to protect your property interests? And in the case of a dispute, without a rule of law system, there would be no established way of resolving it. Without the rule of law, business would be chaotic. This section provides some overarching examples of why the rule of law is important to business.
Before getting to those examples, imagine this: What if you did not know how to play chess, but you tried to play anyhow? You would probably become frustrated very quickly, because you would see no logic in the movement of your opponent’s pieces, and you would not be permitted to move some pieces like you might wish to. Sometimes you would see your opponent move his or her knight two spaces in one direction and then one space in another. Other times, you would see your opponent move his or her bishop diagonally. Moreover, you would not understand what you were and were not permitted to do. You would also not know how to penalize an opponent who moved his or her pieces incorrectly to gain advantage or to take something of yours. This is analogous to what it’s like to do business without understanding the rules of the game.
The rule of law establishes rules that people—and businesses—must follow to avoid being penalized. The rule of law not only allows people to understand what is expected of them in their personal capacities but also sets forth rules for businesses so that they, too, know what is expected of them in their dealings and transactions. In addition, it restrains government and others from infringing on property rights. Should disputes arise, the rule of law provides a peaceful and predictable means by which those disputes can be resolved.
The rule of law provides guidance and direction in every area of business. For example, it provides a means to bring a complaint against another party to a neutral decision maker so that a decision can be made regarding the dispute. Because of our rule of law system, we know that we are permitted to file a complaint in the proper court to commence litigation. Or we can try an alternative method of dispute resolution if we do not wish to engage in litigation. We know that we are permitted to do these things because our rule of law system allows us to do them. Moreover, we can expect some sort of resolution when we institute such a proceeding. This expectation is reasonable only because we have a rule of law.
Additionally, in the United States, the rule of law provides a sophisticated system of federalism, where state and federal laws coexist. This allows people and businesses to determine which system of government pertains to them and which jurisdiction they belong to. Imagine that you sell firearms in a retail capacity. You would be subject to both state and federal laws. You would be required to carry a federal permit from the federal administrative agency known as the Bureau of Alcohol, Tobacco, Firearms, and Explosives. You would be forbidden from engaging in illegal arms trading. According to state laws, you would likely have to ensure that each purchaser of a firearm held a valid permit for a firearm. You would be required to check identification, enforce waiting periods, and refuse to sell guns to people who were not permitted to carry them according to your state’s laws. If we did not have a rule of law system, you might be uncertain how to conduct your business, and you would be subject to arbitrary enforcement of unstated or ex post facto
A type of law that is applied retroactively to its passage.
(retroactive) laws that affected your business.
The rule of law also governs contracts between people and between merchants. Under the common law system, certain elements of a contract must exist for the contract to be enforceable. Under the Uniform Commercial Code (UCC), merchants are governed by a separate set of rules that anticipate and allow for flexibility in contractual terms, to facilitate business needs. In the event that terms conflict in an offer and acceptance between merchants, the UCC allows “gap fillers” to complete the terms of the contract without need for the contract to be rewritten or for formal dispute resolution. Moreover, businesses rely on the rule of law to help them enforce contracts against contractors who fail to perform.
Additionally, because we have a rule of law system, employers know the rules of the game regarding their relationship to employees, and employees know the rules with respect to their obligations to employers. Likewise, business partners, members of boards of corporations, and members of limited liability companies all know what is expected of them in their roles vis-à-vis the business and other people within their organizations. When someone does something that is not permitted, there is legal recourse.
The rule of law also provides protection for property. Imagine if we did not have protection for nontangible property, such as intellectual property like trade secrets, trademarks, or copyrights. It would be very difficult to protect this type of property if we did not know the rules of the game. People would not have the incentive to create or share new intellectual property if they had no reasonable expectation of being able to protect it or of being rewarded for their creations. Likewise, the rule of law allows us to protect tangible property without having to go to extraordinary measures. For instance, if we had no rule of law system to convey and maintain legal ownership to us for our real or personal property, we might be forced to hire expensive private security forces to guard our property when we could not be there to physically protect it ourselves.
Businesses also rely on the rule of law to govern their debtor and creditor relationships. And, if financial matters do not go as anticipated, our legal system allows businesses to ask the court for protection from creditors under our bankruptcy law. This allows businesses to protect their property from creditor repossessions or foreclosures while they get back on track financially.
The rule of law also protects people from businesses. For example, Congress has enacted antitrust legislation that prevents certain anticompetitive practices, such as colluding and price fixing. Additionally, businesses are prohibited from using deceptive advertising and are held responsible when they manufacture or sell defective products that cause injury.
The rule of law also protects businesses from government. Since everyone is subject to the rule of law, this means that government itself may not overextend its reach when regulating or investigating businesses. Government must play by the rules, too. For example, imagine that our government could do anything, without any limits or jurisdictional restraints. A business operating in such a climate might find itself subject to government closure on a whim, or excessive taxes, or requirements to pay bribes to gain permits to do business. Our rule of law system prevents such abuses.
Without a rule of law system, people would have to exact satisfaction for the wrongs committed against them on their own. They would have to physically protect their own property. This would lead to a breakdown in social structure, and it would result in vigilante justice and physical strength playing primary roles in dispute resolution.
Key Takeaways
The rule of law system in the United States sets the rules of the game for doing business. It creates a stable environment where plans can be made, property can be protected, expectations can exist, complaints can be made, and rights can be protected. Violation of the law can result in penalties. The rule of law protects business, protects consumers from harmful business practices, and limits government from engaging in abusive practices against businesses.
Exercises
Have you ever played a game in which you did not know all the rules? Have you ever tried to speak a language in which you weren’t fluent? What was the outcome?
What incentive or motivation would exist to work for your employer if you were not certain that you would be paid for your efforts and your time? What incentive would you have to invent something new, create a work of art, or write a book if you had no legal expectation that you would be able to protect your creation?
Imagine that you are an entrepreneur. What type of business would you open? Would you know what types of permits were required to conduct your business and which government entities had jurisdiction over your business? If not, how could you find out?
What would business be like in a land without any rule of law system? Be specific. | msmarco_doc_00_11209932 |
http://2012books.lardbucket.org/books/challenges-and-opportunities-in-international-business/s06-01-what-is-international-trade-th.html | What Is International Trade Theory? | 2.1
What Is International Trade Theory?
2.1 What Is International Trade Theory?
Learning Objectives
What Is International Trade?
What Are the Different International Trade Theories?
Classical or Country-Based Trade Theories
Mercantilism
Absolute Advantage
Comparative Advantage
Heckscher-Ohlin Theory (Factor Proportions Theory)
Leontief Paradox
Modern or Firm-Based Trade Theories
Country Similarity Theory
Product Life Cycle Theory
Global Strategic Rivalry Theory
Porter’s National Competitive Advantage Theory
Which Trade Theory Is Dominant Today?
Key Takeaways
Exercises
| What Is International Trade Theory?
2.1 What Is International Trade Theory?
Learning Objectives
Understand international trade.
Compare and contrast different trade theories.
Determine which international trade theory is most relevant today and how it continues to evolve.
What Is International Trade?
International trade theories are simply different theories to explain international trade. Trade is the concept of exchanging goods and services between two people or entities. International trade is then the concept of this exchange between people or entities in two different countries.
People or entities trade because they believe that they benefit from the exchange. They may need or want the goods or services. While at the surface, this many sound very simple, there is a great deal of theory, policy, and business strategy that constitutes international trade.
In this section, you’ll learn about the different trade theories that have evolved over the past century and which are most relevant today. Additionally, you’ll explore the factors that impact international trade and how businesses and governments use these factors to their respective benefits to promote their interests.
What Are the Different International Trade Theories?
People have engaged in trade for thousands of years. Ancient history provides us with rich examples such as the Silk Road—the land and water trade routes that covered more than four thousand miles and connected the Mediterranean with Asia.
© The Stanford Program on International and Cross-Cultural Education
“Around 5,200 years ago, Uruk, in southern Mesopotamia, was probably the first city the world had ever seen, housing more than 50,000 people within its six miles of wall. Uruk, its agriculture made prosperous by sophisticated irrigation canals, was home to the first class of middlemen, trade intermediaries…A cooperative trade network…set the pattern that would endure for the next 6,000 years.” Matt Ridley, “Humans: Why They Triumphed,” Wall Street Journal, May 22, 2010, accessed December 20, 2010, http://online.wsj.com/article/SB10001424052748703691804575254533386933138.html.
In more recent centuries, economists have focused on trying to understand and explain these trade patterns. Chapter 1 "Introduction", Section 1.4 "The Globalization Debate" discussed how Thomas Friedman’s flat-world approach segments history into three stages: Globalization 1.0 from 1492 to 1800, 2.0 from 1800 to 2000, and 3.0 from 2000 to the present. In Globalization 1.0, nations dominated global expansion. In Globalization 2.0, multinational companies ascended and pushed global development. Today, technology drives Globalization 3.0.
To better understand how modern global trade has evolved, it’s important to understand how countries traded with one another historically. Over time, economists have developed theories to explain the mechanisms of global trade. The main historical theories are called classical and are from the perspective of a country, or country-based. By the mid-twentieth century, the theories began to shift to explain trade from a firm, rather than a country, perspective. These theories are referred to as modern and are firm-based or company-based. Both of these categories, classical and modern, consist of several international theories.
Classical or Country-Based Trade Theories
Mercantilism
Developed in the sixteenth century, mercantilism
A classical, country-based international trade theory that states that a country’s wealth is determined by its holdings of gold and silver.
was one of the earliest efforts to develop an economic theory. This theory stated that a country’s wealth was determined by the amount of its gold and silver holdings. In it’s simplest sense, mercantilists believed that a country should increase its holdings of gold and silver by promoting exports and discouraging imports. In other words, if people in other countries buy more from you (exports) than they sell to you (imports), then they have to pay you the difference in gold and silver. The objective of each country was to have a trade surplus
When the value of exports is greater than the value of imports.
, or a situation where the value of exports are greater than the value of imports, and to avoid a trade deficit
When the value of imports is greater than the value of exports.
, or a situation where the value of imports is greater than the value of exports.
A closer look at world history from the 1500s to the late 1800s helps explain why mercantilism flourished. The 1500s marked the rise of new nation-states, whose rulers wanted to strengthen their nations by building larger armies and national institutions. By increasing exports and trade, these rulers were able to amass more gold and wealth for their countries. One way that many of these new nations promoted exports was to impose restrictions on imports. This strategy is called protectionism
The practice of imposing restrictions on imports and protecting domestic industry.
and is still used today.
Nations expanded their wealth by using their colonies around the world in an effort to control more trade and amass more riches. The British colonial empire was one of the more successful examples; it sought to increase its wealth by using raw materials from places ranging from what are now the Americas and India. France, the Netherlands, Portugal, and Spain were also successful in building large colonial empires that generated extensive wealth for their governing nations.
Although mercantilism is one of the oldest trade theories, it remains part of modern thinking. Countries such as Japan, China, Singapore, Taiwan, and even Germany still favor exports and discourage imports through a form of neo-mercantilism in which the countries promote a combination of protectionist policies and restrictions and domestic-industry subsidies. Nearly every country, at one point or another, has implemented some form of protectionist policy to guard key industries in its economy. While export-oriented companies usually support protectionist policies that favor their industries or firms, other companies and consumers are hurt by protectionism. Taxpayers pay for government subsidies of select exports in the form of higher taxes. Import restrictions lead to higher prices for consumers, who pay more for foreign-made goods or services. Free-trade advocates highlight how free trade benefits all members of the global community, while mercantilism’s protectionist policies only benefit select industries, at the expense of both consumers and other companies, within and outside of the industry.
Absolute Advantage
In 1776, Adam Smith questioned the leading mercantile theory of the time in The Wealth of Nations. Adam Smith, An Inquiry into the Nature and Causes of the Wealth of Nations (London: W. Strahan and T. Cadell, 1776). Recent versions have been edited by scholars and economists. Smith offered a new trade theory called absolute advantage
The ability of a country to produce a good more efficiently than another nation.
, which focused on the ability of a country to produce a good more efficiently than another nation. Smith reasoned that trade between countries shouldn’t be regulated or restricted by government policy or intervention. He stated that trade should flow naturally according to market forces. In a hypothetical two-country world, if Country A could produce a good cheaper or faster (or both) than Country B, then Country A had the advantage and could focus on specializing on producing that good. Similarly, if Country B was better at producing another good, it could focus on specialization as well. By specialization, countries would generate efficiencies, because their labor force would become more skilled by doing the same tasks. Production would also become more efficient, because there would be an incentive to create faster and better production methods to increase the specialization.
Smith’s theory reasoned that with increased efficiencies, people in both countries would benefit and trade should be encouraged. His theory stated that a nation’s wealth shouldn’t be judged by how much gold and silver it had but rather by the living standards of its people.
Comparative Advantage
The challenge to the absolute advantage theory was that some countries may be better at producing both goods and, therefore, have an advantage in many areas. In contrast, another country may not have any useful absolute advantages. To answer this challenge, David Ricardo, an English economist, introduced the theory of comparative advantage in 1817. Ricardo reasoned that even if Country A had the absolute advantage in the production of both products, specialization and trade could still occur between two countries.
Comparative advantage
The situation in which a country cannot produce a product more efficiently than another country; however, it does produce that product better and more efficiently than it does another good.
occurs when a country cannot produce a product more efficiently than the other country; however, it can produce that product better and more efficiently than it does other goods. The difference between these two theories is subtle. Comparative advantage focuses on the relative productivity differences, whereas absolute advantage looks at the absolute productivity.
Let’s look at a simplified hypothetical example to illustrate the subtle difference between these principles. Miranda is a Wall Street lawyer who charges $500 per hour for her legal services. It turns out that Miranda can also type faster than the administrative assistants in her office, who are paid $40 per hour. Even though Miranda clearly has the absolute advantage in both skill sets, should she do both jobs? No. For every hour Miranda decides to type instead of do legal work, she would be giving up $460 in income. Her productivity and income will be highest if she specializes in the higher-paid legal services and hires the most qualified administrative assistant, who can type fast, although a little slower than Miranda. By having both Miranda and her assistant concentrate on their respective tasks, their overall productivity as a team is higher. This is comparative advantage. A person or a country will specialize in doing what they do relatively better. In reality, the world economy is more complex and consists of more than two countries and products. Barriers to trade may exist, and goods must be transported, stored, and distributed. However, this simplistic example demonstrates the basis of the comparative advantage theory.
Heckscher-Ohlin Theory (Factor Proportions Theory)
The theories of Smith and Ricardo didn’t help countries determine which products would give a country an advantage. Both theories assumed that free and open markets would lead countries and producers to determine which goods they could produce more efficiently. In the early 1900s, two Swedish economists, Eli Heckscher and Bertil Ohlin, focused their attention on how a country could gain comparative advantage by producing products that utilized factors that were in abundance in the country. Their theory is based on a country’s production factors—land, labor, and capital, which provide the funds for investment in plants and equipment. They determined that the cost of any factor or resource was a function of supply and demand. Factors that were in great supply relative to demand would be cheaper; factors in great demand relative to supply would be more expensive. Their theory, also called the factor proportions theory
Also called the Heckscher-Ohlin theory; the classical, country-based international theory states that countries would gain comparative advantage if they produced and exported goods that required resources or factors that they had in great supply and therefore were cheaper production factors. In contrast, countries would import goods that required resources that were in short supply in their country but were in higher demand.
, stated that countries would produce and export goods that required resources or factors that were in great supply and, therefore, cheaper production factors. In contrast, countries would import goods that required resources that were in short supply, but higher demand.
For example, China and India are home to cheap, large pools of labor. Hence these countries have become the optimal locations for labor-intensive industries like textiles and garments.
Leontief Paradox
In the early 1950s, Russian-born American economist Wassily W. Leontief studied the US economy closely and noted that the United States was abundant in capital and, therefore, should export more capital-intensive goods. However, his research using actual data showed the opposite: the United States was importing more capital-intensive goods. According to the factor proportions theory, the United States should have been importing labor-intensive goods, but instead it was actually exporting them. His analysis became known as the Leontief Paradox
A paradox identified by Russian economist Wassily W. Leontief that states, in the real world, the reverse of the factor proportions theory exists in some countries. For example, even though a country may be abundant in capital, it may still import more capital-intensive goods.
because it was the reverse of what was expected by the factor proportions theory. In subsequent years, economists have noted historically at that point in time, labor in the United States was both available in steady supply and more productive than in many other countries; hence it made sense to export labor-intensive goods. Over the decades, many economists have used theories and data to explain and minimize the impact of the paradox. However, what remains clear is that international trade is complex and is impacted by numerous and often-changing factors. Trade cannot be explained neatly by one single theory, and more importantly, our understanding of international trade theories continues to evolve.
Modern or Firm-Based Trade Theories
In contrast to classical, country-based trade theories, the category of modern, firm-based theories emerged after World War II and was developed in large part by business school professors, not economists. The firm-based theories evolved with the growth of the multinational company (MNC). The country-based theories couldn’t adequately address the expansion of either MNCs or intraindustry trade
Trade between two countries of goods produced in the same industry.
, which refers to trade between two countries of goods produced in the same industry. For example, Japan exports Toyota vehicles to Germany and imports Mercedes-Benz automobiles from Germany.
Unlike the country-based theories, firm-based theories incorporate other product and service factors, including brand and customer loyalty, technology, and quality, into the understanding of trade flows.
Country Similarity Theory
Swedish economist Steffan Linder developed the country similarity theory
A modern, firm-based international trade theory that explains intraindustry trade by stating that countries with the most similarities in factors such as incomes, consumer habits, market preferences, stage of technology, communications, degree of industrialization, and others will be more likely to engage in trade between countries and intraindustry trade will be common.
in 1961, as he tried to explain the concept of intraindustry trade. Linder’s theory proposed that consumers in countries that are in the same or similar stage of development would have similar preferences. In this firm-based theory, Linder suggested that companies first produce for domestic consumption. When they explore exporting, the companies often find that markets that look similar to their domestic one, in terms of customer preferences, offer the most potential for success. Linder’s country similarity theory then states that most trade in manufactured goods will be between countries with similar per capita incomes, and intraindustry trade will be common. This theory is often most useful in understanding trade in goods where brand names and product reputations are important factors in the buyers’ decision-making and purchasing processes.
Product Life Cycle Theory
Raymond Vernon, a Harvard Business School professor, developed the product life cycle theory
A modern, firm-based international trade theory that states that a product life cycle has three distinct stages: (1) new product, (2) maturing product, and (3) standardized product.
in the 1960s. The theory, originating in the field of marketing, stated that a product life cycle has three distinct stages: (1) new product, (2) maturing product, and (3) standardized product. The theory assumed that production of the new product will occur completely in the home country of its innovation. In the 1960s this was a useful theory to explain the manufacturing success of the United States. US manufacturing was the globally dominant producer in many industries after World War II.
It has also been used to describe how the personal computer (PC) went through its product cycle. The PC was a new product in the 1970s and developed into a mature product during the 1980s and 1990s. Today, the PC is in the standardized product stage, and the majority of manufacturing and production process is done in low-cost countries in Asia and Mexico.
The product life cycle theory has been less able to explain current trade patterns where innovation and manufacturing occur around the world. For example, global companies even conduct research and development in developing markets where highly skilled labor and facilities are usually cheaper. Even though research and development is typically associated with the first or new product stage and therefore completed in the home country, these developing or emerging-market countries, such as India and China, offer both highly skilled labor and new research facilities at a substantial cost advantage for global firms.
Global Strategic Rivalry Theory
Global strategic rivalry theory emerged in the 1980s and was based on the work of economists Paul Krugman and Kelvin Lancaster. Their theory focused on MNCs and their efforts to gain a competitive advantage against other global firms in their industry. Firms will encounter global competition in their industries and in order to prosper, they must develop competitive advantages. The critical ways that firms can obtain a sustainable competitive advantage are called the barriers to entry for that industry. The barriers to entry
The obstacles a new firm may face when trying to enter into an industry or new market.
refer to the obstacles a new firm may face when trying to enter into an industry or new market. The barriers to entry that corporations may seek to optimize include:
research and development,
the ownership of intellectual property rights,
economies of scale,
unique business processes or methods as well as extensive experience in the industry, and
the control of resources or favorable access to raw materials.
Porter’s National Competitive Advantage Theory
In the continuing evolution of international trade theories, Michael Porter of Harvard Business School developed a new model to explain national competitive advantage in 1990. Porter’s theory
A modern, firm-based international trade theory that states that a nation’s or firm’s competitiveness in an industry depends on the capacity of the industry and firm to innovate and upgrade. In addition to the roles of government and chance, this theory identifies four key determinants of national competitiveneness: (1) local market resources and capabilities, (2) local market demand conditions, (3) local suppliers and complementary industries, and (4) local firm characteristics.
stated that a nation’s competitiveness in an industry depends on the capacity of the industry to innovate and upgrade. His theory focused on explaining why some nations are more competitive in certain industries. To explain his theory, Porter identified four determinants that he linked together. The four determinants are (1) local market resources and capabilities, (2) local market demand conditions, (3) local suppliers and complementary industries, and (4) local firm characteristics.
Local market resources and capabilities (factor conditions). Porter recognized the value of the factor proportions theory, which considers a nation’s resources (e.g., natural resources and available labor) as key factors in determining what products a country will import or export. Porter added to these basic factors a new list of advanced factors, which he defined as skilled labor, investments in education, technology, and infrastructure. He perceived these advanced factors as providing a country with a sustainable competitive advantage.
Local market demand conditions. Porter believed that a sophisticated home market is critical to ensuring ongoing innovation, thereby creating a sustainable competitive advantage. Companies whose domestic markets are sophisticated, trendsetting, and demanding forces continuous innovation and the development of new products and technologies. Many sources credit the demanding US consumer with forcing US software companies to continuously innovate, thus creating a sustainable competitive advantage in software products and services.
Local suppliers and complementary industries. To remain competitive, large global firms benefit from having strong, efficient supporting and related industries to provide the inputs required by the industry. Certain industries cluster geographically, which provides efficiencies and productivity.
Local firm characteristics. Local firm characteristics include firm strategy, industry structure, and industry rivalry. Local strategy affects a firm’s competitiveness. A healthy level of rivalry between local firms will spur innovation and competitiveness.
In addition to the four determinants of the diamond, Porter also noted that government and chance play a part in the national competitiveness of industries. Governments can, by their actions and policies, increase the competitiveness of firms and occasionally entire industries.
Porter’s theory, along with the other modern, firm-based theories, offers an interesting interpretation of international trade trends. Nevertheless, they remain relatively new and minimally tested theories.
Which Trade Theory Is Dominant Today?
The theories covered in this chapter are simply that—theories. While they have helped economists, governments, and businesses better understand international trade and how to promote, regulate, and manage it, these theories are occasionally contradicted by real-world events. Countries don’t have absolute advantages in many areas of production or services and, in fact, the factors of production aren’t neatly distributed between countries. Some countries have a disproportionate benefit of some factors. The United States has ample arable land that can be used for a wide range of agricultural products. It also has extensive access to capital. While it’s labor pool may not be the cheapest, it is among the best educated in the world. These advantages in the factors of production have helped the United States become the largest and richest economy in the world. Nevertheless, the United States also imports a vast amount of goods and services, as US consumers use their wealth to purchase what they need and want—much of which is now manufactured in other countries that have sought to create their own comparative advantages through cheap labor, land, or production costs.
As a result, it’s not clear that any one theory is dominant around the world. This section has sought to highlight the basics of international trade theory to enable you to understand the realities that face global businesses. In practice, governments and companies use a combination of these theories to both interpret trends and develop strategy. Just as these theories have evolved over the past five hundred years, they will continue to change and adapt as new factors impact international trade.
Key Takeaways
Trade is the concept of exchanging goods and services between two people or entities. International trade is the concept of this exchange between people or entities in two different countries. While a simplistic definition, the factors that impact trade are complex, and economists throughout the centuries have attempted to interpret trends and factors through the evolution of trade theories.
There are two main categories of international trade—classical, country-based and modern, firm-based.
Porter’s theory states that a nation’s competitiveness in an industry depends on the capacity of the industry to innovate and upgrade. He identified four key determinants: (1) local market resources and capabilities (factor conditions), (2) local market demand conditions, (3) local suppliers and complementary industries, and (4) local firm characteristics.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What is international trade?
Summarize the classical, country-based international trade theories. What are the differences between these theories, and how did the theories evolve?
What are the modern, firm-based international trade theories?
Describe how a business may use the trade theories to develop its business strategies. Use Porter’s four determinants in your explanation. | msmarco_doc_00_11219697 |
http://2012books.lardbucket.org/books/challenges-and-opportunities-in-international-business/s06-international-trade-and-foreig.html | International Trade and Foreign Direct Investment | Chapter 2
International Trade and Foreign Direct Investment
Chapter 2 International Trade and Foreign Direct Investment
What’s in It for Me?
Opening Case: China in Africa
Opening Case Exercises
2.1 What Is International Trade Theory?
Learning Objectives
What Is International Trade?
What Are the Different International Trade Theories?
Classical or Country-Based Trade Theories
Mercantilism
Absolute Advantage
Comparative Advantage
Heckscher-Ohlin Theory (Factor Proportions Theory)
Leontief Paradox
Modern or Firm-Based Trade Theories
Country Similarity Theory
Product Life Cycle Theory
Global Strategic Rivalry Theory
Porter’s National Competitive Advantage Theory
Which Trade Theory Is Dominant Today?
Key Takeaways
Exercises
2.2 Political and Legal Factors That Impact International Trade
Learning Objectives
What Are the Different Political Systems?
Did You Know?
What Are the Different Legal Systems?
Government—Business Trade Relations: The Impact of Political and Legal Factors on International Trade
Why Do Governments Intervene in Trade?
Did You Know?
How Do Governments Intervene in Trade?
Did You Know?
Key Takeaways
Exercises
2.3 Foreign Direct Investment
Learning Objectives
Understand the Types of International Investments
Factors That Influence a Company’s Decision to Invest
Why and How Governments Encourage FDI
How Governments Discourage or Restrict FDI
How Governments Encourage FDI
Ethics in Action
Did You Know?
Key Takeaways
Exercises
2.4 Tips in Your Entrepreneurial Walkabout Toolkit
Attracting Trade and Investment
Quick Facts
2.5 End-of-Chapter Questions and Exercises
Experiential Exercises
Ethical Dilemmas
| International Trade and Foreign Direct Investment
Chapter 2 International Trade and Foreign Direct Investment
© 2003–2011, Atma Global Inc. Reprinted with permission.
What’s in It for Me?
What is international trade theory?
How do political and legal factors impact international trade?
What is foreign direct investment?
It’s easy to think that trade is just about business interests in each country. But global trade is much more. There’s a convergence and, at times, a conflict of the interests of the different stakeholders—from businesses to governments to local citizens. In recent years, advancements in technology, a renewed enthusiasm for entrepreneurship, and a global sentiment that favors free trade have further connected people, businesses, and markets—all flatteners that are helping expand global trade and investment. An essential part of international business is understanding the history of international trade and what motivates countries to encourage or discourage trade within their borders. In this chapter we’ll look at the evolution of international trade theory to our modern time. We’ll explore the political and legal factors impacting international trade. This chapter will provide an introduction to the concept and role of foreign direct investment, which can take many forms of incentives, regulations, and policies. Companies react to these business incentives and regulations as they evaluate with which countries to do business and in which to invest. Governments often encourage foreign investment in their own country or in another country by providing loans and incentives to businesses in their home country as well as businesses in the recipient country in order to pave the way for investment and trade in the country. The opening case study shows how and why China is investing in the continent of Africa.
Opening Case: China in Africa
Foreign companies have been doing business in Africa for centuries. Much of the trade history of past centuries has been colored by European colonial powers promoting and preserving their economic interests throughout the African continent. Martin Meredith, The Fate of Africa (New York: Public Affairs, 2005). After World War II and since independence for many African nations, the continent has not fared as well as other former colonial countries in Asia. Africa remains a continent plagued by a continued combination of factors, including competing colonial political and economic interests; poor and corrupt local leadership; war, famine, and disease; and a chronic shortage of resources, infrastructure, and political, economic, and social will. “Why Africa Is Poor: Ghana Beats Up on Its Biggest Foreign Investors,” Wall Street Journal, February 18, 2010, accessed February 16, 2011, http://online.wsj.com/article/SB10001424052748704804204575069511746613890.html. And yet, through the bleak assessments, progress is emerging, led in large part by the successful emergence of a free and locally powerful South Africa. The continent generates a lot of interest on both the corporate and humanitarian levels, as well as from other countries. In particular in the past decade, Africa has caught the interest of the world’s second largest economy, China. Andrew Rice, “Why Is Africa Still Poor?,” The Nation, October 24, 2005, accessed December 20, 2010, http://www.thenation.com/article/why-africa-still-poor?page=0,1.
At home, over the past few decades, China has undergone its own miracle, managing to move hundreds of millions of its people out of poverty by combining state intervention with economic incentives to attract private investment. Today, China is involved in economic engagement, bringing its success story to the continent of Africa. As professor and author Deborah Brautigam notes, China’s “current experiment in Africa mixes a hard-nosed but clear-eyed self-interest with the lessons of China's own successful development and of decades of its failed aid projects in Africa.” Deborah Brautigam, “Africa’s Eastern Promise: What the West Can Learn from Chinese Investment in Africa,” Foreign Affairs, January 5, 2010, accessed December 20, 2010, http://www.foreignaffairs.com/articles/65916/deborah-brautigam/africa%E2%80%99s-eastern-promise.
According to CNN, “China has increasingly turned to resource-rich Africa as China's booming economy has demanded more and more oil and raw materials.” “China: Trade with Africa on Track to New Record,” CNN, October 15, 2010, accessed April 23, 2011, http://articles.cnn.com/2010-10-15/world/china.africa.trade_1_china-and-africa-link-trade-largest-trade-partner?_s=PM:WORLD. Trade between the African continent and China reached $106.8 billion in 2008, and over the past decade, Chinese investments and the country’s development aid to Africa have been increasing steadily. “China-Africa Trade up 45 percent in 2008 to $107 Billion,” China Daily, February 11, 2009, accessed April 23, 2011, http://www.chinadaily.com.cn/china/2009-02/11/content_7467460.htm. “Chinese activities in Africa are highly diverse, ranging from government to government relations and large state owned companies (SOE) investing in Africa financed by China’s policy banks, to private entrepreneurs entering African countries at their own initiative to pursue commercial activities.” Tracy Hon, Johanna Jansson, Garth Shelton, Liu Haifang, Christopher Burke, and Carine Kiala, Evaluating China’s FOCAC Commitments to Africa and Mapping the Way Ahead (Stellenbosch, South Africa: Centre for Chinese Studies, University of Stellenbosch, 2010), 1, accessed December 20, 2010, http://www.ccs.org.za/wp-content/uploads/2010/03/ENGLISH-Evaluating-Chinas-FOCAC-commitments-to-Africa-2010.pdf.
Since 2004, eager for access to resources, oil, diamonds, minerals, and commodities, China has entered into arrangements with resource-rich countries in Africa for a total of nearly $14 billion in resource deals alone. In one example with Angola, China provided loans to the country secured by oil. With this investment, Angola hired Chinese companies to build much-needed roads, railways, hospitals, schools, and water systems. Similarly, China provided nearby Nigeria with oil-backed loans to finance projects that use gas to generate electricity. In the Republic of the Congo, Chinese teams are building a hydropower project funded by a Chinese government loan, which will be repaid in oil. In Ghana, a Chinese government loan will be repaid in cocoa beans. Deborah Brautigam, “Africa’s Eastern Promise: What the West Can Learn from Chinese Investment in Africa,” Foreign Affairs, January 5, 2010, accessed December 20, 2010, http://www.foreignaffairs.com/articles/65916/deborah-brautigam/africa%E2%80%99s-eastern-promise.
The Export-Import Bank of China (Ex-Im Bank of China) has funded and has provided these loans at market rates, rather than as foreign aid. While these loans certainly promote development, the risk for the local countries is that the Chinese bids to provide the work aren’t competitive. Furthermore, the benefit to local workers may be diminished as Chinese companies bring in some of their own workers, keeping local wages and working standards low.
In 2007, the UNCTAD (United Nations Conference on Trade and Development) Press Office noted the following:
Over the past few years, China has become one of Africa´s important partners for trade and economic cooperation. Trade (exports and imports) between Africa and China increased from US$11 billion in 2000 to US$56 billion in 2006….with Chinese companies present in 48 African countries, although Africa still accounts for only 3 percent of China´s outward FDI [foreign direct investment]. A few African countries have attracted the bulk of China´s FDI in Africa: Sudan is the largest recipient (and the 9th largest recipient of Chinese FDI worldwide), followed by Algeria (18th) and Zambia (19th). United Nations Conference on Trade and Development, “Asian Foreign Direct Investment in Africa: United Nations Report Points to a New Era of Cooperation among Developing Countries,” press release, March 27, 2007, accessed December 20, 2010, http://www.unctad.org/Templates/Webflyer.asp?docID=8172&intItemID=3971&lang=1.
Observers note that African governments can learn from the development history of China and many Asian countries, which now enjoy high economic growth and upgraded industrial activity. These Asian countries made strategic investments in education and infrastructure that were crucial not only for promoting economic development in general but also for attracting and benefiting from efficiency-seeking and export-oriented FDI. United Nations Conference on Trade and Development, “Foreign Direct Investment in Africa Remains Buoyant, Sustained by Interest in Natural Resources,” press release, September 29, 2005, accessed December 20, 2010, http://news.bbc.co.uk/2/hi/africa/7086777.stm.
Source: “China in Africa: Developing Ties,” BBC News, last updated November 26, 2007, accessed June 3, 2011, http://news.bbc.co.uk/2/hi/africa/7086777.stm.
Criticized by some and applauded by others, it’s clear that China’s investment is encouraging development in Africa. China is accused by some of ignoring human rights crises in the continent and doing business with repressive regimes. China’s success in Africa is due in large part to the local political environment in each country, where either one or a small handful of leaders often control the power and decision making. While the countries often open bids to many foreign investors, Chinese firms are able to provide low-cost options thanks in large part to their government’s project support. The ability to forge a government-level partnership has enabled Chinese businesses to have long-term investment perspectives in the region. China even hosted a summit in 2006 for African leaders, pledging to increase trade, investment, and aid over the coming decade. “Summit Shows China’s Africa Clout,” BBC News, November 6, 2006, accessed December 20, 2010, http://news.bbc.co.uk/2/hi/business/6120500.stm. The 2008 global recession has led China to be more selective in its African investments, looking for good deals as well as political stability in target countries. Nevertheless, whether to access the region’s rich resources or develop local markets for Chinese goods and services, China intends to be a key foreign investor in Africa for the foreseeable future. “China in Africa: Developing Ties,” BBC News, November 26, 2007, accessed December 20, 2010, http://news.bbc.co.uk/2/hi/africa/7086777.stm.
Opening Case Exercises
(AACSB: Ethical Reasoning, Multiculturalism, Reflective Thinking, Analytical Skills)
Describe China’s strategy in Africa.
If you were the head of a Chinese business that was operating in Sudan, how would you address issues of business ethics and doing business with a repressive regime? Should businesses care about local government ethics and human rights policies?
If you were a foreign businessperson working for a global oil company that was eager to get favorable government approval to invest in a local oil refinery in an African country, how would you handle any demands for paybacks (i.e., bribes)?
2.1 What Is International Trade Theory?
Learning Objectives
Understand international trade.
Compare and contrast different trade theories.
Determine which international trade theory is most relevant today and how it continues to evolve.
What Is International Trade?
International trade theories are simply different theories to explain international trade. Trade is the concept of exchanging goods and services between two people or entities. International trade is then the concept of this exchange between people or entities in two different countries.
People or entities trade because they believe that they benefit from the exchange. They may need or want the goods or services. While at the surface, this many sound very simple, there is a great deal of theory, policy, and business strategy that constitutes international trade.
In this section, you’ll learn about the different trade theories that have evolved over the past century and which are most relevant today. Additionally, you’ll explore the factors that impact international trade and how businesses and governments use these factors to their respective benefits to promote their interests.
What Are the Different International Trade Theories?
People have engaged in trade for thousands of years. Ancient history provides us with rich examples such as the Silk Road—the land and water trade routes that covered more than four thousand miles and connected the Mediterranean with Asia.
© The Stanford Program on International and Cross-Cultural Education
“Around 5,200 years ago, Uruk, in southern Mesopotamia, was probably the first city the world had ever seen, housing more than 50,000 people within its six miles of wall. Uruk, its agriculture made prosperous by sophisticated irrigation canals, was home to the first class of middlemen, trade intermediaries…A cooperative trade network…set the pattern that would endure for the next 6,000 years.” Matt Ridley, “Humans: Why They Triumphed,” Wall Street Journal, May 22, 2010, accessed December 20, 2010, http://online.wsj.com/article/SB10001424052748703691804575254533386933138.html.
In more recent centuries, economists have focused on trying to understand and explain these trade patterns. Chapter 1 "Introduction", Section 1.4 "The Globalization Debate" discussed how Thomas Friedman’s flat-world approach segments history into three stages: Globalization 1.0 from 1492 to 1800, 2.0 from 1800 to 2000, and 3.0 from 2000 to the present. In Globalization 1.0, nations dominated global expansion. In Globalization 2.0, multinational companies ascended and pushed global development. Today, technology drives Globalization 3.0.
To better understand how modern global trade has evolved, it’s important to understand how countries traded with one another historically. Over time, economists have developed theories to explain the mechanisms of global trade. The main historical theories are called classical and are from the perspective of a country, or country-based. By the mid-twentieth century, the theories began to shift to explain trade from a firm, rather than a country, perspective. These theories are referred to as modern and are firm-based or company-based. Both of these categories, classical and modern, consist of several international theories.
Classical or Country-Based Trade Theories
Mercantilism
Developed in the sixteenth century, mercantilism
A classical, country-based international trade theory that states that a country’s wealth is determined by its holdings of gold and silver.
was one of the earliest efforts to develop an economic theory. This theory stated that a country’s wealth was determined by the amount of its gold and silver holdings. In it’s simplest sense, mercantilists believed that a country should increase its holdings of gold and silver by promoting exports and discouraging imports. In other words, if people in other countries buy more from you (exports) than they sell to you (imports), then they have to pay you the difference in gold and silver. The objective of each country was to have a trade surplus
When the value of exports is greater than the value of imports.
, or a situation where the value of exports are greater than the value of imports, and to avoid a trade deficit
When the value of imports is greater than the value of exports.
, or a situation where the value of imports is greater than the value of exports.
A closer look at world history from the 1500s to the late 1800s helps explain why mercantilism flourished. The 1500s marked the rise of new nation-states, whose rulers wanted to strengthen their nations by building larger armies and national institutions. By increasing exports and trade, these rulers were able to amass more gold and wealth for their countries. One way that many of these new nations promoted exports was to impose restrictions on imports. This strategy is called protectionism
The practice of imposing restrictions on imports and protecting domestic industry.
and is still used today.
Nations expanded their wealth by using their colonies around the world in an effort to control more trade and amass more riches. The British colonial empire was one of the more successful examples; it sought to increase its wealth by using raw materials from places ranging from what are now the Americas and India. France, the Netherlands, Portugal, and Spain were also successful in building large colonial empires that generated extensive wealth for their governing nations.
