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My Talents Fit In To Make This A Better World

My Talents Fit In To Make This A Better World

I am an ordinary person but not always, it is fit to me because critical thinking about different perspective in this world tends me to do something for the world. I am a man with the soft heart and always there is a corner in my heart for those who are living in the hostile environment. After getting involved in meditation I come to the conclusion that I can change lives of people initially in my close circle and externally as well in the whole world.

The world’ part such as Iraq and world part such as Nigeria and World’ part such a Libya tends me to do something for the people and to make a good world for other in the almost same manner it is for me here living a perfect life. My talent lies with the motivation aspect to the people who are not living a good life but they are actually wanted to live. I have understood that my plot to do work is all about the social institutions in the misery form. The form represents as one of the best way to develop the perfect match towards the perfect life. Those who are in misery life of course not only spending their lives in the same way as they are getting now but some of them want to change but they cannot because they think that they have no opportunity. They think that they are with the bad luck.

I believe and can motivate other people that all about in this world is about the good luck there is nothing over here about the bad luck. There are various opportunities can explore ideally in allocating things in detail. I can convince people and I shall in my future because my talent is calling me to do something good for society.

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The Things They Carried

Essay no. 1

The Things They Carried

In the story, the author has described the soldiers that what they carried with them, everybody carried the things; the things were tangible and intangible, every character of the story, carried the things according to the taste, or what he likes. Therefore, in the story, there is the description about the characters, through the things they carried, everybody personality and thinking by the things what she/she carries with themselves. Moreover, as in the story, the Henry Dobbins carried the extra food, Kiowa carried hunting hatchet, and Ted Lavender carried the tranquilizer pills.

O’Brien, through his story, describes the characters and their personalities through the items they carried; Henry Dobbins carries his girlfriend pantyhose and a machine gun with him. Rat Kiley carried the medical kit, comic book, brandy, M&M’s candy and Norman Bowker carries dairy. The author has also described by the other people or soldiers who have carried the things, important for them.

However, from the theory, I have to describe that what things are important for me, what I carry along or with me whenever I leave the house. Everybody have the different personality and like others, I want to keep so many things with me so whenever I need that I can use. On daily basis, I do keep water, eatables, wallet, phone and phone charger when I leave the home. Whenever, I am going to my home, I put everything in my bag, so I can use the things when required or necessary.

I think I am like the character Henry Dobbins, who in the story put extra foods along with him. This is my routine to keep at least two or more eatable and water with me, I think I am health conscious and this is the reason of keeping the food with me.

I am very much concerned about my health, I feel week when I on not have anything to eat, the reason I keep eatables with me is because, it happened to me much time when I do not keep the eatable and I got the attack of a swear headache and vomiting. Drinking water after every 20 to 30 minutes is very necessary for me because I cannot work or pay attention to the tasks, when I am hungry or thirsty.

However, water and the food are essential for anybody, people should eat anything before leaving the home and if they cannot eat early morning or they think they are getting late, it is necessary to eat anything or take anything with you before going to study or work.  I cannot say about other but I know that I cannot work if I do not eat anything, I just cannot concentrate, I am conscious about my health since childhood.

            When I was a child, my mother often said me that if I leave home without eating anything, I may have to suffer in the school. Therefore, I think, this affected on my mind and now I cannot leave the home if I am not anything or any eatable with me. for me my wallet is also very necessary, I do not remember that I ever left the home without taking my wallet, as in my wallet there is money, I do not like saying others about my necessities, so wallet is they things which I can never forget.

I have the pictures of my family in my purse or wallet, and this is the reason I am so attached to it, whenever I am not at home or miss my parents or family I take out the wallet and see the pictures of the family. For everyone family and love once is very important, in my wallet, there are also images of my family and love once and I always keep that wallet with me.

I think everybody has the reasons behind of keeping the things with them, or the things they think important for them, they are may be the things, without which a man cannot survive, or think that it is difficult to live. There are so many things, which are very important for me, and I cannot think of my life without them. For me my mobile phone is very important but it comes after my eatable and wallet, things can also be related to the psychology, because it can be anyone psychology like me that I can live without a mobile phone but not without eatable, water and wallet.

However, I know that if I have the phone, all others things can be there, one can get in touch with the family and friends if have a cell phone, not for me but for everyone cell phone has become important in the life, everybody is mentally and emotionally connected to the things one have. Phone and charger is important to keep because, when is out of the home for the long hours, the family can call and ask about you, especially it is important to take the phone with you at the work or at the university, however, phone is helpful whenever the person need it, anywhere the benefits could be taken.

On my phone, I play games whenever I am free, and listen to the songs, in the hectic routine, one can feel fresh and satisfied, when at work, one talk to the friends and family and one can able to ask for the problems, if occur. On could be mentally relaxed, after listening to the songs, a mobile phone can perform various or multiple tasks, so it is important to keep phone and eatables with you all the time.

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MAT 300 – Assignments and Rubrics

© 2014 Strayer University. All Rights Reserved. This document contains Strayer University Confidential and Proprietary information and may not be copied, further distributed, or otherwise disclosed in whole or in part, without the expressed written permission of Strayer University.

MAT 300 Student Version 1144 (1261 3-24-2014)

ALEKS Pie Completion Worth 400 points

The primary goal of this class is for you to complete the entire pie by the end of the term. Points for pie completion will be added to your score at the end of the term.

ALEKS

Emphasis on Lab Work. On-ground sections of the course will be taught in a computer lab, with three (3) hours of lab time using ALEKS for every one (1) hour of traditional instruction. Thus, students in an on- ground section of the course will log about three (3) of the required five (5) weekly hours in ALEKS during class. To get full credit for the ALEKS participation points, on-ground students will have to put in two (2) additional hours using ALEKS outside of class. Online students will also utilize ALEKS in the same or similar manner. All students will start the term by taking a comprehensive ALEKS assessment to identify where they need to focus their efforts. As you master each assigned topic, your progress will be plotted on a pie chart. Your goal will be to fill in the entire pie. Forty (40) percent of your final grade will be based on how much of the pie you fill in. Weekly Lab Requirement. Students are expected to spend at least five (5) hours per week working with ALEKS. The instructor will be able to see how much time you’ve spent in ALEKS and what topics you’ve worked on. Weekly ALEKS time will count toward 10% of your final grade. If you work in ALEKS for five (5) or more hours, you will earn ten (10) points. If you spend less time working in ALEKS, you’ll receive partial credit in direct proportion to the time you spend, at 2.0 points per hour. Please note that five (5) hours is the minimum requirement each week. Generally, the more time you can spend working on the pie, the more you will progress. We recommend that students spend at least six (6) hours each week in ALEKS. If you fill in the ALEKS pie early, your instructor will provide instructions on how to access an expansion pie with advanced topics covered in the next math course, so that you can continue to learn new material while meeting the ALEKS lab requirement. Pacing and Weekly Objectives. While each student will work through a unique ALEKS pathway, this course is being taught in the context of an 11-week term. To assist students in pacing their efforts, weekly objectives have been established. These appear as white dots on your pie chart. Halfway through the term, all students will complete a Midterm Exam, based on the weekly objectives for the first four (4) weeks. Repeating Exams. Students may repeat the Midterm and the Final Exam one (1) time each. Please note that students who score poorly on the Midterm Exam should consult their instructor before taking the exam a second time. Typically, students who score poorly on the Midterm Exam have not completed at least sixty (60) topics in their ALEKS pie. Those in this situation are advised to complete at least sixty (60) topics in the ALEKS pie before retaking the Midterm Exam. Discussion Requirement. Students taking the course on-ground will receive points for class participation and attendance, based on the criteria set by the instructor. Students taking the course online must participate in the online discussion boards each week in Blackboard to earn points for discussion. Discussion makes up 10% of the overall final grade.

MAT 300 – Assignments and Rubrics

© 2014 Strayer University. All Rights Reserved. This document contains Strayer University Confidential and Proprietary information and may not be copied, further distributed, or otherwise disclosed in whole or in part, without the expressed written permission of Strayer University.

MAT 300 Student Version 1144 (1261 3-24-2014)

Assignment 1: Bottling Company Case Study

Due Week 10 and worth 140 points

Imagine you are a manager at a major bottling company. Customers have begun to complain that the bottles of the brand of soda produced in your company contain less than the advertised sixteen (16) ounces of product. Your boss wants to solve the problem at hand and has asked you to investigate. You have your employees pull thirty (30) bottles off the line at random from all the shifts at the bottling plant. You ask your employees to measure the amount of soda there is in each bottle. Note: Use the data set provided by your instructor to complete this assignment.

Bottle Number

Ounces Bottle Number

Ounces Bottle Number

Ounces

1 14.5 11 15 21 14.1

2 14.6 12 15.1 22 14.2

3 14.7 13 15 23 14

4 14.8 14 14.4 24 14.9

5 14.9 15 15.8 25 14.7

6 15.3 16 14 26 14.5

7 14.9 17 16 27 14.6

8 15.5 18 16.1 28 14.8

9 14.8 19 15.8 29 14.8

10 15.2 20 14.5 30 14.6

Write a two to three (2-3) page report in which you:

1. Calculate the mean, median, and standard deviation for ounces in the bottles.

2. Construct a 95% Confidence Interval for the ounces in the bottles.

3. Conduct a hypothesis test to verify if the claim that a bottle contains less than sixteen (16) ounces

is supported. Clearly state the logic of your test, the calculations, and the conclusion of your test.

4. Provide the following discussion based on the conclusion of your test:

a. If you conclude that there are less than sixteen (16) ounces in a bottle of soda, speculate

on three (3) possible causes. Next, suggest the strategies to avoid the deficit in the

future.

Or

b. If you conclude that the claim of less soda per bottle is not supported or justified, provide

a detailed explanation to your boss about the situation. Include your speculation on the

reason(s) behind the claim, and recommend one (1) strategy geared toward mitigating

this issue in the future.

Your assignment must follow these formatting requirements:

 Be typed, double spaced, using Times New Roman font (size 12), with one-inch margins on all sides. No citations and references are required, but if you use them, they must follow APA format. Check with your professor for any additional instructions.

 Include a cover page containing the title of the assignment, the student’s name, the professor’s name, the course title, and the date. The cover page and the reference page are not included in the required assignment page length

The specific course learning outcomes associated with this assignment are:

 Calculate measurements of central tendency and dispersal.

 Determine confidence intervals for data.

MAT 300 – Assignments and Rubrics

© 2014 Strayer University. All Rights Reserved. This document contains Strayer University Confidential and Proprietary information and may not be copied, further distributed, or otherwise disclosed in whole or in part, without the expressed written permission of Strayer University.

MAT 300 Student Version 1144 (1261 3-24-2014)

 Describe the vocabulary and principles of hypothesis testing.

 Discuss application of course content to professional contexts.

 Use technological tools to solve problems in statistics.

 Write clearly and concisely about statistics using proper writing mechanics.

Grading for this assignment will be based on answer quality, logic / organization of the paper, and language and writing skills, using the following rubric.

Points: 140 Assignment 1: Bottling Company Case Study

Criteria

Unacceptable

Below 60% F

Meets

Minimum

Expectations

60-69% D

Fair

70-79% C

Proficient

80-89% B

Exemplary

90-100% A

1. Calculate the mean, median, and standard deviation for ounces in the bottles. Weight: 20%

Did not submit or incompletely calculated the mean, median, and standard deviation for ounces in the bottles.

Insufficiently calculated the mean, median, and standard deviation for ounces in the bottles.

Partially calculated the mean, median, and standard deviation for ounces in the bottles.

Satisfactorily calculated the mean, median, and standard deviation for ounces in the bottles.

Thoroughly calculated the mean, median, and standard deviation for ounces in the bottles.

2. Construct a 95% Confidence Interval for the ounces in the bottles. Weight: 25%

Did not submit or incompletely constructed a 95% Confidence Interval for the ounces in the bottles.

Insufficiently constructed a 95% Confidence Interval for the ounces in the bottles.

Partially constructed a 95% Confidence Interval for the ounces in the bottles.

Satisfactorily constructed a 95% Confidence Interval for the ounces in the bottles.

Thoroughly constructed a 95% Confidence Interval for the ounces in the bottles.

3. Conduct a hypothesis test to verify if the claim that a bottle contains less than sixteen (16) ounces is supported. Clearly state the logic of your test, the calculations, and the conclusion of your test. Weight: 30%

Did not submit or incompletely conducted a hypothesis test to verify if the claim that a bottle contains less than sixteen (16) ounces is supported. Did not submit or incompletely stated the logic of your test, the calculations, and the conclusion of your test.

Insufficiently conducted a hypothesis test to verify if the claim that a bottle contains less than sixteen (16) ounces is supported. Insufficiently stated the logic of your test, the calculations, and the conclusion of your test.

Partially conducted a hypothesis test to verify if the claim that a bottle contains less than sixteen (16) ounces is supported. Partially stated the logic of your test, the calculations, and the conclusion of your test.

Satisfactorily conducted a hypothesis test to verify if the claim that a bottle contains less than sixteen (16) ounces is supported. Satisfactorily stated the logic of your test, the calculations, and the conclusion of your test.

Thoroughly conducted a hypothesis test to verify if the claim that a bottle contains less than sixteen (16) ounces is supported. Thoroughly stated the logic of your test, the calculations, and the conclusion of your test.

4a. If you conclude that there are less than sixteen (16) ounces in a bottle of soda, speculate on three (3) possible causes. Next, suggest the strategies to avoid the deficit in the future. Or

Did not submit or incompletely speculated on three (3) possible causes. Did not submit or incompletely suggested the strategies to avoid the deficit in the future.

Insufficiently speculated on three (3) possible causes. Insufficiently suggested the strategies to avoid the deficit in the future.

Partially speculated on three (3) possible causes. Partially suggested the strategies to avoid the deficit in the future.

Satisfactorily speculated on three (3) possible causes. Satisfactorily suggested the strategies to avoid the deficit in the future.

Thoroughly speculated on three (3) possible causes. Thoroughly suggested the strategies to avoid the deficit in the future.

MAT 300 – Assignments and Rubrics

© 2014 Strayer University. All Rights Reserved. This document contains Strayer University Confidential and Proprietary information and may not be copied, further distributed, or otherwise disclosed in whole or in part, without the expressed written permission of Strayer University.

MAT 300 Student Version 1144 (1261 3-24-2014)

4b. If you conclude that the claim of less soda per bottle is not supported or justified, provide a detailed explanation to your boss about the situation. Include your speculation on the reason(s) behind the claim, and recommend one (1) strategy geared toward mitigating this issue in the future. Weight: 15%

Or Did not submit or incompletely provided a detailed explanation to your boss about the situation. Did not submit or incompletely included your speculation on the reason(s) behind the claim, and did not submit or incompletely recommended one (1) strategy geared toward mitigating this issue in the future.

Or Insufficiently provided a detailed explanation to your boss about the situation. Insufficiently included your speculation on the reason(s) behind the claim, and insufficiently recommended one (1) strategy geared toward mitigating this issue in the future.

Or Partially provided a detailed explanation to your boss about the situation. Partially included your speculation on the reason(s) behind the claim, and partially recommended one (1) strategy geared toward mitigating this issue in the future.

Or Satisfactorily provided a detailed explanation to your boss about the situation. Satisfactorily included your speculation on the reason(s) behind the claim, and satisfactorily recommended one (1) strategy geared toward mitigating this issue in the future.

Or Thoroughly provided a detailed explanation to your boss about the situation. Thoroughly included your speculation on the reason(s) behind the claim, and thoroughly recommended one (1) strategy geared toward mitigating this issue in the future.

5. Writing / Support for ideas Weight: 5%

Never uses reasons and evidence that logically support ideas.

Rarely uses reasons and evidence that logically support ideas.

Partially uses reasons and evidence that logically support ideas.

Mostly uses reasons and evidence that logically support ideas.

Consistently uses reasons and evidence that logically support ideas.

6. Writing / Grammar and mechanics Weight: 5%

Serious and persistent errors in grammar, spelling, and punctuation.

Numerous errors in grammar, spelling, and punctuation.

Partially free of errors in grammar, spelling, and punctuation.

Mostly free of errors in grammar, spelling, and punctuation.

Free of errors in grammar, spelling, and punctuation.

MAT 300 – Student Notes

© 2014 Strayer University. All Rights Reserved. This document contains Strayer University Confidential and Proprietary information and may not be copied, further distributed, or otherwise disclosed in whole or in part, without the expressed written permission of Strayer University.

MAT 300 Student Version 1144 (1261 3-24-2014)

Weekly Course Schedule

The purpose of the course schedule is to give you, at a glance, the required preparation, activities, and

evaluation components of your course. For more information about your course, whether on-ground or

online, access your online course shell.

The expectations for a 4.5 credit hour course are for students to spend 13.5 hours in weekly work. This

time estimate includes preparation, activities, and evaluation regardless of the delivery mode.

Instructional Materials

In order to be fully prepared, obtain a copy of the required textbooks and other instructional materials

prior to the first day of class. When available, Strayer University provides a link to the first three (3)

chapters of your textbook(s) in eBook format. Check your online course shell for availability.

Review the online course shell or check with your professor to determine whether Internet-based

assignments and activities are used in this course.

Strayer students are encouraged to purchase their course materials through our designated Strayer

Bookstore. http://www.strayerbookstore.com If a lab is required for the course, the Strayer Bookstore is

the only vendor that sells the correct registration code so that Strayer students may access labs

successfully.

Discussions

To earn full credit in an online threaded discussion, students must have one original post and a minimum

of one other post per discussion thread.

Please note: Material in the online class will be made available three weeks at a time to allow students to

work ahead, however, faculty will be focused on and responding only to the current calendar week. As it

is always possible that students could lose their work due to unforeseen circumstances, it is a best

practice to routinely save a working draft in a separate file before posting in the course discussion area.

Professors hold discussions during class time for on-ground students. Check with your professor if any

additional discussion participation is required in the online course shell outside of class hours.

Tests

Tests (quizzes, midterm and final exams, essay exams, lab tests, etc.) are available for student access

and completion through the online course shell. Check the online course shell to determine how students

are expected to take the tests. Do not change these questions or their point values in any way. This

disrupts the automated grade book preset in the online course shell.

 Online students are to complete the test by Monday 9:00 a.m. Details regarding due dates are

posted in the Blackboard Calendar tool.

 On-ground students are to complete the tests after the material is covered and before the next

class session.http://www.strayerbookstore.com/

MAT 300 – Student Notes

© 2014 Strayer University. All Rights Reserved. This document contains Strayer University Confidential and Proprietary information and may not be copied, further distributed, or otherwise disclosed in whole or in part, without the expressed written permission of Strayer University.

MAT 300 Student Version 1144 (1261 3-24-2014)

Assignments

A standardized performance grading rubric is a tool your professor will use to evaluate your written

assignments. Review the rubric before submitting assignments that have grading rubrics associated with

them to ensure you have met the performance criteria stated on the rubric.

Grades are based on individual effort. There is no group grading; however, working in groups in the

online or on-ground classroom is acceptable.

Assignments for online students are always submitted through the online course shell. On-ground

professors will inform students on how to submit assignments, whether in paper format or through the

online course shell.

Resources

The Resource Center navigation button in the online course shell contains helpful links. Strayer University

Library Resources are available here as well as other important information. You should review this area

to find resources and answers to common questions.

Technical support is available for the following:

 For technical questions, please contact Strayer Online Technical Support by logging in to your

iCampus account at https://icampus.strayer.edu/login and submitting a case under “Student

Center,” then “Submit Help Ticket.” If you are unable to log in to your iCampus account, please

contact Technical Support via phone at (877) 642-2999.

 For concerns with your class, please access the Solution Center by logging in to your iCampus

account at https://icampus.strayer.edu/login and submitting a case under “Student Center,” then

“Submit Help Ticket.” If you are unable to log in to your iCampus account, please contact the IT

Help Desk at (866) 610-8123 or at mailto:IThelpdesk@Strayer.edu.

TurnItIn.com is an optional online tool to assess the originality of student written work. Check with your

professor for access and use instructions.

The Strayer Policies link on the navigation bar in the online course shell contains academic policies. It is

important that students be aware of these policies.https://icampus.strayer.edu/loginhttps://icampus.strayer.edu/loginmailto:IThelpdesk@Strayer.edu

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if a company fails to make an adjusting entry to record supplies expense, then

Which of the following reflect the balances of prepayment accounts prior to adjustment?

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Balance sheet accounts are overstated and income statement accounts are overstated.
Balance sheet accounts are understated and income statement accounts are overstated.
Balance sheet accounts are overstated and income statement accounts are understated.
Balance sheet accounts are understated and income statement accounts are understated.

If an adjustment is needed for unearned revenues, the

http://edugen.wileyplus.com/edugen/art2/common/pixel.gif
liability is overstated and the related revenue is understated before adjustment.
liability is understated and the related revenue is overstated before adjustment.
liability and related revenue are understated before adjustment.
liability and related revenue are overstated before adjustment.
If a company fails to make an adjusting entry to record supplies expense, thenowner’s equity will be understated.assets will be understated.net income will be understated.expense will be understated.Which of the following would not result in unearned revenue?Sale of two-year magazine subscriptionsSale of season tickets to football gamesRent collected in advance from tenantsServices performed on accountFugazi City College sold season tickets for the 2014 football season for $240,000. A total of 8 games will be played during September, October and November. In September, three games were played. The adjusting journal entry at September 30is not required. No adjusting entries will be made until the end of the season in November.will include a debit to Unearned Ticket Revenue and a credit to Ticket Revenue for $90,000.will include a debit to Ticket Revenue and a credit to Unearned Ticket Revenue for $80,000.The income statement and balance sheet columns of Iron and Wine Company’s worksheet reflect the following totals:Income StatementBalance SheetDr.Cr.Dr.Cr.Totals$72,000$44,000$60,000$88,000The net income (or loss) for the period is$28,000 loss.$28,000 income.not determinable.$44,000 income.Which of the following is a true statement about closing the books of a proprietorship?Expenses are closed to the Expense Summary account.Only revenues are closed to the Income Summary account.Revenues and expenses are closed to the Income Summary account.Revenues, expenses, and the owner’s drawings account are closed to the Income Summary account.The income statement for the year 2014 of Fugazi Co. contains the following information:Revenues$70,000Expenses:Salaries and Wages Expense$45,000Rent Expense12,000Advertising Expense10,000Supplies Expense6,000Utilities Expense2,500Insurance Expense2,000Total expenses77,500Net income (loss)($7,500)After the revenue and expense accounts have been closed, the balance in Income Summary will be$0.a credit balance of $7,500.a debit balance of $7,500.a credit balance of $70,000.The income statement for the year 2014 of Fugazi Co. contains the following information:Revenues$70,000Expenses:Salaries and Wages Expense$45,000Rent Expense12,000Advertising Expense10,000Supplies Expense6,000Utilities Expense2,500Insurance Expense2,000Total expenses77,500Net income (loss)($7,500)At January 1, 2014, Fugazi reported owner’s equity of $50,000. Owner drawings for the year totalled $10,000. At December 31, 2014, the company will report owner’s equity of$17,500.$32,500.$42,500.All of the following statements about the post-closing trial balance are correct except itshows that the accounting equation is in balance.proves that all transactions have been recorded.provides evidence that the journalizing and posting of closing entries have been properly completed.contains only permanent accounts.
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in which of the following situations is a sound wave most likely to travel through air

  1. In which of the following situations is a sound wave most likely to travel through air?

A) An alarm clock rings in a vacuum.
B) A giant star explodes.
C) A grasshopper eats a leaf.
D) An astronaut uses tools in space.

  1. Which of the following factors determines the loudness of a sound?

A) Frequency of the sound.
B) Amplitude of the sound.
C) The temperature of the medium.
D) The density of the medium.

  1. Which of the following affects the speed of sound?

A) The amplitude of the wave.
B) The frequency of the wave.
C) The phase of the medium.
D) The wavelength.

  1. A blind person walks through the neighborhood making loud clicking noises with his tongue. He doesn’t use a walking stick nor does he have a seeing-eye-dog. However, he avoids ever obstacle and is able to navigate his way around the neighborhood safely. What can be inferred from the given information?

A) He is detecting the reflection of sound waves.
B) He is detecting the refraction of sound waves.
C) He is detecting the absorption of sound waves.
D) He is detecting the diffraction of sound waves.

Please help quickly!! Thanks!

0 0 2,815
asked by Jasmine
Dec 9, 2013
1.C
2.B
3.C
4.A

21 0
posted by Princess Anna
Dec 9, 2013
K, Thanks Anna. That’s what I thought. 😀

5 1
posted by Jasmine
Dec 9, 2013
Your welcome 🙂

2 0
posted by Princess Anna
Dec 9, 2013
1 cant c. cause a grasshopper eat really quiet…

0 3
posted by Ur_Mom
Oct 31, 2014

I got 100./. yay

1 0
posted by ms. cat
Nov 11, 2014
Thanks i got 100

1 0
posted by Tierra
Apr 2, 2015
OMG TY SO MUCH I LOVE UUU I GAWT 100 %

1 0
posted by jam
May 16, 2015
NOW I CAN GO TO COLLEGE

1 1
posted by jam
May 16, 2015
tanks guys

1 0
posted by TiffenyLPS
Oct 21, 2015

Lol ya’ll are funny. 😀

1 0
posted by Mariana
Nov 12, 2015
I am going to see what answers get me 100%….

1 0
posted by Yuck
Mar 27, 2016
5 is A

11 0
posted by Olive
Mar 30, 2016
IS 1 ACTUALLY C?

3 0
posted by YAY
Apr 11, 2016
I got 100% thx ppl

1 0
posted by King Tyler
Apr 25, 2016

1.C
2.B
3.C
4.A
5.A

31 0
posted by LaShyla
Apr 27, 2016
lashyla is correct

2 0
posted by hhh
Apr 27, 2016
lashyla is right

0 0
posted by The_Meta13
May 16, 2016
1.c
2.b
3.c
4.a
5.a
These are the answers I took the test and I got 100%.

8 0
posted by raina the helper
Oct 6, 2016
Thank you, I got 100% on the quiz!

2 0
posted by Jane Barlow.
Nov 2, 2016

thanks I got 100%

2 0
posted by Corbin
Apr 11, 2017
c
b
c
a
a

4 0
posted by boo
Apr 26, 2017
ty guys

2 0
posted by a pimp named slick back
May 15, 2017
In which of the following situation is light most likely to be refracted

0 0
posted by Cassandra
Sep 15, 2017
greggggg

0 0
posted by Anonymous
Sep 20, 2017

I think c am i right?

0 0
posted by qdaewrf
Nov 2, 2017
-_-

0 0
posted by qdaewrf
Nov 2, 2017
THX 100%

0 0
posted by GameZone
Nov 13, 2017
TYSM!

0 0
posted by Welp
Dec 1, 2017
DONT CHEAT

0 1
posted by Andreas
Mar 14, 2018

the answers are correct. And Andreas, that’s not going to stop anyone from cheating. I commend you for your efforts, though. Nice try.

0 0
posted by Tisky
Mar 22, 2018
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3:b
4:d
5:a
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8.a

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Introduction to Sociology 2e

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Table of Contents Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1 An Introduction to Sociology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

What Is Sociology? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 The History of Sociology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Theoretical Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Why Study Sociology? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

2 Sociological Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Approaches to Sociological Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Research Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Ethical Concerns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

3 Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 What Is Culture? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 Elements of Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 Pop Culture, Subculture, and Cultural Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 Theoretical Perspectives on Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

4 Society and Social Interaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 Types of Societies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Theoretical Perspectives on Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 Social Constructions of Reality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

5 Socialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 Theories of Self-Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 Why Socialization Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 Agents of Socialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 Socialization Across the Life Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

6 Groups and Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 Types of Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 Group Size and Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121 Formal Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125

7 Deviance, Crime, and Social Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Deviance and Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 Theoretical Perspectives on Deviance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138 Crime and the Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144

8 Media and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155 Technology Today . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 Media and Technology in Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160 Global Implications of Media and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165 Theoretical Perspectives on Media and Technology . . . . . . . . . . . . . . . . . . . . . . . . . 168

9 Social Stratification in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 What Is Social Stratification? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184 Social Stratification and Mobility in the United States . . . . . . . . . . . . . . . . . . . . . . . . 189 Global Stratification and Inequality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194 Theoretical Perspectives on Social Stratification . . . . . . . . . . . . . . . . . . . . . . . . . . . 196

10 Global Inequality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 Global Stratification and Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206 Global Wealth and Poverty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 Theoretical Perspectives on Global Stratification . . . . . . . . . . . . . . . . . . . . . . . . . . 216

11 Race and Ethnicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225 Racial, Ethnic, and Minority Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226 Stereotypes, Prejudice, and Discrimination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 Theories of Race and Ethnicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231 Intergroup Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232 Race and Ethnicity in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234

12 Gender, Sex, and Sexuality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251 Sex and Gender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252 Gender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257 Sex and Sexuality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262

13 Aging and the Elderly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273

Who Are the Elderly? Aging in Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 The Process of Aging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281 Challenges Facing the Elderly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287 Theoretical Perspectives on Aging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291

14 Marriage and Family . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307 What Is Marriage? What Is a Family? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 Variations in Family Life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 Challenges Families Face . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318

15 Religion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333 The Sociological Approach to Religion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334 World Religions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338 Religion in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343

16 Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353 Education around the World . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354 Theoretical Perspectives on Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359 Issues in Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363

17 Government and Politics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375 Power and Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376 Forms of Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 Politics in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 384 Theoretical Perspectives on Government and Power . . . . . . . . . . . . . . . . . . . . . . . . 385

18 Work and the Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395 Economic Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397 Globalization and the Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406 Work in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409

19 Health and Medicine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423 The Social Construction of Health . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425 Global Health . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427 Health in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428 Comparative Health and Medicine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433 Theoretical Perspectives on Health and Medicine . . . . . . . . . . . . . . . . . . . . . . . . . . 436

20 Population, Urbanization, and the Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449 Demography and Population . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452 Urbanization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456 The Environment and Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 460

21 Social Movements and Social Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475 Collective Behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 477 Social Movements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480 Social Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 486

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 497

This OpenStax book is available for free at http://cnx.org/content/col11762/1.6

Preface About OpenStax OpenStax is a non-profit organization committed to improving student access to quality learning materials. Our free textbooks are developed and peer-reviewed by educators to ensure they are readable, accurate, and meet the scope and sequence requirements of modern college courses. Unlike traditional textbooks, OpenStax resources live online and are owned by the community of educators using them. Through our partnerships with companies and foundations committed to reducing costs for students, OpenStax is working to improve access to higher education for all. OpenStax is an initiative of Rice University and is made possible through the generous support of several philanthropic foundations.

About This Book Welcome to Introduction to Sociology 2e, an OpenStax resource created with several goals in mind: accessibility, affordability, customization, and student engagement—all while encouraging learners toward high levels of learning. Instructors and students alike will find that this textbook offers a strong foundation in sociology. It is available for free online and in low-cost print and e-book editions.

To broaden access and encourage community curation, Introduction to Sociology 2e is “open source” licensed under a Creative Commons Attribution (CC-BY) license. Everyone is invited to submit examples, emerging research, and other feedback to enhance and strengthen the material and keep it current and relevant for today’s students. You can make suggestions by contacting us at info@openstaxcollege.org.

To the Student This book is written for you and is based on the teaching and research experience of numerous sociologists. In today’s global socially networked world, the topic of sociology is more relevant than ever before. We hope that through this book, you will learn how simple, everyday human actions and interactions can change the world. In this book, you will find applications of sociology concepts that are relevant, current, and balanced.

To the Instructor This text is intended for a one-semester introductory course. Since current events influence our social perspectives and the field of sociology in general, OpenStax encourages instructors to keep this book fresh by sending in your up-to-date examples to info@openstaxcollege.org so that students and instructors around the country can relate and engage in fruitful discussions.

General Approach Introduction to Sociology 2e adheres to the scope and sequence of a typical introductory sociology course. In addition to comprehensive coverage of core concepts, foundational scholars, and emerging theories we have incorporated section reviews with engaging questions, discussions that help students apply the sociological imagination, and features that draw learners into the discipline in meaningful ways. Although this text can be modified and reorganized to suit your needs, the standard version is organized so that topics are introduced conceptually, with relevant, everyday experiences.

Changes to the Second Edition Part of the mission of the second edition update was to ensure the research, examples and concepts used in this textbook are current and relevant to today’s student. To this end, we have rewritten the introduction of each chapter to reflect the latest developments in sociology, history and global culture. In addition to new graphs and images, the reader of the second edition will find new feature boxes on a diverse array of topics, which has been one of the goals of the update—bringing the world into greater focus through case studies on global culture.

For instance, since the first edition there have been major cultural shifts within the Middle East and Arab world—a movement still underway called the Arab Spring—changes that are now incorporated into our coverage on social movements and social unrest (Chapter 21, “Social Movements and Social Change”). New issues in immigration, in the United States and across the world, have been brought to the forefront of the second edition, as rising income gaps and modern transportation are responsible for trends in Europe (fears of Islamic conservatism and economic recession) and political debates in the U.S. (such as border security, universal education and health care).

Since the first edition in 2012, technology and social media has ushered in new forms of communication, and, of course, these changes are altering the fabric of social life around the world. The benefits and downfalls of new technologies are

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reflected in new material in Chapter 4, “Society and Social Interaction,” where we discuss how social media is changing classical models of social stratification and prestige.

In addition to updating critical facts, data, and policies from the first edition, we have expanded on essential topics, including:

Feminism and feminist theory Health care legislation

US social stratification Minimum wage policies

Transgender issues and changes to the DSM-V Global statistics on education

Marriage and pay equality Competing theories of tolerance

The use of charter schools Cyberbullying

Impact of economy on population segments Climate change debates

Use of technology and social media by Global population and demographic shifts

individuals and groups Net neutrality, online privacy and security

Other topics received a light update for relevance and student engagement. The racial tensions that have come about through the cases of Trayvon Martin and Michael Brown, as well as the legalization of marijuana are two examples of such additions.

Features of OpenStax Introduction to Sociology 2e We have retained and updated the special features of the original text for this updated version.

Modularity This textbook is organized on Connexions (http://cnx.org (http://cnx.org) ) as a collection of modules that can be rearranged and modified to suit the needs of a particular professor or class. That being said, modules often contain references to content in other modules, as most topics in sociology cannot be discussed in isolation.

Learning Objectives Every module begins with a set of clear and concise learning objectives. These objectives are designed to help the instructor decide what content to include or assign, and to guide the student with respect to what he or she can expect to learn. After completing the module and end-of-module exercises, students should be able to demonstrate mastery of the learning objectives.

Key Features The following features show students the dynamic nature of sociology:

• Sociological Research: Highlights specific current and relevant research studies. Examples include “Is Music a Cultural Universal?” and “Deceptive Divorce Rates.”

• Sociology in the Real World: Ties chapter content to student life and discusses sociology in terms of the everyday. Topics include “Secrets of the McJob” and “Grade Inflation: When Is an A Really a C?”

• Big Picture: Features present sociological concepts at a national or international level, including “Education in Afghanistan” and “American Indian Tribes and Environmental Racism.”

• Case Study: Describes real-life people whose experiences relate to chapter content, such as “Catherine Middleton: The Commoner Who Would Be Queen.”