Although mercantilism is one of the oldest trade theories, it remains part of modern thinking. Countries such as Japan, China, Singapore, Taiwan, and even Germany still favor exports and discourage imports through a form of neo-mercantilism in which the countries promote a combination of protectionist policies and restrictions and domestic-industry subsidies. Nearly every country, at one point or another, has implemented some form of protectionist policy to guard key industries in its economy. While export-oriented companies usually support protectionist policies that favor their industries or firms, other companies and consumers are hurt by protectionism. Taxpayers pay for government subsidies of select exports in the form of higher taxes. Import restrictions lead to higher prices for consumers, who pay more for foreign-made goods or services. Free-trade advocates highlight how free trade benefits all members of the global community, while mercantilism’s protectionist policies only benefit select industries, at the expense of both consumers and other companies, within and outside of the industry.
Absolute Advantage
In 1776, Adam Smith questioned the leading mercantile theory of the time in The Wealth of Nations. Adam Smith, An Inquiry into the Nature and Causes of the Wealth of Nations (London: W. Strahan and T. Cadell, 1776). Recent versions have been edited by scholars and economists. Smith offered a new trade theory called absolute advantage
The ability of a country to produce a good more efficiently than another nation.
, which focused on the ability of a country to produce a good more efficiently than another nation. Smith reasoned that trade between countries shouldn’t be regulated or restricted by government policy or intervention. He stated that trade should flow naturally according to market forces. In a hypothetical two-country world, if Country A could produce a good cheaper or faster (or both) than Country B, then Country A had the advantage and could focus on specializing on producing that good. Similarly, if Country B was better at producing another good, it could focus on specialization as well. By specialization, countries would generate efficiencies, because their labor force would become more skilled by doing the same tasks. Production would also become more efficient, because there would be an incentive to create faster and better production methods to increase the specialization.
Smith’s theory reasoned that with increased efficiencies, people in both countries would benefit and trade should be encouraged. His theory stated that a nation’s wealth shouldn’t be judged by how much gold and silver it had but rather by the living standards of its people.
Comparative Advantage
The challenge to the absolute advantage theory was that some countries may be better at producing both goods and, therefore, have an advantage in many areas. In contrast, another country may not have any useful absolute advantages. To answer this challenge, David Ricardo, an English economist, introduced the theory of comparative advantage in 1817. Ricardo reasoned that even if Country A had the absolute advantage in the production of both products, specialization and trade could still occur between two countries.
Comparative advantage
The situation in which a country cannot produce a product more efficiently than another country; however, it does produce that product better and more efficiently than it does another good.
occurs when a country cannot produce a product more efficiently than the other country; however, it can produce that product better and more efficiently than it does other goods. The difference between these two theories is subtle. Comparative advantage focuses on the relative productivity differences, whereas absolute advantage looks at the absolute productivity.
Let’s look at a simplified hypothetical example to illustrate the subtle difference between these principles. Miranda is a Wall Street lawyer who charges $500 per hour for her legal services. It turns out that Miranda can also type faster than the administrative assistants in her office, who are paid $40 per hour. Even though Miranda clearly has the absolute advantage in both skill sets, should she do both jobs? No. For every hour Miranda decides to type instead of do legal work, she would be giving up $460 in income. Her productivity and income will be highest if she specializes in the higher-paid legal services and hires the most qualified administrative assistant, who can type fast, although a little slower than Miranda. By having both Miranda and her assistant concentrate on their respective tasks, their overall productivity as a team is higher. This is comparative advantage. A person or a country will specialize in doing what they do relatively better. In reality, the world economy is more complex and consists of more than two countries and products. Barriers to trade may exist, and goods must be transported, stored, and distributed. However, this simplistic example demonstrates the basis of the comparative advantage theory.
Heckscher-Ohlin Theory (Factor Proportions Theory)
The theories of Smith and Ricardo didn’t help countries determine which products would give a country an advantage. Both theories assumed that free and open markets would lead countries and producers to determine which goods they could produce more efficiently. In the early 1900s, two Swedish economists, Eli Heckscher and Bertil Ohlin, focused their attention on how a country could gain comparative advantage by producing products that utilized factors that were in abundance in the country. Their theory is based on a country’s production factors—land, labor, and capital, which provide the funds for investment in plants and equipment. They determined that the cost of any factor or resource was a function of supply and demand. Factors that were in great supply relative to demand would be cheaper; factors in great demand relative to supply would be more expensive. Their theory, also called the factor proportions theory
Also called the Heckscher-Ohlin theory; the classical, country-based international theory states that countries would gain comparative advantage if they produced and exported goods that required resources or factors that they had in great supply and therefore were cheaper production factors. In contrast, countries would import goods that required resources that were in short supply in their country but were in higher demand.
, stated that countries would produce and export goods that required resources or factors that were in great supply and, therefore, cheaper production factors. In contrast, countries would import goods that required resources that were in short supply, but higher demand.
For example, China and India are home to cheap, large pools of labor. Hence these countries have become the optimal locations for labor-intensive industries like textiles and garments.
Leontief Paradox
In the early 1950s, Russian-born American economist Wassily W. Leontief studied the US economy closely and noted that the United States was abundant in capital and, therefore, should export more capital-intensive goods. However, his research using actual data showed the opposite: the United States was importing more capital-intensive goods. According to the factor proportions theory, the United States should have been importing labor-intensive goods, but instead it was actually exporting them. His analysis became known as the Leontief Paradox
A paradox identified by Russian economist Wassily W. Leontief that states, in the real world, the reverse of the factor proportions theory exists in some countries. For example, even though a country may be abundant in capital, it may still import more capital-intensive goods.
because it was the reverse of what was expected by the factor proportions theory. In subsequent years, economists have noted historically at that point in time, labor in the United States was both available in steady supply and more productive than in many other countries; hence it made sense to export labor-intensive goods. Over the decades, many economists have used theories and data to explain and minimize the impact of the paradox. However, what remains clear is that international trade is complex and is impacted by numerous and often-changing factors. Trade cannot be explained neatly by one single theory, and more importantly, our understanding of international trade theories continues to evolve.
Modern or Firm-Based Trade Theories
In contrast to classical, country-based trade theories, the category of modern, firm-based theories emerged after World War II and was developed in large part by business school professors, not economists. The firm-based theories evolved with the growth of the multinational company (MNC). The country-based theories couldn’t adequately address the expansion of either MNCs or intraindustry trade
Trade between two countries of goods produced in the same industry.
, which refers to trade between two countries of goods produced in the same industry. For example, Japan exports Toyota vehicles to Germany and imports Mercedes-Benz automobiles from Germany.
Unlike the country-based theories, firm-based theories incorporate other product and service factors, including brand and customer loyalty, technology, and quality, into the understanding of trade flows.
Country Similarity Theory
Swedish economist Steffan Linder developed the country similarity theory
A modern, firm-based international trade theory that explains intraindustry trade by stating that countries with the most similarities in factors such as incomes, consumer habits, market preferences, stage of technology, communications, degree of industrialization, and others will be more likely to engage in trade between countries and intraindustry trade will be common.
in 1961, as he tried to explain the concept of intraindustry trade. Linder’s theory proposed that consumers in countries that are in the same or similar stage of development would have similar preferences. In this firm-based theory, Linder suggested that companies first produce for domestic consumption. When they explore exporting, the companies often find that markets that look similar to their domestic one, in terms of customer preferences, offer the most potential for success. Linder’s country similarity theory then states that most trade in manufactured goods will be between countries with similar per capita incomes, and intraindustry trade will be common. This theory is often most useful in understanding trade in goods where brand names and product reputations are important factors in the buyers’ decision-making and purchasing processes.
Product Life Cycle Theory
Raymond Vernon, a Harvard Business School professor, developed the product life cycle theory
A modern, firm-based international trade theory that states that a product life cycle has three distinct stages: (1) new product, (2) maturing product, and (3) standardized product.
in the 1960s. The theory, originating in the field of marketing, stated that a product life cycle has three distinct stages: (1) new product, (2) maturing product, and (3) standardized product. The theory assumed that production of the new product will occur completely in the home country of its innovation. In the 1960s this was a useful theory to explain the manufacturing success of the United States. US manufacturing was the globally dominant producer in many industries after World War II.
It has also been used to describe how the personal computer (PC) went through its product cycle. The PC was a new product in the 1970s and developed into a mature product during the 1980s and 1990s. Today, the PC is in the standardized product stage, and the majority of manufacturing and production process is done in low-cost countries in Asia and Mexico.
The product life cycle theory has been less able to explain current trade patterns where innovation and manufacturing occur around the world. For example, global companies even conduct research and development in developing markets where highly skilled labor and facilities are usually cheaper. Even though research and development is typically associated with the first or new product stage and therefore completed in the home country, these developing or emerging-market countries, such as India and China, offer both highly skilled labor and new research facilities at a substantial cost advantage for global firms.
Global Strategic Rivalry Theory
Global strategic rivalry theory emerged in the 1980s and was based on the work of economists Paul Krugman and Kelvin Lancaster. Their theory focused on MNCs and their efforts to gain a competitive advantage against other global firms in their industry. Firms will encounter global competition in their industries and in order to prosper, they must develop competitive advantages. The critical ways that firms can obtain a sustainable competitive advantage are called the barriers to entry for that industry. The barriers to entry
The obstacles a new firm may face when trying to enter into an industry or new market.
refer to the obstacles a new firm may face when trying to enter into an industry or new market. The barriers to entry that corporations may seek to optimize include:
research and development,
the ownership of intellectual property rights,
economies of scale,
unique business processes or methods as well as extensive experience in the industry, and
the control of resources or favorable access to raw materials.
Porter’s National Competitive Advantage Theory
In the continuing evolution of international trade theories, Michael Porter of Harvard Business School developed a new model to explain national competitive advantage in 1990. Porter’s theory
A modern, firm-based international trade theory that states that a nation’s or firm’s competitiveness in an industry depends on the capacity of the industry and firm to innovate and upgrade. In addition to the roles of government and chance, this theory identifies four key determinants of national competitiveneness: (1) local market resources and capabilities, (2) local market demand conditions, (3) local suppliers and complementary industries, and (4) local firm characteristics.
stated that a nation’s competitiveness in an industry depends on the capacity of the industry to innovate and upgrade. His theory focused on explaining why some nations are more competitive in certain industries. To explain his theory, Porter identified four determinants that he linked together. The four determinants are (1) local market resources and capabilities, (2) local market demand conditions, (3) local suppliers and complementary industries, and (4) local firm characteristics.
Local market resources and capabilities (factor conditions). Porter recognized the value of the factor proportions theory, which considers a nation’s resources (e.g., natural resources and available labor) as key factors in determining what products a country will import or export. Porter added to these basic factors a new list of advanced factors, which he defined as skilled labor, investments in education, technology, and infrastructure. He perceived these advanced factors as providing a country with a sustainable competitive advantage.
Local market demand conditions. Porter believed that a sophisticated home market is critical to ensuring ongoing innovation, thereby creating a sustainable competitive advantage. Companies whose domestic markets are sophisticated, trendsetting, and demanding forces continuous innovation and the development of new products and technologies. Many sources credit the demanding US consumer with forcing US software companies to continuously innovate, thus creating a sustainable competitive advantage in software products and services.
Local suppliers and complementary industries. To remain competitive, large global firms benefit from having strong, efficient supporting and related industries to provide the inputs required by the industry. Certain industries cluster geographically, which provides efficiencies and productivity.
Local firm characteristics. Local firm characteristics include firm strategy, industry structure, and industry rivalry. Local strategy affects a firm’s competitiveness. A healthy level of rivalry between local firms will spur innovation and competitiveness.
In addition to the four determinants of the diamond, Porter also noted that government and chance play a part in the national competitiveness of industries. Governments can, by their actions and policies, increase the competitiveness of firms and occasionally entire industries.
Porter’s theory, along with the other modern, firm-based theories, offers an interesting interpretation of international trade trends. Nevertheless, they remain relatively new and minimally tested theories.
Which Trade Theory Is Dominant Today?
The theories covered in this chapter are simply that—theories. While they have helped economists, governments, and businesses better understand international trade and how to promote, regulate, and manage it, these theories are occasionally contradicted by real-world events. Countries don’t have absolute advantages in many areas of production or services and, in fact, the factors of production aren’t neatly distributed between countries. Some countries have a disproportionate benefit of some factors. The United States has ample arable land that can be used for a wide range of agricultural products. It also has extensive access to capital. While it’s labor pool may not be the cheapest, it is among the best educated in the world. These advantages in the factors of production have helped the United States become the largest and richest economy in the world. Nevertheless, the United States also imports a vast amount of goods and services, as US consumers use their wealth to purchase what they need and want—much of which is now manufactured in other countries that have sought to create their own comparative advantages through cheap labor, land, or production costs.
As a result, it’s not clear that any one theory is dominant around the world. This section has sought to highlight the basics of international trade theory to enable you to understand the realities that face global businesses. In practice, governments and companies use a combination of these theories to both interpret trends and develop strategy. Just as these theories have evolved over the past five hundred years, they will continue to change and adapt as new factors impact international trade.
Key Takeaways
Trade is the concept of exchanging goods and services between two people or entities. International trade is the concept of this exchange between people or entities in two different countries. While a simplistic definition, the factors that impact trade are complex, and economists throughout the centuries have attempted to interpret trends and factors through the evolution of trade theories.
There are two main categories of international trade—classical, country-based and modern, firm-based.
Porter’s theory states that a nation’s competitiveness in an industry depends on the capacity of the industry to innovate and upgrade. He identified four key determinants: (1) local market resources and capabilities (factor conditions), (2) local market demand conditions, (3) local suppliers and complementary industries, and (4) local firm characteristics.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What is international trade?
Summarize the classical, country-based international trade theories. What are the differences between these theories, and how did the theories evolve?
What are the modern, firm-based international trade theories?
Describe how a business may use the trade theories to develop its business strategies. Use Porter’s four determinants in your explanation.
2.2 Political and Legal Factors That Impact International Trade
Learning Objectives
Know the different political systems.
Identify the different legal systems.
Understand government-business trade relations and how political and legal factors impact international business.
Why should businesses care about the different political and legal systems around the world? To begin with, despite the globalization of business, firms must abide by the local rules and regulations of the countries in which they operate. In the case study in Chapter 1 "Introduction", you discovered how US-based Google had to deal with the Chinese government’s restrictions on the freedom of speech in order to do business in China. China’s different set of political and legal guidelines made Google choose to discontinue its mainland Chinese version of its site and direct mainland Chinese users to a Hong Kong version.
Until recently, governments were able to directly enforce the rules and regulations based on their political and legal philosophies. The Internet has started to change this, as sellers and buyers have easier access to each other. Nevertheless, countries still have the ability to regulate or strong-arm companies into abiding by their rules and regulations. As a result, global businesses monitor and evaluate the political and legal climate in countries in which they currently operate or hope to operate in the future.
Before we can evaluate the impact on business, let’s first look at the different political and legal systems.
What Are the Different Political Systems?
The study of political systems is extensive and complex. A political system
The system of politics and government in a country; it governs a complete set of rules, regulations, institutions, and attitudes.
is basically the system of politics and government in a country. It governs a complete set of rules, regulations, institutions, and attitudes. A main differentiator of political systems is each system’s philosophy on the rights of the individual and the group as well as the role of government. Each political system’s philosophy impacts the policies that govern the local economy and business environment.
There are more than thirteen major types of government, each of which consists of multiple variations. Let’s focus on the overarching modern political philosophies. At one end of the extremes of political philosophies, or ideologies, is anarchism
A political ideology that contends that individuals should control political activities and public government is both unnecessary and unwanted.
, which contends that individuals should control political activities and public government is both unnecessary and unwanted. At the other extreme is totalitarianism
A political ideology that contends that every aspect of an individual’s life should be controlled and dictated by a strong central government.
, which contends that every aspect of an individual’s life should be controlled and dictated by a strong central government. In reality, neither extreme exists in its purest form. Instead, most countries have a combination of both, the balance of which is often a reflection of the country’s history, culture, and religion. This combination is called pluralism
A political ideology that asserts that both public and private groups are important in a well-functioning political system.
, which asserts that both public and private groups are important in a well-functioning political system. Although most countries are pluralistic politically, they may lean more to one extreme than the other.
In some countries, the government controls more aspects of daily life than in others. While the common usage treats totalitarian and authoritarian as synonyms, there is a distinct difference. For the purpose of this discussion, the main relevant difference is in ideology. Authoritarian governments centralize all control in the hands of one strong leader or a small group of leaders, who have full authority. These leaders are not democratically elected and are not politically, economically, or socially accountable to the people in the country. Totalitarianism, a more extreme form of authoritarianism, occurs when an authoritarian leadership is motivated by a distinct ideology, such as communism. In totalitarianism, the ideology influences or controls the people, not just a person or party. Authoritarian leaders tend not to have a guiding philosophy and use more fear and corruption to maintain control.
Democracy
A form of government that derives its power from the people.
is the most common form of government around the world today. Democratic governments derive their power from the people of the country, either by direct referendum (called a direct democracy) or by means of elected representatives of the people (a representative democracy). Democracy has a number of variations, both in theory and practice, some of which provide better representation and more freedoms for their citizens than others.
Did You Know?
It may seem evident that businesses would prefer to operate in open, democratic countries; however, it can be difficult to determine which countries fit the democratic criteria. As a result, there are a variety of institutions, including the Economist, which analyze and rate countries based on their openness and adherence to democratic principles.
There is no consensus on how to measure democracy, definitions of democracy are contested and there is an ongoing lively debate on the subject. Although the terms “freedom” and “democracy” are often used interchangeably, the two are not synonymous. Democracy can be seen as a set of practices and principles that institutionalise and thus ultimately protect freedom. Even if a consensus on precise definitions has proved elusive, most observers today would agree that, at a minimum, the fundamental features of a democracy include government based on majority rule and the consent of the governed, the existence of free and fair elections, the protection of minorities and respect for basic human rights. Democracy presupposes equality before the law, due process and political pluralism. “Liberty and Justice for Some,” Economist, August 22, 2007, accessed December 21, 2010, http://www.economist.com/node/8908438.
To further illustrate the complexity of the definition of a democracy, the Economist Intelligence Unit’s annual “Index of Democracy” uses a detailed questionnaire and analysis process to provide “a snapshot of the current state of democracy worldwide for 165 independent states and two territories (this covers almost the entire population of the world and the vast majority of the world’s independent states (27 micro states are excluded) [as of 2008)].” Economist Intelligence Unit, “The Economist Intelligence Unit’s Index of Democracy 2008,” Economist, October 29, 2008, accessed December 21, 2010, http://graphics.eiu.com/PDF/Democracy%20Index%202008.pdf. Several things stand out in the 2008 index.
Although almost half of the world’s countries can be considered to be democracies, the number of “full democracies” is relatively low (only 30); 50 are rated as “flawed democracies.” Of the remaining 87 states, 51 are authoritarian and 36 are considered to be “hybrid regimes.” As could be expected, the developed OECD countries dominate among full democracies, although there are two Latin American, two central European and one African country, which suggest that the level of development is not a binding constraint. Only two Asian countries are represented: Japan and South Korea.
Half of the world’s population lives in a democracy of some sort, although only some 14 percent reside in full democracies. Despite the advances in democracy in recent decades, more than one third the world’s population still lives under authoritarian rule. Economist Intelligence Unit, “The Economist Intelligence Unit’s Index of Democracy 2008,” Economist, October 29, 2008, accessed December 21, 2010, http://graphics.eiu.com/PDF/Democracy%20Index%202008.pdf.
What businesses must focus on is how a country’s political system impacts the economy as well as the particular firm and industry. Firms need to assess the balance to determine how local policies, rules, and regulations will affect their business. Depending on how long a company expects to operate in a country and how easy it is for it to enter and exit, a firm may also assess the country’s political risk and stability. A company may ask several questions regarding a prospective country’s government to assess possible risks:
How stable is the government?
Is it a democracy or a dictatorship?
If a new party comes into power, will the rules of business change dramatically?
Is power concentrated in the hands of a few, or is it clearly outlined in a constitution or similar national legal document?
How involved is the government in the private sector?
Is there a well-established legal environment both to enforce policies and rules as well as to challenge them?
How transparent is the government’s political, legal, and economic decision-making process?
While any country can, in theory, pose a risk in all of these factors, some countries offer a more stable business environment than others. In fact, political stability is a key part of government efforts to attract foreign investment to their country. Businesses need to assess if a country believes in free markets, government control, or heavy intervention (often to the benefit of a few) in industry. The country’s view on capitalism is also a factor for business consideration. In the broadest sense, capitalism
An economic system in which the means of production are owned and controlled privately.
is an economic system in which the means of production are owned and controlled privately. In contrast, a planned economy
An economic system in which the government or state directs and controls the economy, including the means and decision making for production.
is one in which the government or state directs and controls the economy, including the means and decision making for production. Historically, democratic governments have supported capitalism and authoritarian regimes have tended to utilize a state-controlled approach to managing the economy.
As you might expect, established democracies, such as those found in the United States, Canada, Western Europe, Japan, and Australia, offer a high level of political stability. While many countries in Asia and Latin America also are functioning democracies, their stage of development impacts the stability of their economic and trade policy, which can fluctuate with government changes. Chapter 4 "World Economies" provides more details about developed and developing countries and emerging markets.
Within reason, in democracies, businesses understand that most rules survive changes in government. Any changes are usually a reflection of a changing economic environment, like the world economic crisis of 2008, and not a change in the government players.
This contrasts with more authoritarian governments, where democracy is either not in effect or simply a token process. China is one of the more visible examples, with its strong government and limited individual rights. However, in the past two decades, China has pursued a new balance of how much the state plans and manages the national economy. While the government still remains the dominant force by controlling more than a third of the economy, more private businesses have emerged. China has successfully combined state intervention with private investment to develop a robust, market-driven economy—all within a communist form of government. This system is commonly referred to as “a socialist market economy with Chinese characteristics.” The Chinese are eager to portray their version of combining an authoritarian form of government with a market-oriented economy as a better alternative model for fledging economies, such as those in Africa. This new combination has also posed more questions for businesses that are encountering new issues—such as privacy, individual rights, and intellectual rights protections—as they try to do business with China, now the second-largest economy in the world behind the United States. The Chinese model of an authoritarian government and a market-oriented economy has, at times, tilted favor toward companies, usually Chinese, who understand how to navigate the nuances of this new system. Chinese government control on the Internet, for example, has helped propel homegrown, Baidu, a Chinese search engine, which earns more than 73 percent of the Chinese search-engine revenues. Baidu self-censors and, as a result, has seen its revenues soar after Google limited its operations in the country. Rolfe Winkler, “Internet Plus China Equals Screaming Baidu,” Wall Street Journal, November 9, 2010, accessed December 21, 2010, http://online.wsj.com/article/SB10001424052748703514904575602781130437538.html.
It might seem straightforward to assume that businesses prefer to operate only in democratic, capitalist countries where there is little or no government involvement or intervention. However, history demonstrates that, for some industries, global firms have chosen to do business with countries whose governments control that industry. Businesses in industries, such as commodities and oil, have found more authoritarian governments to be predictable partners for long-term access and investment for these commodities. The complexity of trade in these situations increases, as throughout history, governments have come to the aid and protection of their nation’s largest business interests in markets around the world. The history of the oil industry shows how various governments have, on occasion, protected their national companies’ access to oil through political force. In current times, the Chinese government has been using a combination of government loans and investment in Africa to obtain access for Chinese companies to utilize local resources and commodities. Many business analysts mention these issues in discussions of global business ethics and the role and responsibility of companies in different political environments.
What Are the Different Legal Systems?
Let’s focus briefly on how the political and economic ideologies that define countries impact their legal systems. In essence, there are three main kinds of legal systems—common law, civil law, and religious or theocratic law. Most countries actually have a combination of these systems, creating hybrid legal systems.
Civil law
A legal system based on a detailed set of laws that constitute a code and on how the law is applied to the facts.
is based on a detailed set of laws that constitute a code and focus on how the law is applied to the facts. It’s the most widespread legal system in the world.
Common law
A legal system based on traditions and precedence. In this system, judges interpret the law and judicial rulings can set precedent.
is based on traditions and precedence. In common law systems, judges interpret the law and judicial rulings can set precedent.
Religious law
Also known as theocratic law; this legal system is based on religious guidelines.
is also known as theocratic law and is based on religious guidelines. The most commonly known example of religious law is Islamic law, also known as Sharia
Islamic religious law that addresses all aspect of daily life; in terms of business and finance, the law prohibits charging interest on money and other common investment activities, including hedging and short selling.
. Islamic law governs a number of Islamic nations and communities around the world and is the most widely accepted religious law system. Two additional religious law systems are the Jewish Halacha and the Christian Canon system, neither of which is practiced at the national level in a country. The Christian Canon system is observed in the Vatican City.
The most direct impact on business can be observed in Islamic law—which is a moral, rather than a commercial, legal system. Sharia has clear guidelines for aspects of life. For example, in Islamic law, business is directly impacted by the concept of interest. According to Islamic law, banks cannot charge or benefit from interest. This provision has generated an entire set of financial products and strategies to simulate interest—or a gain—for an Islamic bank, while not technically being classified as interest. Some banks will charge a large up-front fee. Many are permitted to engage in sale-buyback or leaseback of an asset. For example, if a company wants to borrow money from an Islamic bank, it would sell its assets or product to the bank for a fixed price. At the same time, an agreement would be signed for the bank to sell back the assets to the company at a later date and at a higher price. The difference between the sale and buyback price functions as the interest. In the Persian Gulf region alone, there are twenty-two Sharia-compliant, Islamic banks, which in 2008 had approximately $300 billion in assets. Tala Malik, “Gulf Islamic Bank Assets to Hit $300bn,” Arabian Business, February 20, 2008, accessed December 21, 2010, http://www.arabianbusiness.com/511804-gulf-islamic-banks-assets-to-hit-300bn. Clearly, many global businesses and investment banks are finding creative ways to do business with these Islamic banks so that they can comply with Islamic law while earning a profit.
Government—Business Trade Relations: The Impact of Political and Legal Factors on International Trade
How do political and legal realities impact international trade, and what do businesses need to think about as they develop their global strategy? Governments have long intervened in international trade through a variety of mechanisms. First, let’s briefly discuss some of the reasons behind these interventions.
Why Do Governments Intervene in Trade?
Governments intervene in trade for a combination of political, economic, social, and cultural reasons.
Politically, a country’s government may seek to protect jobs or specific industries. Some industries may be considered essential for national security purposes, such as defense, telecommunications, and infrastructure—for example, a government may be concerned about who owns the ports within its country. National security issues can impact both the import and exports of a country, as some governments may not want advanced technological information to be sold to unfriendly foreign interests. Some governments use trade as a retaliatory measure if another country is politically or economically unfair. On the other hand, governments may influence trade to reward a country for political support on global matters.
Did You Know?
State Capitalism: Governments Seeking to Control Key Industries
Despite the movement toward privatizing industry and free trade, government interests in their most valuable commodity, oil, remains constant. The thirteen largest oil companies (as measured by the reserves they control) in the world are all state-run and all are bigger than ExxonMobil, which is the world’s largest private oil company. State-owned companies control more than 75 percent of all crude oil production, in contrast with only 10 percent for private multinational oil firms. Ian Bremmer, “The Long Shadow of the Visible Hand,” Wall Street Journal, May 22, 2010, accessed December 21, 2010, http://online.wsj.com/article/SB10001424052748704852004575258541875590852.html; “Really Big Oil,” Economist, August 10, 2006, accessed December 21, 2010, http://www.economist.com/node/7276986.
Table 2.1 The Major Global State-Owned Oil Companies
Aramco
Saudi Arabia
Gazprom
Russia
China National Petroleum Corp.
China
National Iranian Oil Co.
Iran
Petróleos de Venezuela
Venezuela
Petrobras
Brazil
Petronas
Malaysia
Source: Energy Intelligence Group, “ Petroleum Intelligence Weekly Ranks World’s Top 50 Oil Companies (2009),” news release, December 1, 2008, accessed December 21, 2010, http://www.energyintel.com/documentdetail.asp?document_id=245527.
In the past thirty years, governments have increasingly privatized a number of industries. However, “in defense, power generation, telecoms, metals, minerals, aviation, and other sectors, a growing number of emerging-market governments, not content with simply regulating markets, are moving to dominate them.” Ian Bremmer, “The Long Shadow of the Visible Hand,” Wall Street Journal, May 22, 2010, accessed December 21, 2010, http://online.wsj.com/article/SB10001424052748704852004575258541875590852.html.
State companies, like their private sector counterparts, get to keep the profits from oil production, creating a significant incentive for governments to either maintain or regain control of this very lucrative industry. Whether the motive is economic (i.e., profit) or political (i.e., state control), “foreign firms and investors find that national and local rules and regulations are increasingly designed to favor domestic firms at their expense. Multinationals now find themselves competing as never before with state-owned companies armed with substantial financial and political support from their governments.” Ian Bremmer, “The Long Shadow of the Visible Hand,” Wall Street Journal, May 22, 2010, accessed December 21, 2010, http://online.wsj.com/article/SB10001424052748704852004575258541875590852.html.
Governments are also motivated by economic factors to intervene in trade. They may want to protect young industries or to preserve access to local consumer markets for domestic firms.
Cultural and social factors might also impact a government’s intervention in trade. For example, some countries’ governments have tried to limit the influence of American culture on local markets by limiting or denying the entry of American companies operating in the media, food, and music industries.
How Do Governments Intervene in Trade?
While the past century has seen a major shift toward free trade, many governments continue to intervene in trade. Governments have several key policy areas that can be used to create rules and regulations to control and manage trade.
Tariffs. Tariffs are taxes imposed on imports. Two kinds of tariffs exist— specific tariffs
Taxes or tariffs that are levied as a fixed charge, regardless of the value of the product or service.
, which are levied as a fixed charge, and ad valorem tariffs
Tariffs that are calculated as a percentage of the value of the product or service.
, which are calculated as a percentage of the value. Many governments still charge ad valorem tariffs as a way to regulate imports and raise revenues for their coffers.
Subsidies. A subsidy is a form of government payment to a producer. Types of subsidies include tax breaks or low-interest loans; both of which are common. Subsidies can also be cash grants and government-equity participation, which are less common because they require a direct use of government resources.
Import quotas and VER. Import quotas and voluntary export restraints (VER) are two strategies to limit the amount of imports into a country. The importing government directs import quotas, while VER are imposed at the discretion of the exporting nation in conjunction with the importing one.
Currency controls. Governments may limit the convertibility of one currency (usually its own) into others, usually in an effort to limit imports. Additionally, some governments will manage the exchange rate at a high level to create an import disincentive.
Local content requirements. Many countries continue to require that a certain percentage of a product or an item be manufactured or “assembled” locally. Some countries specify that a local firm must be used as the domestic partner to conduct business.
Antidumping rules. Dumping occurs when a company sells product below market price often in order to win market share and weaken a competitor.
Export financing. Governments provide financing to domestic companies to promote exports.
Free-trade zone. Many countries designate certain geographic areas as free-trade zones. These areas enjoy reduced tariffs, taxes, customs, procedures, or restrictions in an effort to promote trade with other countries.
Administrative policies. These are the bureaucratic policies and procedures governments may use to deter imports by making entry or operations more difficult and time consuming.
Did You Know?
Government Intervention in China
As shown in the opening case study, China is using its economic might to invest in Africa. China’s ability to focus on dominating key industries inspires both fear and awe throughout the world. A closer look at the solar industry in China illustrates the government’s ability to create new industries and companies based on its objectives. With its huge population, China is in constant need of energy to meet the needs of its people and businesses.
Fast-growing China has an insatiable appetite for energy.
© 2011, Atma Global Inc. All rights reserved.
As a result, the government has placed a priority on energy related technologies, including solar energy. China’s expanding solar-energy industry is dependent on polycrystalline silicon, the main raw material for solar panels. Facing a shortage in 2007, growing domestic demand, and high prices from foreign companies that dominated production, China declared the development of domestic polysilicon supplies a priority. Domestic Chinese manufacturers received quick loans with favorable terms as well as speedy approvals. One entrepreneur, Zhu Gongshan, received $1 billion in funding, including a sizeable investment from China’s sovereign wealth fund, in record time, enabling his firm GCL-Poly Energy Holding to become one of the world’s biggest in less than three years. The company now has a 25 percent market share of polysilicon and almost 50 percent of the global market for solar-power equipment. Jason Dean, Andrew Browne, and Shai Oster, “China’s ‘State Capitalism’ Sparks Global Backlash,” Wall Street Journal, November 16, 2010, accessed December 22, 2010, http://online.wsj.com/article/SB10001424052748703514904575602731006315198.html.
How did this happen so fast? Many observers note that it was the direct result of Chinese government intervention in what was deemed a key industry.
Central to China’s approach are policies that champion state-owned firms and other so-called national champions, seek aggressively to obtain advanced technology, and manage its exchange rate to benefit exporters. It leverages state control of the financial system to channel low-cost capital to domestic industries—and to resource-rich foreign nations (such as those we read in the opening case) whose oil and minerals China needs to maintain rapid growth. Jason Dean, Andrew Browne, and Shai Oster, “China’s ‘State Capitalism’ Sparks Global Backlash,” Wall Street Journal, November 16, 2010, accessed December 22, 2010, http://online.wsj.com/article/SB10001424052748703514904575602731006315198.html.
Understanding the balance between China’s government structure and its ideology is essential to doing business in this complex country. China is both an emerging market and a rising superpower. Its leaders see the economy as a tool to preserving the state’s power, which in turn is essential to maintaining stability and growth and ensuring the long-term viability of the Communist Party. Jason Dean, Andrew Browne, and Shai Oster, “China’s ‘State Capitalism’ Sparks Global Backlash,” Wall Street Journal, November 16, 2010, accessed December 22, 2010, http://online.wsj.com/article/SB10001424052748703514904575602731006315198.html.
Contrary to the approach of much of the world, which is moving more control to the private sector, China has steadfastly maintained its state control. For example, the Chinese government owns almost all the major banks, the three largest oil companies, the three telecommunications carriers, and almost all of the media.
China’s Communist Party outlines its goals in five-year plans. The most recent one emphasizes the government’s goal for China to become a technology powerhouse by 2020 and highlights key areas such as green technology, hence the solar industry expansion. Free trade advocates perceive this government-directed intervention as an unfair tilt against the global private sector. Nevertheless, global companies continue to seek the Chinese market, which offers much-needed growth and opportunity. Jason Dean, Andrew Browne, and Shai Oster, “China’s ‘State Capitalism’ Sparks Global Backlash,” Wall Street Journal, November 16, 2010, accessed December 22, 2010, http://online.wsj.com/article/SB10001424052748703514904575602731006315198.html.
Key Takeaways
There are more than thirteen major types of government and each type consists of multiple variations. At one end of the political ideology extremes is anarchism, which contends that individuals should control political activities and public government is both unnecessary and unwanted. The other extreme is totalitarianism, which contends that every aspect of an individual’s life should be controlled and dictated by a strong central government. Neither extreme exists in its purest form in the real world. Instead, most countries have a combination of both. This combination is called pluralism, which asserts that both public and private groups are important in a well-functioning political system. Democracy is the most common form of government today. Democratic governments derive their power from the people of the country either by direct referendum, called a direct democracy, or by means of elected representatives of the people, known as a representative democracy.
Capitalism is an economic system in which the means of production are owned and controlled privately. In contrast a planned economy is one in which the government or state directs and controls the economy.
There are three main types of legal systems: (1) civil law, (2) common law, and (3) religious law. In practice, countries use a combination of one or more of these systems and often adapt them to suit the local values and culture.
Government-business trade relations are the relationships between national governments and global businesses. Governments intervene in trade to protect their nation’s economy and industry, as well as promote and preserve their social, cultural, political, and economic structures and philosophies. Governments have several key policy areas in which they can create rules and regulations in order to control and manage trade, including tariffs, subsidies; import quotas and VER, currency controls, local content requirements, antidumping rules, export financing, free-trade zones, and administrative policies.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
Identify the main political ideologies.
What is capitalism? What is a planned economy? Compare and contrast the two forms of economic ideology discussed in this section.
What are three policy areas in which governments can create rules and regulations in order to control, manage, and intervene in trade.
2.3 Foreign Direct Investment
Learning Objectives
Understand the types of international investments.
Identify the factors that influence foreign direct investment (FDI).
Explain why and how governments encourage FDI in their countries.
Understand the Types of International Investments
There are two main categories of international investment—portfolio investment and foreign direct investment. Portfolio investment
The investment in a company’s stocks, bonds, or assets, but not for the purpose of controlling or directing the firm’s operations or management.
refers to the investment in a company’s stocks, bonds, or assets, but not for the purpose of controlling or directing the firm’s operations or management. Typically, investors in this category are looking for a financial rate of return as well as diversifying investment risk through multiple markets.
Foreign direct investment (FDI)
The acquisition of foreign assets with the intent to control and manage them.
refers to an investment in or the acquisition of foreign assets with the intent to control and manage them. Companies can make an FDI in several ways, including purchasing the assets of a foreign company; investing in the company or in new property, plants, or equipment; or participating in a joint venture with a foreign company, which typically involves an investment of capital or know-how. FDI is primarily a long-term strategy. Companies usually expect to benefit through access to local markets and resources, often in exchange for expertise, technical know-how, and capital. A country’s FDI can be both inward and outward. As the terms would suggest, inward FDI
An investment into a country by a company from another country.
refers to investments coming into the country and outward FDI
An investment made by a domestic company into companies in other countries.
are investments made by companies from that country into foreign companies in other countries. The difference between inward and outward is called the net FDI inflow, which can be either positive or negative.
Governments want to be able to control and regulate the flow of FDI so that local political and economic concerns are addressed. Global businesses are most interested in using FDI to benefit their companies. As a result, these two players—governments and companies—can at times be at odds. It’s important to understand why companies use FDI as a business strategy and how governments regulate and manage FDI.
Factors That Influence a Company’s Decision to Invest
Let’s look at why and how companies choose to invest in foreign markets. Simply purchasing goods and services or deciding to invest in a local market depends on a business’s needs and overall strategy. Direct investment in a country occurs when a company chooses to set up facilities to produce or market their products; or seeks to partner with, invest in, or purchase a local company for control and access to the local market, production, or resources. Many considerations influence its decisions:
Cost. Is it cheaper to produce in the local market than elsewhere?
Logistics. Is it cheaper to produce locally if the transportation costs are significant?
Market. Has the company identified a significant local market?
Natural resources. Is the company interested in obtaining access to local resources or commodities?
Know-how. Does the company want access to local technology or business process knowledge?
Customers and competitors. Does the company’s clients or competitors operate in the country?
Policy. Are there local incentives (cash and noncash) for investing in one country versus another?
Ease. Is it relatively straightforward to invest and/or set up operations in the country, or is there another country in which setup might be easier?
Culture. Is the workforce or labor pool already skilled for the company’s needs or will extensive training be required?
Impact. How will this investment impact the company’s revenue and profitability?
Expatriation of funds. Can the company easily take profits out of the country, or are there local restrictions?
Exit. Can the company easily and orderly exit from a local investment, or are local laws and regulations cumbersome and expensive?
These are just a few of the many factors that might influence a company’s decision. Keep in mind that a company doesn’t need to sell in the local market in order to deem it a good option for direct investment. For example, companies set up manufacturing facilities in low-cost countries but export the products to other markets.
There are two forms of FDI—horizontal and vertical. Horizontal FDI
When a company is trying to open up a new market that is similar to its domestic markets.
occurs when a company is trying to open up a new market—a retailer, for example, that builds a store in a new country to sell to the local market. Vertical FDI
When a company invests internationally to provide input into its core operations usually in its home country. A firm may invest in production facilities in another country. If the firm brings the goods or components back to its home country (acting as a supplier), then it is called backward vertical FDI. If the firm sells the goods into the local or regional market (acting more as a distributor), then it is referred to as forward vertical FDI.
is when a company invests internationally to provide input into its core operations—usually in its home country. A firm may invest in production facilities in another country. When a firm brings the goods or components back to its home country (i.e., acting as a supplier), this is referred to as backward vertical FDI. When a firm sells the goods into the local or regional market (i.e., acting as a distributor), this is termed forward vertical FDI. The largest global companies often engage in both backward and forward vertical FDI depending on their industry.
Many firms engage in backward vertical FDI. The auto, oil, and infrastructure (which includes industries related to enhancing the infrastructure of a country—that is, energy, communications, and transportation) industries are good examples of this. Firms from these industries invest in production or plant facilities in a country in order to supply raw materials, parts, or finished products to their home country. In recent years, these same industries have also started to provide forward FDI by supplying raw materials, parts, or finished products to newly emerging local or regional markets.
There are different kinds of FDI, two of which—greenfield and brownfield—are increasingly applicable to global firms. Greenfield FDIs
An FDI strategy in which a company builds new facilities from scratch.
occur when multinational corporations enter into developing countries to build new factories or stores. These new facilities are built from scratch—usually in an area where no previous facilities existed. The name originates from the idea of building a facility on a green field, such as farmland or a forested area. In addition to building new facilities that best meet their needs, the firms also create new long-term jobs in the foreign country by hiring new employees. Countries often offer prospective companies tax breaks, subsidies, and other incentives to set up greenfield investments.
A brownfield FDI
An FDI strategy in which a company or government entity purchases or leases existing production facilities to launch a new production activity.
is when a company or government entity purchases or leases existing production facilities to launch a new production activity. One application of this strategy is where a commercial site used for an “unclean” business purpose, such as a steel mill or oil refinery, is cleaned up and used for a less polluting purpose, such as commercial office space or a residential area. Brownfield investment is usually less expensive and can be implemented faster; however, a company may have to deal with many challenges, including existing employees, outdated equipment, entrenched processes, and cultural differences.
You should note that the terms greenfield and brownfield are not exclusive to FDI; you may hear them in various business contexts. In general, greenfield refers to starting from the beginning, and brownfield refers to modifying or upgrading existing plans or projects.
Why and How Governments Encourage FDI
Many governments encourage FDI in their countries as a way to create jobs, expand local technical knowledge, and increase their overall economic standards. Ian Bremmer, The End of the Free Market: Who Wins the War Between States and Corporations (New York: Portfolio, 2010). Countries like Hong Kong and Singapore long ago realized that both global trade and FDI would help them grow exponentially and improve the standard of living for their citizens. As a result, Hong Kong (before its return to China) was one of the easiest places to set up a new company. Guidelines were clearly available, and businesses could set up a new office within days. Similarly, Singapore, while a bit more discriminatory on the size and type of business, offered foreign companies a clear, streamlined process for setting up a new company.
In contrast, for decades, many other countries in Asia (e.g., India, China, Pakistan, the Philippines, and Indonesia) restricted or controlled FDI in their countries by requiring extensive paperwork and bureaucratic approvals as well as local partners for any new foreign business. These policies created disincentives for many global companies. By the 1990s (and earlier for China), many of the countries in Asia had caught the global trade bug and were actively trying to modify their policies to encourage more FDI. Some were more successful than others, often as a result of internal political issues and pressures rather than from any repercussions of global trade. UNCTAD compiles statistics on foreign direct investment (FDI): “Foreign Direct Investment database,” UNCTAD United Nations Conference on Trade and Development, accessed February 16, 2011, http://unctadstat.unctad.org/ReportFolders/reportFolders.aspx?sRF_ActivePath=P,5,27&sRF_Expanded=,P,5,27&sCS_ChosenLang=en.
How Governments Discourage or Restrict FDI
In most instances, governments seek to limit or control foreign direct investment to protect local industries and key resources (oil, minerals, etc.), preserve the national and local culture, protect segments of their domestic population, maintain political and economic independence, and manage or control economic growth. A government use various policies and rules:
Ownership restrictions. Host governments can specify ownership restrictions if they want to keep the control of local markets or industries in their citizens’ hands. Some countries, such as Malaysia, go even further and encourage that ownership be maintained by a person of Malay origin, known locally as bumiputra. Although the country’s Foreign Investment Committee guidelines are being relaxed, most foreign businesses understand that having a bumiputra partner will improve their chances of obtaining favorable contracts in Malaysia.
Tax rates and sanctions. A company’s home government usually imposes these restrictions in an effort to persuade companies to invest in the domestic market rather than a foreign one.
How Governments Encourage FDI
Governments seek to promote FDI when they are eager to expand their domestic economy and attract new technologies, business know-how, and capital to their country. In these instances, many governments still try to manage and control the type, quantity, and even the nationality of the FDI to achieve their domestic, economic, political, and social goals.
Financial incentives. Host countries offer businesses a combination of tax incentives and loans to invest. Home-country governments may also offer a combination of insurance, loans, and tax breaks in an effort to promote their companies’ overseas investments. The opening case on China in Africa illustrated these types of incentives.
Infrastructure. Host governments improve or enhance local infrastructure—in energy, transportation, and communications—to encourage specific industries to invest. This also serves to improve the local conditions for domestic firms.
Administrative processes and regulatory environment. Host-country governments streamline the process of establishing offices or production in their countries. By reducing bureaucracy and regulatory environments, these countries appear more attractive to foreign firms.
Invest in education. Countries seek to improve their workforce through education and job training. An educated and skilled workforce is an important investment criterion for many global businesses.
Political, economic, and legal stability. Host-country governments seek to reassure businesses that the local operating conditions are stable, transparent (i.e., policies are clearly stated and in the public domain), and unlikely to change.
Ethics in Action
Encouraging Foreign Investment
Governments seek to encourage FDI for a variety of reasons. On occasion, though, the process can cross the lines of ethics and legality. In November 2010, seven global companies paid the US Justice Department “a combined $236 million in fines to settle allegations that they or their contractors bribed foreign officials to smooth the way for importing equipment and materials into several countries.” Kara Scannell, “Shell, Six Other Firms Settle Foreign-Bribery Probe,” Wall Street Journal, November 5, 2010, accessed December 23, 2010, http://online.wsj.com/article/SB10001424052748704805204575594311301043920.html. The companies included Shell and contractors Transocean, Noble, Pride International, Global Santa Fe, Tidewater, and Panalpina World Transport. The bribes were paid to officials in oil-rich countries—Nigeria, Brazil, Azerbaijan, Russia, Turkmenistan, Kazakhstan, and Angola. In the United States, global firms—including ones headquartered elsewhere, but trading on any of the US stock exchanges—are prohibited from paying or even offering to pay bribes to foreign government officials or employees of state-owned businesses with the intent of currying business favors. While the law and the business ethics are clear, in many cases, the penalty fines remain much less onerous than losing critical long-term business revenues. Kara Scannell, “Shell, Six Other Firms Settle Foreign-Bribery Probe,” Wall Street Journal, November 5, 2010, accessed December 23, 2010, http://online.wsj.com/article/SB10001424052748704805204575594311301043920.html.
Did You Know?
Hong Kong: From Junks to Jets? The Rise of a Global Powerhouse
Hong Kong has become a world-class global business center.
© 2011, Atma Global Inc. All rights reserved.
Policies of openness to FDI and international trade have enabled countries around the world to leapfrog economically over their neighbors. The historical rise of Hong Kong is one example. Hong Kong’s economic strengths can be traced to a combination of factors, including its business-friendly laws and policies, a local population that is culturally oriented to transacting trade and business, and Hong Kong’s geographic proximity to the major economies of China, Japan, and Taiwan.
Hong Kong has always been open to global trade. Many people, from the Chinese to the Japanese to the British, have occupied Hong Kong over the centuries, and all of them have contributed to its development as one of the world’s great ports and trading centers.
In 1997, Hong Kong reverted back to Chinese control; however, free enterprise will be governed under the agreement of Basic Law, which established Hong Kong as a separate Special Administrative Region (SAR) of China. Under its Basic Law, in force until 2047, Hong Kong will retain its legal, social, economic, and political systems apart from China’s. Thus, Hong Kong is guaranteed the right to its own monetary system and financial autonomy. Hong Kong is allowed to work independently with the international community; to control trade in strategic commodities, drugs, and illegal transshipments; and to protect intellectual property rights. Under the Basic Law, the Hong Kong SAR maintains an independent tax system and the right to free trade.
Hong Kong has an open business structure, which freely encourages foreign direct investment. Any company that wishes to do business here is free to do so as long as it complies with local laws. Hong Kong’s legal and institutional framework combined with its good banking and financial facilities and business-friendly tax systems have encouraged foreign direct investment as many multinationals located their regional headquarters in Hong Kong.
As a base for doing business with China, Hong Kong now accounts for half of all direct investments in the mainland and is China’s main conduit for investment and trade. China has also become a major investor in Hong Kong.
Culturally, many foreign firms are attracted to Hong Kong by its skilled workforce and the fact that Hong Kong still conducts business in English, a remnant of its British colonial influence. The imprint of the early British trading firms, known as hongs, is particularly strong today in the area of property development. Jardine Matheson and Company, for instance, founded by trader William Jardine, remains one of Hong Kong’s preeminent firms. In many of these companies, British management practices remain firmly in place. Every aspect of Hong Kong’s business laws—whether pertaining to contracts, taxes, or trusts—bears striking similarities to the laws in Britain. All these factors contribute to a business culture that is familiar to people in many multinationals.
Chinese cultural influences have always affected business and are increasingly so today. Many pundits claim that Hong Kong already resembles China’s free-trade zone. And, indeed, the two economies are becoming increasingly intertwined. Much of this economic commingling began in the 1990s, when Hong Kong companies began relocating production centers to the mainland—especially to Guangdong province.
Because of the shift in production to mainland China and other Asian countries, there is not much manufacturing left in Hong Kong. What remains is light in nature and veers toward high-value-added products. In fact, 80 percent of Hong Kong’s gross domestic product now comes from its high value-added service sector: finance, business and legal services, brokerage services, the shipping and cargo industries, and the hotel, food, and beverage industry.
Local Hong Kong companies, as well as foreign businesses based there, are uniquely positioned to play important roles as brokers and intermediaries between the mainland and global corporations. Doing business in China is not only complex and daunting but also requires connections, locally known as guanxi, to influential people and an understanding of local laws and protocol. Developing these relationships and this knowledge is almost impossible without the assistance of an insider. It is in this role that the Hong Kong business community stands to contribute enormously.
Hong Kong’s openness to foreign investment coupled with its proximity to China will ensure its global economic competitiveness for decades to come.
Key Takeaways
There are two main categories of international investment: portfolio investment and foreign direct investment (FDI). Portfolio investment refers to the investment in a company’s stocks, bonds, or assets, but not for the purpose of controlling or directing the firm’s operations or management. FDI refers to an investment in or the acquisition of foreign assets with the intent to control and manage them.
Direct investment in a country occurs when a company chooses to set up facilities to produce or market its products or seeks to partner with, invest in, or purchase a local company for control and access to the local market, production, or resources. Many considerations can influence the company’s decisions, including cost, logistics, market, natural resources, know-how, customers and competitors, policy, ease of entry and exit, culture, impact on revenue and profitability, and expatriation of funds.
Governments discourage or restrict FDI through ownership restrictions, tax rates, and sanctions. Governments encourage FDI through financial incentives; well-established infrastructure; desirable administrative processes and regulatory environment; educational investment; and political, economic, and legal stability.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What are three factors that impact a company’s decision to invest in a country?
What is the difference between vertical and horizontal FDI? Give one example of an industry for each type.
How can governments encourage or discourage FDI?
2.4 Tips in Your Entrepreneurial Walkabout Toolkit
Attracting Trade and Investment
Governments around the world seek to attract trade and investment, but some are better at achieving this objective than others. Are you wondering where the best country to start a business might be? The Wall Street Journal recently made an effort to answer this question by reviewing data from global surveys. Contrary to what you might think given the global push toward globalization and a flat world, most governments still actively limit and control foreign investment.
Governments in the developing world, for instance, often impose high costs and numerous procedures on people who are trying to get a company off the ground. In Zimbabwe, entrepreneurs will have to fork over about 500 percent of the country’s average per-capita income in government fees. Compare that with 0.7 percent in the U.S. In Equatorial Guinea, owners have to slog through 20 procedures to get their venture going, versus just one in Canada and New Zealand. Still, lots of countries are making progress. In a World Bank study of red tape, Samoa was singled out for making the most strides in reforming its practices. It went from one of the toughest places in the world to start a company last year—131st out of 183—to No. 20 this year…China, for instance, ranks as just the 40th best place in the world to start a company. Yet China and its up-and-coming peers score high on forward-looking measures like expectations for job creation—so they’re likely to catch up fast with more-advanced economies. Jeff May, “The Best Country to Start a Business…and Other Facts You Probably Didn’t Know about Entrepreneurship around the World,” Wall Street Journal, November 15, 2010, accessed December 27, 2010, http://online.wsj.com/article/SB10001424052748703859204575525883366862428.html.
Quick Facts
What’s the best place in the world to start a business? Denmark.
What country has the biggest share of women who launch new businesses? Peru.
Where does it cost the most to start a company? You’ll have to pony up the most money in the Netherlands.
Where does it take an average of 694 days to clear government red tape and get a company off the ground? Suriname. Jeff May, “The Best Country to Start a Business…and Other Facts You Probably Didn’t Know about Entrepreneurship around the World,” Wall Street Journal, November 15, 2010, accessed December 27, 2010, http://online.wsj.com/article/SB10001424052748703859204575525883366862428.html.
2.5 End-of-Chapter Questions and Exercises
These exercises are designed to ensure that the knowledge you gain from this book about international business meets the learning standards set out by the international Association to Advance Collegiate Schools of Business (AACSB International). Association to Advance Collegiate Schools of Business website, accessed January 26, 2010, http://www.aacsb.edu. AACSB is the premier accrediting agency of collegiate business schools and accounting programs worldwide. It expects that you will gain knowledge in the areas of communication, ethical reasoning, analytical skills, use of information technology, multiculturalism and diversity, and reflective thinking.
Experiential Exercises
(AACSB: Communication, Use of Information Technology, Analytical Skills)
Define the differences between the classical, country-based trade theories and the modern, firm-based trade theories. If you were a manager for a large manufacturing company charged with developing your firm’s global strategy, how would you use these theories in your analysis? Which theories seem most appealing to you and which don’t seem to apply?
Pick a country as a potential new market for your firm’s operations. Using what you have learned in this chapter and from online resources (e.g., https://www.cia.gov/library/publications/the-world-factbook/index.html and http://globaledge.msu.edu/ ), Central Intelligence Agency, World Factbook, Central Intelligence Agency website, accessed February 16, 2011, https://www.cia.gov/library/publications/the-world-factbook/index.html; globalEDGE website, International Business Center, Michigan State University, accessed February 16, 2011, http://globaledge.msu.edu. assess the local political, economic, and legal factors of the country. Would you recommend to your senior management that your firm establish operations and invest in this country? Which factors do you think are most important in this decision?
Ethical Dilemmas
(AACSB: Ethical Reasoning, Multiculturalism, Reflective Thinking, Analytical Skills)
Imagine that you are working for a US business that is evaluating whether it should move its manufacturing to India or China. You have been asked to present the pros and cons of this investment. Based on what you have learned in this chapter, what political, legal, economic, social, and business factors would you need to assess for each country? Use the Internet for country-specific research. globalEDGE website, International Business Center, Michigan State University, accessed February 16, 2011, http://globaledge.msu.edu.
Imagine that you work for a large, global company that builds power plants for electricity. This industry has a long-term perspective and requires stable, reliable countries in order to make FDIs. You are assigned to evaluate which of the following would be better for a long-term investment: South Africa, Nigeria, Algeria, or Kenya. Recall what you’ve learned in this chapter about political and legal factors and political ideologies—as well as earlier discussions about global business ethics and bribery. Then, using online resources to support your opinion, provide your recommendations to senior management. | msmarco_doc_00_11246333 |
http://2012books.lardbucket.org/books/challenges-and-opportunities-in-international-business/s10-02-what-is-the-role-of-the-imf-an.html | What Is the Role of the IMF and the World Bank? | 6.2
What Is the Role of the IMF and the World Bank?
6.2 What Is the Role of the IMF and the World Bank?
Learning Objectives
International Monetary Fund
History and Purpose
Special Drawing Rights (SDRs)
The IMF’s Current Role and Major Challenges and Opportunities
Criticism and Challenging Areas for the IMF
Opportunities and Future Outlook for the IMF
The World Bank and the World Bank Group
History and Purpose
What Are the World Bank’s Current Role and Major Challenges and Opportunities?
Opportunities and Future Outlook for the World Bank
Key Takeaways
Exercises
| What Is the Role of the IMF and the World Bank?
6.2 What Is the Role of the IMF and the World Bank?
Learning Objectives
Understand the history and purpose of the IMF.
Describe the IMF’s current role and major challenges and opportunities.
Understand the history and purpose of the World Bank.
Describe the World Bank’s current role and major challenges and opportunities.
Section 6.1 "What Is the International Monetary System?" discusses how, during the 1930s, the Great Depression resulted in failing economies. The fall of the gold standard led countries to raise trade barriers, devalue their currencies to compete against one another for export markets and curtail usage of foreign exchange by their citizens. All these factors led to declining world trade, high unemployment, and plummeting living standards in many countries. In 1944, the Bretton Woods Agreement established a new international monetary system. The creation of the International Monetary Fund (IMF) and the World Bank were two of its most enduring legacies.
The World Bank and the IMF, often called the Bretton Woods Institutions, are twin intergovernmental pillars supporting the structure of the world’s economic and financial order. Both have taken on expanding roles, and there have been renewed calls for additional expansion of their responsibilities, particularly in the continuing absence of a single global monetary agreement. The two institutions may seem to have confusing or overlapping functions. However, while some similarities exist (see the following figure), they are two distinct organizations with different roles.
“Despite these and other similarities, however, the Bank and the IMF remain distinct. The fundamental difference is this: the Bank is primarily a development institution; the IMF is a cooperative institution that seeks to maintain an orderly system of payments and receipts between nations. Each has a different purpose, a distinct structure, receives its funding from different sources, assists different categories of members, and strives to achieve distinct goals through methods peculiar to itself.” David D. Driscoll, “The IMF and the World Bank: How Do They Differ?,” International Monetary Fund, last updated August 1996, accessed February 9, 2011, http://www.imf.org/external/pubs/ft/exrp/differ/differ.htm (emphasis added). This section explores both of these institutions and how they have evolved in the almost seventy years since their creation.
International Monetary Fund
History and Purpose
Figure 6.1 IMF Headquarters in Washington, DC
Source: International Monetary Fund, 2011.
The architects of the Bretton Woods Agreement, John Maynard Keynes and Harry Dexter White, envisioned an institution that would oversee the international monetary system, exchange rates, and international payments to enable countries and their citizens to buy goods and services from each other. They expected that this new global entity would ensure exchange rate stability and encourage its member countries to eliminate the exchange restrictions that hindered trade. Officially, the IMF came into existence in December 1945 with twenty-nine member countries. (The Soviets, who were at Bretton Woods, refused to join the IMF.)
In 1947, the institution’s first formal year of operations, the French became the first nation to borrow from the IMF. Over the next thirty years, more countries joined the IMF, including some African countries in the 1960s. The Soviet bloc nations remained the exception and were not part of the IMF until the fall of the Berlin Wall in 1989. The IMF experienced another large increase in members in the 1990s with the addition of Russia; Russia was also placed on the IMF’s executive committee. Today, 187 countries are members of the IMF; twenty-four of those countries or groups of countries are represented on the executive board.
The purposes of the International Monetary Fund are as follows:
To promote international monetary cooperation through a permanent institution which provides the machinery for consultation and collaboration on international monetary problems.
To facilitate the expansion and balanced growth of international trade, and to contribute thereby to the promotion and maintenance of high levels of employment and real income and to the development of the productive resources of all members as primary objectives of economic policy.
To promote exchange stability, to maintain orderly exchange arrangements among members, and to avoid competitive exchange depreciation.
To assist in the establishment of a multilateral system of payments in respect of current transactions between members and in the elimination of foreign exchange restrictions which hamper the growth of world trade.
To give confidence to members by making the general resources of the Fund temporarily available to them under adequate safeguards, thus providing them with opportunity to correct maladjustments in their balance of payments without resorting to measures destructive of national or international prosperity.
In accordance with the above, to shorten the duration and lessen the degree of disequilibrium in the international balances of payments of members. “Articles of Agreement: Article I—Purposes,” International Monetary Fund, accessed May 23, 2011, http://www.imf.org/external/pubs/ft/aa/aa01.htm.
In addition to financial assistance, the IMF also provides member countries with technical assistance to create and implement effective policies, particularly economic, monetary, and banking policy and regulations.
Special Drawing Rights (SDRs)
A Special Drawing Right (SDR)
An international monetary reserve asset of the IMF.
is basically an international monetary reserve asset. SDRs were created in 1969 by the IMF in response to the Triffin Paradox. The Triffin Paradox stated that the more US dollars were used as a base reserve currency, the less faith that countries had in the ability of the US government to convert those dollars to gold. The world was still using the Bretton Woods system, and the initial expectation was that SDRs would replace the US dollar as the global monetary reserve currency, thus solving the Triffin Paradox. Bretton Woods collapsed a few years later, but the concept of an SDR solidified. Today the value of an SDR consists of the value of four of the IMF’s biggest members’ currencies—the US dollar, the British pound, the Japanese yen, and the euro—but the currencies do not hold equal weight. SDRs are quoted in terms of US dollars. The basket, or group of currencies, is reviewed every five years by the IMF executive board and is based on the currency’s role in international trade and finance. The following chart shows the current valuation in percentages of the four currencies.
Currency
Weighting
US dollar
44 percent
Euro
34 percent
Japanese yen
11 percent
British pound
11 percent
The SDR is not a currency, but some refer to it as a form of IMF currency. It does not constitute a claim on the IMF, which only serves to provide a mechanism for buying, selling, and exchanging SDRs. Countries are allocated SDRs, which are included in the member country’s reserves. SDRs can be exchanged between countries along with currencies. The SDR serves as the unit of account of the IMF and some other international organizations, and countries borrow from the IMF in SDRs in times of economic need.
The IMF’s Current Role and Major Challenges and Opportunities
Criticism and Challenging Areas for the IMF
The IMF supports many developing nations by helping them overcome monetary challenges and to maintain a stable international financial system. Despite this clearly defined purpose, the execution of its work can be very complicated and can have wide repercussions for the recipient nations. As a result, the IMF has both its critics and its supporters. The challenges for organizations like the the IMF and the World Bank center not only on some of their operating deficiencies but also on the global political environment in which they operate. The IMF has been subject to a range of criticisms that are generally focused on the conditions of its loans, its lack of accountability, and its willingness to lend to countries with bad human rights records. David N. Balaam and Michael Veseth, Introduction to International Political Economy, 4th ed. (Upper Saddle River, NJ: Pearson Education International/Prentice Hall), 2005.
These criticisms include the following:
Conditions for loans. The IMF makes the loan given to countries conditional on the implementation of certain economic policies, which typically include the following:
Reducing government borrowing (higher taxes and lower spending)
Higher interest rates to stabilize the currency
Allowing failing firms to go bankrupt
Structural adjustment (privatization, deregulation, reducing corruption and bureaucracy) “Criticism of IMF,” Economics Help, accessed June 28, 2010, http://www.economicshelp.org/dictionary/i/imf-criticism.html.
The austere policies have worked at times but always extract a political toll as the impact on average citizens is usually quite harsh. The opening case in Chapter 2 "International Trade and Foreign Direct Investment" presents the current impact of IMF policies on Greece. Some suggest that the loan conditions are “based on what is termed the ‘Washington Consensus,’ focusing on liberalisation—of trade, investment and the financial sector—, deregulation and privatisation of nationalised industries. Often the conditionalities are attached without due regard for the borrower countries’ individual circumstances and the prescriptive recommendations by the World Bank and IMF fail to resolve the economic problems within the countries. IMF conditionalities may additionally result in the loss of a state’s authority to govern its own economy as national economic policies are predetermined under IMF packages.” “What Are the Main Concerns and Criticism about the World Bank and IMF?,” Bretton Woods Project, January 25, 2007, accessed February 9, 2011, http://www.brettonwoodsproject.org/item.shtml?x=320869.
Exchange rate reforms. “When the IMF intervened in Kenya in the 1990s, they made the Central bank remove controls over flows of capital. The consensus was that this decision made it easier for corrupt politicians to transfer money out of the economy (known as the Goldman scandal). Critics argue this is another example of how the IMF failed to understand the dynamics of the country that they were dealing with—insisting on blanket reforms.” “Criticism of IMF,” Economics Help, accessed June 28, 2010, http://www.economicshelp.org/dictionary/i/imf-criticism.html.
Devaluations. In the initial stages, the IMF has been criticized for allowing inflationary devaluations. “Criticism of IMF,” Economics Help, accessed June 28, 2010, http://www.economicshelp.org/dictionary/i/imf-criticism.html.
Free-market criticisms of the IMF. “Believers in free markets argue that it is better to let capital markets operate without attempts at intervention. They argue attempts to influence exchange rates only make things worse—it is better to allow currencies to reach their market level.” “Criticism of IMF,” Economics Help, accessed June 28, 2010, http://www.economicshelp.org/dictionary/i/imf-criticism.html. They also assert that bailing out countries with large debts is morally hazardous; countries that know that there is always a bailout provision will borrow and spend more recklessly.
Lack of transparency and involvement. The IMF has been criticized for “imposing policy with little or no consultation with affected countries.” “Criticism of IMF,” Economics Help, accessed June 28, 2010, http://www.economicshelp.org/dictionary/i/imf-criticism.html.
Supporting military dictatorships. The IMF has been criticized over the decades for supporting military dictatorships. “Criticism of IMF,” Economics Help, accessed June 28, 2010, http://www.economicshelp.org/dictionary/i/imf-criticism.html.
Opportunities and Future Outlook for the IMF
The 2008 global economic crisis is one of the toughest situations that the IMF has had to contend with since the Great Depression.
For most of the first decade of the twenty-first century, global trade and finance fueled a global expansion that enabled many countries to repay any money they had borrowed from the IMF and other official creditors. These countries also used surpluses in trade to accumulate foreign exchange reserves. The global economic crisis that began with the 2007 collapse of mortgage lending in the United States and spread around the world in 2008 was preceded by large imbalances in global capital flows. Global capital flows fluctuated between 2 and 6 percent of world GDP between 1980 and 1995, but since then they have risen to 15 percent of GDP. The most rapid increase has been experienced by advanced economies, but emerging markets and developing countries have also become more financially integrated.
The founders of the Bretton Woods system had taken for granted that private capital flows would never again resume the prominent role they had in the nineteenth and early twentieth centuries, and the IMF had traditionally lent to members facing current account difficulties. The 2008 global crisis uncovered fragility in the advanced financial markets that soon led to the worst global downturn since the Great Depression. Suddenly, the IMF was inundated with requests for standby arrangements and other forms of financial and policy support.
The international community recognized that the IMF’s financial resources were as important as ever and were likely to be stretched thin before the crisis was over. With broad support from creditor countries, the IMF’s lending capacity tripled to around $750 billion. To use those funds effectively, the IMF overhauled its lending policies. It created a flexible credit line for countries with strong economic fundamentals and a track record of successful policy implementation. Other reforms targeted low-income countries. These factors enabled the IMF to disburse very large sums quickly; the disbursements were based on the needs of borrowing countries and were not as tightly constrained by quotas as in the past. “Globalization and the Crisis (2005–Present),” International Monetary Fund, accessed July 26, 2010, http://www.imf.org/external/about/histglob.htm.
Many observers credit the IMF’s quick responses and leadership role in helping avoid a potentially worse global financial crisis. As noted in the Chapter 5 "Global and Regional Economic Cooperation and Integration" opening case on Greece, the IMF has played a role in helping countries avert widespread financial disasters. The IMF’s requirements are not always popular but are usually effective, which has led to its expanding influence. The IMF has sought to correct some of the criticisms; according to a Foreign Policy in Focus essay designed to stimulate dialogue on the IMF, the fund’s strengths and opportunities include the following:
Flexibility and speed. “In March 2009, the IMF created the Flexible Credit Line (FCL), which is a fast-disbursing loan facility with low conditionality aimed at reassuring investors by injecting liquidity…Traditionally, IMF loan programs require the imposition of austerity measures such as raising interest rates that can reduce foreign investment…In the case of the FCL, countries qualify for it not on the basis of their promises, but on the basis of their history. Just as individual borrowers with good credit histories are eligible for loans at lower interest rates than their risky counterparts, similarly, countries with sound macroeconomic fundamentals are eligible for drawings under the FCL. A similar program has been proposed for low-income countries. Known as the Rapid Credit Facility, it is front-loaded (allowing for a single, up-front payout as with the FCL) and is also intended to have low conditionality.” Martin S. Edwards, “The IMF’s New Toolkit: New Opportunities, Old Challenges,” Foreign Policy in Focus, September 17, 2009, accessed June 28, 2010, http://www.fpif.org/articles/the_imfs_new_toolkit_new_opportunities_old_challenges.
Cheerleading. “The Fund is positioning itself to be less of an adversary and more of a cheerleader to member countries. For some countries that need loans more for reassurance than reform, these changes to the Fund toolkit are welcome.” Martin S. Edwards, “The IMF’s New Toolkit: New Opportunities, Old Challenges,” Foreign Policy in Focus, September 17, 2009, accessed June 28, 2010, http://www.fpif.org/articles/the_imfs_new_toolkit_new_opportunities_old_challenges. This enables more domestic political and economic stability.
Adaptability. “Instead of providing the same medicine to all countries regardless of their particular problems, the new loan facilities are intended to aid reform-minded governments by providing short-term resources to reassure investors. In this manner, they help politicians in developing countries manage the downside costs of integration.” Martin S. Edwards, “The IMF’s New Toolkit: New Opportunities, Old Challenges,” Foreign Policy in Focus, September 17, 2009, accessed June 28, 2010, http://www.fpif.org/articles/the_imfs_new_toolkit_new_opportunities_old_challenges.
Transparency. The IMF has made efforts to improve its own transparency and continues to encourage its member countries to do so. Supporters note that this creates a barrier to any one or more countries that have more geopolitical influence in the organization. In reality, the major economies continue to exert influence on policy and implementation.
To underscore the global expectations for the IMF’s role, China, Russia, and other global economies have renewed calls for the G20 to replace the US dollar as the international reserve currency with a new global system controlled by the IMF.
The Financial Times reported that Zhou Xiaochuan, the Chinese central bank’s governor, said the goal would be to create a reserve currency that is disconnected from individual nations and is able to remain stable in the long run, thus removing the inherent deficiencies caused by using credit-based national currencies. “‘This is a clear sign that China, as the largest holder of US dollar financial assets, is concerned about the potential inflationary risk of the US Federal Reserve printing money,’ said Qu Hongbin, chief China economist for HSBC.” Jamil Anderlini, “China Calls for New Reserve Currency,” Financial Times, March 24, 2009, accessed February 9, 2011, http://www.ft.com/cms/s/0/7851925a-17a2-11de-8c9d-0000779fd2ac.html#axzz1DTvW5KyI.
Although Mr. Zhou did not mention the US dollar, the essay gave a pointed critique of the current dollar-dominated monetary system:
“The outbreak of the [current] crisis and its spillover to the entire world reflected the inherent vulnerabilities and systemic risks in the existing international monetary system,” Mr Zhou wrote.
China has little choice but to hold the bulk of its $2,000bn of foreign exchange reserves in US dollars, and this is unlikely to change in the near future.
To replace the current system, Mr. Zhou suggested expanding the role of special drawing rights, which were introduced by the IMF in 1969 to support the Bretton Woods fixed exchange rate regime but became less relevant once that collapsed in the 1970s….
Mr Zhou said the proposal would require “extraordinary political vision and courage” and acknowledged a debt to John Maynard Keynes, who made a similar suggestion in the 1940s. Jamil Anderlini, “China Calls for New Reserve Currency,” Financial Times, March 24, 2009, accessed February 9, 2011, http://www.ft.com/cms/s/0/7851925a-17a2-11de-8c9d-0000779fd2ac.html#axzz1DTvW5KyI.
China is politically and economically motivated to recommend an alternative reserve currency. Politically, the country whose currency is the reserve currency is perceived as the dominant economic power, as Section 6.1 "What Is the International Monetary System?" discusses. Economically, China has come under increasing global pressure to increase the value of its currency, the renminbi, which Section 6.3 "Understanding How International Monetary Policy, the IMF, and the World Bank Impact Business Practices" discusses in greater depth.
The World Bank and the World Bank Group
History and Purpose
Figure 6.2 World Bank Headquarters in Washington, DC
Source: World Bank, 2011.
The World Bank came into existence in 1944 at the Bretton Woods conference. Its formal name is the International Bank for Reconstruction and Development (IBRD), which clearly states its primary purpose of financing economic development. The World Bank’s first loans were extended during the late 1940s to finance the reconstruction of the war-ravaged economies of Western Europe. When these nations recovered some measure of economic self-sufficiency, the World Bank turned its attention to assisting the world’s poorer nations. The World Bank has one central purpose: to promote economic and social progress in developing countries by helping raise productivity so that their people may live a better and fuller life:
[In 2009,] the World Bank provided $46.9 billion for 303 projects in developing countries worldwide, with our financial and/or technical expertise aimed at helping those countries reduce poverty.
The Bank is currently involved in more than 1,800 projects in virtually every sector and developing country. The projects are as diverse as providing microcredit in Bosnia and Herzegovina, raising AIDS-prevention awareness in Guinea, supporting education of girls in Bangladesh, improving health care delivery in Mexico, and helping East Timor rebuild upon independence and India rebuild Gujarat after a devastating earthquake. “Projects,” The World Bank, accessed February 9, 2011, http://go.worldbank.org/M7ARDFNB60.
Today, The World Bank consists of two main bodies, the International Bank for Reconstruction and Development (IBRD) and the International Development Association (IDA), established in 1960. The World Bank is part of the broader World Bank Group, which consists of five interrelated institutions: the IBRD; the IDA; the International Finance Corporation (IFC), which was established in 1956; the Multilateral Investment Guarantee Agency (MIGA), which was established in 1988; and the International Centre for Settlement of Investment Disputes (ICSID), which was established in 1966. These additional members of the World Bank Group have specific purposes as well. The IDA typically provides interest-free loans to countries with sovereign guarantees. The IFC provides loans, equity, risk-management tools, and structured finance. Its goal is to facilitate sustainable development by improving investments in the private sector. The MIGA focuses on improving the foreign direct investment of developing countries. The ICSID provides a means for dispute resolution between governments and private investors with the end goal of enhancing the flow of capital.
The current primary focus of the World Bank centers on six strategic themes:
The poorest countries. Poverty reduction and sustainable growth in the poorest countries, especially in Africa.
Postconflict and fragile states. Solutions to the special challenges of postconflict countries and fragile states.
Middle-income countries. Development solutions with customized services as well as financing for middle-income countries.
Global public goods. Addressing regional and global issues that cross national borders, such as climate change, infectious diseases, and trade.
The Arab world. Greater development and opportunity in the Arab world.
Knowledge and learning. Leveraging the best global knowledge to support development. “To Meet Global Challenges, Six Strategic Themes,” The World Bank, accessed February 9, 2011, http://go.worldbank.org/56O9ZVPO70.
The World Bank provides low-interest loans, interest-free credits, and grants to developing countries. There’s always a government (or “sovereign”) guarantee of repayment subject to general conditions. The World Bank is directed to make loans for projects but never to fund a trade deficit. These loans must have a reasonable likelihood of being repaid. The IDA was created to offer an alternative loan option. IDA loans are free of interest and offered for several decades, with a ten-year grace period before the country receiving the loan needs to begin repayment. These loans are often called soft loans
Loans made by an international organization. In this chapter, the IDA is a long-term option for countries. These loans have no interest and have a grace period of several decades for repayment. There’s also a possibility that the country may not repay the loan.
.
Since it issued its first bonds in 1947, the IBRD generates funds for its development work through the international capital markets (which Chapter 7 "Foreign Exchange and the Global Capital Markets" covers). The World Bank issues bonds, typically about $25 billion a year. These bonds are rated AAA (the highest possible rating) because they are backed by member states’ shared capital and by borrowers’ sovereign guarantees. Because of the AAA credit rating, the World Bank is able to borrow at relatively low interest rates. This provides a cheaper funding source for developing countries, as most developing countries have considerably low credit ratings. The World Bank charges a fee of about 1 percent to cover its administrative overheads.
What Are the World Bank’s Current Role and Major Challenges and Opportunities?
Like the IMF, the World Bank has both its critics and its supporters. The criticisms of the World Bank extend from the challenges that it faces in the global operating environment. Some of these challenges have complicated causes; some result from the conflict between nations and the global financial crisis. The following are four examples of the world’s difficult needs that the World Bank tries to address:
Even in 2010, over 3 billion people lived on less than $2.50 a day.
At the start of the twenty-first century, almost a billion people couldn’t read a book or sign their names.
Less than 1 percent of what the world spends each year on weapons would have put every child into school by the year 2000, but it didn’t happen.
Fragile states such as Afghanistan, Rwanda, and Sri Lanka face severe development challenges: weak institutional capacity, poor governance, political instability, and often ongoing violence or the legacy of past conflict. Anup Shah, “Causes of Poverty,” Global Issues, last modified April 25, 2010, accessed August 1, 2010, http://www.globalissues.org/issue/2/causes-of-poverty.
According to the Encyclopedia of the New American Nation and the New York Times, the World Bank is criticized primarily for the following reasons:
Administrative incompetence. The World Bank and its lending practices are increasingly scrutinized, with critics asserting that “the World Bank has shifted from being a ‘lender of last resort’ to an international welfare organization,” resulting in an institution that is “bloated, incompetent, and even corrupt.” Also incriminating is that “the bank’s lax lending standards have led to a rapidly deteriorating loan portfolio.” Encyclopedia of the New American Nation, s.v., “International Monetary Fund and World Bank—World Bank Critics on the Right and Left,” accessed June 29, 2010, http://www.americanforeignrelations.com/E-N/International-Monetary-Fund-and-World-Bank-World-bank-critics-on-the-right-and-left.html.
Rewarding or supporting inefficient or corrupt countries. The bank’s lending policies often reward macroeconomic inefficiency in the underdeveloped world, allowing inefficient nations to avoid the types of fundamental reforms that would in the long run end poverty in their countries. Many analysts note that the best example is to compare
the fantastic growth in East Asia to the deplorable economic conditions of Africa. In 1950 the regions were alike—South Korea had a lower per capita GDP than Nigeria. But by pursuing macroeconomic reforms, high savings, investing in education and basic social services, and opening their economies to the global trading order, the “Pacific Tigers” have been able to lift themselves out of poverty and into wealth with very little help from the World Bank. Many countries in Africa, however, have relied primarily on multilateral assistance from organizations like the World Bank while avoiding fundamental macroeconomic reforms, with deplorable but predictable results.
Conservatives point out that the World Bank has lent more than $350 billion over a half-century, mostly to the underdeveloped world, with little to show for it. One study argued that of the sixty-six countries that received funding from the bank from 1975 to 2000, well over half were no better off than before, and twenty were actually worse off. The study pointed out that Niger received $637 million between 1965 and 1995, yet its per capita GNP had fallen, in real terms, more than 50 percent during that time. In the same period Singapore, which received one-seventh as much World Bank aid, had seen its per capita GNP increase by more than 6 percent a year. Encyclopedia of the New American Nation, s.v., “International Monetary Fund and World Bank—World Bank Critics on the Right and Left,” accessed June 29, 2010, http://www.americanforeignrelations.com/E-N/International-Monetary-Fund-and-World-Bank-World-bank-critics-on-the-right-and-left.html.