• Social Policy and Debate: Discusses political issues that relate to chapter content, such as “The Legalese of Sex and Gender” and “Is the U.S. Bilingual?”

• Careers in Sociology: Explores the lives and work of those in careers in sociology, including the real-world issues and debates these professionals encounter on a daily basis.

Section Summaries Section summaries distill the information in each section for both students and instructors down to key, concise points addressed in the section.

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Key Terms Key terms are bold and are followed by a definition in context. Definitions of key terms are also listed in the Glossary, which appears at the end of the module online and at the end of the chapter in print.

Section Quizzes Section quizzes provide opportunities to apply and test the information students learn throughout each section. Both multiple-choice and short-response questions feature a variety of question types and range of difficulty.

Further Research This feature helps students further explore the section topic and offers related research topics that could be explored.

Acknowledgements Introduction to Sociology 2e is based on the work of numerous professors, writers, editors, and reviewers who are able to bring topics to students in the most engaging way.

We would like to thank all those listed below as well as many others who have contributed their time and energy to review and provide feedback on the manuscript. Especially Clint Lalonde and team at BC Campus for sharing the updates they made for use in this edition, and the team at Stark State College for their editorial support in this update. Their input has been critical in maintaining the pedagogical integrity and accuracy of the text.

Contributing Authors Heather Griffiths, Fayetteville State University* Nathan Keirns, Zane State College* Eric Strayer, Hartnell College* Susan Cody-Rydzewski, Georgia Perimeter College Gail Scaramuzzo, Lackawanna College Tommy Sadler, Union University Sally Vyain, Ivy Tech Community College* Jeff Bry, Minnesota State Community and Technical College at Moorhead* Faye Jones, Mississippi Gulf Coast Community College

*individuals who were contributors to the 2nd edition

Expert Reviewers Rick Biesanz, Corning Community College Cynthia Heddlesten, Metropolitan Community College Janet Hund, Long Beach City College Thea Alvarado, College of the Canyons Daysha Lawrence, Stark State College Sally Vyain, Ivy Tech Community College Natashia Willmott, Stark State College Angela M. Adkins, Stark State College Carol Jenkins, Glendale Community College Lillian Marie Wallace, Pima Community College J. Brandon Wallace, Middle Tennessee State University Gerry R. Cox, professor emeritus at the University of Wisconsin-La Crosse David Hunt, Augusta State University Jennifer L. Newman-Shoemake, Angelo State University, and Cisco College Matthew Morrison, University of Virginia Sue Greer-Pitt, Southeast Kentucky Community and Technical College Faye Jones, Mississippi Gulf Coast Community College Athena Smith, Hillsborough Community College Kim Winford, Blinn College Kevin Keating, Broward College Russell Davis, University of West Alabama Kimberly Boyd, Piedmont Virginia Community College Lynn Newhart, Rockford College Russell C. Ward, Maysville Community and Technical College

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Xuemei Hu, Union County College Margaret A. Choka, Pellissippi State Community College Cindy Minton, Clark State Community College Nili Kirschner, Woodland Community College Shonda Whetstone, Blinn College Elizabeth Arreaga, instructor emerita at Long Beach City College Florencio R. Riguera, Catholic University of America John B. Gannon, College of Southern Nevada Gerald Titchener, Des Moines Area Community College Rahime-Malik Howard, El Centro College, and Collin College Jeff Bry, Minnesota State Community and Technical College at Moorhead Cynthia Tooley, Metropolitan Community College at Blue River Carol Sebilia, Diablo Valley College Marian Moore, Owens Community College John Bartkowski, University of Texas at San Antonio Shelly Dutchin, Western Technical College

Supplements Accompanying the main text is an Instructor’s PowerPoint (https://openstaxcollege.org/textbooks/introduction-to- sociology) file, which includes all of the images and captions found throughout the text and an Instructor’s test bank.

Disclaimer All photos and images were licensed under a Creative Commons Attribution (CC-BY) license at the time they were placed into this book. The CC-BY license does not cover any trademarks or logos in the photos. If you have questions about regarding photos or images, please contact us at info@openstaxcollege.org.

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1 An Introduction to Sociology

Figure 1.1 Sociologists study how society affects people and how people affect society. (Photo courtesy of Diego Torres Silvestre/flickr)

Learning Objectives 1.1. What Is Sociology?

• Explain concepts central to sociology

• Understand how different sociological perspectives have developed

1.2. The History of Sociology • Explain why sociology emerged when it did

• Describe how sociology became a separate academic discipline

1.3. Theoretical Perspectives • Explain what sociological theories are and how they are used

• Understand the similarities and differences between structural functionalism, conflict theory, and symbolic interactionism

1.4. Why Study Sociology? • Explain why it is worthwhile to study sociology

• Identify ways sociology is applied in the real world

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Introduction to Sociology We all belong to many groups; you’re a member of your sociology class, and you’re a member of your family; you may belong to a political party, sports team, or the crowd watching a sporting event; you’re a citizen of your country, and you’re a part of a generation. You may have a somewhat different role in each group and feel differently in each.

Groups vary in their sizes and formalities, as well as in the levels of attachment between group members, among other things. Within a large group, smaller groups may exist, and each group may behave differently.

At a rock concert, for example, some may enjoy singing along, others prefer to sit and observe, while still others may join in a mosh pit or try crowd surfing. Why do we feel and act differently in different types of social situations? Why might people of a single group exhibit different behaviors in the same situation? Why might people acting similarly not feel connected to others exhibiting the same behavior? These are some of the many questions sociologists ask as they study people and societies.

1.1 What Is Sociology?

Figure 1.2 Sociologists learn about society as a whole while studying one-to-one and group interactions. (Photo courtesy of Gareth Williams/flickr)

What Are Society and Culture? Sociology is the study of groups and group interactions, societies and social interactions, from small and personal groups to very large groups. A group of people who live in a defined geographic area, who interact with one another, and who share a common culture is what sociologists call a society. Sociologists study all aspects and levels of society. Sociologists working from the micro-level study small groups and individual interactions, while those using macro-level analysis look at trends among and between large groups and societies. For example, a micro-level study might look at the accepted rules of conversation in various groups such as among teenagers or business professionals. In contrast, a macro-level analysis might research the ways that language use has changed over time or in social media outlets.

The term culture refers to the group’s shared practices, values, and beliefs. Culture encompasses a group’s way of life, from routine, everyday interactions to the most important parts of group members’ lives. It includes everything produced by a society, including all of the social rules. Sociologists often study culture using the sociological imagination, which pioneer sociologist C. Wright Mills described as an awareness of the relationship between a person’s behavior and experience and the wider culture that shaped the person’s choices and perceptions. It’s a way of seeing our own and other people’s behavior in relationship to history and social structure (1959).

One illustration of this is a person’s decision to marry. In the United States, this choice is heavily influenced by individual feelings; however, the social acceptability of marriage relative to the person’s circumstances also plays a part. Remember,

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though, that culture is a product of the people in a society; sociologists take care not to treat the concept of “culture” as though it were alive in its own right. Reification is an error of treating an abstract concept as though it has a real, material existence (Sahn 2013).

Studying Patterns: How Sociologists View Society All sociologists are interested in the experiences of individuals and how those experiences are shaped by interactions with social groups and society as a whole. To a sociologist, the personal decisions an individual makes do not exist in a vacuum. Cultural patterns and social forces put pressure on people to select one choice over another. Sociologists try to identify these general patterns by examining the behavior of large groups of people living in the same society and experiencing the same societal pressures.

Changes in the U.S. family structure offer an example of patterns that sociologists are interested in studying. A “typical” family now is vastly different than in past decades when most U.S. families consisted of married parents living in a home with their unmarried children. The percent of unmarried couples, same-sex couples, single-parent and single-adult households is increasing, as well as is the number of expanded households, in which extended family members such as grandparents, cousins, or adult children live together in the family home (U.S. Census Bureau 2013).

While mothers still make up the majority of single parents, millions of fathers are also raising their children alone, and more than 1 million of these single fathers have never been married (Williams Institute 2010; cited in Ludden 2012). Increasingly, single men and women and cohabitating opposite-sex or same-sex couples are choosing to raise children outside of marriage through surrogates or adoption.

Some sociologists study social facts, which are the laws, morals, values, religious beliefs, customs, fashions, rituals, and all of the cultural rules that govern social life, that may contribute to these changes in the family. Do people in the United States view marriage and family differently than before? Do employment and economic conditions play a role? How has culture influenced the choices that individuals make in living arrangements? Other sociologists are studying the consequences of these new patterns, such as the ways children are affected by them or changing needs for education, housing, and healthcare.

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Figure 1.3 Modern U.S. families may be very different in structure from what was historically typical. (Photo courtesy of Tony Alter/Wikimedia Commons)

Another example of the way society influences individual decisions can be seen in people’s opinions about and use of the Supplemental Nutrition Assistance Program, or SNAP benefits. Some people believe those who receive SNAP benefits are lazy and unmotivated. Statistics from the United States Department of Agriculture show a complex picture.

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Table 1.1 SNAP Use by State in 2005 Sociologists examine social conditions in different states to explain differences in the number of people receiving SNAP benefits. (Table courtesy of U.S. Department of Agriculture)

Percent Eligible by Reason for Eligibility

Living in Waiver Area

Have Not Exceeded Time

Limits[1] In E & T Program

Received Exemption

Total Percent Eligible for the

FSP[2]

Alabama 29 62 / 72 0 1 73 / 80

Alaska 100 62 / 72 0 0 100

California 6 62 / 72 0 0 64 / 74

District of Columbia 100 62 / 72 0 0 100

Florida 48 62 / 72 0 0 80 / 85

Mississippi 39 62 / 72 0 3 100

Wyoming 7 62 / 72 0 0 64 / 74

The percentage of the population receiving SNAP benefits is much higher in certain states than in others. Does this mean, if the stereotype above were applied, that people in some states are lazier and less motivated than those in other states? Sociologists study the economies in each state—comparing unemployment rates, food, energy costs, and other factors—to explain differences in social issues like this.

To identify social trends, sociologists also study how people use SNAP benefits and how people react to their use. Research has found that for many people from all classes, there is a strong stigma attached to the use of SNAP benefits. This stigma can prevent people who qualify for this type of assistance from using SNAP benefits. According to Hanson and Gundersen (2002), how strongly this stigma is felt is linked to the general economic climate. This illustrates how sociologists observe a pattern in society.

Sociologists identify and study patterns related to all kinds of contemporary social issues. The “don’t ask, don’t tell” policy, the emergence of the Tea Party as a political faction, how Twitter has influenced everyday communication—these are all examples of topics that sociologists might explore.

Studying Part and Whole: How Sociologists View Social Structures A key basis of the sociological perspective is the concept that the individual and society are inseparable. It is impossible to study one without the other. German sociologist Norbert Elias called the process of simultaneously analyzing the behavior of individuals and the society that shapes that behavior figuration.

An application that makes this concept understandable is the practice of religion. While people experience their religions in a distinctly individual manner, religion exists in a larger social context. For instance, an individual’s religious practice may be influenced by what government dictates, holidays, teachers, places of worship, rituals, and so on. These influences underscore the important relationship between individual practices of religion and social pressures that influence that religious experience (Elias 1978).

1. The lower number is for individuals in households reporting food stamp receipt in the Survey of Income and Program Participation (SIPP). The higher number is for individuals in households not reporting food stamp receipt in the SIPP. 2. The lower number is for individuals in households reporting food stamp receipt in the Survey of Income and Program Participation (SIPP). The higher number is for individuals in households not reporting food stamp receipt in the SIPP.

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Making Connections: Sociology in the Real World

Individual-Society Connections When sociologist Nathan Kierns spoke to his friend Ashley (a pseudonym) about the move she and her partner had made from an urban center to a small Midwestern town, he was curious about how the social pressures placed on a lesbian couple differed from one community to the other. Ashley said that in the city they had been accustomed to getting looks and hearing comments when she and her partner walked hand in hand. Otherwise, she felt that they were at least being tolerated. There had been little to no outright discrimination.

Things changed when they moved to the small town for her partner’s job. For the first time, Ashley found herself experiencing direct discrimination because of her sexual orientation. Some of it was particularly hurtful. Landlords would not rent to them. Ashley, who is a highly trained professional, had a great deal of difficulty finding a new job.

When Nathan asked Ashley if she and her partner became discouraged or bitter about this new situation, Ashley said that rather than letting it get to them, they decided to do something about it. Ashley approached groups at a local college and several churches in the area. Together they decided to form the town’s first gay-straight alliance.

The alliance has worked successfully to educate their community about same-sex couples. It also worked to raise awareness about the kinds of discrimination that Ashley and her partner experienced in the town and how those could be eliminated. The alliance has become a strong advocacy group, and it is working to attain equal rights for lesbian, gay, bisexual, and transgender, or LBGT individuals.

Kierns observed that this is an excellent example of how negative social forces can result in a positive response from individuals to bring about social change (Kierns 2011).

1.2 The History of Sociology

(a) (b) (c) (d)

Figure 1.4 People have been thinking like sociologists long before sociology became a separate academic discipline: Plato and Aristotle, Confucius, Khaldun, and Voltaire all set the stage for modern sociology. (Photos (a),(b),(d) courtesy of Wikimedia Commons; Photo (c) courtesy of Moumou82/Wikimedia Commons)

Since ancient times, people have been fascinated by the relationship between individuals and the societies to which they belong. Many topics studied in modern sociology were also studied by ancient philosophers in their desire to describe an ideal society, including theories of social conflict, economics, social cohesion, and power (Hannoum 2003).

In the thirteenth century, Ma Tuan-Lin, a Chinese historian, first recognized social dynamics as an underlying component of historical development in his seminal encyclopedia, General Study of Literary Remains. The next century saw the emergence of the historian some consider to be the world’s first sociologist: Ibn Khaldun (1332–1406) of Tunisia. He wrote about many topics of interest today, setting a foundation for both modern sociology and economics, including a theory of social conflict, a comparison of nomadic and sedentary life, a description of political economy, and a study connecting a tribe’s social cohesion to its capacity for power (Hannoum 2003).

In the eighteenth century, Age of Enlightenment philosophers developed general principles that could be used to explain social life. Thinkers such as John Locke, Voltaire, Immanuel Kant, and Thomas Hobbes responded to what they saw as

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social ills by writing on topics that they hoped would lead to social reform. Mary Wollstonecraft (1759–1797) wrote about women’s conditions in society. Her works were long ignored by the male academic structure, but since the 1970s, Wollstonecraft has been widely considered the first feminist thinker of consequence.

The early nineteenth century saw great changes with the Industrial Revolution, increased mobility, and new kinds of employment. It was also a time of great social and political upheaval with the rise of empires that exposed many people—for the first time—to societies and cultures other than their own. Millions of people moved into cities and many people turned away from their traditional religious beliefs.

Creating a Discipline

Auguste Comte (1798–1857)

Figure 1.5 Auguste Comte played an important role in the development of sociology as a recognized discipline. (Photo courtesy of Wikimedia Commons)

The term sociology was first coined in 1780 by the French essayist Emmanuel-Joseph Sieyès (1748–1836) in an unpublished manuscript (Fauré et al. 1999). In 1838, the term was reinvented by Auguste Comte (1798–1857). Comte originally studied to be an engineer, but later became a pupil of social philosopher Claude Henri de Rouvroy Comte de Saint-Simon (1760–1825). They both thought that social scientists could study society using the same scientific methods utilized in natural sciences. Comte also believed in the potential of social scientists to work toward the betterment of society. He held that once scholars identified the laws that governed society, sociologists could address problems such as poor education and poverty (Abercrombie et al. 2000).

Comte named the scientific study of social patterns positivism. He described his philosophy in a series of books called The Course in Positive Philosophy (1830–1842) and A General View of Positivism (1848). He believed that using scientific methods to reveal the laws by which societies and individuals interact would usher in a new “positivist” age of history. While the field and its terminology have grown, sociologists still believe in the positive impact of their work.

Harriet Martineau (1802–1876)—the First Woman Sociologist

Harriet Martineau was a writer who addressed a wide range of social science issues. She was an early observer of social practices, including economics, social class, religion, suicide, government, and women’s rights. Her writing career began in 1931 with a series of stories titled Illustrations of Political Economy, in which she tried to educate ordinary people about the principles of economics (Johnson 2003).

Martineau was the first to translate Comte’s writing from French to English and thereby introduced sociology to English- speaking scholars (Hill 1991). She is also credited with the first systematic methodological international comparisons of social institutions in two of her most famous sociological works: Society in America (1837) and Retrospect of Western Travel (1838). Martineau found the workings of capitalism at odds with the professed moral principles of people in the United States; she pointed out the faults with the free enterprise system in which workers were exploited and impoverished while business owners became wealthy. She further noted that the belief in all being created equal was inconsistent with the lack of women’s rights. Much like Mary Wollstonecraft, Martineau was often discounted in her own time by the male domination of academic sociology.

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Karl Marx (1818–1883)

Figure 1.6 Karl Marx was one of the founders of sociology. His ideas about social conflict are still relevant today. (Photo courtesy of John Mayall/ Wikimedia Commons)

Karl Marx (1818–1883) was a German philosopher and economist. In 1848 he and Friedrich Engels (1820–1895) coauthored the Communist Manifesto. This book is one of the most influential political manuscripts in history. It also presents Marx’s theory of society, which differed from what Comte proposed.

Marx rejected Comte’s positivism. He believed that societies grew and changed as a result of the struggles of different social classes over the means of production. At the time he was developing his theories, the Industrial Revolution and the rise of capitalism led to great disparities in wealth between the owners of the factories and workers. Capitalism, an economic system characterized by private or corporate ownership of goods and the means to produce them, grew in many nations.

Marx predicted that inequalities of capitalism would become so extreme that workers would eventually revolt. This would lead to the collapse of capitalism, which would be replaced by communism. Communism is an economic system under which there is no private or corporate ownership: everything is owned communally and distributed as needed. Marx believed that communism was a more equitable system than capitalism.

While his economic predictions may not have come true in the time frame he predicted, Marx’s idea that social conflict leads to change in society is still one of the major theories used in modern sociology.

Herbert Spencer (1820–1903)

In 1873, the English philosopher Herbert Spencer published The Study of Sociology, the first book with the term “sociology” in the title. Spencer rejected much of Comte’s philosophy as well as Marx’s theory of class struggle and his support of communism. Instead, he favored a form of government that allowed market forces to control capitalism. His work influenced many early sociologists including Émile Durkheim (1858–1917).

Georg Simmel (1858–1918)

Georg Simmel was a German art critic who wrote widely on social and political issues as well. Simmel took an anti- positivism stance and addressed topics such as social conflict, the function of money, individual identity in city life, and the European fear of outsiders (Stapley 2010). Much of his work focused on the micro-level theories, and it analyzed the dynamics of two-person and three-person groups. His work also emphasized individual culture as the creative capacities of individuals. Simmel’s contributions to sociology are not often included in academic histories of the discipline, perhaps overshadowed by his contemporaries Durkheim, Mead, and Weber (Ritzer and Goodman 2004).

Émile Durkheim (1858–1917)

Durkheim helped establish sociology as a formal academic discipline by establishing the first European department of sociology at the University of Bordeaux in 1895 and by publishing his Rules of the Sociological Method in 1895. In another important work, Division of Labour in Society (1893), Durkheim laid out his theory on how societies transformed from a primitive state into a capitalist, industrial society. According to Durkheim, people rise to their proper levels in society based on merit.

Durkheim believed that sociologists could study objective “social facts” (Poggi 2000). He also believed that through such studies it would be possible to determine if a society was “healthy” or “pathological.” He saw healthy societies as stable, while pathological societies experienced a breakdown in social norms between individuals and society.

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Making Connections: Social Policy & Debate

In 1897, Durkheim attempted to demonstrate the effectiveness of his rules of social research when he published a work titled Suicide. Durkheim examined suicide statistics in different police districts to research differences between Catholic and Protestant communities. He attributed the differences to socioreligious forces rather than to individual or psychological causes.

George Herbert Mead (1863–1931)

George Herbert Mead was a philosopher and sociologist whose work focused on the ways in which the mind and the self were developed as a result of social processes (Cronk n.d.). He argued that how an individual comes to view himself or herself is based to a very large extent on interactions with others. Mead called specific individuals that impacted a person’s life significant others, and he also conceptualized “ generalized others” as the organized and generalized attitude of a social group. Mead’s work is closely associated with the symbolic interactionist approach and emphasizes the micro-level of analysis.

Max Weber (1864–1920)

Prominent sociologist Max Weber established a sociology department in Germany at the Ludwig Maximilians University of Munich in 1919. Weber wrote on many topics related to sociology including political change in Russia and social forces that affect factory workers. He is known best for his 1904 book, The Protestant Ethic and the Spirit of Capitalism. The theory that Weber sets forth in this book is still controversial. Some believe that Weber argued that the beliefs of many Protestants, especially Calvinists, led to the creation of capitalism. Others interpret it as simply claiming that the ideologies of capitalism and Protestantism are complementary.

Weber believed that it was difficult, if not impossible, to use standard scientific methods to accurately predict the behavior of groups as people hoped to do. They argued that the influence of culture on human behavior had to be taken into account. This even applied to the researchers themselves, who, they believed, should be aware of how their own cultural biases could influence their research. To deal with this problem, Weber and Dilthey introduced the concept of verstehen, a German word that means to understand in a deep way. In seeking verstehen, outside observers of a social world—an entire culture or a small setting—attempt to understand it from an insider’s point of view.

In his book The Nature of Social Action (1922), Weber described sociology as striving to “interpret the meaning of social action and thereby give a causal explanation of the way in which action proceeds and the effects it produces.” He and other like-minded sociologists proposed a philosophy of antipositivism whereby social researchers would strive for subjectivity as they worked to represent social processes, cultural norms, and societal values. This approach led to some research methods whose aim was not to generalize or predict (traditional in science), but to systematically gain an in-depth understanding of social worlds.

The different approaches to research based on positivism or antipositivism are often considered the foundation for the differences found today between quantitative sociology and qualitative sociology. Quantitative sociology uses statistical methods such as surveys with large numbers of participants. Researchers analyze data using statistical techniques to see if they can uncover patterns of human behavior. Qualitative sociology seeks to understand human behavior by learning about it through in-depth interviews, focus groups, and analysis of content sources (like books, magazines, journals, and popular media).

Should We Raise the Minimum Wage? In the 2014 State of the Union Address, President Obama called on Congress to raise the national minimum wage, and he signed an executive order putting this into effect for individuals working on new federal service contracts. Congress did not pass legislation to change the national minimum wage more broadly. The result has become a national controversy, with various economists taking different sides on the issue, and public protests being staged by several groups of minimum-wage workers.

Opponents of raising the minimum wage argue that some workers would get larger paychecks while others would lose their jobs, and companies would be less likely to hire new workers because of the increased cost of paying them (Bernstein 2014; cited in CNN).

Proponents of raising the minimum wage contend that some job loss would be greatly offset by the positive effects on the economy of low-wage workers having more income (Hassett 2014; cited in CNN).

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Sociologists may consider the minimum wage issue from differing perspectives as well. How much of an impact would a minimum wage raise have for a single mother? Some might study the economic effects, such as her ability to pay bills and keep food on the table. Others might look at how reduced economic stress could improve family relationships. Some sociologists might research the impact on the status of small business owners. These could all be examples of public sociology, a branch of sociology that strives to bring sociological dialogue to public forums. The goals of public sociology are to increase understanding of the social factors that underlie social problems and assist in finding solutions. According to Michael Burawoy (2005), the challenge of public sociology is to engage multiple publics in multiple ways.

1.3 Theoretical Perspectives

Figure 1.7 Sociologists develop theories to explain social occurrences such as protest rallies. (Photo courtesy of voanews.com/Wikimedia Commons)

Sociologists study social events, interactions, and patterns, and they develop a theory in an attempt to explain why things work as they do. In sociology, a theory is a way to explain different aspects of social interactions and to create a testable proposition, called a hypothesis, about society (Allan 2006).

For example, although suicide is generally considered an individual phenomenon, Émile Durkheim was interested in studying the social factors that affect it. His studied social ties within a group, or social solidarity, and hypothesized that differences in suicide rates might be explained by religion-based differences. Durkheim gathered a large amount of data about Europeans who had ended their lives, and he did indeed find differences based on religion. Protestants were more likely to commit suicide than Catholics in Durkheim’s society, and his work supports the utility of theory in sociological research.

Theories vary in scope depending on the scale of the issues that they are meant to explain. Macro-level theories relate to large-scale issues and large groups of people, while micro-level theories look at very specific relationships between individuals or small groups. Grand theories attempt to explain large-scale relationships and answer fundamental questions such as why societies form and why they change. Sociological theory is constantly evolving and should never be considered complete. Classic sociological theories are still considered important and current, but new sociological theories build upon the work of their predecessors and add to them (Calhoun 2002).

In sociology, a few theories provide broad perspectives that help explain many different aspects of social life, and these are called paradigms. Paradigms are philosophical and theoretical frameworks used within a discipline to formulate theories, generalizations, and the experiments performed in support of them. Three paradigms have come to dominate sociological thinking, because they provide useful explanations: structural functionalism, conflict theory, and symbolic interactionism.

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Table 1.2 Sociological Theories or Perspectives Different sociological perspectives enable sociologists to view social issues through a variety of useful lenses.

Sociological Paradigm

Level of Analysis Focus

Structural Functionalism Macro or mid

The way each part of society functions together to contribute to the whole

Conflict Theory Macro The way inequalities contribute to social differences and perpetuatedifferences in power

Symbolic Interactionism Micro One-to-one interactions and communications

Functionalism Functionalism, also called structural-functional theory, sees society as a structure with interrelated parts designed to meet the biological and social needs of the individuals in that society. Functionalism grew out of the writings of English philosopher and biologist, Hebert Spencer (1820–1903), who saw similarities between society and the human body; he argued that just as the various organs of the body work together to keep the body functioning, the various parts of society work together to keep society functioning (Spencer 1898). The parts of society that Spencer referred to were the social institutions, or patterns of beliefs and behaviors focused on meeting social needs, such as government, education, family, healthcare, religion, and the economy.

Émile Durkheim, another early sociologist, applied Spencer’s theory to explain how societies change and survive over time. Durkheim believed that society is a complex system of interrelated and interdependent parts that work together to maintain stability (Durkheim 1893), and that society is held together by shared values, languages, and symbols. He believed that to study society, a sociologist must look beyond individuals to social facts such as laws, morals, values, religious beliefs, customs, fashion, and rituals, which all serve to govern social life. Alfred Radcliff-Brown (1881–1955) defined the function of any recurrent activity as the part it played in social life as a whole, and therefore the contribution it makes to social stability and continuity (Radcliff-Brown 1952). In a healthy society, all parts work together to maintain stability, a state called dynamic equilibrium by later sociologists such as Parsons (1961).

Durkheim believed that individuals may make up society, but in order to study society, sociologists have to look beyond individuals to social facts. Social facts are the laws, morals, values, religious beliefs, customs, fashions, rituals, and all of the cultural rules that govern social life (Durkheim 1895). Each of these social facts serves one or more functions within a society. For example, one function of a society’s laws may be to protect society from violence, while another is to punish criminal behavior, while another is to preserve public health.

Another noted structural functionalist, Robert Merton (1910–2003), pointed out that social processes often have many functions. Manifest functions are the consequences of a social process that are sought or anticipated, while latent functions are the unsought consequences of a social process. A manifest function of college education, for example, includes gaining knowledge, preparing for a career, and finding a good job that utilizes that education. Latent functions of your college years include meeting new people, participating in extracurricular activities, or even finding a spouse or partner. Another latent function of education is creating a hierarchy of employment based on the level of education attained. Latent functions can be beneficial, neutral, or harmful. Social processes that have undesirable consequences for the operation of society are called dysfunctions. In education, examples of dysfunction include getting bad grades, truancy, dropping out, not graduating, and not finding suitable employment.

Criticism

One criticism of the structural-functional theory is that it can’t adequately explain social change. Also problematic is the somewhat circular nature of this theory; repetitive behavior patterns are assumed to have a function, yet we profess to know that they have a function only because they are repeated. Furthermore, dysfunctions may continue, even though they don’t serve a function, which seemingly contradicts the basic premise of the theory. Many sociologists now believe that functionalism is no longer useful as a macro-level theory, but that it does serve a useful purpose in some mid-level analyses.

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Making Connections: Big Picturethe

A Global Culture?

Figure 1.8 Some sociologists see the online world contributing to the creation of an emerging global culture. Are you a part of any global communities? (Photo courtesy of quasireversible/flickr)

Sociologists around the world look closely for signs of what would be an unprecedented event: the emergence of a global culture. In the past, empires such as those that existed in China, Europe, Africa, and Central and South America linked people from many different countries, but those people rarely became part of a common culture. They lived too far from each other, spoke different languages, practiced different religions, and traded few goods. Today, increases in communication, travel, and trade have made the world a much smaller place. More and more people are able to communicate with each other instantly—wherever they are located—by telephone, video, and text. They share movies, television shows, music, games, and information over the Internet. Students can study with teachers and pupils from the other side of the globe. Governments find it harder to hide conditions inside their countries from the rest of the world.

Sociologists research many different aspects of this potential global culture. Some explore the dynamics involved in the social interactions of global online communities, such as when members feel a closer kinship to other group members than to people residing in their own countries. Other sociologists study the impact this growing international culture has on smaller, less-powerful local cultures. Yet other researchers explore how international markets and the outsourcing of labor impact social inequalities. Sociology can play a key role in people’s abilities to understand the nature of this emerging global culture and how to respond to it.

Conflict Theory Conflict theory looks at society as a competition for limited resources. This perspective is a macro-level approach most identified with the writings of German philosopher and sociologist Karl Marx (1818–1883), who saw society as being made up of individuals in different social classes who must compete for social, material, and political resources such as food and housing, employment, education, and leisure time. Social institutions like government, education, and religion reflect this competition in their inherent inequalities and help maintain the unequal social structure. Some individuals and organizations are able to obtain and keep more resources than others, and these “winners” use their power and influence to maintain social institutions. Several theorist suggested variations on this basic theme.

Polish-Austrian sociologist Ludwig Gumplowicz (1838–1909) expanded on Marx’s ideas by arguing that war and conquest are the basis of civilizations. He believed that cultural and ethnic conflicts led to states being identified and defined by a dominant group that had power over other groups (Irving 2007).

German sociologist Max Weber agreed with Marx but also believed that, in addition to economic inequalities, inequalities of political power and social structure cause conflict. Weber noted that different groups were affected differently based on

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Making Connections: Sociology in the Real World

education, race, and gender, and that people’s reactions to inequality were moderated by class differences and rates of social mobility, as well as by perceptions about the legitimacy of those in power.

German sociologist Georg Simmel (1858–1918) believed that conflict can help integrate and stabilize a society. He said that the intensity of the conflict varies depending on the emotional involvement of the parties, the degree of solidarity within the opposing groups, and the clarity and limited nature of the goals. Simmel also showed that groups work to create internal solidarity, centralize power, and reduce dissent. Resolving conflicts can reduce tension and hostility and can pave the way for future agreements.

In the 1930s and 1940s, German philosophers, known as the Frankfurt School, developed critical theory as an elaboration on Marxist principles. Critical theory is an expansion of conflict theory and is broader than just sociology, including other social sciences and philosophy. A critical theory attempts to address structural issues causing inequality; it must explain what’s wrong in current social reality, identify the people who can make changes, and provide practical goals for social transformation (Horkeimer 1982).

More recently, inequality based on gender or race has been explained in a similar manner and has identified institutionalized power structures that help to maintain inequality between groups. Janet Saltzman Chafetz (1941–2006) presented a model of feminist theory that attempts to explain the forces that maintain gender inequality as well as a theory of how such a system can be changed (Turner 2003). Similarly, critical race theory grew out of a critical analysis of race and racism from a legal point of view. Critical race theory looks at structural inequality based on white privilege and associated wealth, power, and prestige.

Criticism

Farming and Locavores: How Sociological Perspectives Might View Food Consumption The consumption of food is a commonplace, daily occurrence, yet it can also be associated with important moments in our lives. Eating can be an individual or a group action, and eating habits and customs are influenced by our cultures. In the context of society, our nation’s food system is at the core of numerous social movements, political issues, and economic debates. Any of these factors might become a topic of sociological study.

A structural-functional approach to the topic of food consumption might be interested in the role of the agriculture industry within the nation’s economy and how this has changed from the early days of manual-labor farming to modern mechanized production. Another examination might study the different functions that occur in food production: from farming and harvesting to flashy packaging and mass consumerism.

A conflict theorist might be interested in the power differentials present in the regulation of food, by exploring where people’s right to information intersects with corporations’ drive for profit and how the government mediates those interests. Or a conflict theorist might be interested in the power and powerlessness experienced by local farmers versus large farming conglomerates, such as the documentary Food Inc. depicts as resulting from Monsanto’s patenting of seed technology. Another topic of study might be how nutrition varies between different social classes.

A sociologist viewing food consumption through a symbolic interactionist lens would be more interested in micro- level topics, such as the symbolic use of food in religious rituals, or the role it plays in the social interaction of a family dinner. This perspective might also study the interactions among group members who identify themselves based on their sharing a particular diet, such as vegetarians (people who don’t eat meat) or locavores (people who strive to eat locally produced food).

Just as structural functionalism was criticized for focusing too much on the stability of societies, conflict theory has been criticized because it tends to focus on conflict to the exclusion of recognizing stability. Many social structures are extremely stable or have gradually progressed over time rather than changing abruptly as conflict theory would suggest.

Symbolic Interactionist Theory Symbolic interactionism is a micro-level theory that focuses on the relationships among individuals within a society. Communication—the exchange of meaning through language and symbols—is believed to be the way in which people

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make sense of their social worlds. Theorists Herman and Reynolds (1994) note that this perspective sees people as being active in shaping the social world rather than simply being acted upon.

George Herbert Mead (1863–1931) is considered a founder of symbolic interactionism though he never published his work on it (LaRossa and Reitzes 1993). Mead’s student, Herbert Blumer, coined the term “symbolic interactionism” and outlined these basic premises: humans interact with things based on meanings ascribed to those things; the ascribed meaning of things comes from our interactions with others and society; the meanings of things are interpreted by a person when dealing with things in specific circumstances (Blumer 1969). If you love books, for example, a symbolic interactionist might propose that you learned that books are good or important in the interactions you had with family, friends, school, or church; maybe your family had a special reading time each week, getting your library card was treated as a special event, or bedtime stories were associated with warmth and comfort.

Social scientists who apply symbolic-interactionist thinking look for patterns of interaction between individuals. Their studies often involve observation of one-on-one interactions. For example, while a conflict theorist studying a political protest might focus on class difference, a symbolic interactionist would be more interested in how individuals in the protesting group interact, as well as the signs and symbols protesters use to communicate their message. The focus on the importance of symbols in building a society led sociologists like Erving Goffman (1922–1982) to develop a technique called dramaturgical analysis. Goffman used theater as an analogy for social interaction and recognized that people’s interactions showed patterns of cultural “scripts.” Because it can be unclear what part a person may play in a given situation, he or she has to improvise his or her role as the situation unfolds (Goffman 1958).

Studies that use the symbolic interactionist perspective are more likely to use qualitative research methods, such as in- depth interviews or participant observation, because they seek to understand the symbolic worlds in which research subjects live.

Constructivism is an extension of symbolic interaction theory which proposes that reality is what humans cognitively construct it to be. We develop social constructs based on interactions with others, and those constructs that last over time are those that have meanings which are widely agreed-upon or generally accepted by most within the society. This approach is often used to understand what’s defined as deviant within a society. There is no absolute definition of deviance, and different societies have constructed different meanings for deviance, as well as associating different behaviors with deviance. One situation that illustrates this is what you believe you’re to do if you find a wallet in the street. In the United States, turning the wallet in to local authorities would be considered the appropriate action, and to keep the wallet would be seen as deviant. In contrast, many Eastern societies would consider it much more appropriate to keep the wallet and search for the owner yourself; turning it over to someone else, even the authorities, would be considered deviant behavior.

Criticism

Research done from this perspective is often scrutinized because of the difficulty of remaining objective. Others criticize the extremely narrow focus on symbolic interaction. Proponents, of course, consider this one of its greatest strengths.

Sociological Theory Today

These three approaches are still the main foundation of modern sociological theory, but some evolution has been seen. Structural-functionalism was a dominant force after World War II and until the 1960s and 1970s. At that time, sociologists began to feel that structural-functionalism did not sufficiently explain the rapid social changes happening in the United States at that time.

Conflict theory then gained prominence, as there was renewed emphasis on institutionalized social inequality. Critical theory, and the particular aspects of feminist theory and critical race theory, focused on creating social change through the application of sociological principles, and the field saw a renewed emphasis on helping ordinary people understand sociology principles, in the form of public sociology.

Postmodern social theory attempts to look at society through an entirely new lens by rejecting previous macro-level attempts to explain social phenomena. Generally considered as gaining acceptance in the late 1970s and early 1980s, postmodern social theory is a micro-level approach that looks at small, local groups and individual reality. Its growth in popularity coincides with the constructivist aspects of symbolic interactionism.

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1.4 Why Study Sociology?

Figure 1.9 The research of sociologists Kenneth and Mamie Clark helped the Supreme Court decide to end “separate but equal” racial segregation in schools in the United States. (Photo courtesy of public domain)

When Elizabeth Eckford tried to enter Central High School in Little Rock, Arkansas, in September 1957, she was met by an angry crowd. But she knew she had the law on her side. Three years earlier in the landmark Brown vs. the Board of Education case, the U.S. Supreme Court had overturned twenty-one state laws that allowed blacks and whites to be taught in separate school systems as long as the school systems were “equal.” One of the major factors influencing that decision was research conducted by the husband-and-wife team of sociologists, Kenneth and Mamie Clark. Their research showed that segregation was harmful to young black schoolchildren, and the Court found that harm to be unconstitutional.

Since it was first founded, many people interested in sociology have been driven by the scholarly desire to contribute knowledge to this field, while others have seen it as way not only to study society but also to improve it. Besides desegregation, sociology has played a crucial role in many important social reforms, such as equal opportunity for women in the workplace, improved treatment for individuals with mental handicaps or learning disabilities, increased accessibility and accommodation for people with physical handicaps, the right of native populations to preserve their land and culture, and prison system reforms.

The prominent sociologist Peter L. Berger (1929– ), in his 1963 book Invitation to Sociology: A Humanistic Perspective, describes a sociologist as “someone concerned with understanding society in a disciplined way.” He asserts that sociologists have a natural interest in the monumental moments of people’s lives, as well as a fascination with banal, everyday occurrences. Berger also describes the “aha” moment when a sociological theory becomes applicable and understood:

[T]here is a deceptive simplicity and obviousness about some sociological investigations. One reads them, nods at the familiar scene, remarks that one has heard all this before and don’t people have better things to do than to waste their time on truisms—until one is suddenly brought up against an insight that radically questions everything one had previously assumed about this familiar scene. This is the point at which one begins to sense the excitement of sociology. (Berger 1963)

Sociology can be exciting because it teaches people ways to recognize how they fit into the world and how others perceive them. Looking at themselves and society from a sociological perspective helps people see where they connect to different groups based on the many different ways they classify themselves and how society classifies them in turn. It raises awareness of how those classifications—such as economic and status levels, education, ethnicity, or sexual orientation—affect perceptions.

Sociology teaches people not to accept easy explanations. It teaches them a way to organize their thinking so that they can ask better questions and formulate better answers. It makes people more aware that there are many different kinds of people in the world who do not necessarily think the way they do. It increases their willingness and ability to try to see the world from other people’s perspectives. This prepares them to live and work in an increasingly diverse and integrated world.

Sociology in the Workplace Employers continue to seek people with what are called “transferable skills.” This means that they want to hire people whose knowledge and education can be applied in a variety of settings and whose skills will contribute to various tasks.

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Making Connections: Sociology in the Real World

Studying sociology can provide people with this wide knowledge and a skill set that can contribute to many workplaces, including

• an understanding of social systems and large bureaucracies;

• the ability to devise and carry out research projects to assess whether a program or policy is working;

• the ability to collect, read, and analyze statistical information from polls or surveys;

• the ability to recognize important differences in people’s social, cultural, and economic backgrounds;

• skills in preparing reports and communicating complex ideas; and

• the capacity for critical thinking about social issues and problems that confront modern society. (Department of Sociology, University of Alabama)

Sociology prepares people for a wide variety of careers. Besides actually conducting social research or training others in the field, people who graduate from college with a degree in sociology are hired by government agencies and corporations in fields such as social services, counseling (e.g., family planning, career, substance abuse), community planning, health services, marketing, market research, and human resources. Even a small amount of training in sociology can be an asset in careers like sales, public relations, journalism, teaching, law, and criminal justice.

Please “Friend” Me: Students and Social Networking The phenomenon known as Facebook was designed specifically for students. Whereas earlier generations wrote notes in each other’s printed yearbooks at the end of the academic year, modern technology and the Internet ushered in dynamic new ways for people to interact socially. Instead of having to meet up on campus, students can call, text, and Skype from their dorm rooms. Instead of a study group gathering weekly in the library, online forums and chat rooms help learners connect. The availability and immediacy of computer technology has forever changed the ways in which students engage with each other.

Now, after several social networks have vied for primacy, a few have established their place in the market and some have attracted niche audience. While Facebook launched the social networking trend geared toward teens and young adults, now people of all ages are actively “friending” each other. LinkedIn distinguished itself by focusing on professional connections and served as a virtual world for workplace networking. Newer offshoots like Foursquare help people connect based on the real-world places they frequent, while Twitter has cornered the market on brevity.

The widespread ownership of smartphones adds to this social experience; the Pew Research Center (2012) found that the majority of people in the United States with mobile phones now have “smart” phones with Internet capability. Many people worldwide can now access Facebook, Twitter, and other social media from virtually anywhere, and there seems to be an increasing acceptance of smartphone use in many diverse and previously prohibited settings. The outcomes of smartphone use, as with other social media, are not yet clear.

These newer modes of social interaction have also spawned harmful consequences, such as cyberbullying and what some call FAD, or Facebook Addiction Disorder. Researchers have also examined other potential negative impacts, such as whether Facebooking lowers a student’s GPA, or whether there might be long-term effects of replacing face- to-face interaction with social media.

All of these social networks demonstrate emerging ways that people interact, whether positive or negative. They illustrate how sociological topics are alive and changing today. Social media will most certainly be a developing topic in the study of sociology for decades to come.

Chapter Review

Key Terms

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antipositivism:

conflict theory:

constructivism:

culture:

dramaturgical analysis:

dynamic equilibrium:

dysfunctions:

figuration:

function:

functionalism:

generalized others:

grand theories:

hypothesis:

latent functions:

macro-level:

manifest functions:

micro-level theories:

paradigms:

positivism:

qualitative sociology:

quantitative sociology:

reification:

significant others:

social facts:

social institutions:

social solidarity:

society:

the view that social researchers should strive for subjectivity as they worked to represent social processes, cultural norms, and societal values

a theory that looks at society as a competition for limited resources

an extension of symbolic interaction theory which proposes that reality is what humans cognitively construct it to be

a group’s shared practices, values, and beliefs

a technique sociologists use in which they view society through the metaphor of theatrical performance

a stable state in which all parts of a healthy society work together properly

social patterns that have undesirable consequences for the operation of society

the process of simultaneously analyzing the behavior of an individual and the society that shapes that behavior

the part a recurrent activity plays in the social life as a whole and the contribution it makes to structural continuity

a theoretical approach that sees society as a structure with interrelated parts designed to meet the biological and social needs of individuals that make up that society

the organized and generalized attitude of a social group

an attempt to explain large-scale relationships and answer fundamental questions such as why societies form and why they change

a testable proposition

the unrecognized or unintended consequences of a social process

a wide-scale view of the role of social structures within a society

sought consequences of a social process

the study of specific relationships between individuals or small groups

philosophical and theoretical frameworks used within a discipline to formulate theories, generalizations, and the experiments performed in support of them

the scientific study of social patterns

in-depth interviews, focus groups, and/or analysis of content sources as the source of its data

statistical methods such as surveys with large numbers of participants

an error of treating an abstract concept as though it has a real, material existence

specific individuals that impact a person’s life

the laws, morals, values, religious beliefs, customs, fashions, rituals, and all of the cultural rules that govern social life

patterns of beliefs and behaviors focused on meeting social needs

the social ties that bind a group of people together such as kinship, shared location, and religion

a group of people who live in a defined geographical area who interact with one another and who share a common culture

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sociological imagination:

sociology:

symbolic interactionism:

theory:

verstehen:

the ability to understand how your own past relates to that of other people, as well as to history in general and societal structures in particular

the systematic study of society and social interaction

a theoretical perspective through which scholars examine the relationship of individuals within their society by studying their communication (language and symbols)

a proposed explanation about social interactions or society

a German word that means to understand in a deep way

Section Summary

1.1 What Is Sociology? Sociology is the systematic study of society and social interaction. In order to carry out their studies, sociologists identify cultural patterns and social forces and determine how they affect individuals and groups. They also develop ways to apply their findings to the real world.

1.2 The History of Sociology Sociology was developed as a way to study and try to understand the changes to society brought on by the Industrial Revolution in the eighteenth and nineteenth centuries. Some of the earliest sociologists thought that societies and individuals’ roles in society could be studied using the same scientific methodologies that were used in the natural sciences, while others believed that is was impossible to predict human behavior scientifically, and still others debated the value of such predictions. Those perspectives continue to be represented within sociology today.

1.3 Theoretical Perspectives Sociologists develop theories to explain social events, interactions, and patterns. A theory is a proposed explanation of those social interactions. Theories have different scales. Macro-level theories, such as structural functionalism and conflict theory, attempt to explain how societies operate as a whole. Micro-level theories, such as symbolic interactionism, focus on interactions between individuals.

1.4 Why Study Sociology? Studying sociology is beneficial both for the individual and for society. By studying sociology people learn how to think critically about social issues and problems that confront our society. The study of sociology enriches students’ lives and prepares them for careers in an increasingly diverse world. Society benefits because people with sociological training are better prepared to make informed decisions about social issues and take effective action to deal with them.

Section Quiz

1.1 What Is Sociology? 1. Which of the following best describes sociology as a subject?

a. The study of individual behavior b. The study of cultures c. The study of society and social interaction d. The study of economics

2. C. Wright Mills once said that sociologists need to develop a sociological __________ to study how society affects individuals.

a. culture b. imagination c. method d. tool

3. A sociologist defines society as a group of people who reside in a defined area, share a culture, and who: a. interact b. work in the same industry

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c. speak different languages d. practice a recognized religion

4. Seeing patterns means that a sociologist needs to be able to: a. compare the behavior of individuals from different societies b. compare one society to another c. identify similarities in how social groups respond to social pressure d. compare individuals to groups

1.2 The History of Sociology 5. Which of the following was a topic of study in early sociology?

a. Astrology b. Economics c. Physics d. History

6. Which founder of sociology believed societies changed due to class struggle? a. Emile Comte b. Karl Marx c. Plato d. Herbert Spencer

7. The difference between positivism and antipositivism relates to: a. whether individuals like or dislike their society b. whether research methods use statistical data or person-to-person research c. whether sociological studies can predict or improve society d. all of the above

8. Which would a quantitative sociologists use to gather data? a. A large survey b. A literature search c. An in-depth interview d. A review of television programs

9. Weber believed humans could not be studied purely objectively because they were influenced by: a. drugs b. their culture c. their genetic makeup d. the researcher

1.3 Theoretical Perspectives 10. Which of these theories is most likely to look at the social world on a micro level?

a. Structural functionalism b. Conflict theory c. Positivism d. Symbolic interactionism

11. Who believed that the history of society was one of class struggle? a. Emile Durkheim b. Karl Marx c. Erving Goffmann d. George Herbert Mead

12. Who coined the phrase symbolic interactionism? a. Herbert Blumer b. Max Weber c. Lester F. Ward d. W. I. Thomas

13. A symbolic interactionist may compare social interactions to: a. behaviors b. conflicts

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c. human organs d. theatrical roles

14. Which research technique would most likely be used by a symbolic interactionist? a. Surveys b. Participant observation c. Quantitative data analysis d. None of the above

1.4 Why Study Sociology? 15. Kenneth and Mamie Clark used sociological research to show that segregation was:

a. beneficial b. harmful c. illegal d. of no importance

16. Studying sociology helps people analyze data because they learn: a. interview techniques b. to apply statistics c. to generate theories d. all of the above

17. Berger describes sociologists as concerned with: a. monumental moments in people’s lives b. common everyday life events c. both a and b d. none of the above

Short Answer

1.1 What Is Sociology? 1. What do you think C. Wright Mills meant when he said that to be a sociologist, one had to develop a sociological imagination?

2. Describe a situation in which a choice you made was influenced by societal pressures.

1.2 The History of Sociology 3. What do you make of Karl Marx’s contributions to sociology? What perceptions of Marx have you been exposed to in your society, and how do those perceptions influence your views?

4. Do you tend to place more value on qualitative or quantitative research? Why? Does it matter what topic you are studying?

1.3 Theoretical Perspectives 5. Which theory do you think better explains how societies operate—structural functionalism or conflict theory? Why?

6. Do you think the way people behave in social interactions is more like the behavior of animals or more like actors playing a role in a theatrical production? Why?

1.4 Why Study Sociology? 7. How do you think taking a sociology course might affect your social interactions?

8. What sort of career are you interested in? How could studying sociology help you in this career?

Further Research

1.1 What Is Sociology? Sociology is a broad discipline. Different kinds of sociologists employ various methods for exploring the relationship between individuals and society. Check out more about sociology at http://openstaxcollege.org/l/what-is-sociology (http://openstaxcollege.org/l/what-is-sociology) .

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1.2 The History of Sociology Many sociologists helped shape the discipline. To learn more about prominent sociologists and how they changed sociology check out http://openstaxcollege.org/l/ferdinand-toennies (http://openstaxcollege.org/l/ferdinand-toennies) .

1.3 Theoretical Perspectives People often think of all conflict as violent, but many conflicts can be resolved nonviolently. To learn more about nonviolent methods of conflict resolution check out the Albert Einstein Institution http://openstaxcollege.org/l/ae- institution (http://openstaxcollege.org/l/ae-institution)

1.4 Why Study Sociology? Social communication is rapidly evolving due to ever improving technologies. To learn more about how sociologists study the impact of these changes check out http://openstaxcollege.org/l/media (http://openstaxcollege.org/l/media)

References

1.1 What Is Sociology? Elias, Norbert. 1978. What Is Sociology? New York: Columbia University Press.

Hanson, Kenneth, and Craig Gundersen. 2002. “How Unemployment Affects the Food Stamp Program.” Food Assistance and Nutrition Research Report Number 26-7. USDA. Retrieved January 19, 2012 (http://www.ers.usda.gov/publications/ fanrr26/fanrr26-7/fanrr26-7.pdf (http://www.ers.usda.gov/publications/fanrr26/fanrr26-7/fanrr26-7.pdf) ).

Ludden, Jennifer. 2012. “Single Dads By Choice: More Men Going It Alone.” npr. Retrieved December 30, 2014 (http://www.npr.org/2012/06/19/154860588/single-dads-by-choice-more-men-going-it-alone).

Mills, C. Wright. 2000 [1959]. The Sociological Imagination. 40th ed. New York: Oxford University Press.

Sahn, Richard. 2013. “The Dangers of Reification.” The Contrary Perspective. Retrieved October 14, 2014 (http://contraryperspective.com/2013/06/06/the-dangers-of-reification/).

U.S. Census Bureau. 2013. “America’s Families and Living Arrangements: 2012.” Retrieved December 30, 2014 (http://www.census.gov/prod/2013pubs/p20-570.pdf).

1.2 The History of Sociology Abercrombie, Nicholas, Stephen Hill, and Bryan S. Turner. 2000. The Penguin Dictionary of Sociology. London: Penguin.

Buroway, Michael. 2005. “2004 Presidential Address: For Public Sociology.” American Sociological Review 70 (February): 4–28. Retrieved December 30, 2014 (http://burawoy.berkeley.edu/Public%20Sociology,%20Live/ Burawoy.pdf).

Cable Network News (CNN). 2014. “Should the minimum wage be raised?” CNN Money. Retrieved December 30, 2014 (http://money.cnn.com/infographic/pf/low-wage-worker/).

Cronk, George. n.d. “George Herbert Mead.” Internet Encyclopedia of Philosophy: A Peer-Reviewed Academic Resource. Retrieved October 14, 2014 (http://www.iep.utm.edu/mead/).

Durkheim, Émile. 1964 [1895]. The Rules of Sociological Method, edited by J. Mueller, E. George and E. Caitlin. 8th ed. Translated by S. Solovay. New York: Free Press.

Fauré, Christine, Jacques Guilhaumou, Jacques Vallier, and Françoise Weil. 2007 [1999]. Des Manuscrits de Sieyès, 1773–1799, Volumes I and II. Paris: Champion.

Hannoum, Abdelmajid. 2003. Translation and the Colonial Imaginary: Ibn Khaldun Orientalist. Middletown, CT: Wesleyan University. Retrieved January 19, 2012 (http://www.jstor.org/pss/3590803 (http://www.jstor.org/pss/3590803) ).

Hill, Michael. 1991. “Harriet Martineau.” Women in Sociology: A Bio-Bibliographic Sourcebook, edited by Mary Jo Deegan. New York: Greenwood Press.

Johnson, Bethany. 2003. “Harriet Martineau: Theories and Contributions to Sociology.” Education Portal. Retrieved October 14, 2014 (http://education-portal.com/academy/lesson/harriet-martineau-theories-and-contributions-to- sociology.html#lesson).

Poggi, Gianfranco. 2000. Durkheim. Oxford, United Kingdom: Oxford University Press.

Chapter 1 | An Introduction to Sociology 25http://openstaxcollege.org/l/ferdinand-toennieshttp://openstaxcollege.org/l/ae-institutionhttp://openstaxcollege.org/l/ae-institutionhttp://openstaxcollege.org/l/mediahttp://www.ers.usda.gov/publications/fanrr26/fanrr26-7/fanrr26-7.pdfhttp://www.ers.usda.gov/publications/fanrr26/fanrr26-7/fanrr26-7.pdfhttp://www.jstor.org/pss/3590803

Ritzer, George, and Goodman, Douglas. 2004. Sociological Theory, 6th Edition. New York: McGraw Hill Education.

Stapley, Pierre. 2010. “Georg Simmel.” Cardiff University School of Social Sciences. Retrieved October 21, 2014 (http://www.cf.ac.uk/socsi/undergraduate/introsoc/simmel.html).

U.S. Congress Joint Economic Committee. 2010. Women and the Economy, 2010: 25 Years of Progress But Challenges Remain. August. Washington, DC: Congressional Printing Office. Retrieved January 19, 2012 (http://jec.senate.gov/ public/?a=Files.Serve&File_id=8be22cb0-8ed0-4a1a-841b-aa91dc55fa81 (http://jec.senate.gov/ public/?a=Files.Serve&File_id=8be22cb0-8ed0-4a1a-841b-aa91dc55fa81) ).

1.3 Theoretical Perspectives Allan, Kenneth. 2006. Contemporary Social and Sociological Theory: Visualizing Social Worlds. Thousand Oaks, CA: Pine Forge Press.

Blumer, H. 1969. Symbolic Interactionism: Perspective and Method. Englewood Cliffs, NJ: Prentice Hall.

Broce, Gerald. 1973. History of Anthropology. Minneapolis: Burgess Publishing Company.

Calhoun, Craig J. 2002. Classical Sociological Theory. Malden, MA: Wiley-Blackwell.

Durkheim, Émile. 1984 [1893]. The Division of Labor in Society. New York: Free Press.

Durkheim, Émile. 1964 [1895]. The Rules of Sociological Method, edited by J. Mueller, E. George and E. Caitlin. 8th ed. Translated by S. Solovay. New York: Free Press.

Goffman, Erving. 1958. The Presentation of Self in Everyday Life. Edinburgh: University of Edinburgh, Social Sciences Research Centre.

Goldschmidt, Walter. 1996. “Functionalism” in Encyclopedia of Cultural Anthropology, Vol. 2, edited by D. Levinson and M. Ember. New York: Henry Holt and Company.

Henry, Stuart. 2007. “Deviance, Constructionist Perspectives.” Blackwell Encyclopedia of Sociology. Retrieved October 14, 2014 (http://www.sociologyencyclopedia.com/public/ tocnode?id=g9781405124331_yr2011_chunk_g978140512433110_ss1-41).

Herman, Nancy J., and Larry T. Reynolds. 1994. Symbolic Interaction: An Introduction to Social Psychology. Lanham, MD: Altamira Press.

Horkeimer, M. 1982. Critical Theory. New York: Seabury Press.

Irving, John Scott. 2007. Fifty Key Sociologists: The Formative Theorists. New York: Routledge.

LaRossa, R., and D.C. Reitzes. 1993. “Symbolic Interactionism and Family Studies.” Pp. 135–163 in Sourcebook of Family Theories and Methods: A Contextual Approach, edited by P. G. Boss, W. J. Doherty, R. LaRossa, W. R. Schumm, and S. K. Steinmetz. New York: Springer.

Maryanski, Alexandra, and Jonathan Turner. 1992. The Social Cage: Human Nature and the Evolution of Society. Stanford, CA: Stanford University Press.

Marx, Karl and Friedrich Engels. 1998 [1848]. The Communist Manifesto. New York: Penguin.

Parsons, T. 1961. Theories of Society: Foundations of Modern Sociological Theory. New York: Free Press.

Pew Research Center. 2012. “Mobile Technology Fact Sheet.” Pew Research Internet Project, April 2012. Retrieved October 15, 2014 (http://www.pewinternet.org/fact-sheets/mobile-technology-fact-sheet/).

Radcliffe-Brown, A.R. 1952. Structure and Function in Primitive Society: Essays and Addresses. London: Cohen and West.

Spencer, Herbert. 1898. The Principles of Biology. New York: D. Appleton and Company.

Turner, J. 2003. The Structure of Sociological Theory. 7th ed. Belmont, CA: Thompson/Wadsworth.

UCLA School of Public Affairs. n.d. “What is Critical Race Theory?” UCLA School of Public Affairs: Critical Race Studies. Retrieved October 20, 2014 (http://spacrs.wordpress.com/what-is-critical-race-theory/).

1.4 Why Study Sociology? Berger, Peter L. 1963. Invitation to Sociology: A Humanistic Perspective. New York: Anchor Books.

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Department of Sociology, University of Alabama. N.d. Is Sociology Right for You?. Huntsville: University of Alabama. Retrieved January 19, 2012 (http://www.uah.edu/la/departments/sociology/about-sociology/why-sociology (http://www.uah.edu/la/departments/sociology/about-sociology/why-sociology) ).

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2 Sociological Research

Figure 2.1 Many believe that crime rates go up during the full moon, but scientific research does not support this conclusion. (Photo courtesy of Jubula 2/flickr)

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Learning Objectives 2.1. Approaches to Sociological Research

• Define and describe the scientific method

• Explain how the scientific method is used in sociological research

• Understand the function and importance of an interpretive framework

• Define what reliability and validity mean in a research study

2.2. Research Methods • Differentiate between four kinds of research methods: surveys, field research, experiments, and secondary

data analysis

• Understand why different topics are better suited to different research approaches

2.3. Ethical Concerns • Understand why ethical standards exist

• Demonstrate awareness of the American Sociological Association’s Code of Ethics

• Define value neutrality

Introduction to Sociological Research Have you ever wondered if home schooling affects a person’s later success in college or how many people wait until they are in their forties to get married? Do you wonder if texting is changing teenagers’ abilities to spell correctly or to communicate clearly? How do social movements like Occupy Wall Street develop? How about the development of social phenomena like the massive public followings for Star Trek and Harry Potter? The goal of research is to answer questions. Sociological research attempts to answer a vast variety of questions, such as these and more, about our social world.

We often have opinions about social situations, but these may be biased by our expectations or based on limited data. Instead, scientific research is based on empirical evidence, which is evidence that comes from direct experience, scientifically gathered data, or experimentation. Many people believe, for example, that crime rates go up when there’s a full moon, but research doesn’t support this opinion. Researchers Rotton and Kelly (1985) conducted a meta-analysis of research on the full moon’s effects on behavior. Meta-analysis is a technique in which the results of virtually all previous studies on a specific subject are evaluated together. Rotton and Kelly’s meta-analysis included thirty-seven prior studies on the effects of the full moon on crime rates, and the overall findings were that full moons are entirely unrelated to crime, suicide, psychiatric problems, and crisis center calls (cited in Arkowitz and Lilienfeld 2009). We may each know of an instance in which a crime happened during a full moon, but it was likely just a coincidence.

People commonly try to understand the happenings in their world by finding or creating an explanation for an occurrence. Social scientists may develop a hypothesis for the same reason. A hypothesis is a testable educated guess about predicted outcomes between two or more variables; it’s a possible explanation for specific happenings in the social world and allows for testing to determine whether the explanation holds true in many instances, as well as among various groups or in different places. Sociologists use empirical data and the scientific method, or an interpretative framework, to increase understanding of societies and social interactions, but research begins with the search for an answer to a question.

2.1 Approaches to Sociological Research When sociologists apply the sociological perspective and begin to ask questions, no topic is off limits. Every aspect of human behavior is a source of possible investigation. Sociologists question the world that humans have created and live in. They notice patterns of behavior as people move through that world. Using sociological methods and systematic research within the framework of the scientific method and a scholarly interpretive perspective, sociologists have discovered workplace patterns that have transformed industries, family patterns that have enlightened family members, and education patterns that have aided structural changes in classrooms.

The crime during a full moon discussion put forth a few loosely stated opinions. If the human behaviors around those claims were tested systematically, a police officer, for example, could write a report and offer the findings to sociologists and the world in general. The new perspective could help people understand themselves and their neighbors and help people make better decisions about their lives. It might seem strange to use scientific practices to study social trends, but, as we shall see, it’s extremely helpful to rely on systematic approaches that research methods provide.

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Sociologists often begin the research process by asking a question about how or why things happen in this world. It might be a unique question about a new trend or an old question about a common aspect of life. Once the sociologist forms the question, he or she proceeds through an in-depth process to answer it. In deciding how to design that process, the researcher may adopt a scientific approach or an interpretive framework. The following sections describe these approaches to knowledge.

The Scientific Method Sociologists make use of tried and true methods of research, such as experiments, surveys, and field research. But humans and their social interactions are so diverse that these interactions can seem impossible to chart or explain. It might seem that science is about discoveries and chemical reactions or about proving ideas right or wrong rather than about exploring the nuances of human behavior.

However, this is exactly why scientific models work for studying human behavior. A scientific process of research establishes parameters that help make sure results are objective and accurate. Scientific methods provide limitations and boundaries that focus a study and organize its results.

The scientific method involves developing and testing theories about the world based on empirical evidence. It is defined by its commitment to systematic observation of the empirical world and strives to be objective, critical, skeptical, and logical. It involves a series of prescribed steps that have been established over centuries of scholarship.

Figure 2.2 The scientific method is an essential tool in research.

But just because sociological studies use scientific methods does not make the results less human. Sociological topics are not reduced to right or wrong facts. In this field, results of studies tend to provide people with access to knowledge they did not have before—knowledge of other cultures, knowledge of rituals and beliefs, or knowledge of trends and attitudes. No matter what research approach they use, researchers want to maximize the study’s reliability, which refers to how likely research results are to be replicated if the study is reproduced. Reliability increases the likelihood that what happens to one person will happen to all people in a group. Researchers also strive for validity, which refers to how well the study measures what it was designed to measure. Returning to the crime rate during a full moon topic, reliability of a study would reflect how well the resulting experience represents the average adult crime rate during a full moon. Validity would ensure that the study’s design accurately examined what it was designed to study, so an exploration of adult criminal behaviors during a full moon should address that issue and not veer into other age groups’ crimes, for example.

In general, sociologists tackle questions about the role of social characteristics in outcomes. For example, how do different communities fare in terms of psychological well-being, community cohesiveness, range of vocation, wealth, crime rates, and so on? Are communities functioning smoothly? Sociologists look between the cracks to discover obstacles to meeting basic human needs. They might study environmental influences and patterns of behavior that lead to crime, substance abuse, divorce, poverty, unplanned pregnancies, or illness. And, because sociological studies are not all focused on negative behaviors or challenging situations, researchers might study vacation trends, healthy eating habits, neighborhood organizations, higher education patterns, games, parks, and exercise habits.

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Sociologists can use the scientific method not only to collect but also to interpret and analyze the data. They deliberately apply scientific logic and objectivity. They are interested in—but not attached to—the results. They work outside of their own political or social agendas. This doesn’t mean researchers do not have their own personalities, complete with preferences and opinions. But sociologists deliberately use the scientific method to maintain as much objectivity, focus, and consistency as possible in a particular study.

With its systematic approach, the scientific method has proven useful in shaping sociological studies. The scientific method provides a systematic, organized series of steps that help ensure objectivity and consistency in exploring a social problem. They provide the means for accuracy, reliability, and validity. In the end, the scientific method provides a shared basis for discussion and analysis (Merton 1963).

Typically, the scientific method starts with these steps—1) ask a question, 2) research existing sources, 3) formulate a hypothesis—described below.

Ask a Question

The first step of the scientific method is to ask a question, describe a problem, and identify the specific area of interest. The topic should be narrow enough to study within a geography and time frame. “Are societies capable of sustained happiness?” would be too vague. The question should also be broad enough to have universal merit. “What do personal hygiene habits reveal about the values of students at XYZ High School?” would be too narrow. That said, happiness and hygiene are worthy topics to study. Sociologists do not rule out any topic, but would strive to frame these questions in better research terms.

That is why sociologists are careful to define their terms. In a hygiene study, for instance, hygiene could be defined as “personal habits to maintain physical appearance (as opposed to health),” and a researcher might ask, “How do differing personal hygiene habits reflect the cultural value placed on appearance?” When forming these basic research questions, sociologists develop an operational definition, that is, they define the concept in terms of the physical or concrete steps it takes to objectively measure it. The operational definition identifies an observable condition of the concept. By operationalizing a variable of the concept, all researchers can collect data in a systematic or replicable manner.

The operational definition must be valid, appropriate, and meaningful. And it must be reliable, meaning that results will be close to uniform when tested on more than one person. For example, “good drivers” might be defined in many ways: those who use their turn signals, those who don’t speed, or those who courteously allow others to merge. But these driving behaviors could be interpreted differently by different researchers and could be difficult to measure. Alternatively, “a driver who has never received a traffic violation” is a specific description that will lead researchers to obtain the same information, so it is an effective operational definition.

Research Existing Sources

The next step researchers undertake is to conduct background research through a literature review, which is a review of any existing similar or related studies. A visit to the library and a thorough online search will uncover existing research about the topic of study. This step helps researchers gain a broad understanding of work previously conducted on the topic at hand and enables them to position their own research to build on prior knowledge. Researchers—including student researchers—are responsible for correctly citing existing sources they use in a study or that inform their work. While it is fine to borrow previously published material (as long as it enhances a unique viewpoint), it must be referenced properly and never plagiarized.

To study hygiene and its value in a particular society, a researcher might sort through existing research and unearth studies about child-rearing, vanity, obsessive-compulsive behaviors, and cultural attitudes toward beauty. It’s important to sift through this information and determine what is relevant. Using existing sources educates researchers and helps refine and improve studies’ designs.

Formulate a Hypothesis

A hypothesis is an assumption about how two or more variables are related; it makes a conjectural statement about the relationship between those variables. In sociology, the hypothesis will often predict how one form of human behavior influences another. In research, independent variables are the cause of the change. The dependent variable is the effect, or thing that is changed.

For example, in a basic study, the researcher would establish one form of human behavior as the independent variable and observe the influence it has on a dependent variable. How does gender (the independent variable) affect rate of income (the dependent variable)? How does one’s religion (the independent variable) affect family size (the dependent variable)? How is social class (the dependent variable) affected by level of education (the independent variable)?

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Table 2.1 Examples of Dependent and Independent Variables Typically, the independent variable causes the dependent variable to change in some way.

Hypothesis IndependentVariable Dependent

Variable

The greater the availability of affordable housing, the lower the homeless rate. Affordable Housing Homeless Rate

The greater the availability of math tutoring, the higher the math grades. Math Tutoring Math Grades

The greater the police patrol presence, the safer the neighborhood.

Police Patrol Presence Safer Neighborhood

The greater the factory lighting, the higher the productivity. Factory Lighting Productivity

The greater the amount of observation, the higher the public awareness. Observation Public Awareness

At this point, a researcher’s operational definitions help measure the variables. In a study asking how tutoring improves grades, for instance, one researcher might define a “good” grade as a C or better, while another uses a B+ as a starting point for “good.” Another operational definition might describe “tutoring” as “one-on-one assistance by an expert in the field, hired by an educational institution.” Those definitions set limits and establish cut-off points that ensure consistency and replicability in a study.

As the table shows, an independent variable is the one that causes a dependent variable to change. For example, a researcher might hypothesize that teaching children proper hygiene (the independent variable) will boost their sense of self-esteem (the dependent variable). Or rephrased, a child’s sense of self-esteem depends, in part, on the quality and availability of hygienic resources.

Of course, this hypothesis can also work the other way around. Perhaps a sociologist believes that increasing a child’s sense of self-esteem (the independent variable) will automatically increase or improve habits of hygiene (now the dependent variable). Identifying the independent and dependent variables is very important. As the hygiene example shows, simply identifying two topics, or variables, is not enough; their prospective relationship must be part of the hypothesis.

Just because a sociologist forms an educated prediction of a study’s outcome doesn’t mean data contradicting the hypothesis aren’t welcome. Sociologists analyze general patterns in response to a study, but they are equally interested in exceptions to patterns. In a study of education, a researcher might predict that high school dropouts have a hard time finding rewarding careers. While it has become at least a cultural assumption that the higher the education, the higher the salary and degree of career happiness, there are certainly exceptions. People with little education have had stunning careers, and people with advanced degrees have had trouble finding work. A sociologist prepares a hypothesis knowing that results will vary.