Focusing on large projects rather than local initiatives. Some critics claim that World Bank loans give preference to “large infrastructure projects like building dams and electric plants over projects that would benefit the poor, such as education and basic health care.” The projects often destroy the local environment, including forests, rivers, and fisheries. Some estimates suggest “that more than two and a half million people have been displaced by projects made possible through World Bank loans.” Failed projects, argue environmentalists and antiglobalization groups, are particularly illustrative: “The Sardar Sarovar dam on the Narmada River in India was expected to displace almost a quarter of a million people into squalid resettlement sites. The Polonoroeste Frontier Development scheme has led to large-scale deforestation in the Brazilian rain forest. In Thailand, the Pak Mun dam has destroyed the fisheries of the Mun River, impoverishing thousands who had made their living fishing and forever altering the diet of the region.” Encyclopedia of the New American Nation, s.v., “International Monetary Fund and World Bank—World Bank Critics on the Right and Left,” accessed June 29, 2010, http://www.americanforeignrelations.com/E-N/International-Monetary-Fund-and-World-Bank-World-bank-critics-on-the-right-and-left.html. Further, the larger projects become targets for corruption by local government officials because there is so much money involved.
Another example was in 2009, when an internal audit found that the IFC had “ignored its own environmental and social protection standards when it approved nearly $200 million in loan guarantees for palm oil production in Indonesia…Indonesia is home to the world’s second-largest reserves of natural forests and peat swamps, which naturally trap carbon dioxide—the main greenhouse gas that causes climate change. But rampant destruction of the forests to make way for palm oil plantations has caused giant releases of CO 2 into the atmosphere, making Indonesia the third-largest emitter of greenhouse gases on the planet…‘For each investment, commercial pressures were allowed to prevail,’ auditors wrote.” Lisa Friedman, “How the World Bank Let ‘Deal Making’ Torch the Rainforests,” New York Times, August 19, 2009, accessed February 9, 2011, http://www.nytimes.com/cwire/2009/08/19/19climatewire-how-the-world-bank-let-deal-making-torch-the-33255.html. However, such issues are not always as clear-cut as they may seem. The IFC responded to the audit by acknowledging “shortcomings in the review process. But the lender also defended investment in palm oil production as a way to alleviate poverty in Indonesia. ‘IFC believes that production of palm oil, when carried out in an environmentally and socially sustainable fashion, can provide core support for a strong rural economy, providing employment and improved quality of life for millions of the rural poor in tropical areas,’ it said.” Lisa Friedman, “How the World Bank Let ‘Deal Making’ Torch the Rainforests,” New York Times, August 19, 2009, accessed February 9, 2011, http://www.nytimes.com/cwire/2009/08/19/19climatewire-how-the-world-bank-let-deal-making-torch-the-33255.html.
Negative influence on theory and practice. As one of the two Bretton Woods Institutions, the World Bank plays a large role in research, training, and policy formulation. Critics worry that because “the World Bank and the IMF are regarded as experts in the field of financial regulation and economic development, their views and prescriptions may undermine or eliminate alternative perspectives on development.” “What Are the Main Concerns and Criticism about the World Bank and IMF?,” Bretton Woods Project, January 25, 2007, accessed February 9, 2011, http://www.brettonwoodsproject.org/item.shtml?x=320869.
Dominance of G7 countries. The industrialized countries dominate the World Bank (and IMF) governance structures. Decisions are typically made and policies implemented by these leading countries—the G7—because they are the largest donors, some suggest without sufficient consultation with poor and developing countries. “What Are the Main Concerns and Criticism about the World Bank and IMF?,” Bretton Woods Project, January 25, 2007, accessed February 9, 2011, http://www.brettonwoodsproject.org/item.shtml?x=320869.
Opportunities and Future Outlook for the World Bank
As vocal as the World Bank’s critics are, so too are its supporters. The World Bank is praised by many for engaging in development projects in remote locations around the globe to improve living standards and reduce poverty. The World Bank’s current focus is on helping countries achieve the Millennium Development Goals (MDGs), which are eight international development goals, established in 2000 at the Millennium Summit, that all 192 United Nations member states and twenty-three international organizations have agreed to achieve by the year 2015. They include reducing extreme poverty, reducing child mortality rates, fighting disease epidemics such as AIDS, and developing a global partnership for development. The World Bank is focused on the following four key issues:
Increased transparency. In response to the criticisms over the decades, the World Bank has made progress. More of the World Bank’s decision making and country assessments are available publicly. The World Bank has continued to work with countries to combat corruption both at the country and bank levels.
Expanding social issues in the fight on poverty. In 2001, the World Bank began to incorporate gender issues into its policy. “Two years later the World Bank announced that it was starting to evaluate all of its projects for their effects on women and girls,” noting that “poverty is experienced differently by men and women” and “a full understanding of the gender dimensions of poverty can significantly change the definition of priority policy and program interventions.” Robert J. Brym et al., “In Faint Praise of the World Bank’s Gender Development Policy,” Canadian Journal of Sociology Online, March–April 2005, accessed May 23, 2011, http://www.cjsonline.ca/articles/brymetal05.html.
Improvements in countries’ competitiveness and increasing exports. The World Bank’s policies and its role as a donor have helped improve the ability of some countries to secure more of the global revenues for basic commodities. In Rwanda, for example, reforms transformed the country’s coffee industry and increased exports. Kenya has expanded its exports of cut flowers, and Uganda has improved its fish-processing industry. World Bank efforts have also helped African financial companies develop. Shanta Devarajan, “African Successes—Listing the Success Stories,” Africa Can…End Poverty (blog), The World Bank Group, September 17, 2009, accessed May 23, 2011, http://blogs.worldbank.org/africacan/african-successes-listing-the-success-stories.
Improving efficiencies in diverse industries and leveraging the private sector. The World Bank has worked closely with businesses in the private sector to develop local infrastructure, including power, transportation, telecommunications, health care, and education. Shanta Devarajan, “African Successes—Listing the Success Stories,” Africa Can…End Poverty (blog), The World Bank Group, September 17, 2009, accessed May 23, 2011, http://blogs.worldbank.org/africacan/african-successes-listing-the-success-stories. In Afghanistan, for example, small dams are built and maintained by the locals themselves to support small industries processing local produce.
The World Bank continues to play an integral role in helping countries reduce poverty and improve the well-being of their citizens. World Bank funding provides a resource to countries to utilize the services of global companies to accomplish their objectives.
Key Takeaways
The IMF is playing an expanding role in the global monetary system. The IMF’s key roles are the following:
To promote international monetary cooperation
To facilitate the expansion and balanced growth of international trade
To promote exchange stability
To assist in the establishment of a multilateral system of payments
To give confidence to members by making the IMF’s general resources temporarily available to them under adequate safeguards
To shorten the duration and lessen the degree of disequilibrium in the international balances of payments of members
The World Bank consists of two main bodies, the IBRD and the International Development Association (IDA).
The World Bank Group includes the following interrelated institutions:
IBRD, which makes loans to countries with the purpose of building economies and reducing poverty
IDA, which typically provides interest-free loans to countries with sovereign guarantees
International Finance Corporation (IFC), which provides loans, equity, risk-management tools, and structured finance with the goal of facilitating sustainable development by improving investments in the private sector
Multilateral Investment Guarantee Agency (MIGA), which focuses on improving the foreign direct investment of the developing countries
International Centre for Settlement of Investment Disputes (ICSID), which provides a means for dispute resolution between governments and private investors, with the end goal of enhancing the flow of capital
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What is the IMF, and what role does it play?
What are two criticisms of the IMF and two of its opportunities for the future?
Discuss whether SDRs or another global currency created by the IMF should replace the US dollar as the international reserve currency.
What is the World Bank, and what role does it play?
What are two criticisms of the World Bank and two of its opportunities for the future? | msmarco_doc_00_11344354 |
http://2012books.lardbucket.org/books/challenges-and-opportunities-in-international-business/s11-01-what-do-we-mean-by-currency-an.html | What Do We Mean by Currency and Foreign Exchange? | 7.1
What Do We Mean by Currency and Foreign Exchange?
7.1 What Do We Mean by Currency and Foreign Exchange?
Learning Objectives
What Are Currency and Foreign Exchange?
What Is the Purpose of the Foreign Exchange Market?
Currency Conversion
Currency Hedging
Currency Arbitrage
Currency Speculation
Understand How to Determine Exchange Rates
How to Quote a Currency
Direct Currency Quote and Indirect Currency Quote
Spot Rates
Cross Rates
Forward Rates
Swaps, Options, and Futures
Exchange-Traded and Standardized Terms
Settlement and Delivery
Maturity
Key Takeaways
Exercises
| What Do We Mean by Currency and Foreign Exchange?
7.1 What Do We Mean by Currency and Foreign Exchange?
Learning Objectives
Understand what is meant by currency and foreign exchange.
Explore the purpose of the foreign exchange market.
Understand how to determine exchange rates.
What Are Currency and Foreign Exchange?
In order to understand the global financial environment, how capital markets work, and their impact on global business, we need to first understand how currencies and foreign exchange rates work.
Briefly, currency
Any form of money in general circulation in a country.
is any form of money in general circulation in a country. What exactly is a foreign exchange? In essence, foreign exchange
Money denominated in the currency of another country. Money can also be denominated in the currency of a group of countries, such as the euro.
is money denominated in the currency of another country or—now with the euro—a group of countries. Simply put, an exchange rate
The rate at which the market converts one currency into another.
is defined as the rate at which the market converts one currency into another.
Any company operating globally must deal in foreign currencies. It has to pay suppliers in other countries with a currency different from its home country’s currency. The home country is where a company is headquartered. The firm is likely to be paid or have profits in a different currency and will want to exchange it for its home currency. Even if a company expects to be paid in its own currency, it must assess the risk that the buyer may not be able to pay the full amount due to currency fluctuations.
If you have traveled outside of your home country, you may have experienced the currency market—for example, when you tried to determine your hotel bill or tried to determine if an item was cheaper in one country versus another. In fact, when you land at an airport in another country, you’re likely to see boards indicating the foreign exchange rates for major currencies. These rates include two numbers: the bid and the offer. The bid (or buy)
The price at which a bank or financial service firm is willing to buy a specific currency.
is the price at which a bank or financial services firm is willing to buy a specific currency. The ask (or the offer or sell)
Quote that refers to the price at which a bank or financial services firm is willing to sell that currency.
, refers to the price at which a bank or financial services firm is willing to sell that currency. Typically, the bid or the buy is always cheaper than the sell; banks make a profit on the transaction from that difference. For example, imagine you’re on vacation in Thailand and the exchange rate board indicates that the Bangkok Bank is willing to exchange currencies at the following rates (see the following figure). GBP refers to the British pound; JPY refers to the Japanese yen; and HKD refers to the Hong Kong dollar, as shown in the following figure. Because there are several countries that use the dollar as part or whole of their name, this chapter clearly states “US dollar” or uses US$ or USD when referring to American currency.
This chart tells us that when you land in Thailand, you can use 1 US dollar to buy 31.67 Thai baht. However, when you leave Thailand and decide that you do not need to take all your baht back to the United States, you then convert baht back to US dollars. We then have to use more baht—32.32 according to the preceding figure—to buy 1 US dollar. The spread
The difference between the bid and the ask. This is the profit made for each unit of currency bought and sold.
between these numbers, 0.65 baht, is the profit that the bank makes for each US dollar bought and sold. The bank charges a fee because it performed a service—facilitating the currency exchange. When you walk through the airport, you’ll see more boards for different banks with different buy and sell rates. While the difference may be very small, around 0.1 baht, these numbers add up if you are a global company engaged in large foreign exchange transactions. Accordingly, global firms are likely to shop around for the best rates before they exchange any currencies.
What Is the Purpose of the Foreign Exchange Market?
The foreign exchange market (or FX market) is the mechanism in which currencies can be bought and sold. A key component of this mechanism is pricing or, more specifically, the rate at which a currency is bought or sold. We’ll cover the determination of exchange rates more closely in this section, but first let’s understand the purpose of the FX market. International businesses have four main uses of the foreign exchange markets.
Currency Conversion
Companies, investors, and governments want to be able to convert one currency into another. A company’s primary purposes for wanting or needing to convert currencies is to pay or receive money for goods or services. Imagine you have a business in the United States that imports wines from around the world. You’ll need to pay the French winemakers in euros, your Australian wine suppliers in Australian dollars, and your Chilean vineyards in pesos. Obviously, you are not going to access these currencies physically. Rather, you’ll instruct your bank to pay each of these suppliers in their local currencies. Your bank will convert the currencies for you and debit your account for the US dollar equivalent based on the exact exchange rate at the time of the exchange.
Currency Hedging
One of the biggest challenges in foreign exchange is the risk of rates increasing or decreasing in greater amounts or directions than anticipated. Currency hedging
Refers to the technique of protecting against the potential losses that result from adverse changes in exchange rates.
refers to the technique of protecting against the potential losses that result from adverse changes in exchange rates. Companies use hedging as a way to protect themselves if there is a time lag between when they bill and receive payment from a customer. Conversely, a company may owe payment to an overseas vendor and want to protect against changes in the exchange rate that would increase the amount of the payment. For example, a retail store in Japan imports or buys shoes from Italy. The Japanese firm has ninety days to pay the Italian firm. To protect itself, the Japanese firm enters into a contract with its bank to exchange the payment in ninety days at the agreed-on exchange rate. This way, the Japanese firm is clear about the amount to pay and protects itself from a sudden depreciation of the yen. If the yen depreciates, more yen will be required to purchase the same euros, making the deal more expensive. By hedging, the company locks in the rate.
Currency Arbitrage
Arbitrage is the simultaneous and instantaneous purchase and sale of a currency for a profit. Advances in technology have enabled trading systems to capture slight differences in price and execute a transaction, all within seconds. Previously, arbitrage was conducted by a trader sitting in one city, such as New York, monitoring currency prices on the Bloomberg terminal. Noticing that the value of a euro is cheaper in Hong Kong than in New York, the trader could then buy euros in Hong Kong and sell them in New York for a profit. Today, such transactions are almost all handled by sophisticated computer programs. The programs constantly search different exchanges, identify potential differences, and execute transactions, all within seconds.
Currency Speculation
Speculation refers to the practice of buying and selling a currency with the expectation that the value will change and result in a profit. Such changes could happen instantly or over a period of time.
High-risk, speculative investments by nonfinance companies are less common these days than the current news would indicate. While companies can engage in all four uses discussed in this section, many companies have determined over the years that arbitrage and speculation are too risky and not in alignment with their core strategies. In essence, these companies have determined that a loss due to high-risk or speculative investments would be embarrassing and inappropriate for their companies.
Understand How to Determine Exchange Rates
How to Quote a Currency
There are several ways to quote currency, but let’s keep it simple. In general, when we quote currencies, we are indicating how much of one currency it takes to buy another currency. This quote requires two components: the base currency
The currency that is to be purchased with another currency and is noted in the denominator.
and the quoted currency
The currency with which another currency is to be purchased.
. The quoted currency is the currency with which another currency is to be purchased. In an exchange rate quote, the quoted currency is typically the numerator. The base currency is the currency that is to be purchased with another currency, and it is noted in the denominator. For example, if we are quoting the number of Hong Kong dollars required to purchase 1 US dollar, then we note HKD 8 / USD 1. (Note that 8 reflects the general exchange rate average in this example.) In this case, the Hong Kong dollar is the quoted currency and is noted in the numerator. The US dollar is the base currency and is noted in the denominator. We read this quote as “8 Hong Kong dollars are required to purchase 1 US dollar.” If you get confused while reviewing exchanging rates, remember the currency that you want to buy or sell. If you want to sell 1 US dollar, you can buy 8 Hong Kong dollars, using the example in this paragraph.
Direct Currency Quote and Indirect Currency Quote
Additionally, there are two methods—the American terms
Also known as US terms, American terms are from the point of view of someone in the United States. In this approach, foreign exchange rates are expressed in terms of how many US dollars can be exchanged for one unit of another currency (the non-US currency is the base currency ).
and the European terms
Foreign exchange rates are expressed in terms of how many currency units can be exchanged for one US dollar (the US dollar is the base currency). For example, the pound-dollar quote in European terms is £0.64/US$1 (£/US$1).
—for noting the base and quoted currency. These two methods, which are also known as direct and indirect quotes, are opposite based on each reference point. Let’s understand what this means exactly.
The American terms, also known as US terms, are from the point of view of someone in the United States. In this approach, foreign exchange rates are expressed in terms of how many US dollars can be exchanged for one unit of another currency (the non-US currency is the base currency ). For example, a dollar-pound quote in American terms is USD/GP (US$/£) equals 1.56. This is read as “1.56 US dollars are required to buy 1 pound sterling.” This is also called a direct quote
States the domestic currency price of one unit of foreign currency. For example, €0.78/US$1. We read this as “it takes 0.78 of a euro to buy 1 US dollar.” In a direct quote, the domestic currency is a variable amount and the foreign currency is fixed at one unit.
, which states the domestic currency price of one unit of foreign currency. If you think about this logically, a business that needs to buy a foreign currency needs to know how many US dollars must be sold in order to buy one unit of the foreign currency. In a direct quote, the domestic currency is a variable amount and the foreign currency is fixed at one unit.
Conversely, the European terms are the other approach for quoting rates. In this approach, foreign exchange rates are expressed in terms of how many currency units can be exchanged for a US dollar (the US dollar is the base currency). For example, the pound-dollar quote in European terms is £0.64/US$1 (£/US$1). While this is a direct quote for someone in Europe, it is an indirect quote
States the price of the domestic currency in foreign currency terms. For example, US$1.28/€1. We read this as “it takes 1.28 US dollars to buy 1 euro.” In an indirect quote, the foreign currency is a variable amount and the domestic currency is fixed at one unit.
in the United States. An indirect quote states the price of the domestic currency in foreign currency terms. In an indirect quote, the foreign currency is a variable amount and the domestic currency is fixed at one unit.
A direct and an indirect quote are simply reverse quotes of each other. If you have either one, you can easily calculate the other using this simple formula:
direct quote = 1 / indirect quote.
To illustrate, let’s use our dollar-pound example. The direct quote is US$1.56 = 1/£0.64 (the indirect quote). This can be read as
1 divided by 0.64 equals 1.56.
In this example, the direct currency quote is written as US$/£ = 1.56.
While you are performing the calculations, it is important to keep track of which currency is in the numerator and which is in the denominator, or you might end up stating the quote backward. The direct quote is the rate at which you buy a currency. In this example, you need US$1.56 to buy a British pound.
Tip: Many international business professionals become experienced over their careers and are able to correct themselves in the event of a mix-up between currencies. To illustrate using the example mentioned previously, the seasoned global professional knows that the British pound is historically higher in value than the US dollar. This means that it takes more US dollars to buy a pound than the other way around. When we say “higher in value,” we mean that the value of the British pound buys you more US dollars. Using this logic, we can then deduce that 1.56 US dollars are required to buy 1 British pound. As an international businessperson, we would know instinctively that it cannot be less—that is, only 0.64 US dollars to buy a British pound. This would imply that the dollar value was higher in value. While major currencies have changed significantly in value vis-à-vis each other, it tends to happen over long periods of time. As a result, this self-test is a good way to use logic to keep track of tricky exchange rates. It works best with major currencies that do not fluctuate greatly vis-à-vis others.
A useful side note: traders always list the base currency as the first currency in a currency pair. Let’s assume, for example, that it takes 85 Japanese yen to purchase 1 US dollar. A currency trader would note this as follows: USD 1 / JPY 85. This quote indicates that the base currency is the US dollar and 85 yen are required to purchase a dollar. This is also called a direct quote, although FX traders are more likely to call it an American rate rather than a direct rate. It can be confusing, but try to keep the logic of which currency you are selling and which you are buying clearly in your mind, and say the quote as full sentences in order to keep track of the currencies.
These days, you can easily use the Internet to access up-to-date quotes on all currencies, although the most reliable sites remain the Wall Street Journal, the Financial Times, or any website of a trustworthy financial institution.
Spot Rates
The exchange rates discussed in this chapter are spot rates—exchange rates that require immediate settlement with delivery of the traded currency. “Immediate” usually means within two business days, but it implies an “on the spot” exchange of the currencies, hence the term spot rate. The spot exchange rate
The exchange rate transacted at a particular moment by a buyer and seller of a currency. When we buy and sell our foreign currency at a bank or at American Express, it’s quoted as the rate for the day. For currency traders, the spot can change throughout the trading day, even by tiny fractions.
is the exchange rate transacted at a particular moment by the buyer and seller of a currency. When we buy and sell our foreign currency at a bank or at American Express, it’s quoted at the rate for the day. For currency traders though, the spot can change throughout the trading day even by tiny fractions.
To illustrate, assume that you work for a clothing company in the United States and you want to buy shirts from either Malaysia or Indonesia. The shirts are exactly the same; only the price is different. (For now, ignore shipping and any taxes.) Assume that you are using the spot rate and are making an immediate payment. There is no risk of the currency increasing or decreasing in value. (We’ll cover forward rates in the next section.)
The currency in Malaysia is the Malaysian ringgit, which is abbreviated MYR. The supplier in Kuala Lumpur e-mails you the quote—you can buy each shirt for MYR 35. Let’s use a spot exchange rate of MYR 3.13 / USD 1.
The Indonesian currency is the rupiah, which is abbreviated as Rp. The supplier in Jakarta e-mails you a quote indicating that you can buy each shirt for Rp 70,000. Use a spot exchange rate of Rp 8,960 / USD 1.
It would be easy to instinctively assume that the Indonesian firm is more expensive, but look more closely. You can calculate the price of one shirt into US dollars so that a comparison can be made:
For Malaysia: MYR 35 / MYR 3.13 = USD 11.18 For Indonesia: Rp 70,000 / Rp 8,960 = USD 7.81
Indonesia is the cheaper supplier for our shirts on the basis of the spot exchange rate.
Cross Rates
There’s one more term that applies to the spot market—the cross rate
The exchange rate between two currencies, neither of which is the official currency in the country in which the quote is provided
. This is the exchange rate between two currencies, neither of which is the official currency in the country in which the quote is provided. For example, if an exchange rate between the euro and the yen were quoted by an American bank on US soil, the rate would be a cross rate.
The most common cross-currency pairs are EUR/GBP, EUR/CHF, and EUR/JPY. These currency pairs expand the trading possibilities in the foreign exchange market but are less actively traded than pairs that include the US dollar, which are called the “majors” because of their high degree of liquidity. The majors are EUR/USD, GBP/ USD, USD/JPY, USD/CAD (Canadian dollar), USD/CHF (Swiss franc), and USD/AUD (Australian dollar). Despite the changes in the international monetary system and the expansion of the capital markets, the currency market is really a market of dollars and nondollars. The dollar is still the reserve currency for the world’s central banks. Table 7.1 "Currency Cross Rates" contains some currency cross rates between the major currencies. We can see, for example, that the rate for the cross-currency pair of EUR/GBP is 1.1956. This is read as “it takes 1.1956 euros to buy one British pound.” Another example is the EUR/JPY rate, which is 0.00901. However, a seasoned trader would not say that it takes 0.00901 euros to buy 1 Japanese yen. He or she would instinctively know to quote the currency pair as the JPY/EUR rate or—more specifically—that it takes 111.088 yen to purchase 1 euro.
Table 7.1 Currency Cross Rates
Currency codes / names
United Kingdom Pound
Canadian Dollar
Euro
Hong Kong Dollar
Japanese Yen
Swiss Franc
US Dollar
Chinese Yuan Renminbi
GBP
1
0.6177
0.8374
0.08145
0.007544
0.6455
0.633
0.09512
CAD
1.597
1
1.3358
0.1299
0.012032
1.0296
1.0095
0.1517
EUR
1.1956
0.7499
1
0.09748
0.00901
0.771
0.7563
0.1136
HKD
12.2896
7.7092
10.2622
1
0.09267
7.9294
7.7749
1.1682
JPY
132.754
83.2905
111.088
10.8083
1
85.65
84.001
12.6213
CHF
1.5512
0.9732
1.2981
0.1263
0.011696
1
0.9815
0.1475
USD
1.5807
0.9915
1.3232
0.1287
0.011919
1.0199
1
0.1503
CNY
10.5218
6.6002
8.8075
0.8565
0.07934
6.7887
6.6565
1
Note: The official name for the Chinese currency is renminbi and the main unit of the currency is the yuan.
Source: “Currency Cross Rates: Results,” Oanda, accessed May 25, 2011, http://www.oanda.com/currency/cross- rate/result?quotes=GBP"es=CAD"es=EUR"es=HKD"es=JPY"es= CHF"es=USD"es=CNY&go=Get+my+Table+++.
Forward Rates
The forward exchange rate
The rate at which two parties agree to exchange currency and execute a deal at some specific point in the future, usually 30 days, 60 days, 90 days, or 180 days in the future.
is the exchange rate at which a buyer and a seller agree to transact a currency at some date in the future. Forward rates are really a reflection of the market’s expectation of the future spot rate for a currency. The forward market
The currency market for transactions at forward rates.
is the currency market for transactions at forward rates. In the forward markets, foreign exchange is always quoted against the US dollar. This means that pricing is done in terms of how many US dollars are needed to buy one unit of the other currency. Not all currencies are traded in the forward market, as it depends on the demand in the international financial markets. The majors are routinely traded in the forward market.
For example, if a US company opted to buy cell phones from China with payment due in ninety days, it would be able to access the forward market to enter into a forward contract to lock in a future price for its payment. This would enable the US firm to protect itself against a depreciation of the US dollar, which would require more dollars to buy one Chinese yuan. A forward contract
A contract that requires the exchange of an agreed-on amount of a currency on an agreed-on date and a specific exchange rate.
is a contract that requires the exchange of an agreed-on amount of a currency on an agreed-on date and a specific exchange rate. Most forward contracts have fixed dates at 30, 90, or 180 days. Custom forward contracts can be purchased from most financial firms. Forward contracts, currency swaps, options, and futures all belong to a group of financial instruments called derivatives. In the term’s broadest definition, derivatives
Financial instruments whose underlying value comes from (derives from) other financial instruments or commodities.
are financial instruments whose underlying value comes from (derives from) other financial instruments or commodities—in this case, another currency.
Swaps, Options, and Futures
Swaps, options, and futures are three additional currency instruments used in the forward market.
A currency swap
A simultaneous buy and sell of a currency for two different dates.
is a simultaneous buy and sell of a currency for two different dates. For example, an American computer firm buys (imports) components from China. The firm needs to pay its supplier in renminbi today. At the same time, the American computer is expecting to receive RMB in ninety days for its netbooks sold in China. The American firm enters into two transactions. First, it exchanges US dollars and buys yuan renminbi today so that it can pay its supplier. Second, it simultaneously enters into a forward contract to sell yuan and buy dollars at the ninety-day forward rate. By entering into both transactions, the firm is able to reduce its foreign exchange rate risk by locking into the price for both.
Currency options
The option or the right, but not the obligation, to exchange a specific amount of currency on a specific future date and at a specific agreed-on rate. Because a currency option is a right but not a requirement, the parties in an option do not have to actually exchange the currencies if they choose not to.
are the option or the right—but not the obligation—to exchange a specific amount of currency on a specific future date and at a specific agreed-on rate. Since a currency option is a right but not a requirement, the parties in an option do not have to actually exchange the currencies if they choose not to. This is referred to as not exercising an option.
Currency futures contracts
Contracts that require the exchange of a specific amount of currency at a specific future date and at a specific exchange rate.
are contracts that require the exchange of a specific amount of currency at a specific future date and at a specific exchange rate. Futures contracts are similar to but not identical to forward contracts.
Exchange-Traded and Standardized Terms
Futures contracts are actively traded on exchanges, and the terms are standardized. As a result, futures contracts have clearinghouses that guarantee the transactions, substantially reducing any risk of default by either party. Forward contracts are private contracts between two parties and are not standardized. As a result, the parties have a higher risk of defaulting on a contract.
Settlement and Delivery
The settlement of a forward contract occurs at the end of the contract. Futures contracts are marked-to-market daily, which means that daily changes are settled day by day until the end of the contract. Furthermore, the settlement of a futures contract can occur over a range of dates. Forward contracts, on the other hand, only have one settlement date at the end of the contract.
Maturity
Futures contracts are frequently employed by speculators, who bet on the direction in which a currency’s price will move; as a result, futures contracts are usually closed out prior to maturity and delivery usually never happens. On the other hand, forward contracts are mostly used by companies, institutions, or hedgers that want to eliminate the volatility of a currency’s price in the future, and delivery of the currency will usually take place.
Companies routinely use these tools to manage their exposure to currency risk. One of the complicating factors for companies occurs when they operate in countries that limit or control the convertibility of currency. Some countries limit the profits (currency) a company can take out of a country. As a result, many companies resort to countertrade, where companies trade goods and services for other goods and services and actual monies are less involved.
The challenge for companies is to operate in a world system that is not efficient. Currency markets are influenced not only by market factors, inflation, interest rates, and market psychology but also—more importantly—by government policy and intervention. Many companies move their production and operations to overseas locations to manage against unforeseen currency risks and to circumvent trade barriers. It’s important for companies to actively monitor the markets in which they operate around the world.
Key Takeaways
In this section you learned about the following:
An exchange rate is the rate at which the market converts one currency into another. An exchange rate can be quoted as direct or indirect.
The spot rate is an exchange rate that requires immediate settlement with delivery of the traded currency. The forward exchange rate is the exchange rate at which a buyer and seller agree to transact a currency at some date in the future. Swaps, options, and futures are additional types of currency instruments used in the forward market.
Companies routinely use these tools to manage their exposure to currency risk. Well-functioning currency markets are a component of the global financial markets and an essential mechanism for global firms that need to exchange currencies.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What is currency and foreign exchange? Why are they so important to international business?
What is the difference between American and European terms for quoting currencies? Give an example. If you have traveled outside your home country, discuss how you exchanged currency while abroad. What process did you follow?
Describe a spot rate and a forward rate.
What are the main differences between a forward contract and a futures contract? | msmarco_doc_00_11385602 |
http://2012books.lardbucket.org/books/challenges-and-opportunities-in-international-business/s12-international-expansion-and-gl.html | International Expansion and Global Market Opportunity Assessment | Chapter 8
International Expansion and Global Market Opportunity Assessment
Chapter 8 International Expansion and Global Market Opportunity Assessment
What’s in It for Me?
Opening Case: The Invisible Global Retailer and Its Reentry into US Markets
Opening Case Exercises
8.1 Global Strategic Choices
The Why, Where, and How of International Expansion
Rationale for International Expansion
Planning for International Expansion
International Market Due Diligence
Regional Differences
Understanding Local Consumers
How to Learn the Needs of a New Foreign Market
Differentiation and Capability
Did You Know?
Industry Dynamics
Ethics in Action
Steps and Missteps in International Expansion
Key Takeaways
Exercises
8.2 PESTEL, Globalization, and Importing
Know the Components of PESTEL Analysis
PESTEL Analysis
Political Factors
Economic Factors
Sociocultural Factors
Technological Factors
Environmental Factors
Legal Factors
PESTEL and Globalization
Factors Favoring Industry Globalization
Markets
Costs
Governments and Competition
Importing as a Stealth Form of Internationalization
Key Takeaways
Exercises
8.3 International-Expansion Entry Modes
The Five Common International-Expansion Entry Modes
Exporting
Amusing Anecdotes
Ethics in Action
Licensing and Franchising
Partnerships and Strategic Alliances
Did You Know?
Acquisitions
New, Wholly Owned Subsidiary
Entrepreneurship and Strategy
Key Takeaways
Exercises
8.4 CAGE Analysis
The Inputs into CAGE Analysis
CAGE Analysis and Institutional Voids
Three Strategies for Handling Institutional Voids
Ethics in Action
Key Takeaways
Exercises
8.5 Scenario Planning and Analysis
The History and Role of Scenario Planning and Analysis
Scenario Planning
Six Basic Steps of Scenario Planning
Trends and Uncertainties
Did You Know?
Key Takeaways
Exercises
8.6 End-of-Chapter Questions and Exercises
Experiential Exercises
Ethical Dilemmas
| International Expansion and Global Market Opportunity Assessment
Chapter 8 International Expansion and Global Market Opportunity Assessment
What’s in It for Me?
What are the inputs into global strategic move choices?
What are the components of PESTEL analysis and the factors that favor globalization?
What are the traditional entry modes for international expansion?
How can you use the CAGE model of market assessment?
What is the importance of and inputs into scenario analysis?
This chapter pulls together all the information about choosing to expand internationally and possible ways to make that choice. Section 8.1 "Global Strategic Choices" shows that choosing to expand internationally is rarely black and white. A wide variety of internationalization moves are available after choosing to expand. Moreover, some flatteners make global moves easier, while some make them more difficult. Indeed, even importing and outsourcing can be considered stealth, or at least early, steps in internationalization, because they involve doing business across borders. In Section 8.1 "Global Strategic Choices", you will learn the rationale for international expansion and the planning and due diligence it requires.
This chapter also features a richness of analytical frameworks. In Section 8.2 "PESTEL, Globalization, and Importing", you will learn about PESTEL, the framework for analyzing the political, economic, sociocultural, technological, environmental, and legal aspects of different international markets. Section 8.3 "International-Expansion Entry Modes" describes the strategies available to you when entering a new market. Section 8.4 "CAGE Analysis" will demonstrate how globalization and the CAGE (cultural, administrative, geographic, and economic) framework address questions related to the flattening of markets and how the dimensions they help you assess are essentially flatteners. Finally, in Section 8.5 "Scenario Planning and Analysis", you will learn about scenario analysis, which will prepare you to begin an analysis of which international markets might present the greatest opportunities, as well as suggest possible landmines that you could encounter when exploiting them.
Opening Case: The Invisible Global Retailer and Its Reentry into US Markets
Which corporation owns 123 companies, operates in twenty-seven countries, and has been in the mobile-phone business for over a decade? If you don’t know, you’re not alone. Many people haven’t heard of the Otto Group, the German retailing giant that’s second only to Amazon in e-commerce and first in the global mail-order business. The reason you’ve likely never heard of the Otto Group is because the firm stays in the background while giving its brands the spotlight. This strategy has worked over the company’s almost eighty-year history, and Otto continues to apply it to new moves, such as its social media site, Two for Fashion. “They are talking about fashion, not about Otto, unless it suits,” explained Andreas Frenkler, the company’s division manager of new media and e-commerce, about the site’s launch in 2008. Lydia Dishman, “How the Biggest Online Retailer You’ve Never Heard of Will Take the U.S. Market,” BNET, April 16, 2010, accessed August 20, 2010, http://www.bnet.com/blog/publishing-style/how-the-biggest-online-retailer-you-8217ve-never-heard-of-will-take-the-us-market/248. The site is now one of the top fashion blogs in Germany and is an integral part of the retailer’s marketing strategy.
Leading through Passion, Vision, and Strategy
Today, the Otto Group consists of a large number of companies that operate in the major economic zones of the world. The Otto Group’s lines of business include financial services, multichannel retail, and other services. The financial services segment covers an international portfolio of commercial services along the value chain of retail companies, such as information-, collection-, and receivable-management services. The multichannel retail segment covers the Otto Group’s worldwide range of retail offerings; goods are marketed across three distribution channels—catalogs, e-commerce, and over-the-counter (OTC) retail. The third segment combines the Otto Group’s logistics, travel, and other service providers as well as sourcing companies. Logistics service providers and sourcing companies support both the Otto Group’s multichannel retail activities and non-Group clients. Travel service providers offer customers travel offerings across all sales channels. Unique to the Otto Group is the combination of travel agencies, direct marketing, and Internet sites. The combined revenue of these three ventures is growing rapidly, even during the global economic downturn. The travel service revenues for 2010 were 10 billion euros, or about $12 billion. “Otto Group: Private Company Information,” BusinessWeek, accessed February 7, 2011, http://investing.businessweek.com/businessweek/research/stocks/private/snapshot.asp?privcapId=61882597.
Even though it operates in a variety of market segments, business ideas, and distribution channels—not to mention its regional diversity—the Otto Group sees itself as a community built on shared values. Otto’s passion for success is based on four levels of performance, which together represent the true strength of the Otto Group: “Passion for our customers, passion for innovation, passion for sustainability, and passion for integrated networking.” Each one of these performance levels is an integral element of the Otto Group’s guiding principle and self-image. “Accelerating toward New Goals,” Otto Group, accessed August 20, 2010, http://www.ottogroup.com/en/die-otto-group/daten-und-fakten/segmente.php.
Future growth is guided by the Otto Group’s Vision 2020 strategy, which is based on achieving a strong presence in all key markets of the three largest regions—Europe, North America, and Asia. In doing so, the Otto Group relies on innovative concepts in the multichannel business, on current trends in e-commerce, on OTC retail, and on developments in mobile commerce. In keeping with that vision, its focus for near-term expansion is on expanding the Group’s strong position in Russia and increasing market share in other economic areas, such as the Chinese and Brazilian markets. Investment options in core European markets are continually being reviewed to strengthen the multichannel strategy. As a global operating group, Otto aims to have a presence in all major markets and will continue to expand OTC retailing.
© 2011, Otto Group
In 2010, for instance, the Otto Group continued to develop its activities in the growth markets of Central and Eastern Europe. Through takeovers and the acquisition of further shares in various distance-selling concepts, including Quelle Russia, the Otto Group has continued to build on its market leadership in Russian mail order. A further major goal for the future is to expand OTC retail within the multichannel retail segment, making it one of the pillars of Otto alongside its e-commerce and catalog businesses. The foundations of value-oriented corporate management are reflected in the uncompromising customer orientation evident in business activities with both end consumers and corporate clients.
The strategy envisages targeted investments that provide the Otto Group with “Best in Class” business models. Otto not only draws on an excellent range of customer services as the basis for its success in its core business of multichannel retailing but also offers an array of retail-related services for its corporate clients. In the future, the company is looking to expand these services, moving beyond its core business. The buying organization of the Otto Group has been repositioned under the name Otto International and is now a firm fixture in the world’s key sourcing markets. Otto International’s corporate clients stand to benefit directly from the market power of the Otto Group while providing the volumes to make their own contribution to its growth.
The US Market Reentry Initiative
Germany remains the Otto Group’s most-important regional sales market, followed by France, the rest of Europe, North America, and Asia. In the United States, Otto set up a greenfield division called Otto International and quietly launched Field & Stream 1871, a brand of outdoor clothing, outerwear, footwear, and accessories, in 2010. The products are available only on the Field & Stream e-commerce site. As always, the Otto name is almost nowhere on the site, being visible only on the site’s privacy policy page.
Industry experts thought it surprising that Otto launched the clothing line because it had previously left the US market after its acquisition of Eddie Bauer’s parent company, Spiegel, failed in 2009.