Once the preliminary work is done, it’s time for the next research steps: designing and conducting a study and drawing conclusions. These research methods are discussed below.

Interpretive Framework While many sociologists rely on the scientific method as a research approach, others operate from an interpretive framework. While systematic, this approach doesn’t follow the hypothesis-testing model that seeks to find generalizable results. Instead, an interpretive framework, sometimes referred to as an interpretive perspective, seeks to understand social worlds from the point of view of participants, which leads to in-depth knowledge.

Interpretive research is generally more descriptive or narrative in its findings. Rather than formulating a hypothesis and method for testing it, an interpretive researcher will develop approaches to explore the topic at hand that may involve a significant amount of direct observation or interaction with subjects. This type of researcher also learns as he or she proceeds and sometimes adjusts the research methods or processes midway to optimize findings as they evolve.

2.2 Research Methods Sociologists examine the world, see a problem or interesting pattern, and set out to study it. They use research methods to design a study—perhaps a detailed, systematic, scientific method for conducting research and obtaining data, or perhaps

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an ethnographic study utilizing an interpretive framework. Planning the research design is a key step in any sociological study.

When entering a particular social environment, a researcher must be careful. There are times to remain anonymous and times to be overt. There are times to conduct interviews and times to simply observe. Some participants need to be thoroughly informed; others should not know they are being observed. A researcher wouldn’t stroll into a crime-ridden neighborhood at midnight, calling out, “Any gang members around?” And if a researcher walked into a coffee shop and told the employees they would be observed as part of a study on work efficiency, the self-conscious, intimidated baristas might not behave naturally. This is called the Hawthorne effect—where people change their behavior because they know they are being watched as part of a study. The Hawthorne effect is unavoidable in some research. In many cases, sociologists have to make the purpose of the study known. Subjects must be aware that they are being observed, and a certain amount of artificiality may result (Sonnenfeld 1985).

Making sociologists’ presence invisible is not always realistic for other reasons. That option is not available to a researcher studying prison behaviors, early education, or the Ku Klux Klan. Researchers can’t just stroll into prisons, kindergarten classrooms, or Klan meetings and unobtrusively observe behaviors. In situations like these, other methods are needed. All studies shape the research design, while research design simultaneously shapes the study. Researchers choose methods that best suit their study topics and that fit with their overall approaches to research.

In planning studies’ designs, sociologists generally choose from four widely used methods of social investigation: survey, field research, experiment, and secondary data analysis, or use of existing sources. Every research method comes with plusses and minuses, and the topic of study strongly influences which method or methods are put to use.

Surveys As a research method, a survey collects data from subjects who respond to a series of questions about behaviors and opinions, often in the form of a questionnaire. The survey is one of the most widely used scientific research methods. The standard survey format allows individuals a level of anonymity in which they can express personal ideas.

Figure 2.3 Questionnaires are a common research method; the U.S. Census is a well-known example. (Photo courtesy of Kathryn Decker/flickr)

At some point, most people in the United States respond to some type of survey. The U.S. Census is an excellent example of a large-scale survey intended to gather sociological data. Not all surveys are considered sociological research, however, and many surveys people commonly encounter focus on identifying marketing needs and strategies rather than testing a hypothesis or contributing to social science knowledge. Questions such as, “How many hot dogs do you eat in a month?” or “Were the staff helpful?” are not usually designed as scientific research. Often, polls on television do not reflect a general population, but are merely answers from a specific show’s audience. Polls conducted by programs such as American Idol or So You Think You Can Dance represent the opinions of fans but are not particularly scientific. A good contrast to these are the Nielsen Ratings, which determine the popularity of television programming through scientific market research.

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Figure 2.4 American Idol uses a real-time survey system—with numbers—that allows members in the audience to vote on contestants. (Photo courtesy of Sam Howzit/flickr)

Sociologists conduct surveys under controlled conditions for specific purposes. Surveys gather different types of information from people. While surveys are not great at capturing the ways people really behave in social situations, they are a great method for discovering how people feel and think—or at least how they say they feel and think. Surveys can track preferences for presidential candidates or reported individual behaviors (such as sleeping, driving, or texting habits) or factual information such as employment status, income, and education levels.

A survey targets a specific population, people who are the focus of a study, such as college athletes, international students, or teenagers living with type 1 (juvenile-onset) diabetes. Most researchers choose to survey a small sector of the population, or a sample: that is, a manageable number of subjects who represent a larger population. The success of a study depends on how well a population is represented by the sample. In a random sample, every person in a population has the same chance of being chosen for the study. According to the laws of probability, random samples represent the population as a whole. For instance, a Gallup Poll, if conducted as a nationwide random sampling, should be able to provide an accurate estimate of public opinion whether it contacts 2,000 or 10,000 people.

After selecting subjects, the researcher develops a specific plan to ask questions and record responses. It is important to inform subjects of the nature and purpose of the study up front. If they agree to participate, researchers thank subjects and offer them a chance to see the results of the study if they are interested. The researcher presents the subjects with an instrument, which is a means of gathering the information. A common instrument is a questionnaire, in which subjects answer a series of questions. For some topics, the researcher might ask yes-or-no or multiple-choice questions, allowing subjects to choose possible responses to each question. This kind of quantitative data—research collected in numerical form that can be counted—are easy to tabulate. Just count up the number of “yes” and “no” responses or correct answers, and chart them into percentages.

Questionnaires can also ask more complex questions with more complex answers—beyond “yes,” “no,” or the option next to a checkbox. In those cases, the answers are subjective and vary from person to person. How do plan to use your college education? Why do you follow Jimmy Buffett around the country and attend every concert? Those types of questions require short essay responses, and participants willing to take the time to write those answers will convey personal information about religious beliefs, political views, and morals. Some topics that reflect internal thought are impossible to observe directly and are difficult to discuss honestly in a public forum. People are more likely to share honest answers if they can respond to questions anonymously. This type of information is qualitative data—results that are subjective and often based on what is seen in a natural setting. Qualitative information is harder to organize and tabulate. The researcher will end up with a wide range of responses, some of which may be surprising. The benefit of written opinions, though, is the wealth of material that they provide.

An interview is a one-on-one conversation between the researcher and the subject, and it is a way of conducting surveys on a topic. Interviews are similar to the short-answer questions on surveys in that the researcher asks subjects a series of questions. However, participants are free to respond as they wish, without being limited by predetermined choices. In the back-and-forth conversation of an interview, a researcher can ask for clarification, spend more time on a subtopic, or ask additional questions. In an interview, a subject will ideally feel free to open up and answer questions that are often complex. There are no right or wrong answers. The subject might not even know how to answer the questions honestly.

Questions such as, “How did society’s view of alcohol consumption influence your decision whether or not to take your first sip of alcohol?” or “Did you feel that the divorce of your parents would put a social stigma on your family?” involve so many factors that the answers are difficult to categorize. A researcher needs to avoid steering or prompting the subject to respond in a specific way; otherwise, the results will prove to be unreliable. And, obviously, a sociological interview is

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not an interrogation. The researcher will benefit from gaining a subject’s trust, from empathizing or commiserating with a subject, and from listening without judgment.

Field Research The work of sociology rarely happens in limited, confined spaces. Sociologists seldom study subjects in their own offices or laboratories. Rather, sociologists go out into the world. They meet subjects where they live, work, and play. Field research refers to gathering primary data from a natural environment without doing a lab experiment or a survey. It is a research method suited to an interpretive framework rather than to the scientific method. To conduct field research, the sociologist must be willing to step into new environments and observe, participate, or experience those worlds. In field work, the sociologists, rather than the subjects, are the ones out of their element.

The researcher interacts with or observes a person or people and gathers data along the way. The key point in field research is that it takes place in the subject’s natural environment, whether it’s a coffee shop or tribal village, a homeless shelter or the DMV, a hospital, airport, mall, or beach resort.

Figure 2.5 Sociological researchers travel across countries and cultures to interact with and observe subjects in their natural environments. (Photo courtesy of IMLS Digital Collections and Content/flickr and Olympic National Park)

While field research often begins in a specific setting, the study’s purpose is to observe specific behaviors in that setting. Field work is optimal for observing how people behave. It is less useful, however, for understanding why they behave that way. You can’t really narrow down cause and effect when there are so many variables floating around in a natural environment.

Much of the data gathered in field research are based not on cause and effect but on correlation. And while field research looks for correlation, its small sample size does not allow for establishing a causal relationship between two variables.

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Making Connections: Sociology in the Real World

Parrotheads as Sociological Subjects

Figure 2.6 Business suits for the day job are replaced by leis and T-shirts for a Jimmy Buffett concert. (Photo courtesy of Sam Howzitt/flickr)

Some sociologists study small groups of people who share an identity in one aspect of their lives. Almost everyone belongs to a group of like-minded people who share an interest or hobby. Scientologists, folk dancers, or members of Mensa (an organization for people with exceptionally high IQs) express a specific part of their identity through their affiliation with a group. Those groups are often of great interest to sociologists.

Jimmy Buffett, an American musician who built a career from his single top-10 song “Margaritaville,” has a following of devoted groupies called Parrotheads. Some of them have taken fandom to the extreme, making Parrothead culture a lifestyle. In 2005, Parrotheads and their subculture caught the attention of researchers John Mihelich and John Papineau. The two saw the way Jimmy Buffett fans collectively created an artificial reality. They wanted to know how fan groups shape culture.

What Mihelich and Papineau found was that Parrotheads, for the most part, do not seek to challenge or even change society, as many sub-groups do. In fact, most Parrotheads live successfully within society, holding upper-level jobs in the corporate world. What they seek is escape from the stress of daily life.

At Jimmy Buffett concerts, Parrotheads engage in a form of role play. They paint their faces and dress for the tropics in grass skirts, Hawaiian leis, and Parrot hats. These fans don’t generally play the part of Parrotheads outside of these concerts; you are not likely to see a lone Parrothead in a bank or library. In that sense, Parrothead culture is less about individualism and more about conformity. Being a Parrothead means sharing a specific identity. Parrotheads feel connected to each other: it’s a group identity, not an individual one.

In their study, Mihelich and Papineau quote from a recent book by sociologist Richard Butsch, who writes, “un-self- conscious acts, if done by many people together, can produce change, even though the change may be unintended” (2000). Many Parrothead fan groups have performed good works in the name of Jimmy Buffett culture, donating to charities and volunteering their services.

However, the authors suggest that what really drives Parrothead culture is commercialism. Jimmy Buffett’s popularity was dying out in the 1980s until being reinvigorated after he signed a sponsorship deal with a beer company. These days, his concert tours alone generate nearly $30 million a year. Buffett made a lucrative career for himself by partnering with product companies and marketing Margaritaville in the form of T-shirts, restaurants, casinos, and an expansive line of products. Some fans accuse Buffett of selling out, while others admire his financial success. Buffett makes no secret of his commercial exploitations; from the stage, he’s been known to tell his fans, “Just remember, I am spending your money foolishly.”

Mihelich and Papineau gathered much of their information online. Referring to their study as a “Web ethnography,” they collected extensive narrative material from fans who joined Parrothead clubs and posted their experiences on websites. “We do not claim to have conducted a complete ethnography of Parrothead fans, or even of the Parrothead Web activity,” state the authors, “but we focused on particular aspects of Parrothead practice as revealed through Web

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research” (2005). Fan narratives gave them insight into how individuals identify with Buffett’s world and how fans used popular music to cultivate personal and collective meaning.

In conducting studies about pockets of culture, most sociologists seek to discover a universal appeal. Mihelich and Papineau stated, “Although Parrotheads are a relative minority of the contemporary US population, an in-depth look at their practice and conditions illuminate [sic] cultural practices and conditions many of us experience and participate in” (2005).

Here, we will look at three types of field research: participant observation, ethnography, and the case study.

Participant Observation

In 2000, a comic writer named Rodney Rothman wanted an insider’s view of white-collar work. He slipped into the sterile, high-rise offices of a New York “dot com” agency. Every day for two weeks, he pretended to work there. His main purpose was simply to see whether anyone would notice him or challenge his presence. No one did. The receptionist greeted him. The employees smiled and said good morning. Rothman was accepted as part of the team. He even went so far as to claim a desk, inform the receptionist of his whereabouts, and attend a meeting. He published an article about his experience in The New Yorker called “My Fake Job” (2000). Later, he was discredited for allegedly fabricating some details of the story and The New Yorker issued an apology. However, Rothman’s entertaining article still offered fascinating descriptions of the inside workings of a “dot com” company and exemplified the lengths to which a sociologist will go to uncover material.

Rothman had conducted a form of study called participant observation, in which researchers join people and participate in a group’s routine activities for the purpose of observing them within that context. This method lets researchers experience a specific aspect of social life. A researcher might go to great lengths to get a firsthand look into a trend, institution, or behavior. Researchers temporarily put themselves into roles and record their observations. A researcher might work as a waitress in a diner, live as a homeless person for several weeks, or ride along with police officers as they patrol their regular beat. Often, these researchers try to blend in seamlessly with the population they study, and they may not disclose their true identity or purpose if they feel it would compromise the results of their research.

Figure 2.7 Is she a working waitress or a sociologist conducting a study using participant observation? (Photo courtesy of zoetnet/flickr)

At the beginning of a field study, researchers might have a question: “What really goes on in the kitchen of the most popular diner on campus?” or “What is it like to be homeless?” Participant observation is a useful method if the researcher wants to explore a certain environment from the inside.

Field researchers simply want to observe and learn. In such a setting, the researcher will be alert and open minded to whatever happens, recording all observations accurately. Soon, as patterns emerge, questions will become more specific, observations will lead to hypotheses, and hypotheses will guide the researcher in shaping data into results.

In a study of small towns in the United States conducted by sociological researchers John S. Lynd and Helen Merrell Lynd, the team altered their purpose as they gathered data. They initially planned to focus their study on the role of religion in U.S. towns. As they gathered observations, they realized that the effect of industrialization and urbanization was the more relevant topic of this social group. The Lynds did not change their methods, but they revised their purpose.

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This shaped the structure of Middletown: A Study in Modern American Culture, their published results (Lynd and Lynd 1959).

The Lynds were upfront about their mission. The townspeople of Muncie, Indiana, knew why the researchers were in their midst. But some sociologists prefer not to alert people to their presence. The main advantage of covert participant observation is that it allows the researcher access to authentic, natural behaviors of a group’s members. The challenge, however, is gaining access to a setting without disrupting the pattern of others’ behavior. Becoming an inside member of a group, organization, or subculture takes time and effort. Researchers must pretend to be something they are not. The process could involve role playing, making contacts, networking, or applying for a job.

Once inside a group, some researchers spend months or even years pretending to be one of the people they are observing. However, as observers, they cannot get too involved. They must keep their purpose in mind and apply the sociological perspective. That way, they illuminate social patterns that are often unrecognized. Because information gathered during participant observation is mostly qualitative, rather than quantitative, the end results are often descriptive or interpretive. The researcher might present findings in an article or book and describe what he or she witnessed and experienced.

This type of research is what journalist Barbara Ehrenreich conducted for her book Nickel and Dimed. One day over lunch with her editor, as the story goes, Ehrenreich mentioned an idea. How can people exist on minimum-wage work? How do low-income workers get by? she wondered. Someone should do a study. To her surprise, her editor responded, Why don’t you do it?

That’s how Ehrenreich found herself joining the ranks of the working class. For several months, she left her comfortable home and lived and worked among people who lacked, for the most part, higher education and marketable job skills. Undercover, she applied for and worked minimum wage jobs as a waitress, a cleaning woman, a nursing home aide, and a retail chain employee. During her participant observation, she used only her income from those jobs to pay for food, clothing, transportation, and shelter.

She discovered the obvious, that it’s almost impossible to get by on minimum wage work. She also experienced and observed attitudes many middle and upper-class people never think about. She witnessed firsthand the treatment of working class employees. She saw the extreme measures people take to make ends meet and to survive. She described fellow employees who held two or three jobs, worked seven days a week, lived in cars, could not pay to treat chronic health conditions, got randomly fired, submitted to drug tests, and moved in and out of homeless shelters. She brought aspects of that life to light, describing difficult working conditions and the poor treatment that low-wage workers suffer.

Nickel and Dimed: On (Not) Getting By in America, the book she wrote upon her return to her real life as a well-paid writer, has been widely read and used in many college classrooms.

Figure 2.8 Field research happens in real locations. What type of environment do work spaces foster? What would a sociologist discover after blending in? (Photo courtesy of drewzhrodague/flickr)

Ethnography

Ethnography is the extended observation of the social perspective and cultural values of an entire social setting. Ethnographies involve objective observation of an entire community.

The heart of an ethnographic study focuses on how subjects view their own social standing and how they understand themselves in relation to a community. An ethnographic study might observe, for example, a small U.S. fishing town, an Inuit community, a village in Thailand, a Buddhist monastery, a private boarding school, or an amusement park. These

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Making Connections: Sociological Research

places all have borders. People live, work, study, or vacation within those borders. People are there for a certain reason and therefore behave in certain ways and respect certain cultural norms. An ethnographer would commit to spending a determined amount of time studying every aspect of the chosen place, taking in as much as possible.

A sociologist studying a tribe in the Amazon might watch the way villagers go about their daily lives and then write a paper about it. To observe a spiritual retreat center, an ethnographer might sign up for a retreat and attend as a guest for an extended stay, observe and record data, and collate the material into results.

Institutional Ethnography

Institutional ethnography is an extension of basic ethnographic research principles that focuses intentionally on everyday concrete social relationships. Developed by Canadian sociologist Dorothy E. Smith, institutional ethnography is often considered a feminist-inspired approach to social analysis and primarily considers women’s experiences within male- dominated societies and power structures. Smith’s work is seen to challenge sociology’s exclusion of women, both academically and in the study of women’s lives (Fenstermaker, n.d.).

Historically, social science research tended to objectify women and ignore their experiences except as viewed from the male perspective. Modern feminists note that describing women, and other marginalized groups, as subordinates helps those in authority maintain their own dominant positions (Social Sciences and Humanities Research Council of Canada, n.d.). Smith’s three major works explored what she called “the conceptual practices of power” (1990; cited in Fensternmaker, n.d.) and are still considered seminal works in feminist theory and ethnography.

The Making of Middletown: A Study in Modern U.S. Culture In 1924, a young married couple named Robert and Helen Lynd undertook an unprecedented ethnography: to apply sociological methods to the study of one U.S. city in order to discover what “ordinary” people in the United States did and believed. Choosing Muncie, Indiana (population about 30,000), as their subject, they moved to the small town and lived there for eighteen months.

Ethnographers had been examining other cultures for decades—groups considered minority or outsider—like gangs, immigrants, and the poor. But no one had studied the so-called average American.

Recording interviews and using surveys to gather data, the Lynds did not sugarcoat or idealize U.S. life (PBS). They objectively stated what they observed. Researching existing sources, they compared Muncie in 1890 to the Muncie they observed in 1924. Most Muncie adults, they found, had grown up on farms but now lived in homes inside the city. From that discovery, the Lynds focused their study on the impact of industrialization and urbanization.

They observed that Muncie was divided into business class and working class groups. They defined business class as dealing with abstract concepts and symbols, while working class people used tools to create concrete objects. The two classes led different lives with different goals and hopes. However, the Lynds observed, mass production offered both classes the same amenities. Like wealthy families, the working class was now able to own radios, cars, washing machines, telephones, vacuum cleaners, and refrigerators. This was an emerging material new reality of the 1920s.

As the Lynds worked, they divided their manuscript into six sections: Getting a Living, Making a Home, Training the Young, Using Leisure, Engaging in Religious Practices, and Engaging in Community Activities. Each chapter included subsections such as “The Long Arm of the Job” and “Why Do They Work So Hard?” in the “Getting a Living” chapter.

When the study was completed, the Lynds encountered a big problem. The Rockefeller Foundation, which had commissioned the book, claimed it was useless and refused to publish it. The Lynds asked if they could seek a publisher themselves.

Middletown: A Study in Modern American Culture was not only published in 1929 but also became an instant bestseller, a status unheard of for a sociological study. The book sold out six printings in its first year of publication, and has never gone out of print (PBS).

Nothing like it had ever been done before. Middletown was reviewed on the front page of the New York Times. Readers in the 1920s and 1930s identified with the citizens of Muncie, Indiana, but they were equally fascinated by

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the sociological methods and the use of scientific data to define ordinary people in the United States. The book was proof that social data was important—and interesting—to the U.S. public.

Figure 2.9 A classroom in Muncie, Indiana, in 1917, five years before John and Helen Lynd began researching this “typical” U.S. community. (Photo courtesy of Don O’Brien/flickr)

Case Study

Sometimes a researcher wants to study one specific person or event. A case study is an in-depth analysis of a single event, situation, or individual. To conduct a case study, a researcher examines existing sources like documents and archival records, conducts interviews, engages in direct observation and even participant observation, if possible.

Researchers might use this method to study a single case of, for example, a foster child, drug lord, cancer patient, criminal, or rape victim. However, a major criticism of the case study as a method is that a developed study of a single case, while offering depth on a topic, does not provide enough evidence to form a generalized conclusion. In other words, it is difficult to make universal claims based on just one person, since one person does not verify a pattern. This is why most sociologists do not use case studies as a primary research method.

However, case studies are useful when the single case is unique. In these instances, a single case study can add tremendous knowledge to a certain discipline. For example, a feral child, also called “wild child,” is one who grows up isolated from human beings. Feral children grow up without social contact and language, which are elements crucial to a “civilized” child’s development. These children mimic the behaviors and movements of animals, and often invent their own language. There are only about one hundred cases of “feral children” in the world.

As you may imagine, a feral child is a subject of great interest to researchers. Feral children provide unique information about child development because they have grown up outside of the parameters of “normal” child development. And since there are very few feral children, the case study is the most appropriate method for researchers to use in studying the subject.

At age three, a Ukranian girl named Oxana Malaya suffered severe parental neglect. She lived in a shed with dogs, and she ate raw meat and scraps. Five years later, a neighbor called authorities and reported seeing a girl who ran on all fours, barking. Officials brought Oxana into society, where she was cared for and taught some human behaviors, but she never became fully socialized. She has been designated as unable to support herself and now lives in a mental institution (Grice 2011). Case studies like this offer a way for sociologists to collect data that may not be collectable by any other method.

Experiments You’ve probably tested personal social theories. “If I study at night and review in the morning, I’ll improve my retention skills.” Or, “If I stop drinking soda, I’ll feel better.” Cause and effect. If this, then that. When you test the theory, your results either prove or disprove your hypothesis.

One way researchers test social theories is by conducting an experiment, meaning they investigate relationships to test a hypothesis—a scientific approach.

There are two main types of experiments: lab-based experiments and natural or field experiments. In a lab setting, the research can be controlled so that perhaps more data can be recorded in a certain amount of time. In a natural or field- based experiment, the generation of data cannot be controlled but the information might be considered more accurate since it was collected without interference or intervention by the researcher.

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As a research method, either type of sociological experiment is useful for testing if-then statements: if a particular thing happens, then another particular thing will result. To set up a lab-based experiment, sociologists create artificial situations that allow them to manipulate variables.

Classically, the sociologist selects a set of people with similar characteristics, such as age, class, race, or education. Those people are divided into two groups. One is the experimental group and the other is the control group. The experimental group is exposed to the independent variable(s) and the control group is not. To test the benefits of tutoring, for example, the sociologist might expose the experimental group of students to tutoring but not the control group. Then both groups would be tested for differences in performance to see if tutoring had an effect on the experimental group of students. As you can imagine, in a case like this, the researcher would not want to jeopardize the accomplishments of either group of students, so the setting would be somewhat artificial. The test would not be for a grade reflected on their permanent record, for example.

An Experiment in Action

Figure 2.10 Sociologist Frances Heussenstamm conducted an experiment to explore the correlation between traffic stops and race-based bumper stickers. This issue of racial profiling remains a hot-button topic today. (Photo courtesy of dwightsghost/flickr)

A real-life example will help illustrate the experiment process. In 1971, Frances Heussenstamm, a sociology professor at California State University at Los Angeles, had a theory about police prejudice. To test her theory she conducted an experiment. She chose fifteen students from three ethnic backgrounds: black, white, and Hispanic. She chose students who routinely drove to and from campus along Los Angeles freeway routes, and who’d had perfect driving records for longer than a year. Those were her independent variables—students, good driving records, same commute route.

Next, she placed a Black Panther bumper sticker on each car. That sticker, a representation of a social value, was the independent variable. In the 1970s, the Black Panthers were a revolutionary group actively fighting racism. Heussenstamm asked the students to follow their normal driving patterns. She wanted to see whether seeming support of the Black Panthers would change how these good drivers were treated by the police patrolling the highways. The dependent variable would be the number of traffic stops/citations.

The first arrest, for an incorrect lane change, was made two hours after the experiment began. One participant was pulled over three times in three days. He quit the study. After seventeen days, the fifteen drivers had collected a total of thirty-three traffic citations. The experiment was halted. The funding to pay traffic fines had run out, and so had the enthusiasm of the participants (Heussenstamm 1971).

Secondary Data Analysis While sociologists often engage in original research studies, they also contribute knowledge to the discipline through secondary data analysis. Secondary data don’t result from firsthand research collected from primary sources, but are the already completed work of other researchers. Sociologists might study works written by historians, economists, teachers, or early sociologists. They might search through periodicals, newspapers, or magazines from any period in history.

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Using available information not only saves time and money but can also add depth to a study. Sociologists often interpret findings in a new way, a way that was not part of an author’s original purpose or intention. To study how women were encouraged to act and behave in the 1960s, for example, a researcher might watch movies, televisions shows, and situation comedies from that period. Or to research changes in behavior and attitudes due to the emergence of television in the late 1950s and early 1960s, a sociologist would rely on new interpretations of secondary data. Decades from now, researchers will most likely conduct similar studies on the advent of mobile phones, the Internet, or Facebook.

Social scientists also learn by analyzing the research of a variety of agencies. Governmental departments and global groups, like the U.S. Bureau of Labor Statistics or the World Health Organization, publish studies with findings that are useful to sociologists. A public statistic like the foreclosure rate might be useful for studying the effects of the 2008 recession; a racial demographic profile might be compared with data on education funding to examine the resources accessible by different groups.

One of the advantages of secondary data is that it is nonreactive research (or unobtrusive research), meaning that it does not include direct contact with subjects and will not alter or influence people’s behaviors. Unlike studies requiring direct contact with people, using previously published data doesn’t require entering a population and the investment and risks inherent in that research process.

Using available data does have its challenges. Public records are not always easy to access. A researcher will need to do some legwork to track them down and gain access to records. To guide the search through a vast library of materials and avoid wasting time reading unrelated sources, sociologists employ content analysis, applying a systematic approach to record and value information gleaned from secondary data as they relate to the study at hand.

But, in some cases, there is no way to verify the accuracy of existing data. It is easy to count how many drunk drivers, for example, are pulled over by the police. But how many are not? While it’s possible to discover the percentage of teenage students who drop out of high school, it might be more challenging to determine the number who return to school or get their GED later.

Another problem arises when data are unavailable in the exact form needed or do not include the precise angle the researcher seeks. For example, the average salaries paid to professors at a public school is public record. But the separate figures don’t necessarily reveal how long it took each professor to reach the salary range, what their educational backgrounds are, or how long they’ve been teaching.

When conducting content analysis, it is important to consider the date of publication of an existing source and to take into account attitudes and common cultural ideals that may have influenced the research. For example, Robert S. Lynd and Helen Merrell Lynd gathered research for their book Middletown: A Study in Modern American Culture in the 1920s. Attitudes and cultural norms were vastly different then than they are now. Beliefs about gender roles, race, education, and work have changed significantly since then. At the time, the study’s purpose was to reveal the truth about small U.S. communities. Today, it is an illustration of 1920s’ attitudes and values.

2.3 Ethical Concerns Sociologists conduct studies to shed light on human behaviors. Knowledge is a powerful tool that can be used toward positive change. And while a sociologist’s goal is often simply to uncover knowledge rather than to spur action, many people use sociological studies to help improve people’s lives. In that sense, conducting a sociological study comes with a tremendous amount of responsibility. Like any researchers, sociologists must consider their ethical obligation to avoid harming subjects or groups while conducting their research.

The American Sociological Association, or ASA, is the major professional organization of sociologists in North America. The ASA is a great resource for students of sociology as well. The ASA maintains a code of ethics—formal guidelines for conducting sociological research—consisting of principles and ethical standards to be used in the discipline. It also describes procedures for filing, investigating, and resolving complaints of unethical conduct.

Practicing sociologists and sociology students have a lot to consider. Some of the guidelines state that researchers must try to be skillful and fair-minded in their work, especially as it relates to their human subjects. Researchers must obtain participants’ informed consent and inform subjects of the responsibilities and risks of research before they agree to partake. During a study, sociologists must ensure the safety of participants and immediately stop work if a subject becomes potentially endangered on any level.

Researchers are required to protect the privacy of research participants whenever possible. Even if pressured by authorities, such as police or courts, researchers are not ethically allowed to release confidential information. Researchers must make results available to other sociologists, must make public all sources of financial support, and must not accept funding from any organization that might cause a conflict of interest or seek to influence the research results for its own purposes. The ASA’s ethical considerations shape not only the study but also the publication of results.

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case study:

code of ethics:

content analysis:

correlation:

dependent variables:

empirical evidence:

ethnography:

experiment:

field research:

Hawthorne effect:

hypothesis:

independent variables:

interpretive framework:

interview:

literature review:

meta-analysis:

Pioneer German sociologist Max Weber (1864–1920) identified another crucial ethical concern. Weber understood that personal values could distort the framework for disclosing study results. While he accepted that some aspects of research design might be influenced by personal values, he declared it was entirely inappropriate to allow personal values to shape the interpretation of the responses. Sociologists, he stated, must establish value neutrality, a practice of remaining impartial, without bias or judgment, during the course of a study and in publishing results (1949). Sociologists are obligated to disclose research findings without omitting or distorting significant data.

Is value neutrality possible? Many sociologists believe it is impossible to set aside personal values and retain complete objectivity. They caution readers, rather, to understand that sociological studies may, by necessity, contain a certain amount of value bias. It does not discredit the results but allows readers to view them as one form of truth rather than a singular fact. Some sociologists attempt to remain uncritical and as objective as possible when studying cultural institutions. Value neutrality does not mean having no opinions. It means striving to overcome personal biases, particularly subconscious biases, when analyzing data. It means avoiding skewing data in order to match a predetermined outcome that aligns with a particular agenda, such as a political or moral point of view. Investigators are ethically obligated to report results, even when they contradict personal views, predicted outcomes, or widely accepted beliefs.

Chapter Review

Key Terms in-depth analysis of a single event, situation, or individual

a set of guidelines that the American Sociological Association has established to foster ethical research and professionally responsible scholarship in sociology

applying a systematic approach to record and value information gleaned from secondary data as it relates to the study at hand

when a change in one variable coincides with a change in another variable, but does not necessarily indicate causation

a variable changed by other variables

evidence that comes from direct experience, scientifically gathered data, or experimentation

observing a complete social setting and all that it entails

the testing of a hypothesis under controlled conditions

gathering data from a natural environment without doing a lab experiment or a survey

when study subjects behave in a certain manner due to their awareness of being observed by a researcher

a testable educated guess about predicted outcomes between two or more variables

variables that cause changes in dependent variables

a sociological research approach that seeks in-depth understanding of a topic or subject through observation or interaction; this approach is not based on hypothesis testing

a one-on-one conversation between the researcher and the subject

a scholarly research step that entails identifying and studying all existing studies on a topic to create a basis for new research

a technique in which the results of virtually all previous studies on a specific subject are evaluated together

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nonreactive research:

operational definitions:

participant observation:

population:

primary data:

qualitative data:

quantitative data:

random sample:

reliability:

samples:

scientific method:

secondary data analysis:

surveys:

validity:

value neutrality:

using secondary data, does not include direct contact with subjects and will not alter or influence people’s behaviors

specific explanations of abstract concepts that a researcher plans to study

when a researcher immerses herself in a group or social setting in order to make observations from an “insider” perspective

a defined group serving as the subject of a study

data that are collected directly from firsthand experience

comprise information that is subjective and often based on what is seen in a natural setting

represent research collected in numerical form that can be counted

a study’s participants being randomly selected to serve as a representation of a larger population

a measure of a study’s consistency that considers how likely results are to be replicated if a study is reproduced

small, manageable number of subjects that represent the population

an established scholarly research method that involves asking a question, researching existing sources, forming a hypothesis, designing and conducting a study, and drawing conclusions

using data collected by others but applying new interpretations

collect data from subjects who respond to a series of questions about behaviors and opinions, often in the form of a questionnaire

the degree to which a sociological measure accurately reflects the topic of study

a practice of remaining impartial, without bias or judgment during the course of a study and in publishing results

Section Summary

2.1 Approaches to Sociological Research Using the scientific method, a researcher conducts a study in five phases: asking a question, researching existing sources, formulating a hypothesis, conducting a study, and drawing conclusions. The scientific method is useful in that it provides a clear method of organizing a study. Some sociologists conduct research through an interpretive framework rather than employing the scientific method.

Scientific sociological studies often observe relationships between variables. Researchers study how one variable changes another. Prior to conducting a study, researchers are careful to apply operational definitions to their terms and to establish dependent and independent variables.

2.2 Research Methods Sociological research is a fairly complex process. As you can see, a lot goes into even a simple research design. There are many steps and much to consider when collecting data on human behavior, as well as in interpreting and analyzing data in order to form conclusive results. Sociologists use scientific methods for good reason. The scientific method provides a system of organization that helps researchers plan and conduct the study while ensuring that data and results are reliable, valid, and objective.

The many methods available to researchers—including experiments, surveys, field studies, and secondary data analysis—all come with advantages and disadvantages. The strength of a study can depend on the choice and implementation of the appropriate method of gathering research. Depending on the topic, a study might use a single method or a combination of methods. It is important to plan a research design before undertaking a study. The information

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gathered may in itself be surprising, and the study design should provide a solid framework in which to analyze predicted and unpredicted data.

Table 2.2 Main Sociological Research Methods Sociological research methods have advantages and disadvantages.

Method Implementation Advantages Challenges

Survey • Questionnaires

• Interviews

• Yields many responses

• Can survey a large sample

• Quantitative data are easy to chart

• Can be time consuming

• Can be difficult to encourage participant response

• Captures what people think and believe but not necessarily how they behave in real life

Field Work

• Observation

• Participant observation

• Ethnography

• Case study

• Yields detailed, accurate real-life information

• Time consuming

• Data captures how people behave but not what they think and believe

• Qualitative data is difficult to organize

Experiment • Deliberate manipulation

of social customs and mores

• Tests cause and effect relationships

• Hawthorne Effect

• Ethical concerns about people’s wellbeing

Secondary Data Analysis

• Analysis of government data (census, health, crime statistics)

• Research of historic documents

• Makes good use of previous sociological information

• Data could be focused on a purpose other than yours

• Data can be hard to find

2.3 Ethical Concerns Sociologists and sociology students must take ethical responsibility for any study they conduct. They must first and foremost guarantee the safety of their participants. Whenever possible, they must ensure that participants have been fully informed before consenting to be part of a study.

The ASA maintains ethical guidelines that sociologists must take into account as they conduct research. The guidelines address conducting studies, properly using existing sources, accepting funding, and publishing results.