Still, the Otto Group has received much acclaim for its innovations in the retail arena. For example, according to a Microsoft case study, Otto was the first company (1) to use telephone ordering, (2) to produce a CD-ROM version of its catalog in the 1990s (to deal with slow dial-up connections), and (3) to build one of the largest collections of online merchandise, at http://www.otto.de. “Microsoft Case Studies,” Microsoft, accessed August 20, 2010, http://www.microsoft.com/casestudies/Case_Study_Detail.aspx?CaseStudyID=200504; and “Otto Group: OTTO,” accessed February 7, 2011, http://www.ottogroup.com/otto.html?&L=0. So the Otto Group may have other innovations planned for Field & Stream. But the US fashion market is saturated with competitors. As WWD reported, Otto may do better to focus on growing its own retail brands and utilizing its impressive in-house manufacturing and logistics divisions, which are now Otto’s fastest-growing segment. Thomas Brenner, “Otto Group: A German Giant Tiptoes Back to the U.S.,” WWD, April 14, 2010, accessed February 7, 2011, http://www.wwd.com/wwd-publications/wwd/2010-04-14?id=3036440&date=today&module=tn/today#/article/retail-news/otto-group-a-german-giant-tiptoes-back-to-the-u-s--3036500?navSection=issues &navId=3036440. Otto could use these divisions to build other retail operations—while keeping a low profile, of course.
Opening Case Exercises
(AACSB: Ethical Reasoning, Multiculturalism, Reflective Thinking, Analytical Skills)
How do non-German markets figure into the Otto Group’s strategy?
What do you think the firm has had to do to plan for this level of international expansion?
Which country-entry modes does the firm appear to prefer? Does it vary these modes?
After the Otto Group failed in its first effort to enter the US market with Spiegel, why would it try again?
How does this latest effort to enter the US market differ from its prior attempt?
8.1 Global Strategic Choices
Learning Objectives
Learn about the rationale and motivations for international expansion.
Understand the importance of international due diligence.
Recognize the role of regional differences, consumer preferences, and industry dynamics.
The Why, Where, and How of International Expansion
The allure of global markets can be mesmerizing. Companies that operate in highly competitive or nearly saturated markets at home, for instance, are drawn to look overseas for expansion. But overseas expansion is not a decision to be made lightly, and managers must ask themselves whether the expansion will create real value for shareholders. Companies can easily underestimate the costs of entering new markets if they are not familiar with the new regions and the business practices common within the new regions. For some companies, a misstep in a foreign market can put their entire operations in jeopardy, as happened to French retailer Carrefour after their failed entry into Chile, which you’ll see later in this section. In this section, as summarized in the following figure, you will learn about the rationale for international expansion and then how to analyze and evaluate markets for international expansion.
Rationale for International Expansion
Companies embark on an expansion strategy for one or more of the following reasons:
To improve the cost-effectiveness of their operations
To expand into new markets for new customers
To follow global customers
For example, US chemical firm DuPont, Brazilian aerospace conglomerate Embraer, and Finnish mobile-phone maker Nokia are all investing in China to gain new customers. Schneider Logistics, in contrast, initially entered a new market, Germany, not to get new customers but to retain existing customers who needed a third-party logistics firm in Germany. Thus, Schneider followed its customers to Germany. Other companies, like microprocessor maker Intel, are building manufacturing facilities in China to take advantage of the less costly and increasingly sophisticated production capabilities. For example, Intel built a semiconductor manufacturing plant in Dalian, China, for $2.5 billion, whereas a similar state-of-the-art microprocessor plant in the United States can cost $5 billion. “2011 Global R&D Funding Forecast,” R&D Magazine, December 2010, accessed January 2, 2011, http://www.rdmag.com/tags/publications/global-r-and-d-funding-forecast. Intel has also built plants in Chengdu and Shanghai, China, and in other Asian countries (Vietnam and Malaysia) to take advantage of lower costs.
Planning for International Expansion
As companies look for growth in new areas of the world, they typically prioritize which countries to enter. Because many markets look appealing due to their market size or low-cost production, it is important for firms to prioritize which countries to enter first and to evaluate each country’s relative merits. For example, some markets may be smaller in size, but their strategic complexity is lower, which may make them easier to enter and easier from an operations point of view. Sometimes there are even substantial regional differences within a given country, so careful investigation, research, and planning are important to do before entry.
International Market Due Diligence
International market due diligence
Involves analyzing foreign markets for their potential size, accessibility, cost of operations, and buyer needs and practices to aid the company in deciding whether to invest in entering that market.
involves analyzing foreign markets for their potential size, accessibility, cost of operations, and buyer needs and practices to aid the company in deciding whether to invest in entering that market. Market due diligence relies on using not just published research on the markets but also interviews with potential customers and industry experts. A systematic analysis needs to be done, using tools like PESTEL and CAGE, which will be described in Section 8.2 "PESTEL, Globalization, and Importing" and Section 8.4 "CAGE Analysis", respectively. In this section, we begin with an overview.
Evaluating whether to enter a new market is like peeling an onion—there are many layers. For example, when evaluating whether to enter China, the advantage most people see immediately is its large market size. Further analysis shows that the majority of people in that market can’t afford US products, however. But even deeper analysis shows that while many Chinese are poor, the number of people who can afford consumer products is increasing. Art Kleiner, “Getting China Right,” Strategy and Business, March 22, 2010, accessed January 23, 2011, http://www.strategy-business.com/article/00026?pg=al.
Regional Differences
The next part of due diligence is to understand the regional differences within the country and to not view the country as a monolith. For example, although companies are dazzled by China’s large market size, deeper analysis shows that 70 percent of the population lives in rural areas. This presents distribution challenges given China’s vast distances. In addition, consumers in different regions speak different dialects and have different tastes in food. Finally, the purchasing power of consumers varies in the different cities. City dwellers in Shanghai and Tianjin can afford higher prices than villagers in a western province.
Let’s look at a specific example. To achieve the dual goals of reducing operations costs and being closer to a new market of customers, for instance, numerous high-tech companies identify Malaysia as an attractive country to enter. Malaysia is a relatively inexpensive country and the population’s English skills are good, which makes it attractive both for finding local labor and for selling products. But even in a small country like Malaysia, there are regional differences. Companies may be tempted to set up operations in the capital city, Kuala Lumpur, but doing a thorough due diligence reveals that the costs in Kuala Lumpur are rising rapidly. If current trends continue, Kuala Lumpur will be as expensive as London in five years. Therefore, firms seeking primarily a lower-cost advantage would do better to locate to another city in Malaysia, such as Penang, which has many of the same advantages as Kuala Lumpur but does not have its rising costs. Ajay Chamania, Heral Mehta, and Vikas Sehgal, “Five Factors for Finding the Right Site,” Strategy and Business, November 23, 2010, accessed May 17, 2011, http://www.strategy-business.com/article/10403?gko=e029a.
Understanding Local Consumers
Entering a market means understanding the local consumers and what they look for when making a purchase decision. In some markets, price is an important issue. In other markets, such as Japan, consumers pay more attention to details—such as the quality of products and the design and presentation of the product or retail surroundings—than they do to price. The Japanese demand for perfect products means that firms entering Japan might have to spend a lot on quality management. Moreover, real-estate costs are high in Japan, as are freight costs such as fuel and highway charges. In addition, space is limited at retail stores and stockyards, which means that stores can’t hold much inventory, making replenishment of products a challenge. Therefore, when entering a new market, it’s vital for firms to perform full, detailed market research in order to understand the market conditions and take measures to account for them.
How to Learn the Needs of a New Foreign Market
The best way for a company to learn the needs of a new foreign market is to deploy people to immerse themselves in that market. Larger companies, like Intel, employ ethnographers and sociologists to spend months in emerging markets, living in local communities and seeking to understand the latent, unarticulated needs of local consumers. For example, Dr. Genevieve Bell, one of Intel’s anthropologists, traveled extensively across China, observing people in their homes to find out how they use technology and what they want from it. Intel then used her insights to shape its pricing strategies and its partnership plans for the Chinese consumer market. Navi Radjou, “R&D 2.0: Fewer Engineers, More Anthropologists,” Harvard Business Review (blog), June 10, 2009, accessed January 2, 2011, http://blogs.hbr.org/radjou/2009/06/rd-20-fewer-engineers-more-ant.html.
Differentiation and Capability
When entering a new market, companies also need to think critically about how their products and services will be different from what competitors are already offering in the market so that the new offering provides customers value. Companies trying to penetrate a new market must be sure to have some proof that they can deliver to the new market; this proof could be evidence that they have spoken with potential customers and are connected to the market. “How We Do It: Strategic Tests from Four Senior Executives,” McKinsey Quarterly, January 2011, accessed January 22, 2011, https://www.mckinseyquarterly.com/PDFDownload.aspx?ar=2712&srid=27. Related to firm capability, another factor for firms to consider when evaluting which country to enter is that of “corporate fit.” Corporate fit
The degree to which the company’s existing practices, resources, and capabilties fit the new market.
is the degree to which the company’s existing practices, resources and capabilties fit the new market. For example, a company accustomed to operating within a detailed, unbiased legal environment would not find a good corporate fit in China because of the current vagaries of Chinese contract law. Carol Wingard, “Ensuring Value Creation through International Expansion,” L.E.K. Consulting Executive Insights 5, no. 3, accessed January 15, 2011, http://www.lek.com/sites/default/files/Volume_V_Issue_3.pdf. Whereas a low corporate fit doesn’t preclude expanding into that country, it does signal that additional resources or caution may be necessary. Two typical dimensions of corporate fit are human resources practices and the firm’s risk tolerance.
Did You Know?
Over the years 2005–09, the number of Global 500 companies headquartered in BRIC countries (Brazil, Russia, India, and China) increased significantly. China grew from 8 headquarters to 43, India doubled from 5 to 10, Brazil rose from 5 to 9, and Russia went from 4 to 6. The United States still leads with 181 company headquarters, but it’s down from 219 in 2005. Jeanne Meister and Karie Willyerd, The 2020 Workplace (New York: HarperBusiness, 2010), 22, citing “FT500 2009,” Financial Times, accessed November 27, 2009, http://www.ft.com/reports/ft500-2009.
Industry Dynamics
In some cases, the decision to enter a new market will depend on the specific circumstances of the industry in which the company operates. For example, companies that help build infrastructure need to enter countries where the government or large companies have a lot of capital, because infrastructure projects are so expensive. The president of Spanish infrastructure company Fomento de Construcciones y Contratas said, “We focus on those countries where there is more money and there is a gap in the infrastructure,” such as China, Singapore, the United States, and Algeria. “Practical Advice for Companies Betting on a Strategy of Globalization,” Knowledge@Wharton, January 12, 2011, accessed February 5, 2011, http://knowledge.wharton.upenn.edu/article.cfm?articleid=2541.
Political stability, legal security, and the “rule of law”—the presence of and adherence to laws related to business contracts, for example—are important considerations prior to market entry regardless of which industry a company is in. Fomento de Construcciones y Contratas learned this the hard way and ended up leaving some countries it had entered. The company’s president, Baldomero Falcones, explained, “When you decide whether or not to invest, one factor to take into account is the rule of law. Our ethical code was considered hard to understand in some countries, so we decided to leave during the early stages of the investment.” “Practical Advice for Companies Betting on a Strategy of Globalization,” Knowledge@Wharton, January 12, 2011, accessed February 5, 2011, http://knowledge.wharton.upenn.edu/article.cfm?articleid=2541.
Ethics in Action
Companies based in China are entering Australia and Africa, primarily to gain access to raw materials. Trade between China and Africa grew an average of 30 percent in the decade up to 2010, reaching $115 billion that year. Paul Redfern, “Africa: Trade between China and Continent at U.S.$115 Billion a Year,” Daily Nation, February 11, 2011, accessed February 14, 2011, http://allafrica.com/stories/201102140779.html. Chinese companies operate in Zambia (mining coal), the Democratic Republic of the Congo (mining cobalt), and Angola (drilling for oil). To get countries to agree to the deals, China had to agree to build new infrastructure, such as roads, railways, hospitals, and schools. Some economists, such as Dambisa Moyo, who wrote Dead Aid: Why Aid Is Not Working and How There Is a Better Way for Africa, believe that the way to help developing countries like those in Africa is not through aid but through trade. Moyo argues that long-term charity is degrading. She advocates business investments and setting up enterprises that employ local workers. Ecobank CEO Arnold Ekpe (whose bank employs 11,000 people in twenty-six African states) says the Chinese look at Africa differently than the West does: “ [The Chinese] are not setting out to do good,” he says. “They are setting out to do business. It’s actually much less demeaning.” Alex Perry, “Africa, Business Destination,” Time, March 12, 2009, accessed February 14, 2011, http://www.time.com/time/specials/packages/article/0,28804,1884779_1884782_1884769,00.html#ixzz1DwbdOXvs. Deborah Brautigam, associate professor at the American University’s International Development Program, agrees. In her book, The Dragon’s Gift: The Real Story of China in Africa, she says, “The Chinese understand something very fundamental about state building: new states need to build buildings and dignity, not simply strive to end poverty.” Steve Bloomfield, “China in Africa: Give and Take,” Emerging Markets, May 27, 2010, accessed February 14, 2011, http://www.emergingmarkets.org/Article/2580082/CHINA-IN-AFRICA-Give-and-take.html.
Steps and Missteps in International Expansion
Let’s look at an example of the steps—as well as the missteps—in international expansion. American retailers entered the Chilean market in the mid- to late 1990s. They chose Chile as the market to enter because of the country’s strong economy, the advanced level of the Chilean retail sector, and the free trade agreements signed by Chile. From that standpoint, their due diligence was accurate, but it didn’t go far enough, as we’ll see.
Retailer JCPenney entered Chile in 1995, opening two stores. French retailer Carrefour also entered Chile, in 1998. Neither company entered through an alliance with a local retailer. Both companies were forced to close their Chilean operations due to the losses they were incurring. Analysis by the Aldolfo Ibáñez University in Chile explained the reasons behind the failures: the managers of these companies were not able to connect with the local market, nor did they understand the variables that affected their businesses in Chile. “The Globalization of Chilean Retailing,” Knowledge@Wharton, December 12, 2007, accessed January 5, 2011, http://www.wharton.universia.net/index.cfm?fa=viewfeature&id=1450&language=english. Specifically, the Chilean retailing market was advanced, but it was also very competitive. The new entrants (JCPenney and Carrefour) didn’t realize that the existing major local retailers had their own banks and offered banking services at their retail stores, which was a major reason for their profitability. The outsiders assumed that profitability in this sector was based solely on retail sales. They missed the importance of the bank ties. Another typical mistake that companies make is to assume that a new market has no competition just because the company’s traditional competitors aren’t in that market.
Now let’s continue with the example and watch native Chilean retailers enter a market new to them: Peru.
Figure 8.1 Map of Peru
Source: © 2003-2011, Atma Global, Inc. All Rights Reserved.
The Chilean retailers were successful in their own markets but wanted to expand beyond their borders in order to get new customers in new markets. The Chilean retailers chose to enter Peru, which had the same language.
Figure 8.2 Machu Picchu
Source: © 2003-2011, Atma Global, Inc. All Rights Reserved.
The Peruvian retailing market was not advanced, and it did not offer credit to customers. The Chileans entered the market through partnership with local Peruvian firms, and they introduced the concept of credit cards, which was an innovation in the poorly developed Peruvian market. Entering through a domestic partner helped the Chileans because it eliminated hostility and made the investment process easier. Offering the innovation of credit cards made the Chilean retailers distinctive and offered an advantage over the local offerings. “The Globalization of Chilean Retailing,” Knowledge@Wharton, December 12, 2007, accessed January 5, 2011, http://www.wharton.universia.net/index.cfm?fa=viewfeature&id=1450&language=english.
Key Takeaways
Companies embark on an expansion strategy for one or more of the following reasons: (1) to improve the cost-effectiveness of their operations, (2) to expand into new markets for new customers, and (3) to follow global customers.
Planning for international expansion involves doing a thorough due diligence on the potential markets into which the country is considering expanding. This includes understanding the regional differences within markets, the needs of local customers, and the firm’s own capabilities in relation to the dynamics of the industry.
Common mistakes that firms make when entering a new market include not doing thorough research prior to entry, not understanding the competition, and not offering a truly targeted value proposition for buyers in the new market.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What are some of the common motivators for companies embarking on international expansion?
Why is international market due diligence important?
What are some ways in which a company can learn about the needs of local buyers in a new international market?
Discuss the meaning of “corporate fit” in relation to international market expansion.
Name two common mistakes firms make when expanding internationally
8.2 PESTEL, Globalization, and Importing
Learning Objectives
Know the components of PESTEL analysis.
Recognize how PESTEL is related to the dimensions of globalization.
Understand why importing might be a stealth form of international entry.
Know the Components of PESTEL Analysis
PESTEL analysis
An important and widely used tool that helps present the big picture of a firm’s external environment in political, economic, sociocultural, technological, environmental, and legal contexts, particularly as related to foreign markets; analyzes for market growth or decline and, therefore, the position, potential, and direction for a business.
is an important and widely used tool that helps show the big picture of a firm’s external environment, particularly as related to foreign markets. PESTEL is an acronym for the political, economic, sociocultural, technological, environmental, and legal contexts in which a firm operates. A PESTEL analysis helps managers gain a better understanding of the opportunities and threats they face; consequently, the analysis aids in building a better vision of the future business landscape and how the firm might compete profitably. This useful tool analyzes for market growth or decline and, therefore, the position, potential, and direction for a business. When a firm is considering entry into new markets, these factors are of considerable importance. Moreover, PESTEL analysis provides insight into the status of key market flatteners, both in terms of their present state and future trends.
Firms need to understand the macroenvironment to ensure that their strategy is aligned with the powerful forces of change affecting their business landscape. When firms exploit a change in the environment—rather than simply survive or oppose the change—they are more likely to be successful. A solid understanding of PESTEL also helps managers avoid strategies that may be doomed to fail given the circumstances of the environment. JCPenney’s failed entry into Chile is a case in point.
Finally, understanding PESTEL is critical prior to entry into a new country or region. The fact that a strategy is congruent with PESTEL in the home environment gives no assurance that it will also align in other countries. For example, when Lands’ End, the online clothier, sought to expand its operations into Germany, it ran into local laws prohibiting it from offering unconditional guarantees on its products. In the United States, Lands’ End had built a reputation for quality on its no-questions-asked money-back guarantee. However, this was considered illegal under Germany’s regulations governing incentive offers and price discounts. The political skirmish between Lands’ End and the German government finally ended when the regulations banning unconditional guarantees were abolished. While the restrictive regulations didn’t put Lands’ End out of business in Germany, they did inhibit its growth there until the laws were abolished.
There are three steps in the PESTEL analysis. First, consider the relevance of each of the PESTEL factors to your context. Next, identify and categorize the information that applies to these factors. Finally, analyze the data and draw conclusions. Common mistakes in this analysis include stopping at the second step or assuming that the initial analysis and conclusions are correct without testing the assumptions and investigating alternative scenarios.
The framework for PESTEL analysis is presented below. It’s composed of six sections—one for each of the PESTEL headings. Mason Carpenter, Talya Bauer, and Berrin Erdogan, Principles of Management (Nyack, NY: Flat World Knowledge, 2009), accessed January 5, 2011, http://www.flatworldknowledge.com/printed-book/127834. The framework includes sample questions or prompts, the answers to which can help determine the nature of opportunities and threats in the macroenvironment. These questions are examples of the types of issues that can arise in a PESTEL analysis.
PESTEL Analysis
Political
How stable is the political environment in the prospective country?
What are the local taxation policies? How do these affect your business?
Is the government involved in trading agreements, such as the European Union (EU), the North American Free Trade Agreement (NAFTA), or the Association of Southeast Asian Nations (ASEAN)?
What are the country’s foreign-trade regulations?
What are the country’s social-welfare policies?
Economic
What are the current and forecast interest rates?
What is the current level of inflation in the prospective country? What is it forecast to be? How does this affect the possible growth of your market?
What are local employment levels per capita, and how are they changing?
What are the long-term prospects for the country’s economy, gross domestic product (GDP) per capita, and other economic factors?
What are the current exchange rates between critical markets, and how will they affect production and distribution of your goods?
Sociocultural
What are the local lifestyle trends?
What are the country’s current demographics, and how are they changing?
What is the level and distribution of education and income?
What are the dominant local religions, and what influence do they have on consumer attitudes and opinions?
What is the level of consumerism, and what are the popular attitudes toward it?
What pending legislation could affect corporate social policies (e.g., domestic-partner benefits or maternity and paternity leave)?
What are the attitudes toward work and leisure?
Technological
To what level do the local government and industry fund research, and are those levels changing?
What is the local government’s and industry’s level of interest and focus on technology?
How mature is the technology?
What is the status of intellectual property issues in the local environment?
Are potentially disruptive technologies in adjacent industries creeping in at the edges of the focal industry?
Environmental
What are the local environmental issues?
Are there any pending ecological or environmental issues relevant to your industry?
How do the activities of international activist groups (e.g., Greenpeace, Earth First!, and People for the Ethical Treatment of Animals [PETA]) affect your business?
Are there environmental-protection laws?
What are the regulations regarding waste disposal and energy consumption?
Legal
What are the local government’s regulations regarding monopolies and private property?
Does intellectual property have legal protections?
Are there relevant consumer laws?
What is the status of employment, health and safety, and product safety laws?
Political Factors
The political environment can have a significant influence on businesses. In addition, political factors affect consumer confidence and consumer and business spending. For instance, how stable is the political environment? This is particularly important for companies entering new markets. Government policies on regulation and taxation can vary from state to state and across national boundaries. Political considerations also encompass trade treaties, such as NAFTA, ASEAN, and EU. Such treaties tend to favor trade among the member countries but impose penalties or less favorable trade terms on nonmembers.
Economic Factors
Managers also need to consider macroeconomic factors that will have near-term and long-term effects on the success of their strategy. Inflation rates, interest rates, tariffs, the growth of the local and foreign national economies, and exchange rates are critical. Unemployment, availability of critical labor, and the local cost of labor also have a strong bearing on strategy, particularly as related to the location of disparate business functions and facilities.
Sociocultural Factors
The social and cultural influences on business vary from country to country. Depending on the type of business, factors such as the local languages, the dominant religions, the cultural views toward leisure time, and the age and lifespan demographics may be critical. Local sociocultural characteristics also include attitudes toward consumerism, environmentalism, and the roles of men and women in society. For example, Coca-Cola and PepsiCo have grown in international markets due to the increasing level of consumerism outside the United States.
Coca-Cola has used its appeal to global consumers throughout its marketing efforts.
© 2011, The Coca-Cola Company, Inc.
Making assumptions about local norms derived from experiences in your home market is a common cause for early failure when entering new markets. However, even home-market norms can change over time, often caused by shifting demographics due to immigration or aging populations.
Technological Factors
The critical role of technology is discussed in more detail later in this section. For now, suffice it to say that technological factors have a major bearing on the threats and opportunities firms encounter. For example, new technology may make it possible for products and services to be made more cheaply and to a better standard of quality. New technology may also provide the opportunity for more innovative products and services, such as online stock trading and remote working. Such changes have the potential to change the face of the business landscape.
Environmental Factors
The environment has long been a factor in firm strategy, primarily from the standpoint of access to raw materials. Increasingly, this factor is best viewed as both a direct and indirect cost for the firm.
Environmental factors are also evaluated on the footprint left by a firm on its respective surroundings. For consumer-product companies like PepsiCo, for instance, this can encompass the waste-management and organic-farming practices used in the countries where raw materials are obtained. Similarly, in consumer markets, it may refer to the degree to which packaging is biodegradable or recyclable.
Legal Factors
Finally, legal factors reflect the laws and regulations relevant to the region and the organization. Legal factors can include whether the rule of law is well established, how easily or quickly laws and regulations may change, and what the costs of regulatory compliance are. For example, Coca-Cola’s market share in Europe is greater than 50 percent; as a result, regulators have asked that the company give shelf space in its coolers to competitive products in order to provide greater consumer choice. “EU Curbs Coca-Cola Market Dominance,” Food & Beverage Reporter, August 2005, accessed February 18, 2011, http://www.developtechnology.co.za/index.php?option=com_content&task=view&id=18464&Itemid=101.
Many of the PESTEL factors are interrelated. For instance, the legal environment is often related to the political environment, where laws and regulations can only change when they’re consistent with the political will.
PESTEL and Globalization
Over the past decade, new markets have been opened to foreign competitors, whole industries have been deregulated, and state-run enterprises have been privatized. So, globalization has become a fact of life in almost every industry. George S. Yip, “Global Strategy in a World of Nations,” Sloan Management Review 31, no. 1 (1989): 29–40. This entails much more than companies simply exporting products to another country. Some industries that aren’t normally considered global do, in fact, have strictly domestic players. But these companies often compete alongside firms with operations in multiple countries; in many cases, both sets of firms are doing equally well. In contrast, in a truly global industry, the core product is standardized, the marketing approach is relatively uniform, and competitive strategies are integrated in different international markets. Michael E. Porter, Competition in Global Industries (Boston: Harvard Business School Press, 1986); George S. Yip, “Global Strategy in a World of Nations,” Sloan Management Review 31, no. 1 (1989): 29–40. In these industries, competitive advantage clearly belongs to the firms that can compete globally.
A number of factors reveal whether an industry has globalized or is in the process of globalizing. The sidebar below groups globalization factors into four categories: markets, costs, governments, and competition. These dimensions correspond well to Thomas Friedman’s flatteners (as described in his book The World Is Flat ), though they are not exhaustive. Thomas L. Friedman, The World Is Flat (New York: Farrar, Straus and Giroux, 2005).
Factors Favoring Industry Globalization
Markets
Homogeneous customer needs
Global customer needs
Global channels
Transferable marketing approaches
Costs
Large-scale and large-scope economies
Learning and experience
Sourcing efficiencies
Favorable logistics
Arbitrage opportunities
High research-and-development (R&D) costs
Governments
Favorable trade policies
Common technological standards
Common manufacturing and marketing regulations
Competition
Interdependent countries
Global competitors Adapted from Michael E. Porter, Competition in Global Industries (Boston: Harvard Business School Press, 1986); George S. Yip, “Global Strategy in a World of Nations,” Sloan Management Review 31, no. 1 (1989): 29–40.
Markets
The more similar markets in different regions are, the greater the pressure for an industry to globalize. Coca-Cola and PepsiCo, for example, are fairly uniform around the world because the demand for soft drinks is largely the same in every country. The airframe-manufacturing industry, dominated by Boeing and Airbus, also has a highly uniform market for its products; airlines all over the world have the same needs when it comes to large commercial jets.
Costs
In both of these industries, costs favor globalization. Coca-Cola and PepsiCo realize economies of scope and scale because they make such huge investments in marketing and promotion. Since they’re promoting coherent images and brands, they can leverage their marketing dollars around the world. Similarly, Boeing and Airbus can invest millions in new-product R&D only because the global market for their products is so large.
Governments and Competition
Obviously, favorable trade policies encourage the globalization of markets and industries. Governments, however, can also play a critical role in globalization by determining and regulating technological standards. Railroad gauge—the distance between the two steel tracks—would seem to favor a simple technological standard. In Spain, however, the gauge is wider than in France. Why? Because back in the 1850s, when Spain and neighboring France were hostile to one another, the Spanish government decided that making Spanish railways incompatible with French railways would hinder any French invasion.
These are a few key drivers of industry change. However, there are particular implications of technological and business-model breakthroughs for both the pace and extent of industry change. The rate of change may vary significantly from one industry to the next; for instance, the computing industry changes much faster than the steel industry. Nevertheless, change in both fields has prompted complete reconfigurations of industry structure and the competitive positions of various players. The idea that all industries change over time and that business environments are in a constant state of flux is relatively intuitive. As a strategic decision maker, you need to ask yourself this question: how accurately does current industry structure (which is relatively easy to identify) predict future industry conditions?
Importing as a Stealth Form of Internationalization
Ironically, the drivers of globalization have also given rise to a greater level of imports. Globalization in this sense is a very strong flattener. Importing
The sale of products or services in one country that are sourced in another country.
involves the sale of products or services in one country that are sourced in another country. In many ways, importing is a stealth form of internationalization. Firms often claim that they have no international operations and yet—directly or indirectly—base their production or services on inputs obtained from outside their home country. Firms that engage in importing must learn about customs requirements, informed compliance with customs regulations, entry of goods, invoices, classification and value, determination and assessment of duty, special requirements, fraud, marketing, trade finance and insurance, and foreign trade zones. Importing can take many forms—from the sourcing of components, machinery, and raw materials to the purchase of finished goods for domestic resale and the outsourcing of production or services to nondomestic providers.
Outsourcing
Contracting with a third party to do some of a company’s work on its behalf.
occurs when a company contracts with a third party to do some work on its behalf. The outsourcer may do the work within the same country or may take the work to another country (i.e., offshoring). Offshoring
Taking some business function out of the company’s country of orgin to be performed in another country, generally at a lower cost.
occurs when you take a function out of your country of residence to be performed in another country, generally at a lower cost. International outsourcing
The term for both outsourcing and offshoring work, or outsourcing to a nondomestic third party.
, or outsourcing work to a nondomestic third party, has become very visible in business and corporate strategy in recent years. But it’s not a new phenomenon; for decades, Nike has been designing shoes and other apparel that are manufactured abroad. Similarly, Pacific Cycle doesn’t make a single Schwinn or Mongoose bicycle in the United States but instead imports them entirely from manufacturers in Taiwan and China. It may seem as if international outsourcing is new because businesses are now more often outsourcing services, components, and raw materials from countries with developing economies (e.g., China, Brazil, and India).
In addition to factors of production, information technologies (IT)—such as telecommunications and the widespread diffusion of the Internet—have provided the impetus for outsourcing services. Business-process outsourcing (BPO) is the delegation of one or more IT-intensive business processes to an external provider that in turn owns, administers, and manages the selected process on the basis of defined and measurable performance criteria. The firms in service and IT-intensive industries—insurance, banking, pharmaceuticals, telecommunications, automotive, and airlines—are among the early adopters of BPO. Of these, insurance and banking are able to generate the bulk of the savings, purely because of the large proportion of processes that they can outsource (i.e., the processing of claims and loans and providing service through call centers). Among those countries housing BPO operations, India experienced the most dramatic growth in services where language skills and education were important. Research firm Gartner anticipates that the BPO market in India will reach $1.8 billion by 2013. “Indian BPO Market to Grow 25 percent in 2010,” Times of India, March 29, 2010, accessed February 17, 2011, http://timesofindia.indiatimes.com/business/india-business/Indian-BPO-market-to-grow-25-in-2010/articleshow/5739043.cms.
Generally, foreign outsourcing locations tend to be defined by how automated a production process or service can be made and the transportation costs involved. When transportation costs and automation are both high, then the knowledge worker component of the location calculation becomes less important. You can see how you might employ the CAGE framework to evaluate potential outsourcing locations. In some cases, though, firms invest in both plant equipment and the training and development of the local workforce. This becomes important when the broader labor force needs to have a higher level of education to operate complex plant machinery or because a firm’s specific technologies also have a cultural component. Brazil is one case in point; Ford, BMW, Daimler, and Cargill have all made significant investments in the educational infrastructure of this significant, emerging economy. Spencer E. Ante, “IBM Bets on Brazilian Innovation,” BusinessWeek, August 17, 2009, accessed February 18, 2011, http://www.businessweek.com/technology/content/aug2009/tc20090817_998497.htm; “Cargill Annual Report 2006,” Cargill website, accessed October 27, 2010, http://www.cargill.com.br/wcm/groups/public/@csf/@brazil/documents/document/br-2006-annual-rpt.pdf; “Ford to Raise Brazil Investments by $281 Million,” Reuters, April 8, 2010, accessed February 18, 2011, http://www.reuters.com/article/2010/04/08/ford-brazil-idUSN0821323920100408; “Cargill Investing $210 Million in Brazilian Plant,” Forbes, February 2, 2011, accessed February 18, 2011, http://www.forbes.com/feeds/ap/2011/02/02/business-food-retailers-amp-wholesalers-us-cargill-brazil_8289031.htm.
Key Takeaways
A PESTEL analysis examines a target market’s political, economic, social, technological, environmental, and legal dimensions in terms of both its current state and possible trends.
An understanding of the dimensions of PESTEL helps you better grasp the dimensions on which a target market or industry may be more global or local.
Importing is a stealth form of international entry, because the factors that favor globalization can also lead to a higher level of imports, and inputs can be sourced from anywhere they have either the lowest cost, highest quality, or some combination of these characteristics.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What are the components of PESTEL analysis?
What are the four dimensions of pressures favoring globalization?
How are the PESTEL and globalization dimensions related to the flatteners (in the context that Thomas Friedman talks about them in his book The World Is Flat )?
Why might importing be considered a stealth form of internationalization or an internationalization entry mode?
What is the difference between outsourcing and offshoring?
8.3 International-Expansion Entry Modes
Learning Objectives
Describe the five common international-expansion entry modes.
Know the advantages and disadvantages of each entry mode.
Understand the dynamics among the choice of different entry modes.
The Five Common International-Expansion Entry Modes
In this section, we will explore the traditional international-expansion entry modes. Beyond importing, international expansion is achieved through exporting, licensing arrangements, partnering and strategic alliances
An international entry mode involving a contractual agreement between two or more enterprises stipulating that the involved parties will cooperate in a certain way for a certain time to achieve a common purpose.
, acquisitions, and establishing new, wholly owned subsidiaries, also known as greenfield ventures
An international entry mode involving the establishment of a new, wholly owned subsidiary.
. These modes of entering international markets and their characteristics are shown in Table 8.1 "International-Expansion Entry Modes". Shaker A. Zahra, R. Duane Ireland, and Michael A. Hitt, “International Expansion by New Venture Firms: International Diversity, Mode of Market Entry, Technological Learning, and Performance,” Academy of Management Journal 43, no. 5 (October 2000): 925–50. Each mode of market entry has advantages and disadvantages. Firms need to evaluate their options to choose the entry mode that best suits their strategy and goals.
Table 8.1 International-Expansion Entry Modes
Type of Entry
Advantages
Disadvantages
Exporting
Fast entry, low risk
Low control, low local knowledge, potential negative environmental impact of transportation
Licensing and Franchising
Fast entry, low cost, low risk
Less control, licensee may become a competitor, legal and regulatory environment (IP and contract law) must be sound
Partnering and Strategic Alliance
Shared costs reduce investment needed, reduced risk, seen as local entity
Higher cost than exporting, licensing, or franchising; integration problems between two corporate cultures
Acquisition
Fast entry; known, established operations
High cost, integration issues with home office
Greenfield Venture (Launch of a new, wholly owned subsidiary)
Gain local market knowledge; can be seen as insider who employs locals; maximum control
High cost, high risk due to unknowns, slow entry due to setup time
Exporting
Exporting is a typically the easiest way to enter an international market, and therefore most firms begin their international expansion using this model of entry. Exporting is the sale of products and services in foreign countries that are sourced from the home country. The advantage of this mode of entry is that firms avoid the expense of establishing operations in the new country. Firms must, however, have a way to distribute and market their products in the new country, which they typically do through contractual agreements with a local company or distributor. When exporting, the firm must give thought to labeling, packaging, and pricing the offering appropriately for the market. In terms of marketing and promotion, the firm will need to let potential buyers know of its offerings, be it through advertising, trade shows, or a local sales force.
Amusing Anecdotes
One common factor in exporting is the need to translate something about a product or service into the language of the target country. This requirement may be driven by local regulations or by the company’s wish to market the product or service in a locally friendly fashion. While this may seem to be a simple task, it’s often a source of embarrassment for the company and humor for competitors. David Ricks’s book on international business blunders relates the following anecdote for US companies doing business in the neighboring French-speaking Canadian province of Quebec. A company boasted of lait frais usage, which translates to “used fresh milk,” when it meant to brag of lait frais employé, or “fresh milk used.” The “terrific” pens sold by another company were instead promoted as terrifiantes, or terrifying. In another example, a company intending to say that its appliance could use “any kind of electrical current,” actually stated that the appliance “wore out any kind of liquid.” And imagine how one company felt when its product to “reduce heartburn” was advertised as one that reduced “the warmth of heart”! David A. Ricks, Blunders in International Business (Hoboken, NJ: Wiley-Blackwell, 1999), 101.
Among the disadvantages of exporting are the costs of transporting goods to the country, which can be high and can have a negative impact on the environment. In addition, some countries impose tariffs on incoming goods, which will impact the firm’s profits. In addition, firms that market and distribute products through a contractual agreement have less control over those operations and, naturally, must pay their distribution partner a fee for those services.
Ethics in Action
Companies are starting to consider the environmental impact of where they locate their manufacturing facilities. For example, Olam International, a cashew producer, originally shipped nuts grown in Africa to Asia for processing. Now, however, Olam has opened processing plants in Tanzania, Mozambique, and Nigeria. These locations are close to where the nuts are grown. The result? Olam has lowered its processing and shipping costs by 25 percent while greatly reducing carbon emissions. Michael E. Porter and Mark R. Kramer, “The Big Idea: Creating Shared Value,” Harvard Business Review, January–February 2011, accessed January 23, 2011, http://hbr.org/2011/01/the-big-idea-creating-shared-value/ar/pr.
Likewise, when Walmart enters a new market, it seeks to source produce for its food sections from local farms that are near its warehouses. Walmart has learned that the savings it gets from lower transportation costs and the benefit of being able to restock in smaller quantities more than offset the lower prices it was getting from industrial farms located farther away. This practice is also a win-win for locals, who have the opportunity to sell to Walmart, which can increase their profits and let them grow and hire more people and pay better wages. This, in turn, helps all the businesses in the local community. Michael E. Porter and Mark R. Kramer, “The Big Idea: Creating Shared Value,” Harvard Business Review, January–February 2011, accessed January 23, 2011, http://hbr.org/2011/01/the-big-idea-creating-shared-value/ar/pr.
Firms export mostly to countries that are close to their facilities because of the lower transportation costs and the often greater similarity between geographic neighbors. For example, Mexico accounts for 40 percent of the goods exported from Texas. Andrew J. Cassey, “Analyzing the Export Flow from Texas to Mexico,” StaffPAPERS: Federal Reserve Bank of Dallas, No. 11, October 2010, accessed February 14, 2011, http://www.dallasfed.org/research/staff/2010/staff1003.pdf. The Internet has also made exporting easier. Even small firms can access critical information about foreign markets, examine a target market, research the competition, and create lists of potential customers. Even applying for export and import licenses is becoming easier as more governments use the Internet to facilitate these processes.
Because the cost of exporting is lower than that of the other entry modes, entrepreneurs and small businesses are most likely to use exporting as a way to get their products into markets around the globe. Even with exporting, firms still face the challenges of currency exchange rates. While larger firms have specialists that manage the exchange rates, small businesses rarely have this expertise. One factor that has helped reduce the number of currencies that firms must deal with was the formation of the European Union (EU) and the move to a single currency, the euro, for the first time. As of 2011, seventeen of the twenty-seven EU members use the euro, giving businesses access to 331 million people with that single currency. “The Euro,” European Commission, accessed February 11, 2011, http://ec.europa.eu/euro/index_en.html.
Licensing and Franchising
Licensing
An international entry mode involving the granting of permission by the licenser to the licensee to use intellectual property rights, such as trademarks, patents, or technology, under defined conditions.
and franchising are two specialized modes of entry that are discussed in more detail in Chapter 9 "Exporting, Importing, and Global Sourcing". The intellectual property aspects of licensing new technology or patents is discussed in Chapter 13 "Harnessing the Engine of Global Innovation".