Sociologists must try to maintain value neutrality. They must gather and analyze data objectively and set aside their personal preferences, beliefs, and opinions. They must report findings accurately, even if they contradict personal convictions.

Section Quiz

2.1 Approaches to Sociological Research 1. A measurement is considered ______ if it actually measures what it is intended to measure, according to the topic of the study.

a. reliable b. sociological c. valid d. quantitative

2. Sociological studies test relationships in which change in one ______ causes change in another. a. test subject b. behavior

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c. variable d. operational definition

3. In a study, a group of ten-year-old boys are fed doughnuts every morning for a week and then weighed to see how much weight they gained. Which factor is the dependent variable?

a. The doughnuts b. The boys c. The duration of a week d. The weight gained

4. Which statement provides the best operational definition of “childhood obesity”? a. Children who eat unhealthy foods and spend too much time watching television and playing video games b. A distressing trend that can lead to health issues including type 2 diabetes and heart disease c. Body weight at least 20 percent higher than a healthy weight for a child of that height d. The tendency of children today to weigh more than children of earlier generations

2.2 Research Methods 5. Which materials are considered secondary data?

a. Photos and letters given to you by another person b. Books and articles written by other authors about their studies c. Information that you have gathered and now have included in your results d. Responses from participants whom you both surveyed and interviewed

6. What method did researchers John Mihelich and John Papineau use to study Parrotheads? a. Survey b. Experiment c. Web Ethnography d. Case study

7. Why is choosing a random sample an effective way to select participants? a. Participants do not know they are part of a study b. The researcher has no control over who is in the study c. It is larger than an ordinary sample d. Everyone has the same chance of being part of the study

8. What research method did John S. Lynd and Helen Merrell Lynd mainly use in their Middletown study? a. Secondary data b. Survey c. Participant observation d. Experiment

9. Which research approach is best suited to the scientific method? a. Questionnaire b. Case study c. Ethnography d. Secondary data analysis

10. The main difference between ethnography and other types of participant observation is: a. ethnography isn’t based on hypothesis testing b. ethnography subjects are unaware they’re being studied c. ethnographic studies always involve minority ethnic groups d. ethnography focuses on how subjects view themselves in relationship to the community

11. Which best describes the results of a case study? a. It produces more reliable results than other methods because of its depth b. Its results are not generally applicable c. It relies solely on secondary data analysis d. All of the above

12. Using secondary data is considered an unobtrusive or ________ research method. a. nonreactive b. nonparticipatory c. nonrestrictive

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d. nonconfrontive

2.3 Ethical Concerns 13. Which statement illustrates value neutrality?

a. Obesity in children is obviously a result of parental neglect and, therefore, schools should take a greater role to prevent it

b. In 2003, states like Arkansas adopted laws requiring elementary schools to remove soft drink vending machines from schools

c. Merely restricting children’s access to junk food at school is not enough to prevent obesity d. Physical activity and healthy eating are a fundamental part of a child’s education

14. Which person or organization defined the concept of value neutrality? a. Institutional Review Board (IRB) b. Peter Rossi c. American Sociological Association (ASA) d. Max Weber

15. To study the effects of fast food on lifestyle, health, and culture, from which group would a researcher ethically be unable to accept funding?

a. A fast-food restaurant b. A nonprofit health organization c. A private hospital d. A governmental agency like Health and Social Services

Short Answer

2.1 Approaches to Sociological Research 1. Write down the first three steps of the scientific method. Think of a broad topic that you are interested in and which would make a good sociological study—for example, ethnic diversity in a college, homecoming rituals, athletic scholarships, or teen driving. Now, take that topic through the first steps of the process. For each step, write a few sentences or a paragraph: 1) Ask a question about the topic. 2) Do some research and write down the titles of some articles or books you’d want to read about the topic. 3) Formulate a hypothesis.

2.2 Research Methods 2. What type of data do surveys gather? For what topics would surveys be the best research method? What drawbacks might you expect to encounter when using a survey? To explore further, ask a research question and write a hypothesis. Then create a survey of about six questions relevant to the topic. Provide a rationale for each question. Now define your population and create a plan for recruiting a random sample and administering the survey.

3. Imagine you are about to do field research in a specific place for a set time. Instead of thinking about the topic of study itself, consider how you, as the researcher, will have to prepare for the study. What personal, social, and physical sacrifices will you have to make? How will you manage your personal effects? What organizational equipment and systems will you need to collect the data?

4. Create a brief research design about a topic in which you are passionately interested. Now write a letter to a philanthropic or grant organization requesting funding for your study. How can you describe the project in a convincing yet realistic and objective way? Explain how the results of your study will be a relevant contribution to the body of sociological work already in existence.

2.3 Ethical Concerns 5. Why do you think the ASA crafted such a detailed set of ethical principles? What type of study could put human participants at risk? Think of some examples of studies that might be harmful. Do you think that, in the name of sociology, some researchers might be tempted to cross boundaries that threaten human rights? Why?

6. Would you willingly participate in a sociological study that could potentially put your health and safety at risk, but had the potential to help thousands or even hundreds of thousands of people? For example, would you participate in a study of a new drug that could cure diabetes or cancer, even if it meant great inconvenience and physical discomfort for you or possible permanent damage?

Further Research

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2.1 Approaches to Sociological Research For a historical perspective on the scientific method in sociology, read “The Elements of Scientific Method in Sociology” by F. Stuart Chapin (1914) in the American Journal of Sociology: http://openstaxcollege.org/l/Method-in-Sociology (http://openstaxcollege.org/l/Method-in-Sociology)

2.2 Research Methods For information on current real-world sociology experiments, visit: http://openstaxcollege.org/l/Sociology-Experiments (http://openstaxcollege.org/l/Sociology-Experiments)

2.3 Ethical Concerns Founded in 1905, the ASA is a nonprofit organization located in Washington, DC, with a membership of 14,000 researchers, faculty members, students, and practitioners of sociology. Its mission is “to articulate policy and implement programs likely to have the broadest possible impact for sociology now and in the future.” Learn more about this organization at http://openstaxcollege.org/l/ASA (http://openstaxcollege.org/l/ASA) .

References

2.0 Introduction to Sociological Research Arkowitz, Hal, and Scott O. Lilienfeld. 2009. “Lunacy and the Full Moon: Does a full moon really trigger strange behavior?” Scientific American. Retrieved December 30, 2014 (http://www.scientificamerican.com/article/lunacy-and-the- full-moon/ (http://www.scientificamerican.com/article/lunacy-and-the-full-moon/) ).

Rotton, James, and Ivan W. Kelly. 1985. “Much Ado about the Full Moon: A Meta-analysis of Lunar-Lunacy Research.” Psychological Bulletin 97 (no. 2): 286–306.

2.1 Approaches to Sociological Research Arkowitz, Hal, and Scott O. Lilienfeld. 2009. “Lunacy and the Full Moon: Does a full moon really trigger strange behavior?” Scientific American. Retrieved October 20, 2014 (http://www.scientificamerican.com/article/lunacy-and-the- full-moon (http://www.scientificamerican.com/article/lunacy-and-the-full-moon/) ).

Berger, Peter L. 1963. Invitation to Sociology: A Humanistic Perspective. New York: Anchor Books.

Merton, Robert. 1968 [1949]. Social Theory and Social Structure. New York: Free Press.

“Scientific Method Lab,” the University of Utah, http://aspire.cosmic-ray.org/labs/scientific_method/ sci_method_main.html (http://aspire.cosmic-ray.org/labs/scientific_method/sci_method_main.html) .

2.2 Research Methods Butsch, Richard. 2000. The Making of American Audiences: From Stage to Television, 1750–1990. Cambridge: Cambridge UP.

Caplow, Theodore, Louis Hicks, and Ben Wattenberg. 2000. “The First Measured Century: Middletown.” The First Measured Century. PBS. Retrieved February 23, 2012 (http://www.pbs.org/fmc/index.htm (http://www.pbs.org/fmc/ index.htm) ).

Durkheim, Émile. 1966 [1897]. Suicide. New York: Free Press.

Fenstermaker, Sarah. n.d. “Dorothy E. Smith Award Statement” American Sociological Association. Retrieved October 19, 2014 (http://www.asanet.org/about/awards/duboiscareer/smith.cfm (http://www.asanet.org/about/awards/duboiscareer/ smith.cfm) ).

Franke, Richard, and James Kaul. 1978. “The Hawthorne Experiments: First Statistical Interpretation.” American Sociological Review 43(5):632–643.

Grice, Elizabeth. “Cry of an Enfant Sauvage.” The Telegraph. Retrieved July 20, 2011 (http://www.telegraph.co.uk/ culture/tvandradio/3653890/Cry-of-an-enfant-sauvage.html (http://www.telegraph.co.uk/culture/tvandradio/3653890/Cry- of-an-enfant-sauvage.html) ).

Heussenstamm, Frances K. 1971. “Bumper Stickers and Cops” Trans-action: Social Science and Modern Society 4:32–33.

Chapter 2 | Sociological Research 49http://openstaxcollege.org/l/Method-in-Sociologyhttp://openstaxcollege.org/l/Method-in-Sociologyhttp://openstaxcollege.org/l/Sociology-Experimentshttp://openstaxcollege.org/l/Sociology-Experimentshttp://openstaxcollege.org/l/ASAhttp://www.scientificamerican.com/article/lunacy-and-the-full-moon/http://www.scientificamerican.com/article/lunacy-and-the-full-moon/http://www.scientificamerican.com/article/lunacy-and-the-full-moon/http://www.scientificamerican.com/article/lunacy-and-the-full-moon/http://aspire.cosmic-ray.org/labs/scientific_method/sci_method_main.htmlhttp://aspire.cosmic-ray.org/labs/scientific_method/sci_method_main.htmlhttp://www.pbs.org/fmc/index.htmhttp://www.pbs.org/fmc/index.htmhttp://www.asanet.org/about/awards/duboiscareer/smith.cfmhttp://www.asanet.org/about/awards/duboiscareer/smith.cfmhttp://www.telegraph.co.uk/culture/tvandradio/3653890/Cry-of-an-enfant-sauvage.htmlhttp://www.telegraph.co.uk/culture/tvandradio/3653890/Cry-of-an-enfant-sauvage.htmlhttp://www.telegraph.co.uk/culture/tvandradio/3653890/Cry-of-an-enfant-sauvage.html

Igo, Sarah E. 2008. The Averaged American: Surveys, Citizens, and the Making of a Mass Public. Cambridge, MA: Harvard University Press.

Lynd, Robert S., and Helen Merrell Lynd. 1959. Middletown: A Study in Modern American Culture. San Diego, CA: Harcourt Brace Javanovich.

Lynd, Staughton. 2005. “Making Middleton.” Indiana Magazine of History 101(3):226–238.

Mihelich, John, and John Papineau. Aug 2005. “Parrotheads in Margaritaville: Fan Practice, Oppositional Culture, and Embedded Cultural Resistance in Buffett Fandom.” Journal of Popular Music Studies 17(2):175–202.

Pew Research Center. 2014. “Ebola Worries Rise, But Most Are ‘Fairly’ Confident in Government, Hospitals to Deal with Disease: Broad Support for U.S. Efforts to Deal with Ebola in West Africa.” Pew Research Center for the People & the Press, October 21. Retrieved October 25, 2014 (http://www.people-press.org/2014/10/21/ebola-worries-rise-but-most-are- fairly-confident-in-government-hospitals-to-deal-with-disease/ (http://www.people-press.org/2014/10/21/ebola-worries- rise-but-most-are-fairly-confident-in-government-hospitals-to-deal-with-disease/) ).

Rothman, Rodney. 2000. “My Fake Job.” Pp. 120 in The New Yorker, November 27.

Social Sciences and Humanities Research Council of Canada. n.d. “Institutional Ethnography.” Retrieved October 19, 2014 (http://web.uvic.ca/~mariecam/kgSite/institutionalEthnography.html (http://web.uvic.ca/~mariecam/kgSite/ institutionalEthnography.html) ).

Sonnenfeld, Jeffery A. 1985. “Shedding Light on the Hawthorne Studies.” Journal of Occupational Behavior 6:125.

2.3 Ethical Concerns Code of Ethics. 1999. American Sociological Association. Retrieved July 1, 2011 (http://www.asanet.org/about/ethics.cfm (http://www.asanet.org/about/ethics.cfm) ).

Rossi, Peter H. 1987. “No Good Applied Social Research Goes Unpunished.” Society 25(1):73–79.

Weber, Max. 1949. Methodology of the Social Sciences. Translated by H. Shils and E. Finch. Glencoe, IL: Free Press.

2C4C6C8C10A12A14D

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3 Culture

Figure 3.1 People adhere to various rules and standards that are created and maintained in culture, such as giving a high five to someone. (Photo courtesy of Chris Barnes/flickr)

Learning Objectives 3.1. What Is Culture?

• Differentiate between culture and society

• Explain material versus nonmaterial culture

• Discuss the concept of cultural universalism as it relates to society

• Compare and contrast ethnocentrism and xenocentrism

3.2. Elements of Culture • Understand how values and beliefs differ from norms

• Explain the significance of symbols and language to a culture

• Explain the Sapir-Whorf hypothesis

• Discuss the role of social control within culture

3.3. Pop Culture, Subculture, and Cultural Change • Discuss the roles of both high culture and pop culture within society

• Differentiate between subculture and counterculture

• Explain the role of innovation, invention, and discovery in culture

• Understand the role of cultural lag and globalization in cultural change

3.4. Theoretical Perspectives on Culture • Discuss the major theoretical approaches to cultural interpretation

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Introduction to Culture What are the rules when you pass an acquaintance at school, work, in the grocery store, or in the mall? Generally, we do not consider all of the intricacies of the rules of behavior. We may simply say, “Hello!” and ask, “How was your weekend?” or some other trivial question meant to be a friendly greeting. Rarely do we physically embrace or even touch the individual. In fact, doing so may be viewed with scorn or distaste, since as people in the United States we have fairly rigid rules about personal space. However, we all adhere to various rules and standards that are created and maintained in culture. These rules and expectations have meaning, and there are ways in which you may violate this negotiation. Consider what would happen if you stopped and informed everyone who said, “Hi, how are you?” exactly how you were doing that day, and in detail. You would more than likely violate rules of culture and specifically greeting. Perhaps in a different culture the question would be more literal, and it may require a response. Or if you are having coffee with a good friend, perhaps that question warrants a more detailed response. These examples are all aspects of culture, which is shared beliefs, values, and practices, that participants must learn. Sociologically, we examine in what situation and context certain behavior is expected, and in which situations perhaps it is not. These rules are created and enforced by people who interact and share culture.

In everyday conversation, people rarely distinguish between the terms culture and society, but the terms have slightly different meanings, and the distinction is important to a sociologist. A society describes a group of people who share a community and a culture. By “community,” sociologists refer to a definable region—as small as a neighborhood (Brooklyn, or “the east side of town”), as large as a country (Ethiopia, the United States, or Nepal), or somewhere in between (in the United States, this might include someone who identifies with Southern or Midwestern society). To clarify, a culture represents the beliefs and practices of a group, while society represents the people who share those beliefs and practices. Neither society nor culture could exist without the other. In this chapter, we examine the relationship between culture and society in greater detail and pay special attention to the elements and forces that shape culture, including diversity and cultural changes. A final discussion touches on the different theoretical perspectives from which sociologists research culture.

3.1 What Is Culture? Humans are social creatures. Since the dawn of Homo sapiens nearly 250,000 years ago, people have grouped together into communities in order to survive. Living together, people form common habits and behaviors—from specific methods of childrearing to preferred techniques for obtaining food. In modern-day Paris, many people shop daily at outdoor markets to pick up what they need for their evening meal, buying cheese, meat, and vegetables from different specialty stalls. In the United States, the majority of people shop once a week at supermarkets, filling large carts to the brim. How would a Parisian perceive U.S. shopping behaviors that Americans take for granted?

Almost every human behavior, from shopping to marriage to expressions of feelings, is learned. In the United States, people tend to view marriage as a choice between two people, based on mutual feelings of love. In other nations and in other times, marriages have been arranged through an intricate process of interviews and negotiations between entire families, or in other cases, through a direct system, such as a “mail order bride.” To someone raised in New York City, the marriage customs of a family from Nigeria may seem strange or even wrong. Conversely, someone from a traditional Kolkata family might be perplexed with the idea of romantic love as the foundation for marriage and lifelong commitment. In other words, the way in which people view marriage depends largely on what they have been taught.

Behavior based on learned customs is not a bad thing. Being familiar with unwritten rules helps people feel secure and “normal.” Most people want to live their daily lives confident that their behaviors will not be challenged or disrupted. But even an action as seemingly simple as commuting to work evidences a great deal of cultural propriety.

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Figure 3.2 How would a visitor from the suburban United States act and feel on this crowded Tokyo train? (Photo courtesy of simonglucas/flickr)

Take the case of going to work on public transportation. Whether people are commuting in Dublin, Cairo, Mumbai, or San Francisco, many behaviors will be the same, but significant differences also arise between cultures. Typically, a passenger will find a marked bus stop or station, wait for his bus or train, pay an agent before or after boarding, and quietly take a seat if one is available. But when boarding a bus in Cairo, passengers might have to run, because buses there often do not come to a full stop to take on patrons. Dublin bus riders would be expected to extend an arm to indicate that they want the bus to stop for them. And when boarding a commuter train in Mumbai, passengers must squeeze into overstuffed cars amid a lot of pushing and shoving on the crowded platforms. That kind of behavior would be considered the height of rudeness in the United States, but in Mumbai it reflects the daily challenges of getting around on a train system that is taxed to capacity.

In this example of commuting, culture consists of thoughts (expectations about personal space, for example) and tangible things (bus stops, trains, and seating capacity). Material culture refers to the objects or belongings of a group of people. Metro passes and bus tokens are part of material culture, as are automobiles, stores, and the physical structures where people worship. Nonmaterial culture, in contrast, consists of the ideas, attitudes, and beliefs of a society. Material and nonmaterial aspects of culture are linked, and physical objects often symbolize cultural ideas. A metro pass is a material object, but it represents a form of nonmaterial culture, namely, capitalism, and the acceptance of paying for transportation. Clothing, hairstyles, and jewelry are part of material culture, but the appropriateness of wearing certain clothing for specific events reflects nonmaterial culture. A school building belongs to material culture, but the teaching methods and educational standards are part of education’s nonmaterial culture. These material and nonmaterial aspects of culture can vary subtly from region to region. As people travel farther afield, moving from different regions to entirely different parts of the world, certain material and nonmaterial aspects of culture become dramatically unfamiliar. What happens when we encounter different cultures? As we interact with cultures other than our own, we become more aware of the differences and commonalities between others’ worlds and our own.

Cultural Universals Often, a comparison of one culture to another will reveal obvious differences. But all cultures also share common elements. Cultural universals are patterns or traits that are globally common to all societies. One example of a cultural universal is the family unit: every human society recognizes a family structure that regulates sexual reproduction and the care of children. Even so, how that family unit is defined and how it functions vary. In many Asian cultures, for example, family members from all generations commonly live together in one household. In these cultures, young adults continue to live in the extended household family structure until they marry and join their spouse’s household, or they may remain and raise their nuclear family within the extended family’s homestead. In the United States, by contrast, individuals are expected to leave home and live independently for a period before forming a family unit that consists of parents and their offspring. Other cultural universals include customs like funeral rites, weddings, and celebrations of births. However, each culture may view the ceremonies quite differently.

Anthropologist George Murdock first recognized the existence of cultural universals while studying systems of kinship around the world. Murdock found that cultural universals often revolve around basic human survival, such as finding food, clothing, and shelter, or around shared human experiences, such as birth and death or illness and healing. Through his research, Murdock identified other universals including language, the concept of personal names, and, interestingly, jokes. Humor seems to be a universal way to release tensions and create a sense of unity among people (Murdock 1949).

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Making Connections: Sociological Research

Sociologists consider humor necessary to human interaction because it helps individuals navigate otherwise tense situations.

Is Music a Cultural Universal? Imagine that you are sitting in a theater, watching a film. The movie opens with the heroine sitting on a park bench with a grim expression on her face. Cue the music. The first slow and mournful notes play in a minor key. As the melody continues, the heroine turns her head and sees a man walking toward her. The music slowly gets louder, and the dissonance of the chords sends a prickle of fear running down your spine. You sense that the heroine is in danger.

Now imagine that you are watching the same movie, but with a different soundtrack. As the scene opens, the music is soft and soothing, with a hint of sadness. You see the heroine sitting on the park bench and sense her loneliness. Suddenly, the music swells. The woman looks up and sees a man walking toward her. The music grows fuller, and the pace picks up. You feel your heart rise in your chest. This is a happy moment.

Music has the ability to evoke emotional responses. In television shows, movies, even commercials, music elicits laughter, sadness, or fear. Are these types of musical cues cultural universals?

In 2009, a team of psychologists, led by Thomas Fritz of the Max Planck Institute for Human Cognitive and Brain Sciences in Leipzig, Germany, studied people’s reactions to music that they’d never heard (Fritz et al. 2009). The research team traveled to Cameroon, Africa, and asked Mafa tribal members to listen to Western music. The tribe, isolated from Western culture, had never been exposed to Western culture and had no context or experience within which to interpret its music. Even so, as the tribal members listened to a Western piano piece, they were able to recognize three basic emotions: happiness, sadness, and fear. Music, it turns out, is a sort of universal language.

Researchers also found that music can foster a sense of wholeness within a group. In fact, scientists who study the evolution of language have concluded that originally language (an established component of group identity) and music were one (Darwin 1871). Additionally, since music is largely nonverbal, the sounds of music can cross societal boundaries more easily than words. Music allows people to make connections, where language might be a more difficult barricade. As Fritz and his team found, music and the emotions it conveys can be cultural universals.

Ethnocentrism and Cultural Relativism Despite how much humans have in common, cultural differences are far more prevalent than cultural universals. For example, while all cultures have language, analysis of particular language structures and conversational etiquette reveal tremendous differences. In some Middle Eastern cultures, it is common to stand close to others in conversation. North Americans keep more distance and maintain a large “personal space.” Even something as simple as eating and drinking varies greatly from culture to culture. If your professor comes into an early morning class holding a mug of liquid, what do you assume she is drinking? In the United States, it’s most likely filled with coffee, not Earl Grey tea, a favorite in England, or Yak Butter tea, a staple in Tibet.

The way cuisines vary across cultures fascinates many people. Some travelers pride themselves on their willingness to try unfamiliar foods, like celebrated food writer Anthony Bourdain, while others return home expressing gratitude for their native culture’s fare. Often, people in the United States express disgust at other cultures’ cuisine and think that it’s gross to eat meat from a dog or guinea pig, for example, while they don’t question their own habit of eating cows or pigs. Such attitudes are an example of ethnocentrism, or evaluating and judging another culture based on how it compares to one’s own cultural norms. Ethnocentrism, as sociologist William Graham Sumner (1906) described the term, involves a belief or attitude that one’s own culture is better than all others. Almost everyone is a little bit ethnocentric. For example, Americans tend to say that people from England drive on the “wrong” side of the road, rather than on the “other” side. Someone from a country where dog meat is standard fare might find it off-putting to see a dog in a French restaurant—not on the menu, but as a pet and patron’s companion. A good example of ethnocentrism is referring to parts of Asia as the “Far East.” One might question, “Far east of where?”

A high level of appreciation for one’s own culture can be healthy; a shared sense of community pride, for example, connects people in a society. But ethnocentrism can lead to disdain or dislike for other cultures and could cause misunderstanding and conflict. People with the best intentions sometimes travel to a society to “help” its people, because they see them as uneducated or backward—essentially inferior. In reality, these travelers are guilty of cultural imperialism, the deliberate imposition of one’s own cultural values on another culture. Europe’s colonial expansion,

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Making Connections: Sociology in the Real World

begun in the sixteenth century, was often accompanied by a severe cultural imperialism. European colonizers often viewed the people in the lands they colonized as uncultured savages who were in need of European governance, dress, religion, and other cultural practices. A more modern example of cultural imperialism may include the work of international aid agencies who introduce agricultural methods and plant species from developed countries while overlooking indigenous varieties and agricultural approaches that are better suited to the particular region.

Ethnocentrism can be so strong that when confronted with all of the differences of a new culture, one may experience disorientation and frustration. In sociology, we call this culture shock. A traveler from Chicago might find the nightly silence of rural Montana unsettling, not peaceful. An exchange student from China might be annoyed by the constant interruptions in class as other students ask questions—a practice that is considered rude in China. Perhaps the Chicago traveler was initially captivated with Montana’s quiet beauty and the Chinese student was originally excited to see a U.S.- style classroom firsthand. But as they experience unanticipated differences from their own culture, their excitement gives way to discomfort and doubts about how to behave appropriately in the new situation. Eventually, as people learn more about a culture, they recover from culture shock.

Culture shock may appear because people aren’t always expecting cultural differences. Anthropologist Ken Barger (1971) discovered this when he conducted a participatory observation in an Inuit community in the Canadian Arctic. Originally from Indiana, Barger hesitated when invited to join a local snowshoe race. He knew he’d never hold his own against these experts. Sure enough, he finished last, to his mortification. But the tribal members congratulated him, saying, “You really tried!” In Barger’s own culture, he had learned to value victory. To the Inuit people, winning was enjoyable, but their culture valued survival skills essential to their environment: how hard someone tried could mean the difference between life and death. Over the course of his stay, Barger participated in caribou hunts, learned how to take shelter in winter storms, and sometimes went days with little or no food to share among tribal members. Trying hard and working together, two nonmaterial values, were indeed much more important than winning.

During his time with the Inuit tribe, Barger learned to engage in cultural relativism. Cultural relativism is the practice of assessing a culture by its own standards rather than viewing it through the lens of one’s own culture. Practicing cultural relativism requires an open mind and a willingness to consider, and even adapt to, new values and norms. However, indiscriminately embracing everything about a new culture is not always possible. Even the most culturally relativist people from egalitarian societies—ones in which women have political rights and control over their own bodies—would question whether the widespread practice of female genital mutilation in countries such as Ethiopia and Sudan should be accepted as a part of cultural tradition. Sociologists attempting to engage in cultural relativism, then, may struggle to reconcile aspects of their own culture with aspects of a culture that they are studying.

Sometimes when people attempt to rectify feelings of ethnocentrism and develop cultural relativism, they swing too far to the other end of the spectrum. Xenocentrism is the opposite of ethnocentrism, and refers to the belief that another culture is superior to one’s own. (The Greek root word xeno, pronounced “ZEE-no,” means “stranger” or “foreign guest.”) An exchange student who goes home after a semester abroad or a sociologist who returns from the field may find it difficult to associate with the values of their own culture after having experienced what they deem a more upright or nobler way of living.

Perhaps the greatest challenge for sociologists studying different cultures is the matter of keeping a perspective. It is impossible for anyone to keep all cultural biases at bay; the best we can do is strive to be aware of them. Pride in one’s own culture doesn’t have to lead to imposing its values on others. And an appreciation for another culture shouldn’t preclude individuals from studying it with a critical eye.

Overcoming Culture Shock During her summer vacation, Caitlin flew from Chicago to Madrid to visit Maria, the exchange student she’d befriended the previous semester. In the airport, she heard rapid, musical Spanish being spoken all around her. Exciting as it was, she felt isolated and disconnected. Maria’s mother kissed Caitlin on both cheeks when she greeted her. Her imposing father kept his distance. Caitlin was half asleep by the time supper was served—at 10 p.m.! Maria’s family sat at the table for hours, speaking loudly, gesturing, and arguing about politics, a taboo dinner subject in Caitlin’s house. They served wine and toasted their honored guest. Caitlin had trouble interpreting her hosts’ facial expressions, and didn’t realize she should make the next toast. That night, Caitlin crawled into a strange bed, wishing she hadn’t come. She missed her home and felt overwhelmed by the new customs, language, and surroundings. She’d studied Spanish in school for years—why hadn’t it prepared her for this?

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What Caitlin hadn’t realized was that people depend not only on spoken words but also on subtle cues like gestures and facial expressions, to communicate. Cultural norms accompany even the smallest nonverbal signals (DuBois 1951). They help people know when to shake hands, where to sit, how to converse, and even when to laugh. We relate to others through a shared set of cultural norms, and ordinarily, we take them for granted.

For this reason, culture shock is often associated with traveling abroad, although it can happen in one’s own country, state, or even hometown. Anthropologist Kalervo Oberg (1960) is credited with first coining the term “culture shock.” In his studies, Oberg found that most people found encountering a new culture to be exciting at first. But bit by bit, they became stressed by interacting with people from a different culture who spoke another language and used different regional expressions. There was new food to digest, new daily schedules to follow, and new rules of etiquette to learn. Living with this constant stress can make people feel incompetent and insecure. People react to frustration in a new culture, Oberg found, by initially rejecting it and glorifying one’s own culture. An American visiting Italy might long for a “real” pizza or complain about the unsafe driving habits of Italians compared to people in the United States.

It helps to remember that culture is learned. Everyone is ethnocentric to an extent, and identifying with one’s own country is natural.

Caitlin’s shock was minor compared to that of her friends Dayar and Mahlika, a Turkish couple living in married student housing on campus. And it was nothing like that of her classmate Sanai. Sanai had been forced to flee war- torn Bosnia with her family when she was fifteen. After two weeks in Spain, Caitlin had developed a bit more compassion and understanding for what those people had gone through. She understood that adjusting to a new culture takes time. It can take weeks or months to recover from culture shock, and it can take years to fully adjust to living in a new culture.

By the end of Caitlin’s trip, she’d made new lifelong friends. She’d stepped out of her comfort zone. She’d learned a lot about Spain, but she’d also discovered a lot about herself and her own culture.

Figure 3.3 Experiencing new cultures offers an opportunity to practice cultural relativism. (Photo courtesy of OledSidorenko/flickr)

3.2 Elements of Culture Values and Beliefs The first, and perhaps most crucial, elements of culture we will discuss are its values and beliefs. Values are a culture’s standard for discerning what is good and just in society. Values are deeply embedded and critical for transmitting and teaching a culture’s beliefs. Beliefs are the tenets or convictions that people hold to be true. Individuals in a society have specific beliefs, but they also share collective values. To illustrate the difference, Americans commonly believe in the American Dream—that anyone who works hard enough will be successful and wealthy. Underlying this belief is the American value that wealth is good and important.

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Values help shape a society by suggesting what is good and bad, beautiful and ugly, sought or avoided. Consider the value that the United States places upon youth. Children represent innocence and purity, while a youthful adult appearance signifies sexuality. Shaped by this value, individuals spend millions of dollars each year on cosmetic products and surgeries to look young and beautiful. The United States also has an individualistic culture, meaning people place a high value on individuality and independence. In contrast, many other cultures are collectivist, meaning the welfare of the group and group relationships are a primary value.

Living up to a culture’s values can be difficult. It’s easy to value good health, but it’s hard to quit smoking. Marital monogamy is valued, but many spouses engage in infidelity. Cultural diversity and equal opportunities for all people are valued in the United States, yet the country’s highest political offices have been dominated by white men.

Values often suggest how people should behave, but they don’t accurately reflect how people do behave. Values portray an ideal culture, the standards society would like to embrace and live up to. But ideal culture differs from real culture, the way society actually is, based on what occurs and exists. In an ideal culture, there would be no traffic accidents, murders, poverty, or racial tension. But in real culture, police officers, lawmakers, educators, and social workers constantly strive to prevent or repair those accidents, crimes, and injustices. American teenagers are encouraged to value celibacy. However, the number of unplanned pregnancies among teens reveals that not only is the ideal hard to live up to, but the value alone is not enough to spare teenagers the potential consequences of having sex.

One way societies strive to put values into action is through rewards, sanctions, and punishments. When people observe the norms of society and uphold its values, they are often rewarded. A boy who helps an elderly woman board a bus may receive a smile and a “thank you.” A business manager who raises profit margins may receive a quarterly bonus. People sanction certain behaviors by giving their support, approval, or permission, or by instilling formal actions of disapproval and nonsupport. Sanctions are a form of social control, a way to encourage conformity to cultural norms. Sometimes people conform to norms in anticipation or expectation of positive sanctions: good grades, for instance, may mean praise from parents and teachers. From a criminal justice perspective, properly used social control is also inexpensive crime control. Utilizing social control approaches pushes most people to conform to societal rules, regardless of whether authority figures (such as law enforcement) are present.

When people go against a society’s values, they are punished. A boy who shoves an elderly woman aside to board the bus first may receive frowns or even a scolding from other passengers. A business manager who drives away customers will likely be fired. Breaking norms and rejecting values can lead to cultural sanctions such as earning a negative label—lazy, no-good bum—or to legal sanctions, such as traffic tickets, fines, or imprisonment.

Values are not static; they vary across time and between groups as people evaluate, debate, and change collective societal beliefs. Values also vary from culture to culture. For example, cultures differ in their values about what kinds of physical closeness are appropriate in public. It’s rare to see two male friends or coworkers holding hands in the United States where that behavior often symbolizes romantic feelings. But in many nations, masculine physical intimacy is considered natural in public. This difference in cultural values came to light when people reacted to photos of former president George W. Bush holding hands with the Crown Prince of Saudi Arabia in 2005. A simple gesture, such as hand-holding, carries great symbolic differences across cultures.

Figure 3.4 In many parts of Africa and the Middle East, it is considered normal for men to hold hands in friendship. How would Americans react to these two soldiers? (Photo courtesy of Geordie Mott/Wikimedia Commons)

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Making Connections: Sociological Research

Norms So far, the examples in this chapter have often described how people are expected to behave in certain situations—for example, when buying food or boarding a bus. These examples describe the visible and invisible rules of conduct through which societies are structured, or what sociologists call norms. Norms define how to behave in accordance with what a society has defined as good, right, and important, and most members of the society adhere to them.

Formal norms are established, written rules. They are behaviors worked out and agreed upon in order to suit and serve the most people. Laws are formal norms, but so are employee manuals, college entrance exam requirements, and “no running” signs at swimming pools. Formal norms are the most specific and clearly stated of the various types of norms, and they are the most strictly enforced. But even formal norms are enforced to varying degrees and are reflected in cultural values.

For example, money is highly valued in the United States, so monetary crimes are punished. It’s against the law to rob a bank, and banks go to great lengths to prevent such crimes. People safeguard valuable possessions and install antitheft devices to protect homes and cars. A less strictly enforced social norm is driving while intoxicated. While it’s against the law to drive drunk, drinking is for the most part an acceptable social behavior. And though there are laws to punish drunk driving, there are few systems in place to prevent the crime. These examples show a range of enforcement in formal norms.

There are plenty of formal norms, but the list of informal norms—casual behaviors that are generally and widely conformed to—is longer. People learn informal norms by observation, imitation, and general socialization. Some informal norms are taught directly—“Kiss your Aunt Edna” or “Use your napkin”—while others are learned by observation, including observations of the consequences when someone else violates a norm. But although informal norms define personal interactions, they extend into other systems as well. In the United States, there are informal norms regarding behavior at fast food restaurants. Customers line up to order their food and leave when they are done. They don’t sit down at a table with strangers, sing loudly as they prepare their condiments, or nap in a booth. Most people don’t commit even benign breaches of informal norms. Informal norms dictate appropriate behaviors without the need of written rules.

Breaching Experiments Sociologist Harold Garfinkel (1917–2011) studied people’s customs in order to find out how societal rules and norms not only influenced behavior but also shaped social order. He believed that members of society together create a social order (Weber 2011). His resulting book, Studies in Ethnomethodology, published in 1967, discusses people’s assumptions about the social makeup of their communities.

One of Garfinkel’s research methods was known as a “breaching experiment,” in which the researcher behaves in a socially awkward manner in order to test the sociological concepts of social norms and conformity. The participants are not aware an experiment is in progress. If the breach is successful, however, these “innocent bystanders” will respond in some way. For example, if the experimenter is, say, a man in a business suit, and he skips down the sidewalk or hops on one foot, the passersby are likely to stare at him with surprised expressions on their faces. But the experimenter does not simply “act weird” in public. Rather, the point is to deviate from a specific social norm in a small way, to subtly break some form of social etiquette, and see what happens.

To conduct his ethnomethodology, Garfinkel deliberately imposed strange behaviors on unknowing people. Then he observed their responses. He suspected that odd behaviors would shatter conventional expectations, but he wasn’t sure how. For example, he set up a simple game of tic-tac-toe. One player was asked beforehand to mark Xs and Os not in the boxes but on the lines dividing the spaces instead. The other player, in the dark about the study, was flabbergasted and did not know how to continue. The second player’s reactions of outrage, anger, puzzlement, or other emotions illustrated the existence of cultural norms that constitute social life. These cultural norms play an important role. They let us know how to behave around each other and how to feel comfortable in our community.

There are many rules about speaking with strangers in public. It’s OK to tell a woman you like her shoes. It’s not OK to ask if you can try them on. It’s OK to stand in line behind someone at the ATM. It’s not OK to look over his shoulder as he makes his transaction. It’s OK to sit beside someone on a crowded bus. It’s weird to sit beside a stranger in a half-empty bus.

For some breaches, the researcher directly engages with innocent bystanders. An experimenter might strike up a conversation in a public bathroom, where it’s common to respect each other’s privacy so fiercely as to ignore other people’s presence. In a grocery store, an experimenter might take a food item out of another person’s grocery cart,

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saying, “That looks good! I think I’ll try it.” An experimenter might sit down at a table with others in a fast food restaurant or follow someone around a museum and study the same paintings. In those cases, the bystanders are pressured to respond, and their discomfort illustrates how much we depend on social norms. Breaching experiments uncover and explore the many unwritten social rules we live by.

Norms may be further classified as either mores or folkways. Mores (mor-ays) are norms that embody the moral views and principles of a group. Violating them can have serious consequences. The strongest mores are legally protected with laws or other formal norms. In the United States, for instance, murder is considered immoral, and it’s punishable by law (a formal norm). But more often, mores are judged and guarded by public sentiment (an informal norm). People who violate mores are seen as shameful. They can even be shunned or banned from some groups. The mores of the U.S. school system require that a student’s writing be in the student’s own words or use special forms (such as quotation marks and a whole system of citation) for crediting other writers. Writing another person’s words as if they are one’s own has a name—plagiarism. The consequences for violating this norm are severe and usually result in expulsion.

Unlike mores, folkways are norms without any moral underpinnings. Rather, folkways direct appropriate behavior in the day-to-day practices and expressions of a culture. They indicate whether to shake hands or kiss on the cheek when greeting another person. They specify whether to wear a tie and blazer or a T-shirt and sandals to an event. In Canada, women can smile and say hello to men on the street. In Egypt, that’s not acceptable. In regions in the southern United States, bumping into an acquaintance means stopping to chat. It’s considered rude not to, no matter how busy one is. In other regions, people guard their privacy and value time efficiency. A simple nod of the head is enough. Other accepted folkways in the United States may include holding the door open for a stranger or giving someone a gift on their birthday. The rules regarding these folkways may change from culture to culture.

Many folkways are actions we take for granted. People need to act without thinking in order to get seamlessly through daily routines; they can’t stop and analyze every action (Sumner 1906). Those who experience culture shock may find that it subsides as they learn the new culture’s folkways and are able to move through their daily routines more smoothly. Folkways might be small manners, learned by observation and imitated, but they are by no means trivial. Like mores and laws, these norms help people negotiate their daily lives within a given culture.

Symbols and Language Humans, consciously and subconsciously, are always striving to make sense of their surrounding world. Symbols—such as gestures, signs, objects, signals, and words—help people understand that world. They provide clues to understanding experiences by conveying recognizable meanings that are shared by societies.

The world is filled with symbols. Sports uniforms, company logos, and traffic signs are symbols. In some cultures, a gold ring is a symbol of marriage. Some symbols are highly functional; stop signs, for instance, provide useful instruction. As physical objects, they belong to material culture, but because they function as symbols, they also convey nonmaterial cultural meanings. Some symbols are valuable only in what they represent. Trophies, blue ribbons, or gold medals, for example, serve no other purpose than to represent accomplishments. But many objects have both material and nonmaterial symbolic value.

A police officer’s badge and uniform are symbols of authority and law enforcement. The sight of an officer in uniform or a squad car triggers reassurance in some citizens, and annoyance, fear, or anger in others.

It’s easy to take symbols for granted. Few people challenge or even think about stick figure signs on the doors of public bathrooms. But those figures are more than just symbols that tell men and women which bathrooms to use. They also uphold the value, in the United States, that public restrooms should be gender exclusive. Even though stalls are relatively private, most places don’t offer unisex bathrooms.

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Figure 3.5 Some road signs are universal. But how would you interpret the signage on the right? (Photo (a) courtesy of Andrew Bain/flickr; Photo (b) courtesy of HonzaSoukup/flickr)

Symbols often get noticed when they are out of context. Used unconventionally, they convey strong messages. A stop sign on the door of a corporation makes a political statement, as does a camouflage military jacket worn in an antiwar protest. Together, the semaphore signals for “N” and “D” represent nuclear disarmament—and form the well-known peace sign (Westcott 2008). Today, some college students have taken to wearing pajamas and bedroom slippers to class, clothing that was formerly associated only with privacy and bedtime. Though students might deny it, the outfit defies traditional cultural norms and makes a statement.

Even the destruction of symbols is symbolic. Effigies representing public figures are burned to demonstrate anger at certain leaders. In 1989, crowds tore down the Berlin Wall, a decades-old symbol of the division between East and West Germany, communism, and capitalism.

While different cultures have varying systems of symbols, one symbol is common to all: language. Language is a symbolic system through which people communicate and through which culture is transmitted. Some languages contain a system of symbols used for written communication, while others rely on only spoken communication and nonverbal actions.

Societies often share a single language, and many languages contain the same basic elements. An alphabet is a written system made of symbolic shapes that refer to spoken sound. Taken together, these symbols convey specific meanings. The English alphabet uses a combination of twenty-six letters to create words; these twenty-six letters make up over 600,000 recognized English words (OED Online 2011).

Rules for speaking and writing vary even within cultures, most notably by region. Do you refer to a can of carbonated liquid as “soda,” pop,” or “Coke”? Is a household entertainment room a “family room,” “rec room,” or “den”? When leaving a restaurant, do you ask your server for a “check,” the “ticket,” or your “bill”?

Language is constantly evolving as societies create new ideas. In this age of technology, people have adapted almost instantly to new nouns such as “e-mail” and “Internet,” and verbs such as “downloading,” “texting,” and “blogging.” Twenty years ago, the general public would have considered these nonsense words.

Even while it constantly evolves, language continues to shape our reality. This insight was established in the 1920s by two linguists, Edward Sapir and Benjamin Whorf. They believed that reality is culturally determined, and that any interpretation of reality is based on a society’s language. To prove this point, the sociologists argued that every language has words or expressions specific to that language. In the United States, for example, the number thirteen is associated with bad luck. In Japan, however, the number four is considered unlucky, since it is pronounced similarly to the Japanese word for “death.”

The Sapir-Whorf hypothesis is based on the idea that people experience their world through their language, and that they therefore understand their world through the culture embedded in their language. The hypothesis, which has also been called linguistic relativity, states that language shapes thought (Swoyer 2003). Studies have shown, for instance, that unless people have access to the word “ambivalent,” they don’t recognize an experience of uncertainty from having conflicting positive and negative feelings about one issue. Essentially, the hypothesis argues, if a person can’t describe the experience, the person is not having the experience.

In addition to using language, people communicate without words. Nonverbal communication is symbolic, and, as in the case of language, much of it is learned through one’s culture. Some gestures are nearly universal: smiles often represent

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Making Connections: Social Policy & Debate

joy, and crying often represents sadness. Other nonverbal symbols vary across cultural contexts in their meaning. A thumbs-up, for example, indicates positive reinforcement in the United States, whereas in Russia and Australia, it is an offensive curse (Passero 2002). Other gestures vary in meaning depending on the situation and the person. A wave of the hand can mean many things, depending on how it’s done and for whom. It may mean “hello,” “goodbye,” “no thank you,” or “I’m royalty.” Winks convey a variety of messages, including “We have a secret,” “I’m only kidding,” or “I’m attracted to you.” From a distance, a person can understand the emotional gist of two people in conversation just by watching their body language and facial expressions. Furrowed brows and folded arms indicate a serious topic, possibly an argument. Smiles, with heads lifted and arms open, suggest a lighthearted, friendly chat.

Is the United States Bilingual? In 1991, when she was six years old, Lucy Alvarez attended a school that allowed for the use of both English and Spanish. Lucy’s teacher was bilingual, the librarian offered bilingual books, and many of the school staff spoke both Spanish and English. Lucy and many of her classmates who spoke only Spanish at home were lucky. According to the U.S. Census, 13.8 percent of U.S. residents speak a non-English language at home. That’s a significant figure, but not enough to ensure that Lucy would be encouraged to use her native language in school (Mount 2010).

Lucy’s parents, who moved to Texas from Mexico, struggled under the pressure to speak English. Lucy might easily have gotten lost and left behind if she’d felt the same pressure in school. In 2008, researchers from Johns Hopkins University conducted a series of studies on the effects of bilingual education (Slavin et al. 2008). They found that students taught in both their native tongue and English make better progress than those taught only in English.

Technically, the United States has no official language. But many believe English to be the rightful language of the United States, and over thirty states have passed laws specifying English as the official tongue. Proponents of English-only laws suggest that a national ruling will save money on translation, printing, and human resource costs, including funding for bilingual teachers. They argue that setting English as the official language will encourage non- English speakers to learn English faster and adapt to the culture of the United States more easily (Mount 2010).

Groups such as the American Civil Liberties Union (ACLU) oppose making English the official language and claim that it violates the rights of non-English speakers. English-only laws, they believe, deny the reality of our nation’s diversity and unfairly target Latinos and Asians. They point to the fact that much of the debate on this topic has risen since 1970, a time when the United States experienced new waves of immigration from Asia and Mexico.

Today, a lot of product information gets written in multiple languages. Enter a store like Home Depot and you’ll find signs in both English and Spanish. Buy a children’s product, and the safety warnings could be presented in multiple languages. While marketers are financially motivated to reach the largest number of consumers possible, this trend also may help people acclimate to a culture of bilingualism.

Studies show that most U.S. immigrants eventually abandon their native tongues and become fluent in English. Bilingual education helps with that transition. Today, Lucy Alvarez is an ambitious and high-achieving college student. Fluent in both English and Spanish, Lucy is studying law enforcement—a field that seeks bilingual employees. The same bilingualism that contributed to her success in grade school will help her thrive professionally as a law officer serving her community.

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Figure 3.6 Nowadays, many signs—on streets and in stores—include both English and Spanish. What effect does this have on members of society? What effect does it have on our culture? (Photo courtesy of istolethetv/flickr)

3.3 Pop Culture, Subculture, and Cultural Change It may seem obvious that there are a multitude of cultural differences between societies in the world. After all, we can easily see that people vary from one society to the next. It’s natural that a young woman from rural Kenya would have a very different view of the world from an elderly man in Mumbai—one of the most populated cities in the world. Additionally, each culture has its own internal variations. Sometimes the differences between cultures are not nearly as large as the differences inside cultures.

High Culture and Popular Culture Do you prefer listening to opera or hip hop music? Do you like watching horse racing or NASCAR? Do you read books of poetry or celebrity magazines? In each pair, one type of entertainment is considered high-brow and the other low-brow. Sociologists use the term high culture to describe the pattern of cultural experiences and attitudes that exist in the highest class segments of a society. People often associate high culture with intellectualism, political power, and prestige. In America, high culture also tends to be associated with wealth. Events considered high culture can be expensive and formal—attending a ballet, seeing a play, or listening to a live symphony performance.

The term popular culture refers to the pattern of cultural experiences and attitudes that exist in mainstream society. Popular culture events might include a parade, a baseball game, or the season finale of a television show. Rock and pop music—“pop” is short for “popular”—are part of popular culture. Popular culture is often expressed and spread via commercial media such as radio, television, movies, the music industry, publishers, and corporate-run websites. Unlike high culture, popular culture is known and accessible to most people. You can share a discussion of favorite football teams with a new coworker or comment on American Idol when making small talk in line at the grocery store. But if you tried to launch into a deep discussion on the classical Greek play Antigone, few members of U.S. society today would be familiar with it.

Although high culture may be viewed as superior to popular culture, the labels of high culture and popular culture vary over time and place. Shakespearean plays, considered pop culture when they were written, are now part of our society’s high culture. Five hundred years from now, will our descendants associate Breaking Bad with the cultural elite?

Subculture and Counterculture A subculture is just what it sounds like—a smaller cultural group within a larger culture; people of a subculture are part of the larger culture but also share a specific identity within a smaller group.

Thousands of subcultures exist within the United States. Ethnic and racial groups share the language, food, and customs of their heritage. Other subcultures are united by shared experiences. Biker culture revolves around a dedication to motorcycles. Some subcultures are formed by members who possess traits or preferences that differ from the majority of a society’s population. The body modification community embraces aesthetic additions to the human body, such as tattoos, piercings, and certain forms of plastic surgery. In the United States, adolescents often form subcultures to develop a shared youth identity. Alcoholics Anonymous offers support to those suffering from alcoholism. But even as members of a subculture band together, they still identify with and participate in the larger society.

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Making Connections: Big Picturethe

Sociologists distinguish subcultures from countercultures, which are a type of subculture that rejects some of the larger culture’s norms and values. In contrast to subcultures, which operate relatively smoothly within the larger society, countercultures might actively defy larger society by developing their own set of rules and norms to live by, sometimes even creating communities that operate outside of greater society.

Cults, a word derived from culture, are also considered counterculture group. The group “Yearning for Zion” (YFZ) in Eldorado, Texas, existed outside the mainstream and the limelight, until its leader was accused of statutory rape and underage marriage. The sect’s formal norms clashed too severely to be tolerated by U.S. law, and in 2008, authorities raided the compound and removed more than two hundred women and children from the property.

The Evolution of American Hipster Subculture Skinny jeans, chunky glasses, and T-shirts with vintage logos—the American hipster is a recognizable figure in the modern United States. Based predominately in metropolitan areas, sometimes clustered around hotspots such as the Williamsburg neighborhood in New York City, hipsters define themselves through a rejection of the mainstream. As a subculture, hipsters spurn many of the values and beliefs of U.S. culture and prefer vintage clothing to fashion and a bohemian lifestyle to one of wealth and power. While hipster culture may seem to be the new trend among young, middle-class youth, the history of the group stretches back to the early decades of the 1900s.

Where did the hipster culture begin? In the early 1940s, jazz music was on the rise in the United States. Musicians were known as “hepcats” and had a smooth, relaxed quality that went against upright, mainstream life. Those who were “hep” or “hip” lived by the code of jazz, while those who were “square” lived according to society’s rules. The idea of a “hipster” was born.

The hipster movement spread, and young people, drawn to the music and fashion, took on attitudes and language derived from the culture of jazz. Unlike the vernacular of the day, hipster slang was purposefully ambiguous. When hipsters said, “It’s cool, man,” they meant not that everything was good, but that it was the way it was.

Figure 3.7 In the 1940s, U.S. hipsters were associated with the “cool” culture of jazz. (Photo courtesy of William P. Gottlieb/Ira and Leonore S. Gershwin Fund Collection, Music Division, Library of Congress)

By the 1950s, the jazz culture was winding down and many traits of hepcat culture were becoming mainstream. A new subculture was on the rise. The “Beat Generation,” a title coined by writer Jack Kerouac, were anticonformist and antimaterialistic. They were writers who listened to jazz and embraced radical politics. They bummed around, hitchhiked the country, and lived in squalor.

The lifestyle spread. College students, clutching copies of Kerouac’s On the Road, dressed in berets, black turtlenecks, and black-rimmed glasses. Women wore black leotards and grew their hair long. Herb Caen, a San Francisco journalist, used the suffix from Sputnik 1, the Russian satellite that orbited Earth in 1957, to dub the movement’s followers “Beatniks.”

As the Beat Generation faded, a new, related movement began. It too focused on breaking social boundaries, but it also advocated freedom of expression, philosophy, and love. It took its name from the generations before; in fact,

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some theorists claim that Beats themselves coined the term to describe their children. Over time, the “little hipsters” of the 1970s became known simply as “hippies.”

Today’s generation of hipsters rose out of the hippie movement in the same way that hippies rose from Beats and Beats from hepcats. Although contemporary hipsters may not seem to have much in common with 1940s hipsters, the emulation of nonconformity is still there. In 2010, sociologist Mark Greif set about investigating the hipster subculture of the United States and found that much of what tied the group members together was not based on fashion, musical taste, or even a specific point of contention with the mainstream. “All hipsters play at being the inventors or first adopters of novelties,” Greif wrote. “Pride comes from knowing, and deciding, what’s cool in advance of the rest of the world. Yet the habits of hatred and accusation are endemic to hipsters because they feel the weakness of everyone’s position—including their own” (Greif 2010). Much as the hepcats of the jazz era opposed common culture with carefully crafted appearances of coolness and relaxation, modern hipsters reject mainstream values with a purposeful apathy.

Young people are often drawn to oppose mainstream conventions, even if in the same way that others do. Ironic, cool to the point of noncaring, and intellectual, hipsters continue to embody a subculture, while simultaneously impacting mainstream culture.

Figure 3.8 Intellectual and trendy, today’s hipsters define themselves through cultural irony. (Photo courtesy of Lorena Cupcake/Wikimedia Commons)

Cultural Change As the hipster example illustrates, culture is always evolving. Moreover, new things are added to material culture every day, and they affect nonmaterial culture as well. Cultures change when something new (say, railroads or smartphones) opens up new ways of living and when new ideas enter a culture (say, as a result of travel or globalization).

Innovation: Discovery and Invention

An innovation refers to an object or concept’s initial appearance in society—it’s innovative because it is markedly new. There are two ways to come across an innovative object or idea: discover it or invent it. Discoveries make known previously unknown but existing aspects of reality. In 1610, when Galileo looked through his telescope and discovered Saturn, the planet was already there, but until then, no one had known about it. When Christopher Columbus encountered America, the land was, of course, already well known to its inhabitants. However, Columbus’s discovery was new knowledge for Europeans, and it opened the way to changes in European culture, as well as to the cultures of the discovered lands. For example, new foods such as potatoes and tomatoes transformed the European diet, and horses brought from Europe changed hunting practices of Native American tribes of the Great Plains.

Inventions result when something new is formed from existing objects or concepts—when things are put together in an entirely new manner. In the late 1800s and early 1900s, electric appliances were invented at an astonishing pace. Cars, airplanes, vacuum cleaners, lamps, radios, telephones, and televisions were all new inventions. Inventions may shape a culture when people use them in place of older ways of carrying out activities and relating to others, or as a way to carry

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out new kinds of activities. Their adoption reflects (and may shape) cultural values, and their use may require new norms for new situations.

Consider the introduction of modern communication technology, such as mobile phones and smartphones. As more and more people began carrying these devices, phone conversations no longer were restricted to homes, offices, and phone booths. People on trains, in restaurants, and in other public places became annoyed by listening to one-sided conversations. Norms were needed for cell phone use. Some people pushed for the idea that those who are out in the world should pay attention to their companions and surroundings. However, technology enabled a workaround: texting, which enables quiet communication and has surpassed phoning as the chief way to meet today’s highly valued ability to stay in touch anywhere, everywhere.

When the pace of innovation increases, it can lead to generation gaps. Technological gadgets that catch on quickly with one generation are sometimes dismissed by a skeptical older generation. A culture’s objects and ideas can cause not just generational but cultural gaps. Material culture tends to diffuse more quickly than nonmaterial culture; technology can spread through society in a matter of months, but it can take generations for the ideas and beliefs of society to change. Sociologist William F. Ogburn coined the term culture lag to refer to this time that elapses between the introduction of a new item of material culture and its acceptance as part of nonmaterial culture (Ogburn 1957).

Culture lag can also cause tangible problems. The infrastructure of the United States, built a hundred years ago or more, is having trouble supporting today’s more heavily populated and fast-paced life. Yet there is a lag in conceptualizing solutions to infrastructure problems. Rising fuel prices, increased air pollution, and traffic jams are all symptoms of culture lag. Although people are becoming aware of the consequences of overusing resources, the means to support changes takes time to achieve.

Figure 3.9 Sociologist Everett Rogers (1962) developed a model of the diffusion of innovations. As consumers gradually adopt a new innovation, the item grows toward a market share of 100 percent, or complete saturation within a society. (Graph courtesy of Tungsten/Wikimedia Commons)

Diffusion and Globalization

The integration of world markets and technological advances of the last decades have allowed for greater exchange between cultures through the processes of globalization and diffusion. Beginning in the 1980s, Western governments began to deregulate social services while granting greater liberties to private businesses. As a result, world markets became dominated by multinational companies in the 1980s, a new state of affairs at that time. We have since come to refer to this integration of international trade and finance markets as globalization. Increased communications and air travel have further opened doors for international business relations, facilitating the flow not only of goods but also of information and people as well (Scheuerman 2014 (revised)). Today, many U.S. companies set up offices in other nations where the costs of resources and labor are cheaper. When a person in the United States calls to get information about banking, insurance, or computer services, the person taking that call may be working in another country.

Alongside the process of globalization is diffusion, or the spread of material and nonmaterial culture. While globalization refers to the integration of markets, diffusion relates to a similar process in the integration of international cultures. Middle-class Americans can fly overseas and return with a new appreciation of Thai noodles or Italian gelato. Access to television and the Internet has brought the lifestyles and values portrayed in U.S. sitcoms into homes around the globe. Twitter feeds from public demonstrations in one nation have encouraged political protesters in other countries. When this kind of diffusion occurs, material objects and ideas from one culture are introduced into another.

Chapter 3 | Culture 65

(a)

(b)

Figure 3.10 Officially patented in 1893 as the “clasp locker” (left), the zipper did not diffuse through society for many decades. Today, it is immediately recognizable around the world. (Photo (a) courtesy of U.S. Patent Office/Wikimedia Commons; Photo (b) courtesy of Rabensteiner/ Wikimedia Commons)

3.4 Theoretical Perspectives on Culture Music, fashion, technology, and values—all are products of culture. But what do they mean? How do sociologists perceive and interpret culture based on these material and nonmaterial items? Let’s finish our analysis of culture by reviewing them in the context of three theoretical perspectives: functionalism, conflict theory, and symbolic interactionism.

Functionalists view society as a system in which all parts work—or function—together to create society as a whole. In this way, societies need culture to exist. Cultural norms function to support the fluid operation of society, and cultural values guide people in making choices. Just as members of a society work together to fulfill a society’s needs, culture exists to meet its members’ basic needs.

Functionalists also study culture in terms of values. Education is an important concept in the United States because it is valued. The culture of education—including material culture such as classrooms, textbooks, libraries, dormitories—supports the emphasis placed on the value of educating a society’s members.

Figure 3.11 This statue of Superman stands in the center of Metropolis, Illinois. His pedestal reads “Truth—Justice—The American Way.” How would a functionalist interpret this statue? What does it reveal about the values of American culture? (Photo courtesy of David Wilson/flickr)

Conflict theorists view social structure as inherently unequal, based on power differentials related to issues like class, gender, race, and age. For a conflict theorist, culture is seen as reinforcing issues of “privilege” for certain groups based upon race, sex, class, and so on. Women strive for equality in a male-dominated society. Senior citizens struggle to protect their rights, their health care, and their independence from a younger generation of lawmakers. Advocacy groups such as the ACLU work to protect the rights of all races and ethnicities in the United States.

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Management RICHARD L. DAFT

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With deep appreciation to Dorothy, the playwright and partner in my life, and to my parents, who started my life

toward outcomes that I could not understand at the time.

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vii

About the Author

Richard L. Daft, PhD, is the Brownlee O. Currey, Jr., Pro- fessor of Management in the Owen Graduate School of Management at Vanderbilt University. Professor Daft specializes in the study of organization theory and leadership. Dr. Daft is a Fellow of the Academy of Management and has served on the editorial boards of Academy of Management Journal, Administrative Sci- ence Quarterly, and Journal of Management Education. He was the associate editor-in-chief of Organization Science and served for three years as associate editor of Administrative Science Quarterly. Professor Daft has authored or co-authored 12 books, including Organization Theory and Design (South-Western, 2007), The Leadership Experience (South-Western, 2008), and What to Study: Generating and Developing Research Questions (Sage, 1982). He published Fusion Leadership: Unlocking the Subtle Forces That Change People and Orga-

nizations (Berrett-Koehler, 2000, with Robert Lengel). He has also authored dozens of scholarly articles, papers, and chapters. His work has been published in Administra- tive Science Quarterly, Academy of Management Journal, Academy of Management Review, Strategic Management Journal, Journal of Management, Accounting Organizations and Society, Management Science, MIS Quarterly, California Management Review, and Organi- zational Behavior Teaching Review. Professor Daft is currently working on a new book, The Executive and the Elephant. He also is an active teacher and consultant. He has taught management, leadership, organizational change, organizational theory, and organizational behavior. Professor Daft served as associate dean, produced for-profi t theatrical produc- tions, and helped manage a start-up enterprise. He has been involved in management development and consulting for many companies and government organizations, including the American Banking Association, Bridgestone, Bell Canada, the National Transportation Research Board, Nortel, TVA, Pratt & Whitney, State Farm Insur- ance, Tenneco, the United States Air Force, the United States Army, J. C. Bradford & Co., Central Parking System, Entergy Sales and Service, Bristol-Myers Squibb, First American National Bank, and the Vanderbilt University Medical Center.

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ix

Preface

Managing for Innovation in a Changing World In recent years, organizations have been buffeted by massive and far-reaching social, technological, and economic changes. Any manager who still believed in the myth of stability was rocked out of complacency when, one after another, large fi nancial insti- tutions in the United States began to fail. Business schools, as well as managers and businesses, were scrambling to keep up with the fast-changing story and evaluate its impact. This edition of Management addresses themes and issues that are directly rel- evant to the current, fast-shifting business environment. I revised Management with a goal of helping current and future managers fi nd innovative solutions to the prob- lems that plague today’s organizations—whether they are everyday challenges or once-in-a-lifetime crises. The world in which most students will work as managers is undergoing a tremendous upheaval. Ethical turmoil, the need for crisis management skills, e-business, rapidly changing technologies, globalization, outsourcing, global virtual teams, knowledge management, global supply chains, the Wall Street melt- down, and other changes place demands on managers that go beyond the techniques and ideas traditionally taught in management courses. Managing today requires the full breadth of management skills and capabilities. This text provides comprehensive coverage of both traditional management skills and the new competencies needed in a turbulent environment characterized by economic turmoil, political confusion, and general uncertainty.

In the traditional world of work, management was to control and limit people, enforce rules and regulations, seek stability and effi ciency, design a top-down hier- archy, and achieve bottom-line results. To spur innovation and achieve high per- formance, however, managers need different skills to engage workers’ hearts and minds as well as take advantage of their physical labor. The new workplace asks that managers focus on leading change, harnessing people’s creativity and enthusiasm, fi nding shared visions and values, and sharing information and power. Teamwork, collaboration, participation, and learning are guiding principles that help managers and employees maneuver the diffi cult terrain of today’s turbulent business environ- ment. Managers focus on developing, not controlling, people to adapt to new tech- nologies and extraordinary environmental shifts, and thus achieve high performance and total corporate effectiveness.

My vision for the ninth edition of Management is to present the newest manage- ment ideas for turbulent times in a way that is interesting and valuable to students while retaining the best of traditional management thinking. To achieve this vision, I have included the most recent management concepts and research and have shown the contemporary application of management ideas in organizations. I have added a questionnaire at the beginning of each chapter that draws students personally into the topic and gives them some insight into their own management skills. A chapter feature for new managers, called the New Manager Self-Test, gives students a sense of what will be expected when they become managers. The combination of established scholarship, new ideas, and real-life applications gives students a taste of the energy, challenge, and adventure inherent in the dynamic fi eld of management. The South- Western/Cengage Learning staff and I have worked together to provide a textbook better than any other at capturing the excitement of organizational management.

I revised Management to provide a book of utmost quality that will create in stu- dents both respect for the changing fi eld of management and confi dence that they can

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understand and master it. The textual portion of this book has been enhanced through the engaging, easy-to-understand writing style and the many in-text examples, boxed items, and short exercises that make the concepts come alive for students. The graphic component has been enhanced with several new exhibits and a new set of photo essays that illustrate specifi c management concepts. The well-chosen photographs provide vivid illustrations and intimate glimpses of management scenes, events, and people. The photos are combined with brief essays that explain how a specifi c management concept looks and feels. Both the textual and graphic portions of the textbook help students grasp the often abstract and distant world of management.

Focus on Innovation: New to the Ninth Edition The ninth edition of Management is especially focused on the future of management education by identifying and describing emerging ideas and examples of innovative organizations and by providing enhanced learning opportunities for students.

Learning Opportunities The ninth edition has taken a leap forward in pedagogical features to help students understand their own management capabilities and learn what it is like to manage in an organization today. New to this edition is an opening questionnaire that directly relates to the topic of the chapter and enables students to see how they respond to situations and challenges typically faced by real-life managers. New Manager Self- Tests in each chapter provide further opportunity for students to understand their management abilities. These short feedback questionnaires give students insight into how they would function in the real world of management. End-of-chapter questions have been carefully revised to encourage critical thinking and application of chap- ter concepts. End-of-chapter cases and ethical dilemmas help students sharpen their diagnostic skills for management problem solving.

Chapter Content Within each chapter, many topics have been added or expanded to address the cur- rent issues managers face. At the same time, chapter text has been tightened and sharpened to provide greater focus on the key topics that count for management today. This tightening has resulted in a shortening of the text from 21 to 19 chapters. The essential elements about operations and technology have been combined into one chapter. An appendix on entrepreneurship and small business has been provided for students who want more information on managing in small businesses start-ups.

Chapter 1 includes a section on making the leap from being an individual contribu- tor in the organization to becoming a new manager and getting work done primarily through others. The chapter introduces the skills and competencies needed to manage organizations effectively, including issues such as managing diversity, coping with glo- balization, and managing crises. In addition, the chapter discusses today’s emphasis within organizations on innovation as a response to a rapidly changing environment.

Chapter 2 continues its solid coverage of the historical development of management and organizations. It also examines new management thinking for turbulent times. The chapter includes a new section on systemic thinking and an expanded discussion of post-World War II management techniques. The fi nal part of the chapter looks at issues of managing the technology-driven workplace, including supply chain man- agement, customer relationship management, and outsourcing.

Chapter 3 contains an updated look at current issues related to the environment and corporate culture, including a new section on issues related to the natural environ- ment and managers’ response to environmental advocates. The chapter also illus- trates how managers shape a high–performance culture as an innovative response to a shifting environment.

PREFACE xi

Chapter 4 takes a look at the growing power of China and India in today’s global business environment and what this means for managers around the world. The chapter discusses the need for cultural intelligence, and a new section looks at under- standing communication differences as an important aspect of learning to manage internationally or work with people from different cultures. In addition, the complex issues surrounding globalization are discussed, including a consideration of the cur- rent globalization backlash. A new section on human resources points out the need for evaluating whether people are suitable for foreign assignments.

Chapter 5 makes the business case for incorporating ethical values in the organi- zation. The chapter includes a new discussion of the bottom-of-the-pyramid business concept and how managers are successfully applying this new thinking. The chapter also has an expanded discussion of ethical challenges managers face today, includ- ing responses to recent fi nancial scandals. It considers global ethical issues, as well, including a discussion of corruption rankings of various countries.

Chapter 6 provides a more focused discussion of the overall planning process and a new discussion of using strategy maps for aligning goals. This chapter also takes a close look at crisis planning and how to use scenarios. The chapter’s fi nal section on planning for high performance has been enhanced by a new discussion of intelli- gence teams and an expanded look at using performance dashboards to help manag- ers plan in a fast-changing environment.

Chapter 7 continues its focus on the basics of formulating and implementing strategy. It includes a new section on diversifi cation strategy, looking at how managers use unrelated diversifi cation, related diversifi cation, or vertical integration as strategic approaches in shifting environments. This chapter also looks at new trends in strat- egy, including the dynamic capabilities approach and partnership strategies.

Chapter 8 gives an overview of managerial decision making with an expanded dis- cussion of how confl icting interests among managers can create uncertainty regard- ing decisions. A new section on why managers often make bad decisions looks at the biases that can cloud judgment. The chapter also includes a new section on innova- tive group decision making and the dangers of groupthink.

Chapter 9 discusses basic principles of organizing and describes both traditional and contemporary organizational structures in detail. The chapter includes a discussion of organic versus mechanistic structures and when each is more effective. Chapter 9 also provides a description of the virtual network organization form.

Chapter 10 includes a more focused discussion of the critical role of managing change and innovation today. The chapter includes a new discussion of the ambidextrous approach for both creating and using innovations and has expanded material on exploration and creativity, the importance of internal and external cooperation, and the growing trend toward open innovation.

Chapter 11 includes an expanded discussion of the strategic role of HRM in building human capital. The chapter has new sections on coaching and mentoring and the trend toward part-time and contingent employment. New ways of doing background checks on applicants, such as checking their pages on social networks, are discussed, and the chapter also looks at the changing social contract between employers and employees.

Chapter 12 has been revised and updated to refl ect the most recent thinking on organiza- tional diversity issues. The chapter looks at how diversity is changing the domestic and global workforce and includes a new section on the traditional versus inclusive models for managing diversity. This chapter also contains new coverage of the dividends of diversity; an expanded discussion of prejudice, discrimination, and stereotypes; and a new look at the difference between stereotyping and valuing cultural differences. The chapter includes a new fi ve-step process for achieving cultural competence.

Chapter 13 continues its solid coverage of the basics of organizational behavior, includ- ing personality, values and attitudes, perception, emotional intelligence, learning and

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problem-solving styles, and stress management. Many exercises and questionnaires throughout this chapter enhance students’ understanding of organizational behavior topics and their own personalities and attitudes.

Chapter 14 has been enriched with a discussion of followership. The chapter empha- sizes that good leaders and good followers share common characteristics. Good lead- ership can make a difference, often through subtle, everyday actions. The discussion of power and infl uence has been expanded to include the sources of power that are available to followers as well as leaders. The discussions of charismatic, transforma- tional, and interactive leadership have all been revised and refocused.