Partnerships and Strategic Alliances
Another way to enter a new market is through a strategic alliance with a local partner. A strategic alliance involves a contractual agreement between two or more enterprises stipulating that the involved parties will cooperate in a certain way for a certain time to achieve a common purpose. To determine if the alliance approach is suitable for the firm, the firm must decide what value the partner could bring to the venture in terms of both tangible and intangible aspects. The advantages of partnering with a local firm are that the local firm likely understands the local culture, market, and ways of doing business better than an outside firm. Partners are especially valuable if they have a recognized, reputable brand name in the country or have existing relationships with customers that the firm might want to access. For example, Cisco formed a strategic alliance with Fujitsu to develop routers for Japan. In the alliance, Cisco decided to co-brand with the Fujitsu name so that it could leverage Fujitsu’s reputation in Japan for IT equipment and solutions while still retaining the Cisco name to benefit from Cisco’s global reputation for switches and routers. Steve Steinhilber, Strategic Alliances (Cambridge, MA: Harvard Business School Press, 2008), 113. Similarly, Xerox launched signed strategic alliances to grow sales in emerging markets such as Central and Eastern Europe, India, and Brazil. “ASAP Releases Winners of 2010 Alliance Excellence Awards,” Association for Strategic Alliance Professionals, September 2, 2010, accessed February 12, 2011, http://newslife.us/technology/mobile/ASAP-Releases-Winners-of-2010-Alliance-Excellence-Awards.
Strategic alliances are also advantageous for small entrepreneurial firms that may be too small to make the needed investments to enter the new market themselves. In addition, some countries require foreign-owned companies to partner with a local firm if they want to enter the market. For example, in Saudi Arabia, non-Saudi companies looking to do business in the country are required by law to have a Saudi partner. This requirement is common in many Middle Eastern countries. Even without this type of regulation, a local partner often helps foreign firms bridge the differences that otherwise make doing business locally impossible. Walmart, for example, failed several times over nearly a decade to effectively grow its business in Mexico, until it found a strong domestic partner with similar business values.
The disadvantages of partnering, on the other hand, are lack of direct control and the possibility that the partner’s goals differ from the firm’s goals. David Ricks, who has written a book on blunders in international business, describes the case of a US company eager to enter the Indian market: “It quickly negotiated terms and completed arrangements with its local partners. Certain required documents, however, such as the industrial license, foreign collaboration agreements, capital issues permit, import licenses for machinery and equipment, etc., were slow in being issued. Trying to expedite governmental approval of these items, the US firm agreed to accept a lower royalty fee than originally stipulated. Despite all of this extra effort, the project was not greatly expedited, and the lower royalty fee reduced the firm’s profit by approximately half a million dollars over the life of the agreement.” David A. Ricks, Blunders in International Business (Hoboken, NJ: Wiley-Blackwell, 1999), 101. Failing to consider the values or reliability of a potential partner can be costly, if not disastrous.
To avoid these missteps, Cisco created one globally integrated team to oversee its alliances in emerging markets. Having a dedicated team allows Cisco to invest in training the managers how to manage the complex relationships involved in alliances. The team follows a consistent model, using and sharing best practices for the benefit of all its alliances. Steve Steinhilber, Strategic Alliances (Cambridge, MA: Harvard Business School Press, 2008), 125.
Joint ventures are discussed in depth in Chapter 9 "Exporting, Importing, and Global Sourcing".
Did You Know?
Partnerships in emerging markets can be used for social good as well. For example, pharmaceutical company Novartis crafted multiple partnerships with suppliers and manufacturers to develop, test, and produce antimalaria medicine on a nonprofit basis. The partners included several Chinese suppliers and manufacturing partners as well as a farm in Kenya that grows the medication’s key raw ingredient. To date, the partnership, called the Novartis Malaria Initiative, has saved an estimated 750,000 lives through the delivery of 300 million doses of the medication. “ASAP Releases Winners of 2010 Alliance Excellence Awards,” Association for Strategic Alliance Professionals, September 2, 2010, accessed September 20, 2010, http://newslife.us/technology/mobile/ASAP-Releases-Winners-of-2010-Alliance-Excellence-Awards.
Acquisitions
An acquisition
An international entry mode in which a firm gains control of another firm by purchasing its stock, exchanging stock, or, in the case of a private firm, paying the owners a purchase price.
is a transaction in which a firm gains control of another firm by purchasing its stock, exchanging the stock for its own, or, in the case of a private firm, paying the owners a purchase price. In our increasingly flat world, cross-border acquisitions have risen dramatically. In recent years, cross-border acquisitions have made up over 60 percent of all acquisitions completed worldwide. Acquisitions are appealing because they give the company quick, established access to a new market. However, they are expensive, which in the past had put them out of reach as a strategy for companies in the undeveloped world to pursue. What has changed over the years is the strength of different currencies. The higher interest rates in developing nations has strengthened their currencies relative to the dollar or euro. If the acquiring firm is in a country with a strong currency, the acquisition is comparatively cheaper to make. As Wharton professor Lawrence G. Hrebiniak explains, “Mergers fail because people pay too much of a premium. If your currency is strong, you can get a bargain.” “Playing on a Global Stage: Asian Firms See a New Strategy in Acquisitions Abroad and at Home,” Knowledge@Wharton, April 28, 2010, accessed January 15, 2011, http://knowledge.wharton.upenn.edu/article.cfm?articleid=2473.
When deciding whether to pursue an acquisition strategy, firms examine the laws in the target country. China has many restrictions on foreign ownership, for example, but even a developed-world country like the United States has laws addressing acquisitions. For example, you must be an American citizen to own a TV station in the United States. Likewise, a foreign firm is not allowed to own more than 25 percent of a US airline. “Playing on a Global Stage: Asian Firms See a New Strategy in Acquisitions Abroad and at Home,” Knowledge@Wharton, April 28, 2010, accessed January 15, 2011, http://knowledge.wharton.upenn.edu/article.cfm?articleid=2473.
Acquisition is a good entry strategy to choose when scale is needed, which is particularly the case in certain industries (e.g., wireless telecommunications). Acquisition is also a good strategy when an industry is consolidating. Nonetheless, acquisitions are risky. Many studies have shown that between 40 percent and 60 percent of all acquisitions fail to increase the market value of the acquired company by more than the amount invested. “Playing on a Global Stage: Asian Firms See a New Strategy in Acquisitions Abroad and at Home,” Knowledge@Wharton, April 28, 2010, accessed January 15, 2011, http://knowledge.wharton.upenn.edu/article.cfm?articleid=2473. Additional risks of acquisitions are discussed in Chapter 9 "Exporting, Importing, and Global Sourcing".
New, Wholly Owned Subsidiary
The proess of establishing of a new, wholly owned subsidiary (also called a greenfield venture) is often complex and potentially costly, but it affords the firm maximum control and has the most potential to provide above-average returns. The costs and risks are high given the costs of establishing a new business operation in a new country. The firm may have to acquire the knowledge and expertise of the existing market by hiring either host-country nationals—possibly from competitive firms—or costly consultants. An advantage is that the firm retains control of all its operations. Wholly owned subsidiaries are discussed further in Chapter 9 "Exporting, Importing, and Global Sourcing".
Entrepreneurship and Strategy
The Chinese have a “Why not me?” attitude. As Edward Tse, author of The China Strategy: Harnessing the Power of the World’s Fastest-Growing Economy, explains, this means that “in all corners of China, there will be people asking, ‘If Li Ka-shing [the chairman of Cheung Kong Holdings] can be so wealthy, if Bill Gates or Warren Buffett can be so successful, why not me?’ This cuts across China’s demographic profiles: from people in big cities to people in smaller cities or rural areas, from older to younger people. There is a huge dynamism among them.” Art Kleiner, “Getting China Right,” Strategy and Business, March 22, 2010, accessed January 23, 2011, http://www.strategy-business.com/article/00026?pg=al. Tse sees entrepreneurial China as “entrepreneurial people at the grassroots level who are very independent-minded. They’re very quick on their feet. They’re prone to fearless experimentation: imitating other companies here and there, trying new ideas, and then, if they fail, rapidly adapting and moving on.” As a result, he sees China becoming not only a very large consumer market but also a strong innovator. Therefore, he advises US firms to enter China sooner rather than later so that they can take advantage of the opportunities there. Tse says, “Companies are coming to realize that they need to integrate more and more of their value chains into China and India. They need to be close to these markets, because of their size. They need the ability to understand the needs of their customers in emerging markets, and turn them into product and service offerings quickly.” Art Kleiner, “Getting China Right,” Strategy and Business, March 22, 2010, accessed January 23, 2011, http://www.strategy-business.com/article/00026?pg=al.
Key Takeaways
The five most common modes of international-market entry are exporting, licensing, partnering, acquisition, and greenfield venturing.
Each of these entry vehicles has its own particular set of advantages and disadvantages. By choosing to export, a company can avoid the substantial costs of establishing its own operations in the new country, but it must find a way to market and distribute its goods in that country. By choosing to license or franchise its offerings, a firm lowers its financial risks but also gives up control over the manufacturing and marketing of its products in the new country. Partnerships and strategic alliances reduce the amount of investment that a company needs to make because the costs are shared with the partner. Partnerships are also helpful to make the new entrant appear to be more local because it enters the market with a local partner. But the overall costs of partnerships and alliances are higher than exporting, licensing, or franchising, and there is a potential for integration problems between the corporate cultures of the partners. Acquisitions enable fast entry and less risk from the standpoint that the operations are established and known, but they can be expensive and may result in integration issues of the acquired firm to the home office. Greenfield ventures give the firm the best opportunity to retain full control of operations, gain local market knowledge, and be seen as an insider that employs locals. The disadvantages of greenfield ventures are the slow time to enter the market because the firm must set up operations and the high costs of establishing operations from scratch.
Which entry mode a firm chooses also depends on the firm’s size, financial strength, and the economic and regulatory conditions of the target country. A small firm will likely begin with an export strategy. Large firms or firms with deep pockets might begin with an acquisition to gain quick access or to achieve economies of scale. If the target country has sound rule of law and strong adherence to business contracts, licensing, franchising, or partnerships may be middle-of-the-road approaches that are neither riskier nor more expensive than the other options.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What are five common international entry modes?
What are the advantages of exporting?
What is the difference between a strategic alliance and an acquisition?
What would influence a firm’s choice of the five entry modes?
What is the possible relationship among the different entry modes?
8.4 CAGE Analysis
Learning Objectives
Understand the inputs into CAGE analysis.
Know the reasons why CAGE analysis emphasizes distance.
See how CAGE analysis can help you identify institutional voids.
The Inputs into CAGE Analysis
Pankaj “Megawatt” Ghemawat is an international strategy guru who developed the CAGE framework
The analytical framework used to understand country and regional differences along the distance dimensions of culture, administration, geography, and economics.
to offer businesses a way to evaluate countries in terms of the “distance” between them. Pankaj Ghemawat, “Distance Still Matters,” Harvard Business Review 79, no. 8 (September 2001): 1–11. In this case, distance is defined broadly to include not only the physical geographic distance between countries but also the cultural, administrative (currencies, trade agreements), and economic differences between them. As summarized in Table 8.2 "The CAGE Framework", the CAGE (cultural, administrative, geographic, and economic) framework offers a broader view of distance and provides another way of thinking about location and the opportunities and concomitant risks associated with global arbitrage. Pankaj Ghemawat, “The Forgotten Strategy,” Harvard Business Review 81, no. 11 (September 2003).
Table 8.2 The CAGE Framework
Cultural Distance
Administrative Distance
Geographic Distance
Economic Distance
Attributes Creating Distance
Different languages
Absence of colonial ties
Physical remoteness
Differences in consumer incomes
Different ethnicities; lack of connective ethnic or social networks
Absence of shared monetary or political association
Lack of a common border
Differences in costs and quality of the following:
• Natural resources
• Financial resources
• Human resources
• Infrastructure
• Intermediate inputs
• Information or knowledge
Different religions
Political hostility
Lack of sea or river access
Different social norms
Government policies
Size of country
Institutional weakness
Weak transportation or communication links
Differences in climates
Industries or Products Affected by Distance
Products have high-linguistic content (TV).
Government involvement is high in industries that are
• producers of staple goods (electricity),
• producers of other “entitlements” (drugs),
• large employers (farming),
• large suppliers to government (mass transportation),
• national champions (aerospace),
• vital to national security (telecommunications),
• exploiters of natural resources (oil, mining), and
• subject to high-sunk costs (infrastructure).
Products have a low value-of-weight or bulk ratio (cement).
Nature of demand varies with income level (cars).
Products affect cultural or national identity of consumers (foods).
Products are fragile or perishable (glass or fruit).
Economies of standardization or scale are important (mobile phones).
Product features vary in terms of size (cars), standards (electrical appliances), or packaging.
Communications and connectivity are important (financial services).
Labor and other factor cost differences are salient (garments).
Products carry country-specific quality associations (wines).
Local supervision and operational requirements are high (many services).
Distribution or business systems are different (insurance).
Companies need to be responsive and agile (home appliances).
Source: Recreated from Pankaj Ghemawat, “Distance Still Matters,” Harvard Business Review 79, no. 8 (September 2001), accessed February 15, 2011, http://sabanet.unisabana.edu.co/postgrados/finanzas_negocios/Homologacion/negociosint/Distance%20still%20matters.pdf.
To apply the CAGE framework, identify locations that offer low raw material costs, access to markets or consumers, or other key decision criteria. You might, for instance, determine that you’re interested in markets with strong consumer buying power, so you would use per capita income as your first sorting criterion. As a result, you would likely end up with some type of ranking. Ghemawat provides an example for the fast-food industry, where he shows that on the basis of per capita income, countries like Germany and Japan would be the most attractive markets for the expansion of a North American fast-food company. However, when he adjusts this analysis for distance using the CAGE framework, he shows that Mexico ranks as the second most attractive market for international expansion, far ahead of Germany and Japan. Pankaj Ghemawat, “Distance Still Matters,” Harvard Business Review 79, no. 8 (September 2001): 1–11. Recall though, that any international expansion strategy still needs to be supported by the specific resources and capabilities possessed by the firm, regardless of the picture presented by the CAGE analysis. To understand the usefulness of the CAGE framework, consider Dell and its efforts to compete effectively in China. The vehicles it used to enter China were just as important in its strategy as its choice of geographic arena. For Dell’s corporate clients in China, the CAGE framework would likely have revealed relatively little distance on all four dimensions—even geographic—given the fact that many personal-computer components have been sourced from China. However, for the consumer segment, the distance was rather great, particularly on the dimensions of culture, administration, and economics. For example, Chinese consumers didn’t buy over the Internet, which is the primary way Dell sells its products in the United States. One possible outcome could have been for Dell to avoid the Chinese consumer market altogether. However, Dell opted to choose a strategic alliance with distributors whose knowledge base and capabilities allowed Dell to better bridge the CAGE-framework distances. Thus the CAGE framework can be used to address the question of where (which arena) and how (by which entry vehicle) to expand internationally.
CAGE Analysis and Institutional Voids
While you can apply CAGE to consider some first-order distances (e.g., physical distance between a company’s home market and the new foreign market) or cultural differences (e.g., the differences between home-market and foreign-market customer preferences), you can also apply it to identify institutional differences. Institutional differences include differences in political systems and in financial markets. The greater the distance, the harder it will be to operate in that country. Emerging markets in particular can have greater differences because these countries lack many of the specialized intermediaries that make institutions like financial markets work. Table 8.3 "Specialized Intermediaries within a Country or Other Geographic Arena" lists examples of specialized intermediaries for different institutions. If an institution lacks these specialized intermediaries, there is an institutional void
The absence of key specialized intermediaries found in the markets of finance, managerial talent, and products, which otherwise reduce transaction costs.
. An institutional void refers to the absence of key specialized intermediaries found in the markets of finance, managerial talent, and products, which otherwise reduce transaction costs.
Table 8.3 Specialized Intermediaries within a Country or Other Geographic Arena
Institution
Specialized Intermediary
Financial markets
• Venture-capital firms
• Private equity providers
• Mutual funds
• Banks
• Auditors
• Transparent corporate governance
Markets for managerial talent
• Management institute or business schools
• Certification agencies
• Headhunting firms
• Relocation agencies
Markets for products
• Certification agencies
• Consumer reports
• Regulatory authorities (e.g., the Food and Drug Administration)
• Extrajudicial dispute resolution services
All markets
• Legal and judiciary (for property rights protection and enforcement)
Three Strategies for Handling Institutional Voids
When a firm detects an institutional void, it has three choices for how to proceed in regard to the potential target market: (1) adapt its business model, (2) change the institutional context, or (3) stay away.
For example, when McDonald’s tried to enter the Russian market, it found an institutional void: a lack of local suppliers to provide the food products it needs. Rather than abandoning market entry, McDonald’s decided to adapt its business model. Instead of outsourcing supply-chain operations like it does in the United States, McDonald’s worked with a joint-venture partner to fill the voids. It imported cattle from Holland and russet potatoes from the United States, brought in agricultural specialists from Canada and Europe to improve Russian farmers’ management practices, and lent money to farmers so that they could invest in better seeds and equipment. As a result of establishing its own supply-chain and management systems, McDonald’s controlled 80 percent of the Russian fast-food market by 2010. The process, however, took fifteen years and $250 million in investments. “McDonald’s in Russia: Accept or Attempt to Change Market Context?,” Economic Times of India, April 30, 2010, accessed February 17, 2011, http://economictimes.indiatimes.com/features/corporate-dossier/McDonalds-in-Russia-Accept-or-attempt-to-change-market-context/articleshow/5874306.cms; Tarun Khanna and Krishna G. Palepu, Winning in Emerging Markets: A Road Map for Strategy (Cambridge, MA: Harvard Business School Press, 2010).
An example of the second approach to dealing with an institutional void—changing the institutional context—is that used by the “Big Four” audit firms (i.e., Ernst & Young, KPMG, Deloitte Touche Tohmatsu, and PricewaterhouseCoopers) when they entered Brazil. At the time, Brazil had a fledgling audit services market. When the four firms set up branches in Brazil, they raised financial reporting and auditing standards across the country, thus bringing a dramatic improvement to the local market. Tarun Khanna, Krishna G. Palepu, and Jayant Sinha, “Strategies That Fit Emerging Markets,” Harvard Business Review 83, no. 6 (June 2005): 2–16.
Finally, the firm can choose the strategy of staying away from a market with institutional voids. For example, The Home Depot’s value proposition (i.e., low prices, great service, and good quality) requires institutions like reliable transportation networks (to minimize inventory costs) and the practice of employee stock ownership (which motivates workers to provide great service). The Home Depot has decided to avoid countries with weak logistics systems and poorly developed capital markets because the company would not be able to attain the low cost–great service combination that is its hallmark. Tarun Khanna, Krishna G. Palepu, and Jayant Sinha, “Strategies That Fit Emerging Markets,” Harvard Business Review 83, no. 6 (June 2005): 2–16.
Ethics in Action
Nestlé’s Nespresso division is one of the company’s fastest-growing divisions. The division makes a single-cup espresso machine along with single-serving capsules of coffees from around the world. Nestlé is headquartered in Switzerland, but the coffee it needs to buy is primarily grown in rural Africa and Latin America. Nespresso set up local facilities in these regions that measure the quality of the coffee. Nespresso also helps local farmers improve the quality of their coffee, and then it pays more for coffee beans that are of higher quality. Nespresso has gone even further by advising farmers on farming practices that improve the yield of beans farmers get per hectare. The results have proven beneficial to all parties: farmers earn more money, Nespresso gets getter quality beans, and the negative environmental impact of the farms has diminished. Michael E. Porter and Mark R. Kramer, “The Big Idea: Creating Shared Value,” Harvard Business Review, January–February 2011, accessed January 23, 2011, http://hbr.org/2011/01/the-big-idea-creating-shared-value/ar/pr.
Key Takeaways
CAGE analysis asks you to compare a possible target market to a company’s home market on the dimensions of culture, administration, geography, and economy.
CAGE analysis yields insights in the key differences between home and target markets and allows companies to assess the desirability of that market.
CAGE analysis can help you identify institutional voids, which might otherwise frustrate internationalization efforts. Institutional differences are important to the extent that the absence of specialized intermediaries can raise transaction costs just as their presence can reduce them.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
Explain what distance is in relation to the CAGE framework.
What are the key elements in CAGE analysis?
What is an institutional void?
How might CAGE analysis help you identify institutional voids?
What are three possible choices firms have when they’re considering entering a foreign market with large institutional voids?
8.5 Scenario Planning and Analysis
Learning Objectives
Understand the history and role of scenario planning and analysis.
Know the six steps of scenario planning and analysis.
Be able to map scenarios in a two-by-two matrix.
The History and Role of Scenario Planning and Analysis
Strategic leaders use the information revealed by the application of PESTEL analysis, global dimensions, and CAGE analysis to uncover what the traditional SWOT framework calls opportunities and threats. A SWOT (strengths, weaknesses, opportunities, and threats)
A strategic management tool that helps an organization take stock of its internal characteristics (strengths and weaknesses) to formulate an action plan that builds on what it does well while overcoming or working around weaknesses and also assess external environmental conditions (opportunities and threats) that favor or threaten the organization’s strategy.
assessment is a strategic-management tool that helps you take stock of an organization’s internal characteristics, or its strengths and weaknesses, such that any action plan builds on what it does well while overcoming or working around weaknesses; the SWOT assessment also helps a company assess external environmental conditions, or opportunities and threats, that favor or threaten an organization’s strategy. In particular, you can use it to evaluate the implications of your industry analysis, both for your focal firm specifically and for the industry in general. However, a SWOT assessment works best with one situation or scenario and provides little direction when you’re uncertain about potential changes to critical features of the scenario. Scenario planning can help in these cases.
Scenario Planning
Scenario planning
A process of analyzing possible future events by considering alternative possible outcomes (scenarios).
helps leaders develop a detailed, internally consistent picture of a range of plausible outcomes as an industry evolves over time. You can also incorporate the results of scenario planning into your strategy formulation and implementation. Understanding the PESTEL conditions—as well as the level, pace, and drivers of industry globalization and the CAGE framework—will probably equip you with some insight into the outcomes of certain scenarios. The purpose of scenario planning, however, is to provide a bigger picture—one in which you can see specific trends and uncertainties. Developed in the 1950s at the global petroleum giant Shell, the technique is now regarded as a valuable tool for integrating changes and uncertainties in the external context into overall strategy. Paul J. H. Schoemaker, “When and How to Use Scenario Planning: A Heuristic Approach with Illustration,” Journal of Forecasting 10, no. 6 (November 1991): 549–64; Paul J. H. Schoemaker and Cornelius A. J. M. van der Heijden, “Integrating Scenarios into Strategic Planning at Royal Dutch/Shell,” Planning Review 20, no. 3 (1992): 41–46; Paul J. H. Schoemaker, “Multiple Scenario Development: Its Conceptual and Behavioral Foundation,” Strategic Management Journal 14, no. 3 (March 1993): 193–213. Since September 11, 2001, the use of scenario planning has increased in businesses. Analysis of Bain & Company’s Management Tools and Trends Survey shows that in the post-9/11 period, approximately 70 percent of 8,500 global executives reported that their firms used scenarios, in contrast to a usage rate of less than 50 percent in most of the 1990s. Darrell Rigby and Barbara Bilodeau, “A Growing Focus on Preparedness,” Harvard Business Review 85 (July–August 2007). In addition, scenarios ranked fifteenth in satisfaction levels among the twenty-five management tools that Bain examined in 1993, while it ranked eighth in 2006. Darrell Rigby and Barbara Bilodeau, “A Growing Focus on Preparedness,” Harvard Business Review 85 (July–August 2007): 21–22.
Unlike forecasts, scenarios are not straight-line, one-factor projections from present to future. Rather, they are complex, dynamic, interactive stories told from a future perspective. To develop useful scenarios, executives need a rich understanding of their industry along with broad knowledge of the diverse PESTEL and global conditions that are most likely to affect them. The six basic steps in scenario planning are detailed below.
Six Basic Steps of Scenario Planning
Step 1. Choose the target issue, scope and time frame that the scenario will explore. The scope will depend on your level of analysis (i.e., industry, subindustry, or strategic group), the stage of planning, and the nature and degree of uncertainty and the rate of change. Generally, four scenarios are developed and summarized in a grid. The four scenarios reflect the extremes of possible worlds. To fully capture critical possibilities and contingencies, it may be desirable to develop a series of scenario sets.
Step 2. Brainstorm a set of key drivers and decision factors that influence the scenario. This could include social unrest, shifts in power, regulatory change, market or competitive change, and technology or infrastructure change. Other significant changes in external contexts, like natural disasters, might also be considered.
Step 3. Define the two dimensions of greatest uncertainty. (For an example, see Table 8.4 "Developing Scenarios for the Global Credit-Union Industry" .) These two dimensions form the axes of the scenario framework. These axes should represent two dimensions that provide the greatest uncertainty for the industry. For instance, the example on the global credit-union industry identifies changes in the playing field and technology as the two greatest areas of uncertainty up through the year 2005.
Step 4. Detail the four quadrants of the scenarios with stories. Describe how the four worlds would look in each scenario. It’s often useful to develop a catchy name for each world as a way to further develop its distinctive character. One of the worlds will likely represent a slightly future version of the status quo, while the others will be significant departures from it. As shown in the credit-union scenarios, Chameleon describes a world in which both the competitive playing field and technology undergo radical change, while Wallet Wars is an environment of intense competition but milder technological change. In contrast, in Technocracy, the radical changes are in technology, whereas in Credit Union Power, credit unions encounter only minor changes on either front. Adapted from “Scenarios for Credit Unions 2010: An Executive Report,” Credit Union Executives Society, 2004, accessed May 10, 2011, http://www.dsicu.com/pdfs/2010_Scenarios.pdf.
Step 5. Identify indicators that could signal which scenario is unfolding. These can either be trigger points that signal the change is taking place or milestones that mean the change is more likely. An indicator may be a large industry supplier like Microsoft picking up a particular but little-known technological standard.
Step 6. Assess the strategic implications of each scenario. Microscenarios may be developed to highlight and address business-unit-specific or industry-segment-specific issues. Consider needed variations in strategies, key success factors, and the development of a flexible, robust strategy that might work across several scenarios.
The process of developing scenarios and then conducting business according to the information that the scenarios reveal makes it easier to identify and challenge questionable assumptions. It also exposes areas of vulnerability (e.g., in a country, an industry, or a company), underscores the interplay of environmental factors and the impact of change, allows for robust planning and contingency preparation, and makes it possible to test and compare strategic options. Scenarios also help firms focus their attention on the trends and uncertainties that are likely to have the greatest potential impact on their future.
Once you’ve determined your target issue, scope, and time frame, you can draw up a list of driving forces that is as complete as possible and is organized into relevant categories (e.g., science-technology, political-economic, regulatory, consumer-social, or industry-market). As you proceed, be sure to identify key driving forces—the ones with the greatest potential to affect the industry, subindustry, or strategic group in which you’re interested.
Trends and Uncertainties
Among the driving forces for change, be sure to distinguish between trends and uncertainties. Trends
In the context of scenario planning, forces for change whose direction—and sometimes timing—can be predicted.
are forces for change whose direction—and sometimes timing—can be predicted. For example, experts can be reasonably confident in projecting the number of consumers in North America, Europe, and Japan who will be over sixty-five years old in the year 2020 because those people are alive now. If your firm targets these consumers, then the impact of this population growth will be significant to you; you may view it as a key trend. For other trends, you may know the direction but not the pace. China and India, for example, are experiencing a trend of economic growth, and many foreign investments depend on the course of infrastructure development and consumer-spending power in this enormous market. Unfortunately, the future pace of these changes is uncertain.
Did You Know?
In his book Africa Rising, Vijay Mahajan documents how trends surrounding the 900 million African consumers may offer businesses more opportunities than they’re currently taking advantage of:
Many tourists come to Africa every year to see the big game there—the elephants, lions, and rhinos. But I came for a different type of big game. I was seeking out the successful enterprises that are identifying and capitalizing on the market opportunities, and seeking lessons from those that are not so successful, too. In Nairobi, Maserame Mouyeme of The Coca-Cola Company told me how important it is ‘to walk the market.’ Then, in Harare, I first heard the term ‘consumer safari’ in a meeting with Unilever executives. This is what they call their initiatives to spend a day with consumers in their homes to understand how they use products. Years after I started on this journey, I now had a term to describe the quest I was on. I was on a consumer safari. The market landscape that is Africa is every bit as marvelous and surprising as its geographic landscape. It presents as big an opportunity as China and India. Vijay Mahajan, Africa Rising: How 900 Million African Consumers Offer More Than You Think (Upper Saddle River, NJ: Pearson Prentice Hall, 2008), xii.
In contrast, uncertainties
In the context of scenario planning, forces for change whose direction and pace are largely unknown.
—forces for change whose direction and pace are largely unknown—are more important for your scenario. European consumers, for example, tend to distrust the biotechnology industry, and given the number of competing forces at work—industries, academia, consumer groups, regulators, and so on—it is difficult to predict whether the consumers will be more or less receptive to biotechnology products in the future. Labeling regulations, for instance, may be either strengthened or relaxed in response to changing consumer opinion.
You might also want to consider the possibility of significant disruptions—that is, steep changes that have an important and unalterable impact on the business environment. A major disaster—such as the September 11 terrorist attacks—can spur regulatory and other legal reforms with major and lasting impact on certain technologies and competitive practices. Table 8.4 "Developing Scenarios for the Global Credit-Union Industry" provides sample scenarios created for the credit-union industry, providing an idea of how you would do this if asked to apply scenario analysis to another industry setting. As you can see, identifying the entry of new competitors and the impact of technology are the two primary sources of uncertainty about the future.
Table 8.4 Developing Scenarios for the Global Credit-Union Industry
CHANGES IN THE PLAYING FIELD
TECHNOLOGICAL CHANGE
Minor
Major
Gradual
Credit Union Power: Both technology and the playing field have changed at a moderate pace, making this the most stable scenario. Even with moderate change in these areas, however, the changing basis of competition, new business models, human resources challenges, and industry dynamics are different enough to pose significant challenges for many financial-services companies.
Radical
Technocracy: The wide-scale adoption of the Internet by US consumers has led to massive technological innovation for financial-services companies, increasing the range of distribution channels as well as the products, services, and geographic scope of financial-services organizations. Regulations and other changes in the playing field, however, have been slow to follow.
Note: After considering a PESTEL analysis, experts in the credit-union industry would identify the two most significant macroeconomic factors as (1) regulatory factors affecting both the types of businesses that credit unions can compete in and the entry of new players and consolidation of existing ones, and (2) technological factors, or the speed with which new technologies related to banking are both developed and adopted by consumers. These two dimensions define the major areas of uncertainty facing credit union executives in the next decade. Considering those dimensions and following the six basic steps in scenario planning, you might then develop the following four scenarios.
Source: Adapted from “Scenarios for Credit Unions 2010: An Executive Report,” Credit Union Executives Society, 2004, accessed May 10, 2011, http://www.dsicu.com/pdfs/2010_Scenarios.pdf.
Key Takeaways
Scenario planning was developed in the 1950s by Shell as a tool for integrating changes and uncertainties in the external context into overall strategy. Today it ranks among the top ten management tools in the world in terms of usage. Scenarios are complex, dynamic, interactive stories told from a future perspective. To develop useful scenarios, you need a rich understanding of your industry along with broad knowledge of the diverse PESTEL and global conditions that are most likely to affect them.
The six steps in formulating a scenario plan are the following: (1) choose the target issue, scope, and time frame that the scenario will explore; (2) brainstorm a set of key drivers and decision factors that influence the scenario; (3) define the two dimensions of greatest uncertainty; (4) detail the four quadrants of the scenarios with stories about that future; (5) identify indicators that could signal which scenario is unfolding; and (6) assess the strategic implications of each scenario.
Considering the distillation of issues and drivers, select two dimensions of change that will serve as the two dimensions of your scenario-planning matrix. You must be able to describe the dimensions as high and low at each extreme.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What is scenario planning and analysis?
What is the history of scenario planning and analysis?
What is the advantage of scenario planning and analysis over SWOT analysis?
What are the six steps involved in scenario planning and analysis?
What is the difference between uncertainties and trends in scenario planning and analysis?
8.6 End-of-Chapter Questions and Exercises
These exercises are designed to ensure that the knowledge you gain from this book about international business meets the learning standards set out by the international Association to Advance Collegiate Schools of Business (AACSB International). Association to Advance Collegiate Schools of Business website, accessed January 26, 2010, http://www.aacsb.edu. AACSB is the premier accrediting agency of collegiate business schools and accounting programs worldwide. It expects that you will gain knowledge in the areas of communication, ethical reasoning, analytical skills, use of information technology, multiculturalism and diversity, and reflective thinking.
Experiential Exercises
(AACSB: Communication, Use of Information Technology, Analytical Skills)
Identify a local company whose products or services you really admire. Conduct an assessment of why, where, and how this company might expand internationally. In class, talk through the pros and cons of what you’ve recommended.
Using the same company from the first exercise, undertake PESTEL, globalization, and scenario analyses of the new international target market. What are the implications of your analyses for the recommendations you compiled? What resources did you draw on and what key questions remain unanswered?
Kohl’s Corporation is a very large and successful US retailer. It has no physical or Internet retail outlets outside the United States. What opportunities might this company have for global expansion? What modes should it explore? Should Kohl’s stay “local”?
Ethical Dilemmas
(AACSB: Ethical Reasoning, Multiculturalism, Reflective Thinking, Analytical Skills)
Entry into new markets, regardless of entry mode, typically requires extensive relationship building. In some countries, such relationship building includes the exchange of gifts. At the same time, many companies are bound by laws, regulations, or business associations that prohibit bribery. Bribery is an offer or the receipt of any gift, loan, fee, reward, or other advantage to or from any person as an inducement to do something that is dishonest or illegal. Hossein Askari, Scheherazade Sabina Rehman, and Noora Arfaa, Corruption and Its Manifestation in the Persian Gulf (Northampton, MA: Edward Elgar Publishing, 2010), 9. Review the most recent International Chamber of Commerce Commission report on corruption, “ICC Rules of Conduct and Recommendations for Combating Extortion and Bribery” (available at http://www.iccwbo.org/policy/anticorruption/id870/index.html ). It discusses what the implications of these rules might be for gifts.
For each of the entry modes identified in this chapter, develop a list of the key areas of ethical lapses. Draft a policy statement that a firm can use to manage and prevent these lapses.
Using the Internet or your library, conduct a search on the topics of “infant formula” or “disposable diapers” and “emerging economies.” What are some of the ethical issues that are raised when discussing the export of these products to emerging markets? | msmarco_doc_00_11414726 |
http://2012books.lardbucket.org/books/challenges-and-opportunities-in-international-business/s13-exporting-importing-and-global.html | Exporting, Importing, and Global Sourcing | Chapter 9
Exporting, Importing, and Global Sourcing
Chapter 9 Exporting, Importing, and Global Sourcing
What’s in It for Me?
Opening Case: Q-Cells
Opening Case Exercises
9.1 What is Importing and Exporting?
What Do We Mean by Exporting and Importing?
An Entrepreneur’s Import Success Story
Why Do Companies Export?
Benefits of Exporting: Vitrac
Risks of Exporting
Ethics in Action
Specialized Entry Modes: Contractual
Licensing
Franchising
Specialized Entry Modes: Investment
Joint Ventures
Risks of Joint Ventures
Did You Know?
Wholly Owned Subsidiaries
Did You Know?
Cautions When Purchasing an Existing Foreign Enterprise
Did You Know?
Building Long-Term Relationships
Did You Know?
Conclusion
Key Takeaways
Exercises
9.2 Countertrade
What Is Countertrade?
Why Do Companies Engage in Countertrade?
Structures in Countertrade
Disadvantages of Countertrade
Key Takeaways
Exercises
9.3 Global Sourcing and Its Role in Business
What Is Global Sourcing?
Best Practices in Global Sourcing
Judging Quality from Afar: ISO 9000 Certification
Trends in Sourcing: Considering Carbon Costs
Outsourcing versus Global Sourcing
The Hidden Costs of Outsourcing
Managing Outsourced Services
Johns Hopkins Enterprise’s SLA for Accounts Receivable
Entrepreneurial Opportunities from Outsourcing
Key Takeaways
Exercises
9.4 Managing Export and Import
Who Are the Main Actors in Export and Import?
Cooperation for Security
Role of Intermediaries
What’s Needed for Import and Export Transactions?
Did You Know?
Humorous Anecdote
Certificate of Origin as Marketing Tool
Impact of Trade Agreements
Key Takeaways
Exercises
9.5 What Options Do Companies Have for Export and Import Financing?
How Companies Receive or Pay for Goods and Services
Basics of Export Financing
Did You Know?
Success Tips for Entrepreneurs
The Role of Organizations in Providing Financing
Did You Know?
Key Takeaways
Exercises
9.6 Tips in Your Walkabout Toolkit
Negotiating for Success across Cultures
9.7 End-of-Chapter Questions and Exercises
Experiential Exercises
Ethical Dilemmas
| Exporting, Importing, and Global Sourcing
Chapter 9 Exporting, Importing, and Global Sourcing
© 2003–2011, Atma Global Inc. Reprinted with permission.
What’s in It for Me?
What are importing and exporting?
What is countertrade?
What is global sourcing?
How do companies manage importing and exporting?
What options do companies have to finance their importing and exporting?
A major part of international business is, of course, importing and exporting. An increase in the level of exports and imports is, after all, one of the symptoms of a flattening world. In a flat world, goods and services can flow fluidly from one part of the globe to another. In Section 9.1 "What is Importing and Exporting?" you’ll take a quick look back in time to see importing and exporting in their historical context. Then, you’ll discover the reasons why companies export, as well as the pitfalls and risks associated with exporting. Next, you’ll venture into more specialized modes of entry into an international market, moving progressively from the least expensive to the most expensive options.
Section 9.2 "Countertrade" focuses on what countertrade is and why companies engage in it. You’ll learn about countertrade structures, such as barter and counterpurchase, and the role they play in the modern economy.
In Section 9.3 "Global Sourcing and Its Role in Business", you’ll explore global sourcing and study the best practices to manage sourcing, to judge quality from afar, and to improve sustainability through well-planned sourcing that’s beneficial to the environment. You’ll understand what outsourcing is, why companies outsource, and what the hidden costs of outsourcing are. Some of these costs are related to the fact that the world is not all that flat! You’ll see tips for managing outsourced services and look at the opportunities that outsourcing offers entrepreneurs.
Section 9.4 "Managing Export and Import" reviews the mechanics of import and export—from the main players involved, to the intermediaries, to the important documentation needed for import and export transactions.
Section 9.5 "What Options Do Companies Have for Export and Import Financing?" concludes the chapter with a look at the options companies have for financing their import/export activities.
Opening Case: Q-Cells
Q-Cells exemplifies the successes and challenges of global importing and exporting. Founded in Germany in 1999, the company became the largest manufacturer of solar cells worldwide. LDK Solar, “Q-Cells and LDK Solar Announce Formation of Joint Venture for Development of PV Systems in Europe and China,” news release, April 8, 2009, accessed October 27, 2010, http://www.ldksolar.com/med_press_list.php?news_id=100. By 2010, however, it was experiencing losses due, in part, to mistiming some of the entry strategies that are covered in Section 9.1 "What is Importing and Exporting?".
First, it’s important to know that Germany is a high-cost manufacturing country compared to China or Southeast Asia. On the other hand, Germany is known for its engineering prowess. Q-Cells gambled that customers would be willing to pay a premium for German-made solar panels. (You’ll learn more about this “country of origin” factor in Chapter 14 "Competing Effectively through Global Marketing, Distribution, and Supply-Chain Management" .) The trouble was that solar cells aren’t that sophisticated or complex to manufacture, and Asian competitors were able to provide reliable products at 30 percent less cost than Q-Cells.
The Cost Advantage
Q-Cells recognized the Asian cost advantage—not only are labor and utility costs lower in Asia, but so are the selling, general, and administrative (SG&A) costs. What’s more, governments like China provide significant tax breaks to attract solar companies to their countries. So, Q-Cells opened a manufacturing plant in Malaysia. Once the Malaysian plant is fully ramped up, the costs to manufacture solar cells there will be 30 percent less than at the Q-Cells plant in Germany.
© 2011, Q-Cells SE
Then, Q-Cells entered into a joint venture with China-based LDK, in which Q-Cells used LDK silicon wafers to make its solar cells. The two companies also used each other’s respective expertise to market their products in China and Europe. Richard A. Kessler, “Q-Cells, China’s LDK Solar Form Joint Venture for Export Push,” Recharge, April 8, 2009, accessed September 9, 2010, http://www.rechargenews.com/regions/north_america/article175506.ece?print=true. Although the joint venture gave Q-Cells local knowledge of the Chinese market, it also locked Q-Cells into buying wafers from LDK. These wafers were priced higher than those Q-Cells could source on the spot market. As a result, Q-Cells was paying about 20 cents more for its wafers than competitors were paying. Thus, in the short term, the joint venture hurt Q-Cells. However, the company was able to renegotiate the price it would pay for LDK wafers.
To stay cost competitive, Q-Cells has decided to outsource its solar-panel production to contract manufacturer Flextronics International. Q-Cells’ competitors, SunPower Corp. and BP’s solar unit, also have outsourced production to contract manufacturers. The outsourcing has not only saved manufacturing costs but also brought the products physically closer to the Asian market where the greatest demand is currently. This has reduced the costs of shipping, breakage, and inventory carrying. Leonora Walet, “Sun Shines Through for Clean Tech Outsourcing,” Reuters, May 3, 2010, accessed September 9, 2010, http://www.reuters.com/article/idUSTRE6421KL20100503.
Opening Case Exercises
(AACSB: Ethical Reasoning, Multiculturalism, Reflective Thinking, Analytical Skills)
Do you think Q-Cells could have avoided its current financial troubles? What could they have done differently?
Do you see import or export opportunities for entrepreneurs or small businesses in the solar industry? What advice would you give them?
9.1 What is Importing and Exporting?
Learning Objectives
Understand what importing and exporting are.
Learn why companies export.
Explain the main contractual and investment entry modes.
What Do We Mean by Exporting and Importing?
The history of importing and exporting dates back to the Roman Empire, when European and Asian traders imported and exported goods across the vast lands of Eurasia. Trading along the Silk Road
The land and water trade routes that covered more than four thousand miles and connected the Mediterranean with Asia.
flourished during the thirteenth and fourteenth centuries. Jack Goldstone, Why Europe? The Rise of the West in World History 1500–1850 (New York: McGraw-Hill, 2008). Caravans laden with imports from China and India came over the desert to Constantinople and Alexandria. From there, Italian ships transported the goods to European ports. J. O. Swahn, The Lore of Spices (Gothenburg, Sweden: Nordbok, 1991), 15–17.
For centuries, importing and exporting has often involved intermediaries, due in part to the long distances traveled and different native languages spoken. The spice trade of the 1400s was no exception. Spices were very much in demand because Europeans had no refrigeration, which meant they had to preserve meat using large amounts of salt or risk eating half-rotten flesh. Spices disguised the otherwise poor flavor of the meat. Europeans also used spices as medicines. The European demand for spices gave rise to the spice trade. Antony Wild, The East India Company: Trade and Conquest from 1600 (Guilford, CT: Lyons Press, 2000). The trouble was that spices were difficult to obtain because they grew in jungles half a world away from Europe. The overland journey to the spice-rich lands was arduous and involved many middlemen along the way. Each middleman charged a fee and thus raised the price of the spice at each point. By the end of the journey, the price of the spice was inflated 1,000 percent. Jack Turner, Spice: The History of a Temptation (Westminster, MD: Alfred A. Knopf, 2004), 5.
As explained in Chapter 8 "International Expansion and Global Market Opportunity Assessment", exporting
The sale of products and services in foreign countries that are sourced or made in the home country.
is defined as the sale of products and services in foreign countries that are sourced or made in the home country. Importing is the flipside of exporting. Importing
Buying goods and services from foreign sources and bringing them back into the home country. Importing is also known as global sourcing.
refers to buying goods and services from foreign sources and bringing them back into the home country. Importing is also known as global sourcing, which will be examined in depth in Section 9.4 "Managing Export and Import".
An Entrepreneur’s Import Success Story
Selena Cuffe started her wine import company, Heritage Link Brands, in 2005. Importing wine isn’t new, but Cuffe did it with a twist: she focused on importing wine produced by black South Africans. Cuffe got the idea after attending a wine festival in Soweto, where she saw more than five hundred wines from eighty-six producers showcased. Selena Cuffe’s bio, African-American Chamber of Greater Cincinnati / Greater Kentucky, accessed September 4, 2010, http://african-americanchamber.com/view-user-profile/selena-cuffe.html. Cuffe did some market research and learned of the $3 billion wine industry in Africa. She also saw a gap in the existing market related to wine produced by indigenous African vintners and decided to fill it. She started her company with $70,000, financed through her savings and credit cards. (In Section 9.5 "What Options Do Companies Have for Export and Import Financing?", you’ll learn about other sources of financing available to entrepreneurs and small businesses as well as to larger enterprises.) In the first year, sales were only $100,000 but then jumped to $1 million in the second year, when Cuffe sold to more than one thousand restaurants, retailers, and grocery stores. South African Chamber of Commerce in America, “Heritage Link Brands, Connecting U.S. Palates to African Wines,” profile, May 4, 2010, accessed September 4, 2010, http://www.sacca.biz/?m=5&idkey=637. Even better, American Airlines began carrying Cuffe’s imported wines on flights, thus providing a steady flow of business amid the more uncertain restaurant market. American Airlines, “Serving Up Wines That Invest in Our Communities,” American Airlines Corporate Responsibility page, accessed September 4, 2010, http://www.aa.com/i18n/aboutUs/corporateResponsibility/caseLibrary/supporting-our-communities.jsp. Cuffe has attributed her success to passion as well as to patience for meeting the multiple regulations required when running an import business. Maritza Manresa, How to Open and Operate a Financially Successful Import Export Business (Ocala, FL: Atlantic Publishing, 2010), 101. (You’ll learn more about these regulations in Section 9.4 "Managing Export and Import" ).
Exporting is an effective entry strategy for companies that are just beginning to enter a new foreign market. It’s a low-cost, low-risk option compared to the other strategies. These same reasons make exporting a good strategy for small and midsize companies that can’t or won’t make significant financial investment in the international market.
Companies can sell into a foreign country either through a local distributor or through their own salespeople. Many government export-trade offices can help a company find a local distributor. Increasingly, the Internet has provided a more efficient way for foreign companies to find local distributors and enter into commercial transactions.
Distributors
Export intermediaries who represent the company in the foreign market.
are export intermediaries who represent the company in the foreign market. Often, distributors represent many companies, acting as the “face” of the company in that country, selling products, providing customer service, and receiving payments. In many cases, the distributors take title to the goods and then resell them. Companies use distributors because distributors know the local market and are a cost-effective way to enter that market.
However, using distributors to help with export can have its own challenges. For example, some companies find that if they have a dedicated salesperson who travels frequently to the country, they’re likely to get more sales than by relying solely on the distributor. Often, that’s because distributors sell multiple products and sometimes even competing ones. Making sure that the distributor favors one firm’s product over another product can be hard to monitor. In countries like China, some companies find that—culturally—Chinese consumers may be more likely to buy a product from a foreign company than from a local distributor, particularly in the case of a complicated, high-tech product. Simply put, the Chinese are more likely to trust that the overseas salesperson knows their product better.
Why Do Companies Export?
Companies export because it’s the easiest way to participate in global trade, it’s a less costly investment than the other entry strategies, and it’s much easier to simply stop exporting than it is to extricate oneself from the other entry modes. An export partner in the form of either a distributor or an export management company can facilitate this process. An export management company (EMC)
An independent company that performs for a fee or commission the duties a firm’s own export department would execute such as handling the necessary documentation, finding buyers for the export, and taking title of the goods for direct export.
is an independent company that performs the duties that a firm’s own export department would execute. The EMC handles the necessary documentation, finds buyers for the export, and takes title of the goods for direct export. In return, the EMC charges a fee or commission for its services. Because an EMC performs all the functions that a firm’s export department would, the firm doesn’t have to develop these internal capabilities. Most of all, exporting gives a company quick access to new markets.
Benefits of Exporting: Vitrac
Egyptian company Vitrac was founded by Mounir Fakhry Abdel Nour to take advantage of Egypt’s surplus fruit products. At its inception, Vitrac sourced local fruit, made it into jam, and exported it worldwide. Vitrac has acquired money, market, and manufacturing advantages from exporting: Japan External Trade Organization, “Big in Japan,” case study, accessed August 27, 2010, http://www.jetro.go.jp/en/reports/.
Market. The company has access to a new market, which has brought added revenues.
Money. Not only has Vitrac earned more revenue, but it has also gained access to foreign currency, which benefits companies located in certain regions of the world, such as in Vitrac’s home country of Egypt.
Manufacturing. The cost to manufacture a given unit decreased because Vitrac has been able to manufacture at higher volumes and buy source materials in higher volumes, thus benefitting from volume discounts.
Risks of Exporting
There are risks in relying on the export option. If you merely export to a country, the distributor or buyer might switch to or at least threaten to switch to a cheaper supplier in order to get a better price. Or someone might start making the product locally and take the market from you. Also, local buyers sometimes believe that a company which only exports to them isn’t very committed to providing long-term service and support once a sale is complete. Thus, they may prefer to buy from someone who’s producing directly within the country. At this point, many companies begin to reconsider having a local presence, which moves them toward one of the other entry options.
Ethics in Action
Different Countries, Different Food and Drug Rules
Particular products, especially foods and drugs, are often subject to local laws regarding safety, purity, packaging, labeling, and so on. Companies that want to make a product that can be sold in multiple countries will have to comply with the highest common denominator of all the laws of all the target markets. Complying with the highest standard could increase the overall cost of the product. As a result, some companies opt to stay out of markets where compliance with the regulation would be more costly. Is it ethical to be selling a product in one country that another country deems substandard?
Specialized Entry Modes: Contractual
Exporting is a easy way to enter an international market. In addition to exporting, companies can choose to pursue more specialized modes of entry—namely, contracutal modes or investment modes. Contractual modes involve the use of contracts rather than investment. Let’s look at the two main contractual entry modes, licensing and franchsing.
Licensing
Licensing
The granting of permission by the licenser to the licensee to use intellectual property rights, such as trademarks, patents, brand names, or technology, under defined conditions.
is defined as the granting of permission by the licenser to the licensee to use intellectual property rights, such as trademarks, patents, brand names, or technology, under defined conditions. The possibility of licensing makes for a flatter world, because it creates a legal vehicle for taking a product or service delivered in one country and providing a nearly identical version of that product or service in another country. Under a licensing agreement, the multinational firm grants rights on its intangible property to a foreign company for a specified period of time. The licenser is normally paid a royalty on each unit produced and sold. Although the multinational firm usually has no ownership interests, it often provides ongoing support and advice. Most companies consider this market-entry option of licensing to be a low-risk option because there’s typically no up-front investment.
For a multinational firm, the advantage of licensing is that the company’s products will be manufactured and made available for sale in the foreign country (or countries) where the product or service is licensed. The multinational firm doesn’t have to expend its own resources to manufacture, market, or distribute the goods. This low cost, of course, is coupled with lower potential returns, because the revenues are shared between the parties.
Franchising
Similar to a licensing agreement, under a franchising
Granting rights on an intangible property, like technology or a brand name, to a foreign company for a specified period of time and receiving a royalty in return.
agreement, the multinational firm grants rights on its intangible property, like technology or a brand name, to a foreign company for a specified period of time and receives a royalty in return. The difference is that the franchiser provides a bundle of services and products to the franchisee. For example, McDonald’s expands overseas through franchises. Each franchise pays McDonald’s a franchisee fee and a percentage of its sales and is required to purchase certain products from the franchiser. In return, the franchisee gets access to all of McDonald’s products, systems, services, and management expertise.
Specialized Entry Modes: Investment
Beyond contractual relationships, firms can also enter a foreign market through one of two investment strategies: a joint venture or a wholly owned subsidiary.
Joint Ventures
An equity joint venture
A contractual strategic partnership between two or more separate business entities to pursue a business opportunity together; each partner contributes capital and resources in exchange for an equity stake and share in any resulting profits.
is a contractual, strategic partnership between two or more separate business entities to pursue a business opportunity together. The partners in an equity joint venture each contribute capital and resources in exchange for an equity stake and share in any resulting profits. (In a nonentity joint venture, there is no contribution of capital to form a new entity.)
To see how an equity joint venture works, let’s return to the example of Egyptian company, Vitrac. Mounir Fakhry Abdel Nour founded his jam company to take advantage of Egypt’s surplus fruit products. Abdel Nour initially approached the French jam company, Vitrac, to enter into a joint venture with his newly founded company, VitracEgypt. Abdel Nour supplied the fruit and the markets, while his French partner supplied the technology and know-how for producing jams.
In addition to exporting to Australia, the United States, and the Middle East, Vitrac began exporting to Japan. Sales results from Japan indicated a high demand for blueberry jam. To meet this demand—in an interesting twist, given Vitrac’s origin—Vitrac had to import blueberries from Canada. Vitrac thus was importing blueberries from Canada, manufacturing the jam in Egypt, and exporting it to Japan. Japan External Trade Organization, “Big in Japan,” case study, accessed August 27, 2010, http://www.jetro.go.jp/en/reports/.
Using French Vitrac’s manufacturing know-how, Abdel Nour had found a new supply and the opportunity to enter new markets with it, thus expanding his partner’s reach. The partnership fit was good. The two companies’ joint venture continued for three years, until the French company sold its shares to Abdel Nour, making Vitrac a 100 percent owned and operated Egyptian company. Abdel Nour’s company reached $22 million in sales and was the Egyptian jam-market leader before being bought by a larger Swiss company, Hero. “Egypt/Switzerland: Hero Acquires Egyptian Jam Market Leader,” Just-Food, October 8, 2002, accessed September 5, 2010, http://www.just-food.com/news/hero-acquires-egyptian-jam-market-leader_id69297.aspx.
Risks of Joint Ventures
Equity joint ventures pose both opportunities and challenges for the companies involved. First and foremost is the challenge of finding the right partner—not just in terms of business focus but also in terms of compatible cultural perspectives and management practices.
Second, the local partner may gain the know-how to produce its own competitive product or service to rival the multinational firm. This is what’s currently happening in China. To manufacture cars in China, non-Chinese companies must set up joint ventures with Chinese automakers and share technology with them. Once the contract ends, however, the local company may take the knowledge it gained from the joint venture to compete with its former partner. For example, Shanghai Automotive Industry (Group) Corporation, which worked with General Motors (GM) to build Chevrolets, has plans to increase sales of its own vehicles tenfold to 300,000 in five years and to compete directly with its former partner. Ian Rowley, “Chinese Carmakers Are Gaining at Home,” BusinessWeek, June 8, 2009, 30–31.
Did You Know?
In the past, joint ventures were the only relationship foreign companies could form with Chinese companies. In fact, prior to 1986, foreign companies could not wholly own a local subsidiary. The Chinese government began to allow equity joint ventures in 1979, which marked the beginning of the Open Door Policy, an economic liberalization initiative. The Chinese government strongly encouraged equity joint ventures as a way to gain access to the technology, capital, equipment, and know-how of foreign companies. The risk to the foreign company was that if the venture soured, the Chinese company could end up keeping all of these assets. Often, Chinese companies only contributed things like land or tax concessions that foreign companies couldn’t keep if the venture ended. As of 2010, equity joint ventures between a Chinese company and a foreign partner require a minimum equity investment by the foreign partner of at least 33 to 70 percent of the equity, but there’s no minimum investment set for the Chinese partner. Atma Global Knowledge Media, “Entry Models into the Chinese Market,” CultureQuest 2003.
Wholly Owned Subsidiaries
Firms may want to have a direct operating presence in the foreign country, completely under their control. To achieve this, the company can establish a new, wholly owned subsidiary (i.e., a greenfield venture) from scratch, or it can purchase an existing company in that country. Some companies purchase their resellers or early partners (as VitracEgypt did when it bought out the shares that its partner, Vitrac, owned in the equity joint venture). Other companies may purchase a local supplier for direct control of the supply. This is known as vertical integration.
Establishing or purchasing a wholly owned subsidiary requires the highest commitment on the part of the international firm, because the firm must assume all of the risk—financial, currency, economic, and political.
Did You Know?
McDonald’s has a plant in Italy that supplies all the buns for McDonald’s restaurants in Italy, Greece, and Malta. International sales has accounted for as much as 60 percent of McDonald’s annual revenue. Annual revenue in 2008 was $23.5 billion, of which 60 percent was international. See Suzanne Kapner, “Making Dough,” Fortune, August 17, 2009, 14.
Cautions When Purchasing an Existing Foreign Enterprise
As we’ve seen, some companies opt to purchase an existing company in the foreign country outright as a way to get into a foreign market quickly. When making an acquisition, due diligence is important—not only on the financial side but also on the side of the country’s culture and business practices. The annual disposable income in Russia, for example, exceeds that of all the other BRIC countries (i.e., Brazil, India, and China). For many major companies, Russia is too big and too rich to ignore as a market. However, Russia also has a reputation for corruption and red tape that even its highest-ranking officials admit. Presidential economic advisor Arkady Dvorkovich (whose office in the Kremlin was once occupied by Soviet leader Leonid Brezhnev), for example, advises, “Investors should choose wisely” which regions of Russia they locate their business in, warning that some areas are more corrupt than others. Carol Matlack, “The Peril and Promise of Investing in Russia,” BusinessWeek, October 5, 2009, 48–51. Corruption makes the world less flat precisely because it undermines the viability of legal vehicles, such as licensing, which otherwise lead to a flatter world.
The culture of corruption is even embedded into some Russian company structures. In the 1990s, laws inadvertently encouraged Russian firms to establish legal headquarters in offshore tax havens, like Cyprus. A tax haven
A country that has very advantageous (low) corporate income taxes.
is a country that has very advantageous (low) corporate income taxes.
Businesses registered in these offshore tax havens to avoid certain Russian taxes. Even though companies could obtain a refund on these taxes from the Russian government, “the procedure is so complicated you never actually get a refund,” said Andrey Pozdnyakov, cofounder of Siberian-based Elecard. Carol Matlack, “The Peril and Promise of Investing in Russia,” BusinessWeek, October 5, 2009, 48–51.
This offshore registration, unfortunately, is a danger sign to potential investors like Intel. “We can’t invest in companies that have even a slight shadow,” said Intel’s Moscow-based regional director Dmitry Konash about the complex structure predicament. Carol Matlack, “The Peril and Promise of Investing in Russia,” BusinessWeek, October 5, 2009, 48–51.
Did You Know?
Some foreign companies believe that owning their own operations in China is an easier option than having to deal with a Chinese partner. For example, many foreign companies still fear that their Chinese partners will learn too much from them and become competitors. However, in most cases, the Chinese partner knows the local culture—both that of the customers and workers—and is better equipped to deal with Chinese bureaucracy and regulations. In addition, even wholly owned subsidiaries can’t be totally independent of Chinese firms, on whom they might have to rely for raw materials and shipping as well as maintenance of government contracts and distribution channels.
Collaborations offer different kinds of opportunities and challenges than self-handling Chinese operations. For most companies, the local nuances of the Chinese market make some form of collaboration desirable. The companies that opt to self-handle their Chinese operations tend to be very large and/or have a proprietary technology base, such as high-tech or aerospace companies—for example, Boeing or Microsoft. Even then, these companies tend to hire senior Chinese managers and consultants to facilitate their market entry and then help manage their expansion. Nevertheless, navigating the local Chinese bureaucracy is tough, even for the most-experienced companies.
Let’s take a deeper look at one company’s entry path and its wholly owned subsidiary in China. Embraer is the largest aircraft maker in Brazil and one of the largest in the world. Embraer chose to enter China as its first foreign market, using the joint-venture entry mode. In 2003, Embraer and the Aviation Industry Corporation of China jointly started the Harbin Embraer Aircraft Industry. A year later, Harbin Embraer began manufacturing aircraft.
Source: © Embraer
In 2010, Embraer announced the opening of its first subsidiary in China. The subsidiary, called Embraer China Aircraft Technical Services Co. Ltd., will provide logistics and spare-parts sales, as well as consulting services regarding technical issues and flight operations, for Embraer aircraft in China (both for existing aircraft and those on order). Embraer will invest $18 million into the subsidiary with a goal of strengthening its local customer support, given the steady growth of its business in China.
Guan Dongyuan, president of Embraer China and CEO of the subsidiary, said the establishment of Embraer China Aircraft Technical Services demonstrates the company’s “long-term commitment and confidence in the growing Chinese aviation market.” United Press International, “Brazil’s Embraer Expands Aircraft Business into China,” July 7, 2010, accessed August 27, 2010, http://www.upi.com/Business_News/2010/07/07/Brazils-Embraer-expands-aircraft-business-into-China/UPI-10511278532701.
Building Long-Term Relationships
Developing a good relationship with regulators in target countries helps with the long-term entry strategy. Building these relationships may include keeping people in the countries long enough to form good ties, since a deal negotiated with one person may fall apart if that person returns too quickly to headquarters.
Did You Know?
One of the most important cultural factors in China is guanxi (pronounced guan shi ), which is loosely defined as a connection based on reciprocity. Even when just meeting a new company or potential partner, it’s best to have an introduction from a common business partner, vendor, or supplier—someone the Chinese will respect. China is a relationship-based society. Relationships extend well beyond the personal side and can drive business as well. With guanxi, a person invests with relationships much like one would invest with capital. In a sense, it’s akin to the Western phrase “You owe me one.”
Guanxi can potentially be beneficial or harmful. At its best, it can help foster strong, harmonious relationships with corporate and government contacts. At its worst, it can encourage bribery and corruption. Whatever the case, companies without guanxi won’t accomplish much in the Chinese market. Many companies address this need by entering into the Chinese market in a collaborative arrangement with a local Chinese company. This entry option has also been a useful way to circumvent regulations governing bribery and corruption, but it can raise ethical questions, particularly for American and Western companies that have a different cultural perspective on gift giving and bribery.
Conclusion
In summary, when deciding which mode of entry to choose, companies should ask themselves two key questions:
How much of our resources are we willing to commit? The fewer the resources (i.e., money, time, and expertise) the company wants (or can afford) to devote, the better it is for the company to enter the foreign market on a contractual basis—through licensing, franchising, management contracts, or turnkey projects.
How much control do we wish to retain? The more control a company wants, the better off it is establishing or buying a wholly owned subsidiary or, at least, entering via a joint venture with carefully delineated responsibilities and accountabilities between the partner companies.
Regardless of which entry strategy a company chooses, several factors are always important.
Cultural and linguistic differences. These affect all relationships and interactions inside the company, with customers, and with the government. Understanding the local business culture is critical to success.
Quality and training of local contacts and/or employees. Evaluating skill sets and then determining if the local staff is qualified is a key factor for success.
Political and economic issues. Policy can change frequently, and companies need to determine what level of investment they’re willing to make, what’s required to make this investment, and how much of their earnings they can repatriate.
Experience of the partner company. Assessing the experience of the partner company in the market—with the product and in dealing with foreign companies—is essential in selecting the right local partner.
Companies seeking to enter a foreign market need to do the following:
Research the foreign market thoroughly and learn about the country and its culture.
Understand the unique business and regulatory relationships that impact their industry.
Use the Internet to identify and communicate with appropriate foreign trade corporations in the country or with their own government’s embassy in that country. Each embassy has its own trade and commercial desk. For example, the US Embassy has a foreign commercial desk with officers who assist US companies on how best to enter the local market. These resources are best for smaller companies. Larger companies, with more money and resources, usually hire top consultants to do this for them. They’re also able to have a dedicated team assigned to the foreign country that can travel the country frequently for the later-stage entry strategies that involve investment.
Once a company has decided to enter the foreign market, it needs to spend some time learning about the local business culture and how to operate within it.
Key Takeaways
Exporting is the sale of products and services in foreign countries that are sourced or made in the home country. Importing refers to buying goods and services from foreign sources and bringing them back into the home country.
Companies export because it’s the easiest way to participate in global trade, it’s a less costly investment than the other entry strategies, and it’s much easier to simply stop exporting than it is to extricate oneself from the other entry modes. The benefits of exporting include access to new markets and revenues as well as lower manufacturing costs due to higher manufacturing volumes.
Contractual forms of entry (i.e., licensing and franchising) have lower up-front costs than investment modes do. It’s also easier for the company to extricate itself from the situation if the results aren’t favorable. On the other hand, investment modes (joint ventures and wholly owned subsidiaries) may bring the company higher returns and a deeper knowledge of the country.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What are the risks and benefits associated with exporting?
Name two contractual modes of entry into a foreign country. Which do you think is better and why?
Why would a company choose to use a contractual mode of entry rather than an investment mode?
What are the advantages to a company using a joint venture rather than buying or creating its own wholly owned subsidiary when entering a new international market?
9.2 Countertrade
Learning Objectives
Understand what countertrade is.
Recognize why companies engage in countertrade.
Know two structures of countertrade.
What Is Countertrade?
Some countries limit the profits (currency) a company can take out of a country. As a result, many companies resort to countertrade
The situation in which companies trade goods and services for other goods and services; actual monies are only involved to a lesser degree, if at all.
, where companies trade goods and services for other goods and services; actual monies are involved only to a lesser degree, if at all. You can imagine that limitations on transferring profits would make the world less flat; so too would the absence of countertrade opportunities in situations where currency transfer limitations are in place. Countertrade is also a resourceful way for exporters to sell their products and services to foreign companies or countries that would be unable to pay for them using hard currency alone.
All kinds of companies, from food and beverage company PepsiCo to power and automation technologies giant the ABB Group, engage in countertrade. When PepsiCo wanted to enter the Indian market, the government stipulated that part of PepsiCo’s local profits had to be used to purchase tomatoes. This requirement worked for PepsiCo, which also owned Pizza Hut and could export the tomatoes for overseas consumption.
This is one example of countertrade, specifically counterpurchase. By establishing this requirement, the Indian government was able to help a local agricultural industry, thereby mitigating criticism of letting a foreign beverage company into the country.
Another example in which companies exchanged goods and services rather than paying hard currency is Bharat Heavy Electricals Limited (BHEL), the largest power generation equipment manufacturer in India. BHEL wanted to secure additional overseas orders. To accomplish this, BHEL looked for countertrade opportunities with other state-owned firms. The company entered into a joint effort with an Indian, state-owned mineral-trading company, MMTC Ltd., to import palm oil worth $1 billion from Malaysia, in return for setting up a hydropower project in that nation. Malaysia is the second-largest producer of palm oil in the world. Because India imports an average of 8 million tons of edible oil every year but consumes 15 million tons, importing edible oil is valuable. Utpal Bhaskar and Asit Ranjan, “Bhel Looking at Counter-Trade Deals to Secure Overseas Orders,” Live Mint, May 11, 2010, accessed November 18, 2010, http://www.livemint.com/2010/05/11224356/Bhel-looking-at-countertrade.html.
Why Do Companies Engage in Countertrade?
One reason that companies engage in this practice is that some governments mandate countertrade on very large-scale (over $1 million) deals or if the deal is in a certain industry. For example, South Korea mandates countertrade for government telecommunications procurement over $1 million. When governments impose counterpurchase obligations, firms have no choice but to engage in countertrade if they wish to sell goods into that country.
Countertrade also can mitigate the risk of price movements or currency-exchange-rate fluctuations. Because both sides of a countertrade deal in real goods, not financial instruments, countertrade can solve the inflation risk involved in foreign currency procurement. In effect, countertrade can be a better mechanism than financial instruments as a way to hedge against inflation or currency fluctuations. Sang-Rim Choi and Adrian E. Tschoegl, “Currency Risks, Government Procurement and Counter-Trade: A Note,” Applied Financial Economics 13, no. 12 (December 2003): 885–89.
Finally, countertrade offers a way for companies to repatriate profits. As you’ll see in Chapter 15 "Understanding the Roles of Finance and Accounting in Global Competitive Advantage", some governments restrict how much currency can flow out of their country. (Governments do this to preserve foreign exchange reserves.) Countertrade offers a way for companies to get profits back to the home country via goods rather than money.
Structures in Countertrade
The very first trading—thousands of years ago—was based on barter. Barter
The direct exchange of one good for another, with no money involved.
is simply the direct exchange of one good for another, with no money involved. Thus, barter predates even the invention of money.
Does barter still take place today? Yes—and not just among two local businesses exchanging something like a haircut for a therapeutic massage. Thanks to new innovations and the Internet, barter is taking place across international borders. For example, consider the Bartercard. Established in 1991, Bartercard functions like a credit card, but instead of funding the card through cash in a bank account, a company funds the card with its own goods and services. No cash is needed. Over 75,000 trading members in thirteen countries are using the Bartercard, doing $1.3 billion in cashless transactions annually. Bartercard website, accessed November 23, 2010, http://bci.bartercard.com.
In a counterpurchase
The situation in which the seller receives cash contingent on the seller buying local products or services in the amount of (or a percentage of) the cash.
structure, the seller receives cash contingent on the seller buying local products or services in the amount of (or a percentage of) the cash. Simply put, counterpurchase occurs when the seller receives cash but contractually agrees to buy local products or services with that cash.
Disadvantages of Countertrade
Countertrade has a tarnished image due to its associations with command economies during the Cold War, when the goods received were often useless or of poor quality but were forced upon companies by command-economy government regulations. New research is showing that countertrade transactions have legitimate economic rationales, but the risk of receiving inferior goods continues. Peter W. Liesch and Dawn Birch, “Research on Business-to-Business Barter in Australia,” in Getting Better at Sensemaking, ed. Arch G. Woodside, Advances in Business Marketing and Purchasing, vol. 9 (Bingley, UK: Emerald Group Publishing, 2001), 353–84. Most countertrade structures, except for barter, make sense only for very large firms that can take a product like palm oil and—in turn—trade it in a useful way. That’s why BHEL partnered with MMTC on the Malaysia countertrade deal—because MMTC specializes in bulk commodities. Similarly, PepsiCo was able to make use of the tomatoes it was required to counterpurchase because it also operates a pizza business.
Key Takeaways
Countertrade refers to companies that trade goods and services for other goods and services; actual monies are involved only to a lesser degree, if at all. Although countertrade had a tainted reputation during the Cold War days, it’s a useful way for exporters to trade with developing countries that may not be able to pay for the goods in hard currency.
Companies engage in countertrade for three main reasons: (1) to satisfy a foreign-government mandate, (2) to hedge against price and currency fluctuations, and (3) to repatriate profits from countries that limit the amount of currency that can be taken out of the country.
Barter is a structure of countertrade that has been around for thousands of years and continues today. Counterpurchase is a countertrade structure that involves the seller receiving cash contingent on the seller buying local products or services in the amount of (or a percentage of) the cash.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
What are some of the disadvantages of countertrade?
Describe an example of how counterpurchasing works.
Does barter still make sense in the modern world? Who might engage in barter? What advantages might they gain?
9.3 Global Sourcing and Its Role in Business
Learning Objectives
Identify what global sourcing is.
Learn what comprises the best practices in global sourcing.
Recognize the difference between outsourcing and global sourcing.
What Is Global Sourcing?
Global sourcing
Buying raw materials, components, or services from companies outside the home country.
refers to buying the raw materials, components, or services from companies outside the home country. In a flat world, raw materials are sourced from wherever they can be obtained for the cheapest price (including transportation costs) and the highest comparable quality.
Recall the discussion of the spice trade in Section 9.1 "What is Importing and Exporting?". Europeans sourced spices from China and India. The long overland trade routes required many payments to intermediaries and local rulers, raising prices of spices 1,000 percent by the end of the journey. Such a markup naturally spurred Europeans to look for other trade routes and sources of spices. The desire for spices and gold is what ultimately led Christopher Columbus to secure funding for his voyage across the Atlantic Ocean. Even before that, Portuguese ships were sailing down the coast of Africa. In the 1480s, Portuguese ships were returning to Europe laden with African melegueta pepper. This pepper was inferior to the Far Eastern varieties, but it was much cheaper. By 1500, pepper prices dropped by 25 percent due to the new sources of supply. Edwin S. Hunt and James M. Murray, A History of Business in Medieval Europe, 1200–1550 (Cambridge, UK: Cambridge University Press, 1999), 229.
Today, the pattern of global sourcing continues as a way to obtain commodities and raw materials. But sourcing now is much more expanded; it includes the sourcing of components, of complete manufactured products, and of services as well.
There are many companies that export to a country while sourcing from that same country. For example, Apple sells iPods and iPads to China, and it also manufactures and sources components in China.
Best Practices in Global Sourcing
Given the challenges of global sourcing, large companies often have a staff devoted to overseeing the company’s overseas sourcing process and suppliers, managing the relationships, and handling legal, tax and administrative issues.
Judging Quality from Afar: ISO 9000 Certification
How can companies know that the products or services they’re sourcing from a foreign country are of good quality? The mark of good quality around the world is ISO 9000 certification. In 1987, the International Organization of Standardization (ISO) developed uniform standards for quality guidelines. Prior to December 2000, three ISO standards were used: ISO 9001, ISO 9002, and ISO 9003. These standards were collectively referred to as ISO 9000. In 2000, the standards were merged into a revised ISO 9001 standard named ISO 9001:2000. In 2008, a new revision was issued, ISO 9001:2008. The standards are voluntary, but companies can demonstrate their compliance with the standard by passing certification. (Companies that had achieved ISO 9001:2000 certification were required to be recertified to meet ISO 9001:2008 standards.) The certification is a mark that the company’s products and services have met quality standards and that the company has quality management processes in place. Companies of any size can get certified. To ensure high-quality products, some companies require that their suppliers be certified before they will source products or services from them. ISO 9001:2008 certification is a “seal of quality” that is trusted around the world.
In addition to quality standards, ISO also developed ISO 14000 standards, which focus on the environment. Specifically, ISO 14000 certification shows that the company works to minimize any harmful effects it may have on the environment.
Over the years, companies have learned to manage for quality and consistency.
Companies can use unannounced inspections to verify that their suppliers meet quality-assurance standards (although this is costly when suppliers are far away).
For consistency, to avoid disruption in getting goods, Walmart makes sure that no supplier does more than 25 percent of their business with Walmart.
Companies can evaluate supplier performance. Cost isn’t everything. Many companies use scorecards to evaluate suppliers from whom they source components. Cost is part of the scorecard, of course, but often it represents only part of the evaluation, not all of it. Instead, companies look at issues such as supply continuity, as well as whether the relationship is based on openness and trust.
Trends in Sourcing: Considering Carbon Costs
One of the rising concerns about global sourcing is that of the carbon footprint of goods traveling long distances. A carbon footprint
A measure of the impact that activities like transportation and manufacturing have on the environment, especially on climate change. Includes daily activities, such as using electricity or driving, because of the greenhouse gases produced through burning fossil fuels for electricity, heating, transportation, and so on. The higher the carbon footprint, the worse the impact on the environment.
is a measure of the impact that activities like transportation and manufacturing have on the environment, especially on climate change. (The “footprint” is the impact, and “carbon” is shorthand for all the different greenhouse gases that contribute to global warming. Mike Berners-Lee and Duncan Clark, “What Is a Carbon Footprint?,” Green Living Blog, Guardian, June 4, 2010, accessed September 12, 2010, http://www.guardian.co.uk/environment/blog/2010/jun/04/carbon-footprint-definition.) Everyone’s daily activities, such as using electricity or driving, have a carbon footprint because of the greenhouse gases produced by burning fossil fuels for electricity, heating, transportation, and so on. The higher the carbon footprint, the worse the activity is for the environment.
In global sourcing, although transporting goods by air and truck has a high carbon footprint due to the fossil fuels burned, ocean transport doesn’t. Also, the carbon-footprint measure doesn’t just focus on distance; it looks at all the fossil fuels used in the manufacture of an item. For example, when one looks at the total picture of how much energy is required to make a product, the carbon footprint of transportation may be less than the carbon footprint of the manufacturing process. Some regions have natural advantages. For example, it is more environmentally friendly to smelt aluminum in Iceland than locally because of the tremendous amount of electricity required for smelting. Iceland has abundant geothermal energy, which has no carbon footprint compared to generating electricity by burning coal. It’s better for the environment to smelt the aluminum in Iceland and then ship it elsewhere.
Similarly, it is more environmentally sound for people in the United Kingdom to buy virgin wood from Sweden than to buy recycled paper made in the United Kingdom. Why? Sweden uses nuclear energy to make paper, which has a much lower carbon footprint than electricity in the United Kingdom, which is generated by burning coal. Even though the paper is recycled, the electricity costs of recycling make it more harmful to the environment.
Perhaps one of the most-effective changes companies can make to help the environment is to work collaboratively with their trading partners. For example, an agreement between potato-chip manufacturers and potato suppliers eliminated wasted resources. Specifically, the physics of frying potato chips requires boiling off the water in the potato, which consumes a large amount of energy. Although boiling off the water would seem to be a requirement in the cooking process, UK-based Carbon Trust discovered a man-made practice that increased these costs. Potato-chip manufacturers buy potatoes by weight. Potato suppliers, to get the most for their potatoes, soak the potatoes in water to boost their weight, thus adding unnecessary water that has to be boiled off. By changing the contracts so that suppliers are paid more for less-soggy potatoes, suppliers had an incentive to use less water, chip makers needed to expend less energy to boil off less water, and the environment benefited from less water and energy waste. These changes had a much more beneficial impact on the environment than would have been gained by a change in transportation. MIT Center for Transportation and Logistics and Council of Supply Chain Management Professionals, “Achieving the Energy-Efficient Supply Chain” (symposium, Royal Sonesta Hotel, Cambridge, MA, April 30, 2007).
Outsourcing versus Global Sourcing
In outsourcing
The company delegates an entire process (e.g., accounts payable) to the outsource vendor. The vendor takes control of the operations and runs the operations as they see fit. The company pays the outsource vendor for the end result; how the vendor achieves the end result is up to the vendor.
, the company delegates an entire process (e.g., accounts payable) to an outsource vendor. The vendor takes control of the operation and runs the operation as it sees fit. The company pays the outsource vendor for the end result; how the vendor achieves those end results is up to the vendor.
Companies outsource for numerous reasons. There are many advantages to outsourcing:
Reducing costs by moving labor to a lower-cost country
Speeding up the pace of innovation by hiring engineers in a developing market at much lower cost
Funding development projects that would otherwise be unaffordable
Liberating expensive home-country-based engineers and salespeople from routines tasks, so that they can focus on higher value-added work or interacting with customers
Putting a standard business practice out to bid, in order to lower costs and let the company respond with flexibility. If a new method of performing the function becomes advantageous, the company can change vendors to take advantage of the new development, without incurring the delays of hiring and training new employees on the process.
Pharmaceutical company Eli Lilly and Company uses outsourcing to bring down the cost of developing a new drug, which stands at $1.1 billion. Lilly hopes to bring down the cost to $800 million through outsourcing. The company is outsourcing the heart of the research effort—drug development—to contract research organizations (CROs). Jonathan D. Rockoff, “Lilly Taps Contractors to Revive Pipeline,” Wall Street Journal, January 5, 2010, accessed September 7, 2010, http://online.wsj.com/article/SB10001424052748704247504574604503922019082.html. It does 20 percent of its chemistry work in China, for one-quarter the US cost. Lilly hopes to reduce the cost of clinical trials as well, by expanding those efforts to BRIC countries (i.e., Brazil, Russia, India, and China). Paul McDougall, “Drug Company Eli Lilly Outsources Clinical Data to India,” InformationWeek, November 20, 2006, accessed September 7, 2010, http://www.informationweek.com/news/global-cio/outsourcing/showArticle.jhtml?articleID=194500067; Patricia Van Arnum, “Outsourcing Clinical Trial Development and Materials,” Pharmaceutical Technology 6, no. 34 (June 2, 2010): 44–46.