Chapter 15 covers the foundations of motivation and also incorporates recent think- ing about motivational tools for today, including an expanded treatment of employee engagement. The chapter looks at new motivational ideas such as the importance of helping employees achieve work-life balance, incorporating fun and learning into the workplace, giving people a chance to fully participate, and helping people fi nd meaning in their work.

Chapter 16 begins with a discussion of how managers facilitate strategic conversa- tions by using communication to direct everyone’s attention to the vision, values, and goals of the organization. The chapter explores the foundations of good com- munication and includes a new section on gender differences in communication, an enriched discussion of dialogue, and a refocused look at the importance of effective written communication in today’s technologically connected workplace, including the use of new forms of manager communication such as blogs.

Chapter 17 includes a new section on the dilemma of teams, acknowledging that teams are sometimes ineffective and looking at the reasons for this, including such problems as free riders, lack of trust among team members, and so forth. The chapter then looks at how to make teams effective, including a signifi cantly revised discus- sion of what makes an effective team leader. The chapter covers the types of teams and includes a new look at effectively using technology in virtual teams. The chapter also includes a section on managing confl ict, including the use of negotiation.

Chapter 18 provides an overview of fi nancial and quality control, including Six Sigma, ISO certifi cation, and a new application of the balanced scorecard, which views employee learning and growth as the foundation of high performance. The dis- cussion of hierarchical versus decentralized control has been updated and expanded. The chapter also addresses current concerns about corporate governance and fi nding a proper balance of control and autonomy for employees.

Chapter 19 has been thoroughly revised to discuss recent trends in operations man- agement, information technology, and e-business. The chapter begins by looking at the organization as a value chain and includes an expanded discussion of supply chain management and new technologies such a radio frequency identifi cation (RFID). The discussion of information technology has been updated to include the trend toward user-generated content through wikis, blogs, and social networking. The chapter explores how these new technologies are being applied within organizations along with traditional information systems. The chapter also discusses e-commerce strate- gies, the use of business intelligence software, and knowledge management.

In addition to the topics listed above, this text integrates coverage of the Internet and new technology into the various topics covered in each and every chapter.

Organization The chapter sequence in Management is organized around the management functions of planning, organizing, leading, and controlling. These four functions effectively encompass both management research and characteristics of the manager’s job.

Part One introduces the world of management, including the nature of management, issues related to today’s chaotic environment, the learning organization, historical perspectives on management, and the technology-driven workplace.

PREFACE xiii

Part Two examines the environments of management and organizations. This sec- tion includes material on the business environment and corporate culture, the global environment, ethics and social responsibility, and the natural environment.

Part Three presents three chapters on planning, including organizational goal setting and planning, strategy formulation and implementation, and the decision-making process.

Part Four focuses on organizing processes. These chapters describe dimensions of structural design, the design alternatives managers can use to achieve strategic objec- tives, structural designs for promoting innovation and change, the design and use of the human resource function, and the ways managing diverse employees are signifi – cant to the organizing function.

Part Five is devoted to leadership. The section begins with a chapter on organiza- tional behavior, providing grounding in understanding people in organizations. This foundation paves the way for subsequent discussion of leadership, motivation of employees, communication, and team management.

Part Six describes the controlling function of management, including basic principles of total quality management, the design of control systems, information technology, and techniques for control of operations management.

Innovative Features A major goal of this book is to offer better ways of using the textbook medium to convey management knowledge to the reader. To this end, the book includes several innova- tive features that draw students in and help them contemplate, absorb, and comprehend management concepts. South-Western has brought together a team of experts to create and coordinate color photographs, video cases, beautiful artwork, and supplemental materials for the best management textbook and package on the market.

Chapter Outline and Objectives. Each chapter begins with a clear statement of its learning objectives and an outline of its contents. These devices provide an overview of what is to come and can also be used by students to guide their study and test their understanding and retention of important points.

Opening Questionnaire. The text grabs student attention immediately by giving the student a chance to participate in the chapter content actively by completing a short questionnaire related to the topic.

Take a Moment. At strategic places through the chapter, students are invited to Take a Moment to apply a particular concept or think about how they would apply it as a practicing manager. This call to action further engages students in the chapter con- tent. Some of the Take a Moment features also refer students to the associated New Manager Self-Test, or direct students from the chapter content to relevant end-of- chapter materials, such as an experiential exercise or an ethical dilemma.

New Manager Self-Test. A New Manager Self-Test in each chapter of the text provides opportunities for self-assessment as a way for students to experience management issues in a personal way. The change from individual performer to new manager is dramatic, and these self-tests provide insight into what to expect and how students might perform in the world of the new manager.

Concept Connection Photo Essays. A key feature of the book is the use of photo- graphs accompanied by detailed photo essay captions that enhance learning. Each caption highlights and illustrates one or more specifi c concepts from the text to rein- force student understanding of the concepts. Although the photos are beautiful to look at, they also convey the vividness, immediacy, and concreteness of management events in today’s business world.

Contemporary Examples. Every chapter of the text contains several written examples of management incidents. They are placed at strategic points in the chapter and are

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designed to illustrate the application of concepts to specifi c companies. These in-text examples—indicated by an icon in the margin—include well-known U.S. and inter- national companies such as Toyota, Facebook, UPS, LG Electronics, Google, Unilever, Siemens, and eBay, as well as less-well-known companies and not-for-profi t organi- zations such as Red 5 Studios, Strida, Genmab AS, ValueDance, and the U.S. Federal Bureau of Investigation (FBI). These examples put students in touch with the real world of organizations so that they can appreciate the value of management concepts.

Manager’s Shoptalk Boxes. A Manager’s Shoptalk box in each chapter addresses a specifi c topic straight from the fi eld of management that is of special interest to stu- dents. These boxes may describe a contemporary topic or problem that is relevant to chapter content, or they may contain a diagnostic questionnaire or a special example of how managers handle a problem. The boxes heighten student interest in the sub- ject matter and provide an auxiliary view of management issues not typically avail- able in textbooks.

Video Cases. The six parts of the text conclude with video cases, one per chapter, that illustrate the concepts presented in that part. The 19 videos enhance class discussion, because students can see the direct application of the management theories they have learned. Companies discussed in the video package include Recycline, Flight 001, and Numi Organic Teas. Each video case explores the issues covered in the video, allowing students to synthesize the material they’ve just viewed. The video cases culminate with several questions that can be used to launch classroom discussion or as homework. Suggested answers are provided in the Media Case Library.

Exhibits. Several exhibits have been added or revised in the ninth edition to enhance student understanding. Many aspects of management are research based, and some concepts tend to be abstract and theoretical. The many exhibits throughout this book enhance students’ awareness and understanding of these concepts. These exhibits con- solidate key points, indicate relationships among concepts, and visually illustrate con- cepts. They also make effective use of color to enhance their imagery and appeal.

Glossaries. Learning the management vocabulary is essential to understanding con- temporary management. This process is facilitated in three ways. First, key concepts are boldfaced and completely defi ned where they fi rst appear in the text. Second, brief defi nitions are set out in the margin for easy review and follow-up. Third, a glossary summarizing all key terms and defi nitions appears at the end of the book for handy reference.

A Manager’s Essentials and Discussion Questions. Each chapter closes with a sum- mary of the essential points that students should retain. The discussion questions are a complementary learning tool that will enable students to check their understand- ing of key issues, to think beyond basic concepts, and to determine areas that require further study. The summary and discussion questions help students discriminate between main and supporting points and provide mechanisms for self-teaching.

Management in Practice Exercises. End-of-chapter exercises called “Management in Practice: Experiential Exercise” and “Management in Practice: Ethical Dilemma” provide a self-test for students and an opportunity to experience management issues in a personal way. These exercises take the form of questionnaires, scenarios, and activities, and many also provide an opportunity for students to work in teams. The exercises are tied into the chapter through the Take a Moment feature that refers stu- dents to the end-of-chapter exercises at the appropriate point in the chapter content.

Case for Critical Analysis. Also appearing at the end of each chapter is a brief but substantive case that provides an opportunity for student analysis and class discus- sion. Some of these cases are about companies whose names students will recog- nize; others are based on real management events but the identities of companies and managers have been disguised. These cases allow students to sharpen their diagnos- tic skills for management problem solving.

PREFACE xv

Continuing Case. Located at the end of each part, the Continuing Case is a run- ning discussion of management topics appropriate to that part as experienced by General Motors Company. Focusing on one company allows students to follow the managers’ and the organization’s long-term problems and solutions in a sustained manner.

Supplementary Materials Instructor’s Manual. Designed to provide support for instructors new to the course, as well as innovative materials for experienced professors, the Instructor’s Man- ual includes Chapter Outlines, annotated learning objectives, Lecture Notes, and sample Lecture Outlines. Additionally, the Instructor’s Manual includes answers and teaching notes to end-of-chapter materials, including the video cases and the continuing case.

Instructor’s CD-ROM. Key instructor ancillaries (Instructor’s Manual, Test Bank, ExamView, and PowerPoint slides) are provided on CD-ROM, giving instructors the ultimate tool for customizing lectures and presentations.

Test Bank. Scrutinized for accuracy, the Test Bank includes more than 2,000 true/ false, multiple-choice, short-answer, and essay questions. Page references are indi- cated for every question, as are designations of either factual or application so that instructors can provide a balanced set of questions for student exams. Each question is also tagged based on AACSB guidelines.

ExamView. Available on the Instructor’s Resource CD-ROM, ExamView contains all of the questions in the printed Test Bank. This program is an easy-to-use test cre- ation software compatible with Microsoft Windows. Instructors can add or edit ques- tions, instructions, and answers, and select questions (randomly or numerically) by previewing them on the screen. Instructors can also create and administer quizzes online, whether over the Internet, a local area network (LAN), or a wide area network (WAN).

PowerPoint Lecture Presentation. Available on the Instructor’s Resource CD-ROM and the Web site, the PowerPoint Lecture Presentation enables instructors to custom- ize their own multimedia classroom presentation. Containing an average of 27 slides per chapter, the package includes fi gures and tables from the text, as well as outside materials to supplement chapter concepts. Material is organized by chapter and can be modifi ed or expanded for individual classroom use. PowerPoint slides are also easily printed to create customized Transparency Masters.

Study Guide. Packed with real-world examples and additional applications for help- ing students master management concepts, this learning supplement is an excellent resource. For each chapter of the text, the Study Guide includes a summary and com- pletion exercise; a review with multiple-choice, true/false, and short-answer ques- tions; a mini case with multiple-choice questions; management applications; and an experiential exercise that can be assigned as homework or used in class.

Video Package. The video package for Management, ninth edition, contains two options: On the Job videos created specifi cally for the ninth edition of Daft’s Man- agement and BizFlix videos. On the Job videos use real-world companies to illustrate management concepts as outlined in the text. Focusing on both small and large busi- ness, the videos give students an inside perspective on the situations and issues that corporations face. BizFlix are fi lm clips taken from popular Hollywood movies such as Failure to Launch, Rendition, and Friday Night Lights, and integrated into the ninth edition of Daft. Clips are supported by short cases and discussion questions at the end of each chapter.

Web Site (www.cengage.com/management/daft). Discover a rich array of online teaching and learning management resources that you won’t fi nd anywhere else.www.cengage.com/management/daft

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Resources include interactive learning tools, links to critical management Web sites, and password-protected teaching resources available for download.

Premium Student Web Site (www.cengage.com/login). Give your students access to additional study aides for your management course. With this optional package, stu- dents gain access to the Daft premium Web site. There your students will fi nd inter- active quizzes, fl ashcards, PowerPoint slides, learning games, and more to reinforce chapter concepts. Add the ninth edition of Management to your bookshelf at www .cengage.com/login and access the Daft Premium Web site to learn more.

Acknowledgments A gratifying experience for me was working with the team of dedicated professionals at South-Western who were committed to the vision of producing the best manage- ment text ever. I am grateful to Joe Sabatino, executive editor, whose enthusiasm, creative ideas, assistance, and vision kept this book’s spirit alive. Emma Newsom, managing developmental editor, provided superb project coordination and offered excellent ideas and suggestions to help the team meet a demanding and sometimes arduous schedule. Kimberly Kanakes, executive marketing manager, and Clint Kernen, marketing manager, provided keen market knowledge and innovative ideas for instructional support. Martha Conway, senior content project manager, cheerfully and expertly guided me through the production process. Tippy McIntosh contributed her graphic arts skills to create a visually dynamic design. Ruth Belanger, editorial assistant, and Sarah Rose, marketing coordinator, skillfully pitched in to help keep the project on track. Joe Devine deserves a special thank you for his layout expertise and commitment to producing an attractive, high-quality textbook. Additionally, BJ Parker, Copyshop, USA, contributed the Continuing Case.

Here at Vanderbilt I want to extend special appreciation to my assistant, Barbara Haselton. Barbara provided excellent support and assistance on a variety of proj- ects that gave me time to write. I also want to acknowledge an intellectual debt to my colleagues, Bruce Barry, Ray Friedman, Neta Moye, Rich Oliver, David Owens, Ranga Ramanujam, Bart Victor, and Tim Vogus. Thanks also to Deans Jim Bradford and Bill Christie who have supported my writing projects and maintained a positive scholarly atmosphere in the school. Another group of people who made a major con- tribution to this textbook are the management experts who provided advice, reviews, answers to questions, and suggestions for changes, insertions, and clarifi cations. I want to thank each of these colleagues for their valuable feedback and suggestions on the ninth edition:

David Alexander Christian Brothers University

Reginald L Audibert California State University—Long Beach

Burrell A. Brown California University of Pennsylvania

Paula Buchanan Jacksonville State University

Diane Caggiano Fitchburg State College

Bruce Charnov Hofstra University

Gloria Cockerell Collin College

Jack Cox Amberton University

Paul Ewell Bridgewater College

Mary M. Fanning College of Notre Dame of Maryland

Merideth Ferguson Baylor University

Karen Fritz Bridgewater College

Yezdi H. Godiwalla University of Wisconsin— Whitewater

James Halloran Wesleyan College

Stephen R. Hiatt Catawba College

Betty Hoge Bridgewater College

Jody Jones Oklahoma Christian Universitywww.cengage.com/loginwww.cengage.com/loginwww.cengage.com/login

PREFACE xvii

Jerry Kinard Western Carolina University

Sal Kukalis California State University—Long Beach

Joyce LeMay Bethel University

Wade McCutcheon East Texas Baptist College

Tom Miller Concordia University

W J Mitchell Bladen Community College

John Okpara Bloomsburg University

Lori A. Peterson Augsburg College

Michael Provitera Barry University

Abe Qastin Lakeland College

Holly Caldwell Ratwani Bridgewater College

Terry L. Riddle Central Virginia Commu- nity College

Thomas Sy California State University—Long Beach

Kevin A. Van Dewark Humphreys College

Noemy Watchel Kean University

Peter Wachtel Kean University

David C. Adams Manhattanville College

Erin M. Alexander University of Houston– Clear Lake

Hal Babson Columbus State Community College

Reuel Barksdale Columbus State Community College

Gloria Bemben Finger Lakes Community College

Pat Bernson County College of Morris

Art Bethke Northeast Louisiana University

Thomas Butte Humboldt State University

Peter Bycio Xavier University, Ohio

Diane Caggiano Fitchburg State College

Douglas E. Cathon St. Augustine’s College

Jim Ciminskie Bay de Noc Community College

Dan Connaughton University of Florida

Bruce Conwers Kaskaskia College

Byron L. David The City College of New York

Richard De Luca William Paterson University

Robert DeDominic Montana Tech

Linn Van Dyne Michigan State University

John C. Edwards East Carolina University

Mary Ann Edwards College of Mount St. Joseph

Janice M. Feldbauer Austin Community College

Daryl Fortin Upper Iowa University

Michael P. Gagnon New Hampshire Community Technical College

Richard H. Gayor Antelope Valley College

Dan Geeding Xavier University, Ohio

James Genseal Joliet Junior College

Peter Gibson Becker College

Carol R. Graham Western Kentucky University

Gary Greene Manatee Community College

Ken Harris Indiana University Southeast

Paul Hayes Coastal Carolina Commu- nity College

Dennis Heaton Maharishi University of Management, Iowa

Jeffrey D. Hines Davenport College

Bob Hoerber Westminster College

James N. Holly University of Wisconsin– Green Bay

Genelle Jacobson Ridgewater College

C. Joy Jones Ohio Valley College

Kathleen Jones University of North Dakota

Sheryl Kae Lynchburg College

Jordan J. Kaplan Long Island University

I would also like to continue to acknowledge those reviewers who have contrib- uted comments, suggestions and feedback on previous editions:

PREFACExviii

J. Michael Keenan Western Michigan University

Gloria Komer Stark State College

Paula C. Kougl Western Oregon University

Cynthia Krom Mount St. Mary College

Mukta Kulkarni University of Texas–San Antonio

William B. Lamb Millsaps College

Robert E. Ledman Morehouse College

George Lehma Bluffton College

Cynthia Lengnick-Hall University of Texas–San Antonio

Janet C. Luke Georgia Baptist College of Nursing

Jenna Lundburg Ithaca College

Walter J. MacMillan Oral Roberts University

Myrna P. Mandell California State University, Northridge

Daniel B. Marin Louisiana State University

Michael Market Jacksonville State University

James C. McElroy Iowa State University

Dennis W. Meyers Texas State Technical College

Alan N. Miller University of Nevada–Las Vegas

Irene A. Miller Southern Illinois University

James L. Moseley Wayne State University

Micah Mukabi Essex County College

David W. Murphy Madisonville Community College

Nora Nurre Upper Iowa University

Tomas J. Ogazon St. Thomas University

Allen Oghenejbo Mills College

Linda Overstreet Hillsborough Community College

Ken Peterson Metropolitan State University

Clifton D. Petty Drury College

James I. Phillips Northeastern State University

Linda Putchinski University of Central Florida

Kenneth Radig Medaille College

Gerald D. Ramsey Indiana University Southeast

Barbara Redmond Briar Cliff College

William Reisel St. John’s University–New York

Terry Riddle Central Virginia Commu- nity College

Walter F. Rohrs Wagner College

Meir Russ University of Wisconsin– Green Bay

Marcy Satterwhite Lake Land College

Don Schreiber Baylor University

Kilmon Shin Ferris State University

Daniel G. Spencer University of Kansas

Gary Spokes Pace University

M. Sprencz David N. Meyers College

Shanths Srinivas California State Polytechnic University, Pomona

Jeffrey Stauffer Ventura College

William A. Stower Seton Hall University

Mary Studer Southwestern Michigan College

Bruce C. Walker Northeast Louisiana University

Mark Weber University of Minnesota

Emilia S. Westney Texas Tech University

Stan Williamson Northeast Louisiana University

Alla L. Wilson University of Wisconsin– Green Bay

Ignatius Yacomb Loma Linda University

Imad Jim Zbib Ramapo College of New Jersey

Vic Zimmerman Pima Community College

James Swenson Moorhead State University, Minnesota

Irwin Talbot St. Peter’s College

PREFACE xix

Andrew Timothy Lourdes College

Frank G. Titlow St. Petersburg Junior College

John Todd University of Arkansas

Philip Varca University of Wyoming

Dennis L. Varin Southern Oregon University

Gina Vega Merrimack College

George S. Vozikis University of Tulsa

Bruce C. Walker Northeast Louisiana University

Mark Weber University of Minnesota

Emilia S. Westney Texas Tech University

Stan Williamson Northeast Louisiana University

Alla L. Wilson University of Wisconsin– Green Bay

Ignatius Yacomb Loma Linda University

Imad Jim Zbib Ramapo College of New Jersey

Vic Zimmerman Pima Community College

I’d like to pay special tribute to my long-time editorial associate, Pat Lane. I can’t imagine how I would ever complete such a comprehensive revision on my own. Pat provided truly outstanding help throughout every step of writing the ninth edition of Management. She skillfully drafted materials for a wide range of chapter topics, boxes, and cases; researched topics when new sources were lacking; and did an absolutely superb job with the copyedited manuscript and page proofs. Her commitment to this text enabled us to achieve our dream for its excellence. I also want to pay tribute to Mary Draper, who stepped in to help with the research and revision of this edition. Mary also did a superb job with the copyedited manu- script and page proofs. We could not have completed this revision without Mary’s excellent assistance.

Finally, I want to acknowledge the love and contributions of my wife, Dorothy Marcic. Dorothy has been very supportive during this revision as we share our lives together. I also want to acknowledge the love and support from my fi ve daughters— Danielle, Amy, Roxanne, Solange, and Elizabeth—who make my life special during our precious time together. Thanks also to B. J. and Kaitlyn and Kaci and Matthew for their warmth and smiles that brighten my life, especially during our days together skiing and on the beach.

Richard L. Daft Nashville, Tennessee December 2008

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xxi

Part 1 INTRODUCTION TO MANAGEMENT

1 Innovative Management for Turbulent Times 2

2 The Evolution of Management Thinking 32

Part 2 THE ENVIRONMENT OF MANAGEMENT

3 The Environment and Corporate Culture 62

4 Managing in a Global Environment 94

5 Managing Ethics and Social Responsibility 128

Part 3 PLANNING

6 Managerial Planning and Goal Setting 158

7 Strategy Formulation and Implementation 184

8 Managerial Decision Making 212

Part 4 ORGANIZING

9 Designing Adaptive Organizations 242

10 Managing Change and Innovation 276

11 Managing Human Resources 306

12 Managing Diversity 340

Part 5 LEADING

13 Dynamics of Behavior in Organizations 376

14 Leadership 408

15 Motivating Employees 440

16 Managing Communication 470

17 Leading Teams 502

Part 6 CONTROLLING

18 Managing Quality and Performance 536 19 Managing the Value Chain, Information Technology,

and E-Business 568

APPENDIX A: MANAGING SMALL BUSINESS START-UPS 601

Glossary 625

Indexes 639

Brief Contents

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xxiii

Part 1 INTRODUCTION TO MANAGEMENT

1 Innovative Management for Turbulent Times 2 Are You Ready to Be a Manager? 3 Why Innovation Mat ters 4 The Defi nition of Management 4 The Four Management Functions 5

Planning 5 | Organizing 6 | Leading 6 Controlling 7

Organizational Performance 7 Management Skills 8

Conceptual Skills 8 | Human Skills 9 | Technical Skills 9 | When Skills Fail 10

Management Types 10 Vertical Differences 11 | Horizontal Differences 12

What Is It Like to Be a Manager? 13 Making the Leap: Becoming a New Manager 13

New Manager Self-Test: Manager Achievement 14 Manager’s Shoptalk: Do You Really Want To Be A Manager? 16

Manager Activities 17 | Manager Roles 18 Managing in Small Businesses and Nonprofi t Organizations 20 Management and the New Workplace 21

New Workplace Characteristics 21 | New Management Competencies 23

A Manager’s Essentials: What Have We Learned? 23 Discussion Questions 24 Management in Practice: Experiential Exercise 25 Management in Practice: Ethical Dilemma 26 Case for Critical Analysis 26 ON THE JOB VIDEO CASE 27

BIZ FLIX VIDEO CASE 28 Endnotes 29

2 The Evolution of Management Thinking 32 Are You a New-Style or an Old-Style Manager? 33 Management and Organization 34 Manager’s Shoptalk: Contemporary Management Tools 35 Classical Perspective 36

Scientifi c Management 37 | Bureaucratic Organizations 38 | Administrative Principles 40

Humanistic Perspective 41 Human Relations Movement 42 | Human Resources Perspective 43

New Manager Self-Test: Evolution of Style 44 Behavioral Sciences Approach 45

Management Science Perspective 46 Recent Historical Trends 47

Systems Theory 47 | Contingency View 48 | Total Quality Management 49

Innovative Management Thinking For Turbulent Times 50

The Learning Organization 50 Managing the Technology-Driven Workplace 50

A Manager’s Essentials: What Have We Learned? 52 Discussion Questions 52 Management in Practice: Experiential Exercise 53 Management in Practice: Ethical Dilemma 53 Case for Critical Analysis 54 ON THE JOB VIDEO CASE 55 BIZ FLIX VIDEO CASE 56 Endnotes 57 Continuing Case 60

3 The Environment and Corporate Culture 62 Are You Fit for Managerial Uncertainty? 63 The External Environment 64

General Environment 65

Manager’s Shoptalk: Creating Guanxi in China 67 Task Environment 69

The Organization–Environment Relationship 72 Environmental Uncertainty 72 | Adapting to the Environment 73

Part 2 THE ENVIRONTMENT OF MANAGEMENT

Contents

xxiv

The Internal Environment: Corporate Culture 75 Symbols 77 | Stories 77 | Heroes 77 Slogans 78 | Ceremonies 78

Environment and Culture 78 Adaptive Cultures 79 | Types of Cultures 79

New Manager Self-Test: Culture Preference 82 Shaping Corporate Culture for Innovative Response 82

Managing the High-Performance Culture 83 | Cultural Leadership 85

A Manager’s Essentials: What Have We Learned? 85 Discussion Questions 86 Management in Practice: Experiential Exercise 87 Management in Practice: Ethical Dilemma 87 Case for Critical Analysis 88 ON THE JOB VIDEO CASE 89 BIZ FLIX VIDEO CASE 90 Endnotes 91

4 Managing in a Global Environment 94 Are You Ready To Work Internationally? 95 A Borderless World 96 Getting Started Internationally 98

Exporting 98 | Outsourcing 99 | Licensing 99 Direct Investing 100 | China Inc. 101

The International Business Environment 102 The Economic Environment 103

Economic Development 103 | Resource and Product Markets 103 | Exchange Rates 104

The Legal-Political Environment 104 The Sociocultural Environment 105

Social Values 105 Manager’s Shoptalk: How Well Do You Play The Culture Game? 108

Communication Differences 109 | Other Cultural Characteristics 110

International Trade Alliances 111 GAT T and the World Trade Organization 112 | European Union 112 | North American Free Trade Agreement (NAF TA) 113

The Globalization Backlash 113 Multinational Corporations 114 Managing in a Global Environment 115

Developing Cultural Intelligence 115 | Managing Cross-Culturally 116

New Manager Self-Test: Are You Culturally Intelligent? 117 A Manager’s Essentials: What Have We Learned? 119 Discussion Questions 120 Management in Practice: Experiential Exercise 120 Management in Practice: Ethical Dilemma 121 Case for Critical Analysis 122 ON THE JOB VIDEO CASE 123 BIZ FLIX VIDEO CASE 124 Endnotes 124

5 Managing Ethics and Social Responsibility 128 Will You Be a Courageous Manager? 129 What Is Managerial Ethics? 130 Ethical Dilemmas: What Would You Do? 131 Criteria for Ethical Decision Making 132

Utilitarian Approach 132 Individualism Approach 132 | Moral-Rights Approach 133 | Justice Approach 133

Manager Ethical Choices 134 Manager’s Shoptalk: How to Challenge the Boss on Ethical Issues 136 New Manager Self-Test: Self and Others 137 What Is Corporate Social Responsibility? 138

Organizational Stakeholders 138 | The Bottom of the Pyramid 140

The Ethic of Sustainability 141 Evaluating Corporate Social Responsibilit y 142 Managing Company Ethics and Social Responsibilit y 144

Code of Ethics 144 | Ethical Structures 145 | Whistle-Blowing 146 | The Business Case for Ethics and Social Responsibility 147

A Manager’s Essentials: What Have We Learned? 148 Discussion Questions 148 Management in Practice: Experiential Exercise 149 Management in Practice: Ethical Dilemma 150 Case for Critical Analysis 150 ON THE JOB VIDEO CASE 151 BIZ FLIX VIDEO CASE 152 Endnotes 153 Continuing Case 156

6 Managerial Planning and Goal Setting 158 Does Goal Set ting Fit Your Management Style? 159 Overview of Goals and Plans 160

Levels of Goals and Plans 160 | Purposes of Goals and Plans 160 | The Organizational Planning Process 162

Goals in Organizations 162 New Manager Self-Test: Your Approach to Studying 163

Organizational Mission 163 Goals and Plans 164 | Aligning Goals with Strategy Maps 166

Part 3 PLANNING

CONTENTS

xxv

Operational Planning 167 Criteria for Effective Goals 168 | Management by Objectives 168 | Single-Use and Standing Plans 171

Manager’s Shoptalk: Regulating E-Mail in the Workplace 171 Planning for a Turbulent Environment 172

Contingency Planning 172 | Building Scenarios 173 | Crisis Planning 173

Planning for High Performance 175 Traditional Approaches to Planning 175 | High- Performance Approaches to Planning 175

A Manager’s Essentials: What Have We Learned? 178 Discussion Questions 178 Management in Practice: Experiential Exercise 179 Management in Practice: Ethical Dilemma 179 Case for Critical Analysis 180 ON THE JOB VIDEO CASE 181 BIZ FLIX VIDEO CASE 182 Endnotes 182

7 Strategy Formulation and Implementation 184 What Is Your Strategy Strength? 185 Thinking Strategically 186 New Manager Self-Test: Your Approach to Studying, Part 2 187 What Is Strategic Management? 188

Purpose of Strategy 188 | Levels of Strategy 190 The Strategic Management Process 191

Strategy Formulation Versus Execution 191 | SWOT Analysis 192

Formulating Corporate-Level Strategy 194 Portfolio Strategy 194 | The BCG Matrix 194 | Diversifi cation Strategy 195

Formulating Business-Level Strategy 196 Porter’s Five Competitive Forces 196 | Competitive Strategies 198

New Trends in Strategy 199 Innovation from Within 200 | Strategic Partnerships 200

Global Strategy 200 Globalization 201 | Multidomestic Strategy 202 | Transnational Strategy 202

Strategy Execution 203 Manager’s Shoptalk: Tips for Effective Strategy Execution 204

A Manager’s Essentials: What Have We Learned? 205 Discussion Questions 206 Management in Practice: Experiential Exercise 206 Management in Practice: Ethical Dilemma 207 Case for Critical Analysis 207 ON THE JOB VIDEO CASE 208 BIZ FLIX VIDEO CASE 209 Endnotes 210

8 Managerial Decision Making 212 How Do You Make Decisions? 213 Types of Decisions and Problems 214

Programmed and Nonprogrammed Decisions 214 | Facing Certainty and Uncertainty 215

Decision-Making Models 217 The Ideal, Rational Model 217 | How Managers Actually Make Decisions 218

New Manager Self-Test: Making Important Decisions 220

Political Model 221 Decision-Making Steps 222

Recognition of Decision Requirement 222 | Diagnosis and Analysis of Causes 222 | Development of Alternatives 223 | Selection of Desired Alternative 224 | Implementation of Chosen Alternative 224 | Evaluation and Feedback 225

Personal Decision Framework 226 Why Do Managers Make Bad Decisions? 227 Innovative Group Decision Making 228 Manager’s Shoptalk: Evidence-Based Management 229

Start with Brainstorming 229 Engage in Rigorous Debate 230 | Avoid Groupthink 230 | Know When to Bail 231

A Manager’s Essentials: What Have We Learned? 231 Discussion Questions 232 Management in Practice: Experiential Exercise 232 Management in Practice: Ethical Dilemma 233 Case for Critical Analysis 234 ON THE JOB VIDEO CASE 235 BIZ FLIX VIDEO CASE 236 Endnotes 237 Continuing Case 240

9 Designing Adaptive Organizations 242 What Are Your Leadership Beliefs? 243 Organizing the Vertical Structure 244

Work Specialization 244 | Chain of Command 245 | Span of Management 247

Manager’s Shoptalk: How to Delegate 248 Centralization and Decentralization 250

Departmentalization 250 Vertical Functional Approach 252 | Divisional Approach 252 | Matrix Approach 254 | Team

Part 4 ORGANIZING

CONTENTS

xxvi

Approach 255 | The Virtual Network Approach 256 | Advantages and Disadvantages of Each Structure 258

Organizing for Horizontal Coordination 260 The Need for Coordination 260 | Task Forces, Teams, and Project Management 262 Reengineering 263

Struc ture Follows Strategy 264 New Manager Self-Test: Authority Role Models 266 A Manager’s Essentials: What Have We Learned? 268 Discussion Questions 268 Management in Practice: Experiential Exercise 269 Management in Practice: Ethical Dilemma 270 Case for Critical Analysis 270 ON THE JOB VIDEO CASE 272 BIZ FLIX VIDEO CASE 272 Endnotes 273

10 Managing Change and Innovation 276 Are You Innovative? 277 Innovation and the Changing Workplace 278 Changing Things: New Products and Technologies 279

Exploration 279 | Cooperation 281 Entrepreneurship 284

New Manager Self-Test: Taking Charge of Change 286 Changing People and Culture 287

Training and Development 287 | Organization Development 287

Implementing Change 291 Need for Change 291 | Resistance to Change 291

Manager’s Shoptalk: Making Change Stick 292 Force-Field Analysis 293 | Implementation Tactics 294

A Manager’s Essentials: What Have We Learned? 296 Discussion Questions 296 Management in Practice: Experiential Exercise 297 Management in Practice: Ethical Dilemma 298 Case for Critical Analysis 299 ON THE JOB VIDEO CASE 300 BIZ FLIX VIDEO CASE 301 Endnotes 301

11 Managing Human Resources 306 Getting the Right People on the Bus 307 The Strategic Role of HRM Is to Drive Organizational Performance 308

The Strategic Approach 308 | Building Human Capital to Drive Performance 309 | Globalization 311

The Impac t of Federal Legislation on HRM 311 New Manager Self-Test: What Is Your HR Work Orientation? 313 The Changing Nature of Careers 314

The Changing Social Contract 314 | Innovations in HRM 315

Finding the Right People 316 Human Resource Planning 317 | Recruiting 318 Selecting 321

Manager’s Shoptalk: What Makes a Good Interview Go Bad? 323 Managing Talent 324

Training and Development 324 | Performance Appraisal 326

Maintaining an Effective Workforce 329 Compensation 329 | Benefi ts 330 Termination 330

A Manager’s Essentials: What Have We Learned? 331 Discussion Questions 332 Management in Practice: Experiential Exercise 332 Management in Practice: Ethical Dilemma 333 Case for Critical Analysis 334 ON THE JOB VIDEO CASE 335 BIZ FLIX VIDEO CASE 336 Endnotes 336

12 Managing Diversity 340 Do You Know Your Biases? 341 The Changing Workplace 342

Diversity in the United States 343 | Diversity on a Global Scale 345

Manager’s Shoptalk: A Guide for Expatriate Managers in America 346 Managing Diversity 346

What Is Diversity? 346 | Dividends of Workplace Diversity 348

Factors Shaping Personal Bias 350 Prejudice, Discrimination, and Stereotypes 350 | Ethnocentrism 352

Factors Affecting Women’s Careers 353 Glass Ceiling 353 | Opt-Out Trend 354

New Manager’s Self-Test: Are You Tuned Into Gender Differences? 355

The Female Advantage 356 Cultural Competence 356 Diversity Initiatives and Programs 358

Changing Structures and Policies 358 | Expanding Recruitment Efforts 358 | Establishing Mentor Relationships 358 | Accommodating Special Needs 360 | Providing Diversity Skills Training 360 | Increasing Awareness of Sexual Harassment 361