The Hidden Costs of Outsourcing
Although outsourcing’s costs savings, such as labor costs, are easy to see, some of the hidden costs aren’t as visible. For example, high-tech products that spend months traveling by ocean face product obsolescence, deterioration, spoilage, taxes, loss due to damage or theft, and increased administrative and business travel costs. Threats of terrorism, religious strife, changing governments, and failing economies are further issues of concern. Stanley Furniture, a US maker of home furnishings, decided to bring its offshore production back home after product recalls from cribs made in Slovenia, transportation costs, and intellectual property issues outweighed the advantages of cheap goods and labor. Sarah Kabourek, “Back in the USA,” Fortune, September 28, 2009, 30. All of these hidden costs add up to a world that is less than flat.
Manufacturing outsourcing is also called contract manufacturing. The move to contract manufacturing
The outsourcing of manufacturing.
means that companies like IBM have less control over manufacturing than they did when they owned the factories. Contract-manufacturing companies such as Celestica are making IBM products alongside Hewlett-Packard (HP) and Dell products. Celestica’s own financial considerations influence whether it gives preference to IBM, HP, or Dell if there is a rush on manufacturing. The contract manufacturer’s best efforts will go to whichever client negotiated the best terms and highest price; this makes companies more vulnerable to variability.
Quanta Computer, based in Taiwan, is the largest notebook-computer contract manufacturer in the world. Quanta makes laptops for Sony, Dell, and HP, among others. In June 2010, Quanta shipped 4.8 million laptops, a laptop-shipment record. Carter Sprunger, “Quanta Computer Breaks Laptop Shipment Record in June,” Notebooks, July 9, 2010, accessed October 28, 2010, http://notebooks.com/2010/07/09/quanta-computer-breaks-laptop-shipment-record-in-june. For consumer electronics, outsourcing has become the dominant way of doing business.
Managing Outsourced Services
If a company outsources a service, how does it guarantee the quality of that service? One way is through service-level agreements. Service-level agreements (SLAs)
A contract that specifies the service levels that an outsourcer must meet when performing the service to ensure quality and performance when outsourcing services.
contractually specify the service levels that the outsourcer must meet when performing the service. SLAs are one way that companies ensure quality and performance when outsourcing services. SLAs typically include the following components:
Scope of services
Frequency of service
Quality expected
Timing required
Cost of service
Communications
Dispute-resolution procedures
Reporting and governance
Key contacts
Performance-improvement objectives
Johns Hopkins Enterprise’s SLA for Accounts Receivable
Johns Hopkins Enterprise expects the following service levels for accounts receivable:
Contact the customer after forty-five days if the open invoice is greater than $10,000.
Contact the customer after sixty days if the open invoice is between $3,000 and $10,000.
Contact the customer after ninety days if the open invoice is less than $3,000.
Contact the department within two days if the customer claims the invoice will not be paid due to performance. At this point, it is the department’s responsibility to resolve and the invoice will be closed as uncollectible. Once the disagreement with the customer is resolved, a new invoice will be issued.
All issues that the A/R Service Center can fix will be completed within three business days. Follow-up calls will be made within five business days. “Accounts Receivable Shared Service Center Service Level Agreement,” Johns Hopkins Enterprise, last updated July 1, 2009, accessed November 23, 2010, http://ssc.jhmi.edu/accountsreceivable/inter_entity.html.
Entrepreneurial Opportunities from Outsourcing
Crimson Consulting Group is a California-based firm that performs global market research on everything from routers to software for clients including Cisco Systems, HP, and Microsoft. Crimson has only fourteen full-time employees, which would be too few to handle these market research inquiries. But Crimson outsources some of the market research to Evalueserve in India and some to independent experts in China, the Czech Republic, and South Africa. “This allows a small firm like us to compete with McKinsey and Bain on a very global basis with very low costs,” said Crimson CEO Glenn Gow. Pete Engardio with Michael Arndt and Dean Foust, “The Future of Outsourcing,” BusinessWeek, January 30, 2006, accessed November 18, 2010, http://www.businessweek.com/magazine/content/06_05/b3969401.htm.
For example, imagine a company that has an idea for a new medical device, but lacks market research into the opportunity. The company could outsource its market research to a firm like Evalueserve. For a relatively small fee, the outsourced firm could, within a day, assemble a team of Indian patent attorneys, engineers, and business analysts, start mining global databases, and call dozens of US experts and wholesalers to provide an independent market-research report.
Key Takeaways
Global sourcing refers to buying the raw materials, components, complete products, or services from companies located outside the home country.
Information technology and communications have enabled the outsourcing of business processes, enabling those processes to be performed in different countries around the world.
Best practices in global sourcing include the following components:
Using ISO 9001:2008 certification to help ensure the quality of products regardless of where they are produced
Considering not just the quality of products but also the environmental practices of the company providing the products, through ISO 14000 certification
Using service-level agreements to ensure the quality of services
Entrepreneurs benefit from outsourcing because they can acquire services as needed, without having to build those capabilities internally.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
Why do companies source globally?
What are some ways in which to ensure quality from unknown suppliers?
When and how would you use a service-level agreement?
Is contract manufacturing the same as outsourcing?
Explain the advantages and disadvantages of outsourcing.
9.4 Managing Export and Import
Learning Objectives
Learn the main players in export and import.
Recognize the role of intermediaries.
Identify some of the documents needed for export and import transactions.
Who Are the Main Actors in Export and Import?
The size of exports in the world grew from less than $100 million after World War II to well over $11 trillion today. Export and import is big business, but it isn’t just for big businesses. Most of the participants are small and midsize businesses, making this an exciting opportunity for entrepreneurs.
Importing and exporting require much documentation
The official forms that must be presented to satisfy the import and export regulations of countries and for payment to be processed.
(i.e., filing official forms) to satisfy the regulations of countries. The value of the documentation is that it enables trade between entities who don’t know each other. The parties are able to trust each other because the documentation provides a common framework and process to ensure that each party will do what they say in the import/export transaction.
The main parties involved in export and import transactions are the exporter, the importer, and the carrier. The exporter
A person or organization that sells products and services in foreign countries that are sourced from the home country.
is the person or entity sending or transporting the goods out of the country. The importer
A person or organization that sells products and services that are sourced from other countries.
is the person or entity buying or transporting goods from another country into the importer’s home country. The carrier
The entity handling the physical transportation of the goods, such as UPS, FedEx, and DHL.
is the entity handling the physical transportation of the goods. Well-known carriers across the world are United Parcel Service (UPS), FedEx, and DHL.
Customs
A governmental agency that monitors imports and collects import duties on goods coming into the country.
administration offices in both the home country and the country to which the item is being exported are involved in the transaction. In the United States, the US Customs Service became the US Bureau of Customs and Border Protection (CBP) after the terrorist attacks on September 11, 2001. The mandate now isn’t simply to move goods through customs quickly and efficiently to facilitate international trade; it also ensures that the items coming into the United States are validated and safe as well. Robert Bonner took the position as commissioner of the Customs Service on September 10, 2001. On his second day on the job at 10:05 a.m. EDT, he had to close all the airports, seaports, and border ports of entry. The priority mission of the Customs Service became security—preventing terrorists and terrorist weapons from entering the country. On the third day, however, the trade and business implications of shutting down the borders became visible. Border crossings that used to take ten to twenty minutes were taking ten to twelve hours. Automobile plants in Detroit, using just-in-time delivery of parts for cars, began to shut down on September 14 due to a lack of incoming supplies and parts. Businesses were going to have a difficult time operating if the borders were closed. Thus, the twin goals of the newly created CBP became security as well as trade facilitation. As Bonner explained, “In the past, the United States had no way to detect weapons coming into our borders. We had built a global trading system that was fast and efficient, but that had no security measures.” Robert Bonner, “Supply Chain Security: Government-Industry Partnership” (presentation at the Resilient and Secure Supply Chain symposium, MIT, Cambridge, MA, September 29, 2005).
Mary Murphy-Hoye, a senior principal engineer at Intel, put it simply: “Our things move in big containers, and the US Department of Homeland Security is worried about them. Security means knowing what is it, where is it, where has it been, and has anyone messed with it.” Mary Murphy Hoye, “Future Capabilities in the Supply Chain” (presentation at the MIT Center for Transportation and Logistics conference, MIT, Cambridge, MA, May 8, 2007).
After September 11, the twin goals of safety and facilitation were met through three interrelated initiatives:
The twenty-four-hour rule, requiring advanced information prior to loading
An automated targeting system to evaluate all inbound freight
Sophisticated detection technology for scanning high-risk containers
Cooperation for Security
The World Customs Organization (WCO) created a framework that calls for cooperation between the customs administrations of different countries. Under the WCO Framework of Standards to Secure and Facilitate Global Trade, if a customs administration in one country identifies problems in cargo from another country, that customs administration could ask the exporting country to do an inspection before goods are shipped. Businesses across the world benefit (in terms of speed and cost) if there is one common set of security standards globally, and the WCO is working toward that goal. World Customs Organization, “WCO Presents Draft Framework of Standards at Consultative Session in Hong Kong, China,” news release, March 25, 2005, accessed September 7, 2010, http://www.wcoomd.org/press/default.aspx?lid=1&id=78.
Role of Intermediaries
In addition to the main players described above, intermediaries can get involved at the discretion of the importer or exporter. Entrepreneurs and small and midsize businesses, in particular, make use of these intermediaries, rather than expending their resources to build these capabilities in-house.
A freight forwarder
Entity that typically prepares the documentation, suggests shipping methods, navigates trade regulations, and assists with details like packing and labeling.
typically prepares the documentation, suggests shipping methods, navigates trade regulations, and assists with details like packing and labeling. At the foreign port, the freight forwarder arranges to have the exported goods clear customs and be shipped to the buyer. The process ends with the freight forwarder sending the documentation to the seller, buyer, or intermediary, such as a bank.
As you learned in Chapter 14 "Competing Effectively through Global Marketing, Distribution, and Supply-Chain Management", Section 14.1 "Fundamentals of Global Marketing", an export management company (EMC) is an independent company that performs the duties a firm’s export department would execute. The EMC handles the necessary documentation, finds buyers for the export, and takes title of the goods for direct export. In return, the EMC charges a fee or a commission for its services.
Banks perform the vital role of finance transactions. The role of banks will be examined in Chapter 14 "Competing Effectively through Global Marketing, Distribution, and Supply-Chain Management", Section 14.5 "Global Production and Supply-Chain Management".
What’s Needed for Import and Export Transactions?
Various forms of documentation are required for import and export transactions.
The bill of lading
The contract between the exporter and the carrier, authorizing the carrier to transport the goods to the buyer’s destination; acts as proof that the shipment was made and that the goods have been received.
is the contract between the exporter and the carrier (e.g., UPS or FedEx), authorizing the carrier to transport the goods to the buyer’s destination. The bill of lading acts as proof that the shipment was made and that the goods have been received.
A commercial or customs invoice
The bill for the goods shipped from the exporter to the importer or buyer.
is the bill for the goods shipped from the exporter to the importer or buyer. Exporters send invoices to receive payment, and governments use these invoices to determine the value of the goods for customs-valuation purposes.
Did You Know?
IBM does business with 160 countries. Daily, it sends 2,500 customs declarations and ships 5.5 million pounds of products worth $68 million. Theo Fletcher, “Global Collaboration for Security” (presentation at the Resilient and Secure Supply Chain symposium, MIT, Cambridge, MA, September 29, 2005).
The export declaration
Documentation that provides the contact information of both the exporter and the importer (i.e., buyer) as well as a full description, declared value, and destination of the products being shipped.
is given to customs and port authorities. The declaration provides the contact information for both the exporter and the importer (i.e., buyer) as well as a description of the items being shipped, which the CPB uses to verify and control the export. The government also uses the information to compile statistics about exports from the country.
Humorous Anecdote
Customs regulations in some countries—particularly emerging-market countries—may impede or complicate international trade. A study of the speed and efficiency of items getting through customs in different countries found that it can take anywhere from three to twenty-one days to clear incoming goods. This variation causes problems because companies can’t plan on a steady flow of goods across the border. Some countries have customs idiosyncrasies. In Brazil, for example, no goods move within the country on soccer game days and documents that are not signed in blue ink will incur delays for their accompanying goods. “Supply Chain Strategies in Emerging Markets” (roundtable discussion at the MIT Center for Transportation and Logistics, MIT, Cambridge, MA, March 7, 2007).
The certificate of origin
Documentaion that declares the country from which the product originates.
, as its name implies, declares the country from which the product originates. These certificates are required for import duties. These import duties are lower for countries that are designated as a “most favored nation.”
Certificate of Origin as Marketing Tool
Not all governments or industries require certificates of origin to be produced, but some companies are seeing that a certificate of origin can be used for competitive advantage. For example, Eosta, an importer of organic fruit, puts a three-digit number on each piece of fruit. At the website http://www.natureandmore.com, customers can type in that number and get a profile of the farmer who grew the fruit, getting a glimpse into that farmer’s operations. For example, Fazenda Tamanduá, a farm in Brazil, grows mangoes using a variety that needs less water to grow and a drip-irrigation system that optimizes water use. This database gives customers a way to learn about growers and provides a way for growers and others to share what they learn. Daniel Goleman, Ecological Intelligence (New York: Crown Business, 2009), 191. Providing this type of certification to customers differentiates Eosta products and makes them more attractive to sustainability-minded consumers.
Although not required, insurance certificates
Documentation that shows the amount of insurance coverage on the goods and identifies the merchandise.
show the amount of coverage on the goods and identify the merchandise. Some contracts or invoices may require proof of insurance in order to receive payment.
Some governments require the purchase of a license
Purchased permission to export goods from a country.
(i.e., permission to export) for goods due to national security or product scarcity. Interestingly, licenses for import and export date back to the 1500s at least, when Japan required a system of licenses to combat the smuggling of goods taking place. Maritza Manresa, How to Open and Operate a Financially Successful Import Export Business (Ocala, FL: Atlantic Publishing, 2010), 20.
Impact of Trade Agreements
Trade agreements impact the particulars of doing business. For example, the North American Free Trade Agreement (NAFTA) makes Mexico different from other Latin American countries due to the ease of movement of goods between that country and the United States. Changes in agreements can affect the competitiveness of different countries. When China joined the World Trade Organization (WTO), the rapid elimination of tariffs and quotas on textiles harmed US makers.
The letter of credit
A legal document issued by a bank at the importer’s (or buyer’s) request in which the importer promises to pay a specified amount of money when the bank receives documents about the shipment.
is a legal document issued by a bank at the importer’s (or buyer’s) request. The importer promises to pay a specified amount of money when the bank receives documents about the shipment. Simply put, the letter of credit is like a loan against collateral (in this case, the goods being shipped) in which the funds are placed in an escrow account held by the bank. Letters of credit are trusted forms of payment in international trade because the bank promises to make the payment on behalf of the importer (i.e., buyer) and the bank is a trusted entity. Given that the letter of credit is like a loan, getting one issued from the bank requires proof of the importer’s (or buyer’s) ability to pay the amount of the loan.
Chapter 14 "Competing Effectively through Global Marketing, Distribution, and Supply-Chain Management", Section 14.5 "Global Production and Supply-Chain Management" is devoted to the broad topic of the payment and financing associated with import and export transactions.
Key Takeaways
There are several main parties involved in export and import transactions:
The exporter, who is the person or entity sending or transporting the goods out of the country
The importer, who is the person or entity buying or transporting goods from another country into the importer’s home country
The carrier, which is the entity handling the physical transportation of the goods
The customs-administration offices from both the home country and the foreign country
Intermediaries, such as freight forwarders and export management companies (EMC), provide companies with expert services so that the firms don’t have to build those capabilities in-house. You could argue that such intermediaries make the world flatter, while the regulations and institutions that they help the firm deal with actually make the world less flat. Freight forwarders specialize in identifying the best shipping methods, understanding trade regulations, and arranging to have exported goods clear customs. EMCs handle the necessary documentation, find buyers for the export, and take title of the goods for direct export.
Essential documents for importing and exporting include the bill of lading, which is the contract between the exporter and the carrier; the export declaration, which the customs office uses to verify and control the export; and the letter of credit, which is the legal document in which the importer promises to pay a specified amount of money to the exporter when the bank receives proper documentation about the shipment.
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
Name the four main players in export and import transactions.
What role do intermediaries play in export and import transactions?
Explain the purpose of a letter of credit.
What is the difference between the export declaration and the commercial or customs invoice? How are they related?
9.5 What Options Do Companies Have for Export and Import Financing?
Learning Objectives
Understand how companies receive or pay for goods and services.
Learn the basics of export financing.
Discover the role of organizations like OPIC, JETRO, and EX-IM Bank.
How Companies Receive or Pay for Goods and Services
You’ve already learned about two of the three documents required for getting paid in export/import transactions. The letter of credit is a contract between banks that stipulates that the bank of the importer will pay the bank of the exporter upon getting the proper documentation about the merchandise. Because importers and exporters rarely know each other, the letter of credit between two banks ensures that each party will do what it says it will do. The bill of lading, which is issued by the carrier transporting the merchandise, proves that the exporter has given the carrier the merchandise and that the carrier owns title to the merchandise until paid by the importer. Both the letter of credit and the bill of lading can function as collateral against loans. The final document, the draft (or bill of exchange)
The document by which the exporter tells the importer to pay a specified amount at a specified time. It is a written order for a certain amount of money to be transferred on a certain date from the person who owes the money or agrees to make the payment.
is the document by which the exporter tells the importer to pay a specified amount at a specified time. It is a written order for a certain amount of money to be transferred on a certain date from the person who owes the money or agrees to make the payment. The draft is the way in which an exporter initiates the request for payment.
There are two types of drafts. The sight draft
A bill that is due to be paid upon receipt (i.e., when it is “seen”).
is paid on receipt of the draft (when it is “seen”) and the time draft
A bill that is payable 30, 60, 90 or 120 days in the future.
is payable at a later time, typically 30, 60, 90, or 120 days in the future as specified by the time draft.
Giving the importer 120 days to pay the draft is very attractive for the importer because it allows time for the importer to sell the goods before having to pay for them. This helps the importer’s cash flow. Importers will prefer to give business to an exporter who offers these attractive payment terms, which is why exporters offer them. However, waiting 120 days to get paid could cause cash-flow problems for the exporter. To avoid this problem, the exporter may choose to factor the contract. In factoring
The situation in which an exporter sells a time draft at a discount to an intermediary (often a bank) that will pay the exporter immediately and then collect the full amount from the importer at the later date.
, the exporter sells the draft at a discount to an intermediary (often a bank) that will pay the exporter immediately and then collect the full amount from the importer at the specified later date. For example, the factor (bank) pays the exporter 93 percent of the value of the draft now. The factor now owns the draft and collects the full amount owed 120 days later from the importer. The factor earns roughly a 7 percent return in 120 days (but bears the risk that the importer defaults on the payment or takes longer to pay). Factor rates are typically 5 to 8 percent of the total amount of the draft.
Of course, it’s possible for the exporter to ask for cash in advance
An arrangement in which the exporter requires payment from the importer before shipping the goods.
from the importer or buyer, but this is a risky agreement for the buyer to make. As a result, importers prefer to do business with exporters who do not require cash in advance.
An open account
An arrangement in which the exporter ships the goods and then bills the importer.
, in direct contrast to cash in advance, is an arrangement in which the exporter ships the goods and then bills the importer. This type of agreement is most risky for the exporter, so exporters avoid it when possible or offer it only to their own subsidiaries or to entities with whom they have long-term relationships.
Basics of Export Financing
Financing against collateral is called secured financing
Financing granted against collateral, which can be the imported/exported goods.
, and it’s the most common method of raising new money. Banks will advance funds against payment obligations, shipment documents, or storage documents.
There are several common sources of financing:
A loan from a commercial bank
A loan from an intermediary, such as an export management company that provides short-term financing
A loan from a supplier, for which the buyer can make a down payment and ask to make further payments incrementally
A loan from the corporate parent
Governmental or other organizational financing
Did You Know?
Banks like HSBC provide trade finance and related services, including a highly automated trade-processing network of Internet trade services, export document-preparation system, and electronic documentary-credit advising. Some of these banks also provide specialized financing services, such as factoring.
Some companies have mechanisms for providing credit to their business customers. For example, package delivery company United Parcel Service (UPS) also owns warehouses to which its customers can ship their products. Because UPS can see and track the inventory that its business customers send using this service, it can lend those companies money based on their warehouse inventory and goods-in-transit. Simply put, UPS information systems know that a company’s goods are on their way or in the warehouse, so UPS can lend money based on that knowledge.
Success Tips for Entrepreneurs
Entrepreneurs and small businesses can look to the US Small Business Administration (SBA) for help with their import or export businesses. Although the SBA itself doesn’t loan money, it does guarantee loans and offers good loan programs for small businesses. Let’s look at two programs in particular. The SBA’s Export Express loan program is the most flexible program available to small businesses. The funds that small businesses obtain through this program can be used to pay for any activity that will increase exports, be it helping the exporter fund the purchase of the export items, take part in trade shows, obtain letters of credit, or translate marketing materials that it will use to sell the goods in overseas markets. Small businesses can get loans or lines of credit of up to $250,000. Obtaining a loan requires going to a bank or other lender and asking if they are an SBA Export Express lender. If so, the small business can apply for the loan with that lender and then send the application to the SBA for final approval. The SBA will review the application to make sure that the funds will be used to enter new export markets (or to expand the company’s current market) and that the company has been in business for at least one year. US Small Business Administration, “Finance Start-Up,” accessed September 5, 2010, http://www.sba.gov/smallbusinessplanner/start/financestartup/SERV_EXPORT.html.
A second loan program, the SBA’s Export Working Capital Program (EWCP), provides loans for businesses that can generate export sales but don’t have the working capital to purchase inventory or to stay in business during the long payment cycles. The maximum loan amount or line of credit for the EWCP is $2 million. More information on these loan programs is available at the SBA’s international trade website: http://www.sba.gov/international.
Another useful tip for entrepreneurs is to use the Automated Export System (AES) to file the necessary documentation required for exporting. The AES is available to companies of all sizes but is of particular value to entrepreneurs and small businesses that might otherwise have to fill out all this documentation themselves. By filing the documents electronically, entrepreneurs get immediate feedback if there are any errors in their paperwork and can make the corrections right away. This can save days of costly delays. The AES lets entrepreneurs and businesses submit all the export information required by all the agencies involved in the export process. The process begins by filing the export document. If all the necessary information has been provided, the entrepreneur or business gets a confirmation message with approval. If there have been errors, the error message explains the omission or erroneous information so that it can be corrected. For more information, see http://www.aesdirect.gov.
Finally, entrepreneurs can accept payments in many ways, including checks, credit cards, or services like PayPal.
The Role of Organizations in Providing Financing
Countries often have government-supported organizations that help businesses with import and export activities to and from their country. These services are, for the most part, free and include providing information, contacts, and even financing options.
The Japan External Trade Organization (JETRO)
An organization that assists foreign companies in exporting their products to Japan by providing free-market entry information and business-partner matching as well as some subsidies. Also works to attract foreign direct investment into Japan.
was originally established in the 1950s to help the war-torn Japanese economy by promoting export of Japanese products to other countries. By the 1980s, Japan had massive export surpluses and began to feel the need to promote imports. So JETRO’s mission reversed; its focus became to assist foreign companies to export their products into Japan. JETRO now offers such free services as
market-entry information,
business partner matching,
expert business consulting (through bilingual business consultants who’re experts in various industries), and
access to a global network of executives and advisors.
On the financing side, JETRO offers subsidies to potential companies, free offices for up to four months while the foreign firm researches the Japanese market, and exhibition space when the company is ready to display their products to prospective Japanese importers. “Open a Japan Office / Invest in Japan,” Japan External Trade Organization, accessed November 22, 2010, http://www.jetro.org/index.php?option=com_content&task=view&id=652.
The current goal of JETRO is to help Japan attract foreign direct investment (FDI) as part of its economic restructuring plan. FDI refers to an investment in or the acquisition of foreign assets with the intent to control and manage them. Companies can make an FDI in several ways, including purchasing the assets of a foreign company; investing in the company or in new property, plant or equipment; or participating in a joint venture with a foreign company, which typically involves an investment of capital or know-how.
The Overseas Private Investment Corporation (OPIC)
An organization that helps US businesses invest overseas, particularly in developing countries, by providing direct loans and loan guarantees to projects that meet its guidelines. OPIC also provides exporters’ insurance.
was established as an agency of the US government in 1971. OPIC helps US businesses invest overseas, particularly in developing countries. As its website states, “OPIC Financing provides medium- to long-term funding through direct loans and loan guaranties to eligible investment projects in developing countries.” “Financing,” Overseas Private Investment Corporation, accessed November 22, 2010, http://www.opic.gov/financing. It also provides exporters’ insurance. The most useful tool of OPIC is that it can “provide financing in countries where conventional financial institutions often are reluctant or unable to lend on such a basis.” “Financing,” Overseas Private Investment Corporation, accessed November 22, 2010, http://www.opic.gov/financing.
The Export-Import Bank of the United States (Ex-Im Bank)
An organization that helps exporters who have found a buyer, yet the buyer is unable to get financing for the purchase in their own country. Can provide credit support (i.e., loans, guarantees, and insurance for small businesses) that cover up to 85 percent of the transaction’s export value.
helps exporters who have found a buyer, yet the buyer is unable to get financing for the purchase in their own country. Ex-Im Bank can provide credit support (i.e., loans, guarantees, and insurance for small businesses) that covers up to 85 percent of the transaction’s export value.
Unlike JETRO, OPIC, and Ex-Im Bank, the Private Export Funding Corporation (PEFCO) is a private-sector organization. PEFCO was formed in 1970 “to assist in financing U.S. exports by supplementing the financing available from commercial banks and other lenders.” “Overview,” Private Export Funding Corporation, accessed November 22, 2010, http://pefco.com/about/overview.html. PEFCO provides medium- to long-term loans if they are secured against nonpayment under an appropriate guarantee or insurance policy issued by Ex-Im Bank or for certain small-business export loans under a guarantee issued by the SBA.
Did You Know?
The Development Bank of Japan (DBJ) has loan programs for foreign-affiliated companies investing in Japan. According to Masaaki Kaji of DBJ, the loans are offered at low fixed interest rates for five- to fifteen-year terms. Katherine Hyde, “JETRO Symposium on Business Alliances/Investment in Japan: Market Brainstorms,” Japan Society, November 1, 2005, accessed August 29, 2010, http://www.japansociety.org/jetro_symposium_on_business_alliancesinvestment_in_japan_market_. During the twenty-year history of the program, the three hundred companies that have received financial aid have generated $850 billion dollars in income for the Japanese economy. DBJ also works with regional Japanese banks to provide merger and acquisition advice to small and midsize companies. One of DBJ’s most famous projects provided financing and strategic advice for the joint venture established between Starbucks and Sazaby Japan. Katherine Hyde, “JETRO Symposium on Business Alliances/Investment in Japan: Market Brainstorms,” Japan Society, November 1, 2005, accessed August 29, 2010, http://www.japansociety.org/jetro_symposium_on_business_alliancesinvestment_in_japan_market_.
Key Takeaways
The main financial documents import/export companies use in order to get paid are the letter of credit (which states that the bank will pay the exporter upon getting the proper documentation about the merchandise), the bill of lading (which proves that the exporter has given the carrier the merchandise and that the carrier owns title to the merchandise until paid by the importer), and the draft, or bill of exchange (which tells the importer to pay a specified amount at a specified time).
Companies can obtain funding via loans from several sources: a commercial bank, an intermediary, a supplier, their corporate parent, or a governmental or other organization.
The role of organizations like OPIC, JETRO, and Ex-Im Bank is to provide financing, market information, and trade assistance. These organizations are often country specific (e.g., JETRO, which focuses on Japan) or specific to a category of countries (e.g., OPIC, which factors loans to developing countries).
Exercises
(AACSB: Reflective Thinking, Analytical Skills)
If you were an exporter, would you ever give your buyer three months to pay an invoice? Why or why not?
Describe how the SBA can help entrepreneurs and small businesses in their export ventures.
Explain the difference between a letter of credit and a draft.
9.6 Tips in Your Walkabout Toolkit
Negotiating for Success across Cultures
Your understanding of culture will affect your ability to enter a local market, develop and maintain business relationships, negotiate successful deals, conduct sales, conduct marketing and advertising campaigns, and engage in manufacturing and distribution. Too often, people send the wrong signals or receive the wrong messages and, as a result, become tangled in the cultural web. In fact, there are numerous instances where deals would have been successfully completed, if finalizing them had been based on business issues alone. Just as you would conduct a technical or market analysis, you should also conduct a cultural analysis.
It’s critical to understand the history and politics of any country or region in which you work or with whom you intend to deal. It’s important to remember that each person considers his or her “sphere” or “world” the most important; this forms the basis of his or her individual perspective. We often forget that cultures are shaped by decades and centuries of experience and that ignoring cultural differences puts us at a disadvantage.
In general, when considering doing business in a new country, there are a number of factors to consider. Make sure to learn about the country’s history, culture, and people, as well as determine its more general suitability for your product or service.
When you’re dealing and negotiating with people from another culture, you may find that their business practices, communication, and management styles are different from what you are accustomed to. Understanding the culture of the people with whom you are dealing is key to successful business interactions as well as to accomplishing business objectives. For example, you’ll need to understand the following:
How people communicate
How culture impacts how people view time and deadlines
How they are likely to ask questions or highlight problems
How people respond to management and authority
How people perceive verbal and physical communications
How people make decisions
The following are some tips on how to negotiate for success and avoid certain cultural pitfalls.
One of the most important cultural factors in many countries is the importance of networking or relationships. Whether in Asia or Latin America or somewhere in between, it’s best to have an introduction from a common business partner, vendor, or supplier when meeting a new company or partner. Even in the United States or Europe, where we like to think that relationships have less importance, a well-placed introduction will work wonders. Be creative in identifying potential introducers. If you don’t know someone who knows the company with which you would like to do business, consider indirect sources. Trade organizations, lawyers, bankers and financiers, common suppliers and buyers, consultants, and advertising agencies are just a few potential introducers. Once a meeting has been set up, foreign companies need to understand the local cultural nuances that govern meetings, negotiations, and ongoing business expansion.
Even if you’ve been invited to bid on a contract, you’re still trying to sell your company and yourself. Don’t be patronizing or assume you’re doing the local company or its government a favor. They must like and trust you if you are to succeed. Think about your own business encounters with people, regardless of nationality, who were condescending and arrogant. How often have you given business to people who irritated you?
Make sure you understand how your overseas associates think about time and deadlines. How will that impact your timetable and deliverables?
You need to understand the predominant corporate culture of the country with which you’re dealing—particularly when dealing with vendors and partners. What’s the local hierarchy? What are the expected management practices? Are the organizations you’re dealing with uniform in culture or do they represent more than one culture or ethnicity? Culture affects how people develop trust and make decisions as well as the speed of their decision making and their attitudes toward accountability and responsibility.
Understand how you can build trust with potential partners. How are people from your culture viewed in the target country, and how will this view impact your business interactions? How are small or younger companies viewed in the local market? Understand the corporate culture of your potential partner or distributor. More entrepreneurial local companies may have more in common with a younger firm in terms of their approach to doing business.
Understand the different ways that people communicate. There are differences in how skills or knowledge is taught or transferred. In the United States, we’re expected to ask questions—it’s a positive and indicates a seriousness about wanting to learn. In some cultures, asking questions is seen as reflecting a lack of knowledge and could be considered personally embarrassing. It’s important to be able to address these issues without appearing condescending. Notice the word is appearing—the issue is less whether you think you’re being condescending and more about whether the professional of the differing culture perceives a statement or action as condescending. Again, culture is based on perceptions and values.
Focus on communications of all types and learn to find ways around cultural obstacles. For example, if you’re dealing with a culture that shies away from providing bad news or information, don’t ask yes-or-no questions. Focus on the process and ask questions about the stage or deliverable. Many people get frustrated by a lack of information or clear communications. You certainly don’t want to be surprised by a delayed shipment to your key customers.
There are no clear playbooks for operating in every culture around the world. Rather, we have to understand the components that affect culture, understand how it impacts our business objectives, and then equip ourselves and our teams with the know-how to operate successfully in each new cultural environment. Once you’ve established a relationship, you may opt to delegate it to someone on your team. Be sure that person understands the culture of the country, and stay involved until there is a successful operating history of at least one or more years. Many entrepreneurs stay involved in key relationships on an ongoing basis. Be aware that your global counterparts may require that level of attention.
Make sure in any interaction that you have a decision maker on the other end. On occasion, junior people get assigned to work with smaller companies, and you could spend a lot of time with someone who is unable to finalize an agreement. If you have to work through details with a junior person, try to get a senior person involved early on as well This will save you time and energy.
When negotiating with people from a different culture, try to understand your counterpart’s position and objectives. This doesn’t imply that you should compromise easily or be “soft” in your style. Rather, understand how to craft your argument in a manner that will be more effective with a person of that culture.
Entrepreneurs are often well equipped to negotiate global contracts or ventures. They are more likely to be flexible and creative in their approach and have less-rigid constraints than their counterparts from more-established companies. Each country has different constraints, including the terms of payment and regulations, and you’ll need to keep an open mind about how to achieve your objectives.
Even in today’s wired world, don’t assume that everyone in every country is equally reliant on the Internet and e-mail. You may need to use different modes of communication with different countries, companies, and professionals. Faxes are still very common, as many people consider signed authorizations more official than e-mail (although that’s changing).
As with any business transaction, use legal documents to substantiate relationships and expectations. Many legal professionals recommend that you opt to use the international courts or a third-party arbitration system in case of a dispute. Translate contracts into both languages, and have a second independent translator verify the copies for the accuracy of concepts and key terminology. But be warned—no translation can ever be exactly accurate, as legal terminology is both culture- and country-specific. At the end of the day, even a good contract has many limitations in its use. You have to be willing to enforce the penalties for infractions.
The key words to remember for entering any new market successfully are patience, patience, and patience. Flexibility and creativity are also important. You should focus on the end result and find unique ways to get there.
9.7 End-of-Chapter Questions and Exercises
These exercises are designed to ensure that the knowledge you gain from this book about international business meets the learning standards set out by the international Association to Advance Collegiate Schools of Business (AACSB International). Association to Advance Collegiate Schools of Business website, accessed January 26, 2010, http://www.aacsb.edu. AACSB is the premier accrediting agency of collegiate business schools and accounting programs worldwide. It expects that you will gain knowledge in the areas of communication, ethical reasoning, analytical skills, use of information technology, multiculturalism and diversity, and reflective thinking.
Experiential Exercises
(AACSB: Communication, Use of Information Technology, Analytical Skills)
Imagine that you are working for a company that has been exporting to Europe for five years. The company now sees an opportunity to expand into Asia. Which modes of entry would you suggest that your company pursue for Asia? Would you recommend the same strategy for entering Japan as you would for China? Why or why not?
Under what conditions would a company engage in countertrade? Would anyone other than a company from a developing country suggest a countertrade deal? Why or why not?
Imagine that you work for a custom-bicycle company that has thus far only manufactured in the United States. You’re under pressure to reduce costs. What options would you explore? Would you consider sourcing some of the components from countries with lower material costs? Would you consider outsourcing some of the manufacturing? Would you set up a subsidiary in a country with lower labor and material costs to handle the manufacturing? Explain the advantages or disadvantages of these options.
Compare and contrast the roles of the SBA, Ex-Im Bank, OPIC, and JETRO. When would a company seek out these organizations? Could a bank or EMC take on the role that these other organizations provide? Are these organizations better for small businesses or larger corporations?
Imagine that you are an exporter. You’ve found a buyer who’s interested in importing your goods. However, the buyer doesn’t have the cash to buy the products in the 100-lot quantities you require. What would you do? Are there ways to help the buyer get financing? Are there financing mechanisms that you yourself can pursue to ease the burden on the buyer?
Ethical Dilemmas
(AACSB: Ethical Reasoning, Multiculturalism, Reflective Thinking, Analytical Skills)
In some countries, bribes are a common business practice. One country’s definition of corrupt or unethical behavior may be another country’s definition of polite relationship development. Under US law, it’s permissible for a salesperson to take a potential customer to a baseball game or the golf course but not to give them a gift or cash payment. Imagine that you are a rising young executive sent to oversee imports in your company’s Russian subsidiary. Your predecessor shows you the ropes and tells you that bribes are needed for routine tasks like getting imported supplies cleared through customs. “We use customs brokers, and they build bribes into the invoice,” he casually explains. Refusing to give payoffs slows down the business greatly. You know that offering bribes is illegal under US law. But in this case, the bribe wouldn’t be coming from your company; it would come from the customs broker. You also know that US law doesn’t address small payoffs and that even though Russia enacted new anticorruption laws in 2008, the law criminalizes only completed acts of bribery, not the act of demanding or offering bribes. The legislation also doesn’t address corruption in the judicial system that would prosecute such offenses. So, the changes of getting caught or prosecuted are low. Would you continue the practice of giving bribes? Would you risk a business slowdown under your new management if you don’t give bribes? Would you alert your boss at headquarters of this practice?
The standards of the legal minimum age for employment vary in different countries due to their different circumstances. Nike got skewered in the US press and public opinion when a photograph showed a twelve-year-old Pakistani boy sewing a Nike soccer ball. But a Massachusetts Institute of Technology (MIT) alumnus from Pakistan who interviewed boys making soccer balls for Nike in Pakistan discovered this: “In Pakistan, the reality is that the 14-year-old’s father may be a drug addict or dead, and his mother may have 10 other children to raise. As a 14-year-old, he represents the family’s best earning potential.” Thomas A. Kochan and Richard Schmalensee, Management: Inventing and Delivering its Future (Cambridge, MA: MIT Press, 2003), 72–73. To deny the fourteen-year-old boy the ability to earn wages to provide for the family is age discrimination. Indeed, the company could be sued. The notion that a fourteen-year-old is “too young” to work and that working is “not in the best interests of the child” must be tempered by knowledge of the local conditions and the true alternatives facing fourteen-year-olds in developing countries. Sewing soccer balls at fourteen may be damaging to the eyes, but what if the alternative is selling one’s body?
An MIT alumnus from Brazil expressed similar views: “In Brazil, a 14-year-old is not the same as a 14-year-old in the U.S. In the U.S., 14-year-olds have the alternative of going to school. After school, maybe they play sports or take music lessons. In Brazil, it’s better to be working a part-time job at 14 than to be on the streets and be offered drugs. Limiting the worker age to 16 makes sense for the U.S., but not for Brazil.” Thomas A. Kochan and Richard Schmalensee, Management: Inventing and Delivering its Future (Cambridge, MA: MIT Press, 2003), 72–73.
How would you handle a situation like this? If it were legal for one of your suppliers to hire children as young as twelve years old, would you let them? Would you ask them to adhere to the US minimum-age standard of sixteen? Is it even your business to tell another company what to do? How might your decision impact your reputation in the United States? How might your actions impact the people in the country where your supplier is located? Can you think of ways to make the hiring of younger workers more palatable to US stakeholders? | msmarco_doc_00_11524228 |