New Diversity Initiatives 362 Multicultural Teams 362 | Employee Network Groups 362

A Manager’s Essentials: What Have We Learned? 363 Discussion Questions 364 Management in Practice: Experiential Exercise 365 Management in Practice: Ethical Dilemma 366 Case for Critical Analysis 367 ON THE JOB VIDEO CASE 368 BIZ FLIX VIDEO CASE 369 Endnotes 370 Continuing Case 374

CONTENTS

xxvii

13 Dynamics of Behavior in Organizations 376 Are You Self-Confi dent? 377 Organizational Behavior 378 Attitudes 378

Components of Attitudes 379 | High-Performance Work Attitudes 380 | Confl icts Among Attitudes 382

Perception 382 Perceptual Selectivity 383 | Perceptual Distortions 384 | Attributions 384

Personality and Behavior 385 Personality Traits 386 | Emotional Intelligence 388 | Attitudes and Behaviors Infl uenced by Personality 388

New Manager Self-Test: What’s Your EQ? 389 Manager’s Shoptalk: Bridging the Personality Gap 390

Person–Job Fit 393 Learning 394

The Learning Process 394 | Learning Styles 395 Stress and Stress Management 396

Type A and Type B Behavior 397 | Causes of Work Stress 397 | Innovative Responses to Stress Management 398

A Manager’s Essentials: What Have We Learned? 399 Discussion Questions 400 Management in Practice: Experiential Exercise 400 Management in Practice: Ethical Dilemma 403 Case for Critical Analysis 403 ON THE JOB VIDEO CASE 405 BIZ FLIX VIDEO CASE 405 Endnotes 406

14 Leadership 408 What’s Your Personal Style? 409 The Nature of Leadership 410 Contemporary Leadership 410

Level 5 Leadership 411 | Interactive Leadership 412

New Manager Self-Test: Interpersonal Patterns 413 From Management to Leadership 414 Leadership Traits 415 Behavioral Approaches 415

Ohio State Studies 416 | Michigan Studies 416 The Leadership Grid 417

Contingency Approaches 418 Hersey and Blanchard’s Situational Theory 418 | Fiedler’s Contingency Theory 419 | Matching Leader Style to the Situation 420 | Substitutes for Leadership 421

Charismatic and Transformational Leadership 422 Charismatic and Visionary Leadership 422

Manager’s Shoptalk: Are You a Charismatic Leader? 423

Transformational Versus Transactional Leadership 424 Followership 424 Power and Infl uence 426

Position Power 426 | Personal Power 427 | Other Sources of Power 427 | Interpersonal Infl uence Tactics 428

Leadership as Service 429 Servant Leadership 429 | Moral Leadership 430

A Manager’s Essentials: What Have We Learned? 431 Discussion Questions 432 Management in Practice: Experiential Exercise 432 Management in Practice: Ethical Dilemma 433 Case for Critical Analysis 434 ON THE JOB VIDEO CASE 435 BIZ FLIX VIDEO CASE 436 Endnotes 437

15 Motivating Employees 440 Are You Engaged or Disengaged? 441 The Concept of Motivation 442 Content Perspectives on Motivation 443

The Hierarchy of Needs 443 | ERG Theory 445 | A Two-Factor Approach to Motivation 446 | Acquired Needs 447

Process Perspectives on Motivation 448 Goal-Setting 448 | Equity Theory 449 | Expectancy Theory 450

New Manager Self-Test: Your Approach to Motivating Others 452 Reinforcement Perspective on Motivation 452 Job Design for Motivation 454

Job Simplifi cation 454 | Job Rotation 455 Manager’s Shoptalk: The Carrot-and-Stick Controversy 455

Job Enlargement 456 | Job Enrichment 456 | Job Characteristics Model 457

Innovative Ideas for Motivating 458 Empowering People to Meet Higher Needs 459 Giving Meaning to Work Through Engagement 460

A Manager’s Essentials: What Have We Learned? 462 Discussion Questions 463 Management in Practice: Experiential Exercise 463 Management in Practice: Ethical Dilemma 464 Case for Critical Analysis 465 ON THE JOB VIDEO CASE 466 BIZ FLIX VIDEO CASE 467 Endnotes 468

Part 5 LEADING

CONTENTS

xxviii

16 Managing Communication 470 Are You Building a Personal Network? 471 Communication Is the Manager’s Job 472

What Is Communication? 473 | The Communication Process 474

Communicating Among People 475 Manager’s Shoptalk: Breaking Down Language Barriers 475

Communication Channels 476 | Communicating to Persuade and Infl uence Others 478 | Gender Differences in Communication 479 | Nonverbal Communication 480 | Listening 480

New Manager Self-Test: What Is Your Social Disposition? 482 Organizational Communication 483

Formal Communication Channels 483 | Team Communication Channels 486 | Personal Communication Channels 487

Innovations in Organizational Communication 489 Dialogue 489 | Crisis Communication 490 | Feedback and Learning 491 | Climate of Trust and Openness 492

A Manager’s Essentials: What Have We Learned? 492 Discussion Questions 493 Management in Practice: Experiential Exercise 494 Management in Practice: Ethical Dilemma 495 Case for Critical Analysis 496 ON THE JOB VIDEO CASE 497 BIZ FLIX VIDEO CASE 498 Endnotes 499

17 Leading Teams 502 How Do You Like to Work? 503 Why Teams at Work? 504

What Is a Team? 504 | The Dilemma of Teams 505

How to Make Teams Effective 506 Model of Team Effectiveness 506 | Effective Team Leadership 507

Types of Teams 507 Formal Teams 507 | Self-Directed Teams 508

Innovative Uses of Teams 509 Virtual Teams 509 | Global Teams 511

Team Characteristics 512 Size 512 | Diversity 512 | Member Roles 513

Team Processes 513 Stages of Team Development 514 | Team Cohesiveness 516 | Team Norms 517

Managing Team Confl ict 517 Balancing Confl ict and Cooperation 518 | Causes of Confl ict 519 | Styles to Handle Confl ict 519 Negotiation 520

New Manager Self-Test: Managing Confl ict 522 Work Team Effectiveness 522

Productive Output 523 | Satisfaction of Members 523 | Capacity to Adapt and Learn 523

Manager’s Shoptalk: How to Run a Great Meeting 524 A Manager’s Essentials: What Have We Learned? 525 Discussion Questions 525 Management in Practice: Experiential Exercise 526 Management in Practice: Ethical Dilemma 526 Case for Critical Analysis 527 ON THE JOB VIDEO CASE 529 BIZ FLIX VIDEO CASE 530 Endnotes 531 Continuing Case 534

18 Managing Quality and Performance 536 What Is Your Attitude Toward Organizational Regulation and Control? 537 The Meaning of Control 538 Manager’s Shoptalk: Cyberslackers Beware: The Boss Is Watching 539

Choosing Standards and Measures 539 The Balanced Scorecard 540

Feedback Control Model 541 Steps of Feedback Control 541 | Application to Budgeting 544

Financial Control 546 Financial Statements 546 | Financial Analysis: Interpreting the Numbers 547

The Changing Philosophy of Control 548 Hierarchical versus Decentralized Approaches 548 | Open-Book Management 550

New Manager Self-Test: What Is Your Control Approach? 551 Total Quality Management 552

TQM Techniques 553 | TQM Success Factors 556

Trends in Quality and Financial Control 557 International Quality Standards 557 | New Financial Control Systems 557

A Manager’s Essentials: What Have We Learned? 559 Discussion Questions 560

Part 6 CONTROLLING

CONTENTS

xxix

Management in Practice: Experiential Exercise 561 Management in Practice: Ethical Dilemma 561 Case for Critical Analysis 562 ON THE JOB VIDEO CASE 564 BIZ FLIX VIDEO CASE 565 Endnotes 565

19 Managing the Value Chain, Information Technology, and E-Business 568 Which Side of Your Brain Do You Use? 569 The Organization As a Value Chain 570

Manufacturing and Service Operations 571 | Supply Chain Management 572

Facilities Layout 573 Process Layout 573

New Manager Self-Test: Political Skills 574 Product Layout 574 | Cellular Layout 576 | Fixed-Position Layout 576

Technology Automation 576 Radio-Frequency Identifi cation (RFID) 577 | Flexible Manufacturing Systems 577 | Lean Manufacturing 578

Inventory Management 578 The Importance of Inventory 579 | Just-in-Time Inventory 579

Information Technology Has Transformed Management 580

Boundaries Dissolve; Collaboration Reigns 580 | Knowledge Management 580 | Management Information Systems 581 | Enterprise Resource Planning Systems 582

Manager’s Shoptalk: Putting Performance Dashboards to Work 583 A New Generation of Information Technology 585 The Internet and E-Business 586

E-Business Strategy: Market Expansion 588 | E-Business Strategy: Increasing Effi ciency 589

A Manager’s Essentials: What Have We Learned? 589 Discussion Questions 590 Management in Practice: Experiential Exercise 591 Management in Practice: Ethical Dilemma 591 Case for Critical Analysis 592 ON THE JOB VIDEO CASE 593 BIZ FLIX VIDEO CASE 594 Endnotes 595 Continuing Case 598

Appendix A: Managing Small Business Start-Ups 601 Glossary 625 Name Index 639 Company Index 653 Subject Index 657

CONTENTS

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Management RICHARD L. DAFT

Vanderb i l t Un i ve r s i t y

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e After studying this chapter, you should be able to: 1. Describe the four management functions and the type of management

activity associated with each.

2. Explain the difference between effi ciency and effectiveness and their importance for organizational performance.

3. Describe conceptual, human, and technical skills and their relevance for managers.

4. Describe management types and the horizontal and vertical differences between them.

5. Defi ne ten roles that managers perform in organizations.

6. Appreciate the manager’s role in small businesses and nonprofi t organizations.

7. Understand the personal challenges involved in becoming a new manager.

8. Discuss characteristics of the new workplace and the new management competencies needed to deal with today’s turbulent environment.

Are You Ready to Be a Manager? Why Innovation Matters The Defi nition of Management The Four Management Functions

Planning Organizing Leading Controlling

Organizational Performance Management Skills

Conceptual Skills Human Skills Technical Skills When Skills Fail

Management Types Vertical Differences Horizontal Differences

What Is It Like to Be a Manager? Making the Leap: Becoming a

New Manager New Manager Self-Test: Manager

Achievement Manager Activities Manager Roles

Managing in Small Businesses and Nonprofi t Organizations

Management and the New Workplace New Workplace Characteristics New Management Competencies

3

Innovative Management for Turbulent Times

C ontrolling

6

P lanning

3

Environm ent

2

4O rganizing

5Leading Introduction

1

ARE YOU READY TO BE A MANAGER?1

Welcome to the world of management. Are you ready for it? This questionnaire will help you see whether your pri- orities align with the demands placed on today’s manag- ers. Rate each of the following items based on what you think is the appropriate emphasis for that task to your success as a new manager of a department. Your task is to rate the top four priority items as “High Priority” and the other four as “Low Prioity.” You will have four of the items rated high and four rated low.

High Priority

Low Priority

1. Spend 50 percent or more of your time in the care and feeding of people.

2. Make sure people understand that you are in control of the department.

3. Use lunches to meet and network with peers in other departments.

4. Implement the changes you believe will improve department performance.

5. Spend as much time as possible talking with and listening to subordinates.

6. Make sure jobs get out on time.

7. Reach out to your boss to discuss his expectations for you and your department.

8. Make sure you set clear expec- tations and policies for your department.

SCORING & INTERPRETATION: All eight items in the list may be important, but the odd-numbered items are considered more important than the even-numbered items for long-term success as a manager. If you checked three or four of the odd-numbered items, consider your- self ready for a management position. A successful new manager discovers that a lot of time has to be spent in the care and feeding of people, including direct reports and colleagues. People who fail in new management jobs often do so because they have poor working relationships or they misjudge management philosophy or cultural values. Developing good relationships in all directions is typically more important than holding on to old work skills or emphasizing control and task outcomes. Success- ful outcomes typically will occur when relationships are solid. After a year or so in a managerial role, successful people learn that more than half their time is spent net- working and building relationships.

Categories
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cell structure and function answer key

This contains 100% correct material for UMUC Biology 103 LAB03. However, this is an Answer Key, which means, you should put it in your own words. Here is a sample for the Pre lab questions answered:

Pre-Lab Questions

1. Identify the major similarities and differences between prokaryotic and eukaryotic cells. (2 pts)

Prokaryotes tend to be less complex than eukaryotic cells, with fewer organelles and (generally) fewer requirements for survival. Eukaryotes have a nucleus, while prokaryotes do not. Both eukaryotes and prokaryotes have DNA, a cell membrane, and cytoplasm.

2. Where is the DNA housed in a prokaryotic cell? Where is it housed in a eukaryotic cell? (2 pts)

DNA is housed in the nucleus in eukaryotic cells. Prokaryotic cells do not have a nucleus, and thus DNA exists freely in the cytoplasm.

3. Identify three structures which provide support and protection in a eukaryotic cell. (2 pts)

The cell membrane, the cytoplasm, and the cytoskeleton (microtubules, microfilaments, etc.).

The rest of the questions are answered as well:


Experiment 1: Cell Structure and Function

Post-Lab Questions

1.    Label each of the arrows in the following slide image:

2.    What is the difference between the rough and smooth endoplasmic reticulum?

3.    Would an animal cell be able to survive without a mitochondria? Why or why not?

4.    What could you determine about a specimen if you observed a slide image showing the specimen with a cell wall, but no nucleus or mitochondria?

5.    Hypothesize why parts of a plant, such as the leaves, are green, but other parts, such as the roots, are not. Use scientific reasoning to support your hypothesis.

Experiment 2: Osmosis – Direction and Concentration Gradients

Data Tables and Post-Lab Assessment

Table 3: Sucrose Concentration vs. Tubing Permeability

Band ColorSucrose %Initial Volume (mL)Final Volume (mL)Net Displacement (mL)
Yellow    
Red    
Blue    
Green    

Hypothesis:

Post-Lab Questions

1.    For each of the tubing pieces, identify whether the solution inside was hypotonic, hypertonic, or isotonic in comparison to the beaker solution in which it was placed.

2.    Which tubing increased the most in volume? Explain why this happened.

3.    What do the results of this experiment this tell you about the relative tonicity between the contents of the tubing and the solution in the beaker?

4.    What would happen if the tubing with the yellow band was placed in a beaker of distilled water?

5.    How are excess salts that accumulate in cells transferred to the blood stream so they can be removed from the body? Be sure to explain how this process works in terms of tonicity.

6.    If you wanted water to flow out of a tubing piece filled with a 50% solution, what would the minimum concentration of the beaker solution need to be? Explain your answer using scientific evidence.

7.    How is this experiment similar to the way a cell membrane works in the body? How is it different? Be specific with your response.

Categories
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to start a new line in a cell, press the ____ keys.

BSC1005 Biology General Chapter 10

Patterns of Inheritance

1

Chapter 10: Patterns of Inheritance, Mendel Laws

Multiple-Choice Questions

2) Which of the following statements best represents the theory of pangenesis developed by Hippocrates? A) Pregnancy is a spontaneous event, and the characteristics of the offspring are determined by the gods. B) Particles called pangenes, which originate in each part of an organism’s body, collect in the sperm or eggs and are passed on to the next generation. C) Offspring inherit the traits of either the mother or the father, but not both. D) Fertilization of plants is dependent on an animal. E) Heritable traits are influenced by the environment and the behaviors of the parents. 3) Which of the following statements regarding hypotheses about inheritance is false? A) The theory of pangenesis incorrectly suggests that reproductive cells receive particles from somatic cells. B) Contrary to the theory of pangenesis, somatic cells do not influence eggs or sperm. C) The blending hypothesis does not explain how traits that disappear in one generation can reappear in later generations. D) The blending hypothesis suggests that all of the traits of the offspring come from either the mother or the father. E) Aristotle suggested that inheritance is the potential to produce body features. 4) Mendel conducted his most memorable experiments on A) peas. B) roses. C) guinea pigs. D) fruit flies. E) clones. 5) Varieties of plants in which self-fertilization produces offspring that are identical to the parents are referred to as A) hybrids. B) the F2 generation. C) monohybrid crosses. D) independent crosses. E) true-breeding. 6) Which of the following statements regarding cross-breeding and hybridization is false? A) The offspring of two different varieties are called hybrids. B) Hybridization is also called a cross. C) The parental plants of a cross are the P generation. D) The hybrid offspring of a cross are the P1 generation. E) The hybrid offspring of an F1 cross are the F2 generation. 7) A monohybrid cross is A) the second generation of a self-fertilized plant. B) a breeding experiment in which the parental varieties have only one trait in common. C) a breeding experiment in which the parental varieties differ in only one character. D) a triploid plant that results from breeding two very different plants. E) a breeding experiment in which the parental varieties have only one prominent trait. 8) Which of the following statements regarding genotypes and phenotypes is false? A) The genetic makeup of an organism constitutes its genotype. B) An organism with two different alleles for a single trait is said to be heterozygous for that trait. C) Alleles are alternate forms of a gene. D) An allele that is fully expressed is referred to as recessive. E) The expressed physical traits of an organism are called its phenotype.

BSC1005 Biology General Chapter 10

Patterns of Inheritance

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9) Research since Mendel’s time has established that the law of the segregation of genes during gamete formation A) applies to all forms of life. B) applies to all sexually reproducing organisms. C) applies to all asexually reproducing organisms. D) applies only to unicellular organisms. E) is invalid. 10) All the offspring of a cross between a black-eyed mendelien and an orange-eyed mendelien have black eyes. This means that the allele for black eyes is ________ the allele for orange eyes. A) codominant to B) recessive to C) more aggressive than D) dominant to E) better than 11) All the offspring of a cross between a black-eyed mendelien and an orange-eyed mendelien have black eyes. What is the expected phenotypic ratio of a cross between two orange-eyed mendeliens? A) 3 black-eyed:1 orange-eyed B) 0 black-eyed:1 orange-eyed C) 1 black-eyed:3 orange-eyed D) 1 black-eyed:0 orange-eyed E) 1 black-eyed:1 orange-eyed 12) The alleles of a gene are found at ________ chromosomes. A) the same locus on homologous mitochondrial B) the same locus on heterologous C) different loci on homologous D) different loci on heterologous E) the same locus on homologous 13) The phenotypic ratio resulting from a dihybrid cross showing independent assortment is expected to be A) 1:2:1. B) 3:1. C) 9:1:1:3. D) 3:9:9:1. E) 9:3:3:1. 14) If A is dominant to a and B is dominant to b, what is the expected phenotypic ratio of the cross: AaBb × AaBb? A) 16:0:0:0 B) 8:4:2:2 C) 4:4:4:4 D) 1:1:1:1 E) 9:3:3:1 15) Mendel’s law of independent assortment states that A) chromosomes sort independently of each other during mitosis and meiosis. B) genes sort independently of each other in animals but not in plants. C) independent sorting of genes produces polyploid plants under some circumstances. D) each pair of alleles segregates independently of the other pairs of alleles during gamete formation. E) genes are sorted concurrently during gamete formation. 16) Imagine that we mate two black Labrador dogs with normal vision and find that three of the puppies are like the parents, but one puppy is chocolate with normal vision and another is black with PRA (progressive retinal atrophy, a serious disease of vision).

BSC1005 Biology General Chapter 10

Patterns of Inheritance

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We can conclude that A) both of the parents are homozygous for both traits. B) one of the parents is homozygous for both traits. C) the same alleles that control coat color can also cause PRA. D) the alleles for color and vision segregate independently during gamete formation. E) the alleles for color and vision segregate dependently during gamete formation. 17) A testcross is A) a mating between an individual of unknown genotype and an individual homozygous recessive for the trait of interest. B) a mating between an individual of unknown genotype and an individual heterozygous for the trait of interest. C) a mating between an individual of unknown genotype and an individual homozygous dominant for the trait of interest. D) a mating between two individuals heterozygous for the trait of interest. E) a mating between two individuals of unknown genotype. 18) Using a six-sided die, what is the probability of rolling either a 5 or a 6? A) 1/6 × 1/6 = 1/36 B) 1/6 + 1/6 = 1/3 C) 1/6 + 1/6 = 2/3 D) 1/6 + 1/6 = 1/12 E) 1/6 19) Assuming that the probability of having a female child is 50% and the probability of having a male child is also 50%, what is the probability that a couple’s first-born child will be female and that their second-born child will be male? A) 20% B) 25% C) 50% D) 75% E) 100% 20) A carrier of a genetic disorder who does not show symptoms is most likely to be ________ to transmit it to offspring. A) heterozygous for the trait and able B) heterozygous for the trait and unable C) homozygous for the trait and able D) homozygous for the trait and unable E) heterozygous for the trait and unlikely 21) Dr. Smith’s parents have normal hearing. However, Dr. Smith has an inherited form of deafness. Deafness is a recessive trait that is associated with the abnormal allele d. The normal allele at this locus, associated with normal hearing, is D. Dr. Smith’s parents could have which of the following genotypes? A) DD and dd B) dd and dd C) Dd and Dd D) DD and DD E) Dd and DD 22) Most genetic disorders of humans are caused by A) multiple alleles. B) recessive alleles. C) drinking during pregnancy. D) a mutation that occurs in the egg, sperm, or zygote. E) dominant alleles.

BSC1005 Biology General Chapter 10

Patterns of Inheritance

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23) The vast majority of people afflicted with recessive disorders are born to parents who were A) both affected by the disease. B) not affected at all by the disease. C) slightly affected by the disease, showing some but not all of the symptoms. D) subjected to some environmental toxin that caused the disease in their children. E) affected by the disease but had subclinical symptoms. 24) Which of the following statements best explains why dominant alleles that cause lethal disorders are less common than recessive alleles that cause lethal disorders? A) Lethal disorders caused by dominant alleles are usually more severe than lethal disorders caused by recessive alleles. B) Unlike lethal disorders caused by recessive alleles, lethal disorders caused by dominant alleles usually cause the death of the embryo. C) Most individuals carrying a lethal dominant allele have the disorder and die before they reproduce, whereas individuals carrying a lethal recessive allele are more likely to be healthy and reproduce. D) The presence of a lethal dominant allele causes sterility. E) Many lethal recessive alleles cause enhanced disease resistance when they are present in the heterozygous state, and carriers of these alleles have more children, on average, than other people. 25) Amniocentesis and chorionic villus sampling allow for ________ and ________ of the fetus so that it can be tested for abnormalities. A) imaging . . . biochemical testing B) imaging . . . karyotyping C) sexing . . . imaging D) karyotyping . . . biochemical testing E) direct observation . . . biochemical testing 26) Which of the following statements regarding prenatal testing is false? A) Results from chorionic villus sampling come faster than from amniocentesis. B) Chorionic villus sampling is typically performed later in the pregnancy than amniocentesis. C) Ultrasound imaging has no known risk. D) The complication rate for chorionic villus sampling is about 2% and for amniocentesis is about 1%. E) Chorionic villus sampling and amniocentesis are usually reserved for pregnancies with higher than usual risks of complications. 27) Which of the following statements regarding genetic testing is false? A) Genetic testing before birth requires the collection of fetal cells. B) Carrier testing helps determine if a person carries a potentially harmful disorder. C) Most children with recessive disorders are born to healthy parents. D) The screening of newborns can catch inherited disorders right after birth. E) Most human genetic diseases are treatable if caught early. 28) For most sexually reproducing organisms, Mendel’s laws A) cannot strictly account for most patterns of inheritance. B) explain the reasons why certain genes are dominant. C) help us understand the global geographic patterns of genetic disease. D) indicate if a particular genotype will cause a certain phenotype. E) clarify the phenomenon of incomplete dominance. 29) Which of the following statements is false? A) Incomplete dominance supports the blending hypothesis. B) Heterozygotes for hypercholesterolemia have blood cholesterols about twice normal. C) The four blood types result from various combinations of the three different ABO alleles. D) ABO blood groups can provide evidence of paternity. E) The impact of a single gene on more than one character is called pleiotropy.

BSC1005 Biology General Chapter 10

Patterns of Inheritance

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30) All the offspring of a cross between a red-flowered plant and a white-flowered plant have pink flowers. This means that the allele for red flowers is ________ to the allele for white flowers. A) dominant B) codominant C) pleiotropic D) incompletely dominant E) recessive 31) Imagine that beak color in a finch species is controlled by a single gene. You mate a finch homozygous for orange (pigmented) beak with a finch homozygous for ivory (unpigmented) beak and get numerous offspring, all of which have a pale, ivory-orange beak. This pattern of color expression is most likely to be an example of A) incomplete dominance. B) codominance. C) pleiotropy. D) polygenic inheritance. E) crossing over. 32) Which of the following is an example of incomplete dominance in humans? A) sickle-cell disease B) hypercholesterolemia C) skin color D) ABO blood groups E) phenylketonuria 33) The expression of both alleles for a trait in a heterozygous individual illustrates A) incomplete dominance. B) codominance. C) pleiotropy. D) polygenic inheritance. E) blending inheritance. 34) A person with AB blood illustrates the principle of A) incomplete dominance. B) codominance. C) pleiotropy. D) polygenic inheritance. E) blending inheritance. 35) Which of the following statements regarding sickle-cell disease is false? A) Sickle-cell disease is common in tropical Africa. B) Persons who are heterozygous for sickle-cell disease are also resistant to malaria. C) Sickle-cell disease causes white blood cells to be sickle-shaped. D) All of the symptoms of sickle-cell disease result from the actions of just one allele. E) About one in ten African-Americans is a carrier of sickle-cell disease. 36) Sickle-cell disease is an example of A) codominance and pleiotropy. B) codominance and blended inheritance. C) multiple alleles, pleiotropy, and blended inheritance. D) codominance and multiple alleles. E) multiple alleles and pleiotropy.

BSC1005 Biology General Chapter 10

Patterns of Inheritance

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37) Which of the following terms refers to a situation where a single phenotypic character is determined by the additive effects of two or more genes? A) incomplete dominance B) codominance C) pleiotropy D) polygenic inheritance E) blending inheritance 38) Which of the following is essentially the opposite of pleiotropy? A) incomplete dominance B) codominance C) multiple alleles D) polygenic inheritance E) blending inheritance 39) The individual features of all organisms are the result of A) genetics. B) the environment. C) genetics and cytoplasmic determinants. D) the environment and individual needs. E) genetics and the environment. 40) The chromosome theory of inheritance states that A) chromosomes that exhibit mutations are the source of genetic variation. B) the behavior of chromosomes during meiosis and fertilization accounts for patterns of inheritance. C) the behavior of chromosomes during mitosis accounts for inheritance patterns. D) humans have 46 chromosomes. E) the inheritance pattern of humans is predetermined from chromosomes. 41) Genes located close together on the same chromosomes are referred to as ________ genes and generally ________. A) associated . . . sort independently during meiosis B) linked . . . sort independently during meiosis C) homologous . . . are inherited together D) linked . . . do not sort independently during meiosis E) codependent . . . do not sort independently during meiosis 42) Linked genes generally A) follow the laws of independent assortment. B) do not follow the laws of independent assortment. C) show incomplete dominance. D) reflect a pattern of codominance. E) show pleiotropy. 43) You conduct a dihybrid cross and then testcross the generation. A ________ ratio would make you suspect that the genes are linked. A) 3:1 B) 1:2:1 C) 1:1:1:1 D) 7:7:1:1 E) 9:3:3:1

BSC1005 Biology General Chapter 10

Patterns of Inheritance

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44) Crossing over ________ genes into assortments of ________ not found in the parents. A) recombines unlinked . . . genes B) recombines linked . . . alleles C) combines unlinked . . . alleles D) combines linked . . . genes E) recombines unlinked . . . chromosomes 45) The mechanism that “breaks” the linkage between linked genes is A) incomplete dominance. B) pleiotropy. C) codominance. D) independent assortment. E) crossing over. 46) Which of the following kinds of data could be used to map the relative position of three genes on a chromosome? A) the frequencies with which the genes exhibit incomplete dominance over each other B) the frequencies of mutations in the genes C) the frequencies with which the genes are inherited from the mother and from the father D) the frequencies with which the genes are heterozygous E) the frequencies with which the corresponding traits occur together in offspring 47) What is the normal complement of sex chromosomes in a human male? A) two X chromosomes B) two Y chromosomes C) two X chromosomes and one Y chromosome D) one X chromosome and one Y chromosome E) one Y chromosome 48) The sex chromosome complement of a normal human male is A) XO. B) XX. C) XY. D) YY. E) YO. 49) How many sex chromosomes are in a human gamete? A) one B) two C) three D) four E) five 50) How is sex determined in most ants and bees? A) by the X-Y system B) by the Z-W system C) by the number of chromosomes D) by the size of the sex chromosome E) by the X-O system

BSC1005 Biology General Chapter 11

Molecular Biology of the Gene

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Chapter 11: Molecular Biology of the Gene Multiple-Choice Questions 1) Which of the following statements regarding viruses is false? A) A virus is generally considered to be alive because it is cellular and can reproduce on its own. B) The host cell provides most of the tools and raw materials for viral multiplication. C) Once a person is infected with the herpes virus, the virus remains permanently latent in the body. D) Viruses can enter a host cell when the protein molecules on the outside of the virus fit into receptor molecules on the outside of the cell. E) Herpesviruses and the virus that causes AIDS can remain latent inside our cells for long periods of time. 2) Which of the following people conducted the experiments that demonstrated that DNA is the genetic material of bacteriophages? A) Watson and Crick B) Hershey and Chase C) Franklin D) Griffith E) Pauling 3) One type of virus that infects bacteria is called a A) phage. B) mage. C) rhinovirus. D) filovirus. E) coronavirus. 4) When a T2 bacteriophage infects an Escherichia coli cell, which part of the phage enters the bacterial cytoplasm? A) the whole phage B) only the RNA C) only the DNA D) the protein “headpiece” and its enclosed nucleic acid E) the tail fibers 5) The way that genetic material of a bacteriophage enters a bacterium is most like the way that A) a drug is injected with a hypodermic needle. B) a person swallows a pill. C) skin lotion is rubbed onto the hands. D) sugar dissolves in water. E) water soaks into a sponge. 6) The monomers of DNA and RNA are A) amino acids. B) monosaccharides. C) nucleotides. D) fatty acids. E) nucleic acids. 7) Which of the following statements regarding DNA is false? A) DNA uses the sugar deoxyribose. B) DNA uses the nitrogenous base uracil. C) DNA is a nucleic acid. D) One DNA molecule can include four different nucleotides in its structure. E) DNA molecules have a sugar-phosphate backbone.

BSC1005 Biology General Chapter 11

Molecular Biology of the Gene

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8) Which of the following statements regarding RNA is false? A) RNA uses the sugar dextrose. B) RNA uses the nitrogenous base uracil. C) RNA is a nucleic acid. D) One RNA molecule can include four different nucleotides in its structure. E) RNA molecules have a sugar-phosphate backbone. 9) Which of the following statements regarding the structure of DNA is false? A) The DNA molecule has a uniform diameter. B) In a DNA molecule, adenine bonds to thymine and guanine to cytosine. C) The DNA molecule is in the form of a double helix. D) Watson and Crick received a Nobel Prize for their description of the structure of DNA. E) The sequence of nucleotides along the length of a DNA strand is restricted by the base-pairing rules. 10) How would the shape of a DNA molecule change if adenine paired with guanine and cytosine paired with thymine? A) The DNA molecule would be longer. B) The DNA molecule would be shorter. C) The DNA molecule would be circular. D) The DNA molecule would have regions where no base-pairing would occur. E) The DNA molecule would have irregular widths along its length. 11) The shape of a DNA molecule is most like A) a set of railroad tracks. B) a diamond ring. C) a twisted rope ladder. D) a gold necklace. E) the letter X. 12) Which of the following statements regarding a DNA double helix is always true? A) The amount of adenine is equal to the amount of uracil, and the amount of guanine is equal to the amount of cytosine. B) The amount of adenine is equal to the amount of thymine, and the amount of guanine is equal to the amount of uracil. C) The amount of adenine is equal to the amount of guanine, and the amount of thymine is equal to the amount of cytosine. D) The amount of adenine is equal to the amount of cytosine, and the amount of guanine is equal to the amount of thymine. E) The amount of adenine is equal to the amount of thymine, and the amount of guanine is equal to the amount of cytosine. 13) DNA replication A) occurs through the addition of nucleotides to the end of the DNA molecule. B) results in the formation of four new DNA strands. C) produces two daughter DNA molecules that are complementary to each other. D) uses each strand of a DNA molecule as a template for the creation of a new strand. E) begins when two DNA molecules join together to exchange segments. 14) If one strand of DNA is CGGTAC, the corresponding strand would be A) GCCTAG. B) CGGTAC. C) GCCAUC. D) TAACGT. E) GCCATG.

BSC1005 Biology General Chapter 11

Molecular Biology of the Gene

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15) The copying mechanism of DNA is most like A) using a photographic negative to make a positive image. B) mixing flour, sugar, and water to make bread dough. C) joining together links to make a chain. D) carving a figure out of wood. E) threading beads onto a string. 16) When one DNA molecule is copied to make two DNA molecules, the new DNA contains A) none of the parent DNA. B) 25% of the parent DNA. C) 50% of the parent DNA. D) 75% of the parent DNA. E) 100% of the parent DNA 17) Multiple origins of replication on the DNA molecules of eukaryotic cells serve to A) remove errors in DNA replication. B) create multiple copies of the DNA molecule at the same time. C) shorten the time necessary for DNA replication. D) reduce the number of “bubbles” that occur in the DNA molecule during replication. E) assure the correct orientation of the two strands in the newly growing double helix. 18) Which of the following enzymes catalyzes the elongation of a new DNA strand? A) helicase B) primase C) ligase D) single-stranded binding protein E) DNA polymerase 19) Why does a DNA strand grow only in the 5′ to 3′ direction? A) because DNA polymerases can only add nucleotides to the 3′ end of the growing molecule B) because DNA polymerases can only add nucleotides to the 5′ end of the growing molecule C) because mRNA can only read a DNA molecule in the 5′ to 3′ direction D) because the DNA molecule only unwinds in the 5′ to 3′ direction E) because DNA polymerase requires the addition of a starter nucleotide at the 5′ end 20) Which of the following options best depicts the flow of information when a gene directs the synthesis of a cellular component? A) RNA → DNA → RNA → protein B) DNA → RNA → protein C) protein → RNA → DNA D) DNA → amino acid → RNA → protein E) DNA → tRNA → mRNA → protein 21) The transfer of genetic information from DNA to RNA is called A) translation. B) transcription. C) initiation. D) elongation. E) promotion. 22) The “one gene-one polypeptide” theory states that A) the synthesis of each gene is catalyzed by one specific enzyme. B) the synthesis of each enzyme is catalyzed by one specific gene. C) the function of an individual gene is to dictate the production of a specific polypeptide. D) each polypeptide catalyzes a specific reaction.

BSC1005 Biology General Chapter 11

Molecular Biology of the Gene

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E) the function of each polypeptide is to regulate the synthesis of each corresponding gene. 23) Experiments have demonstrated that the “words” of the genetic code (the units that specify amino acids) are A) single nucleotides. B) two-nucleotide sequences. C) three-nucleotide sequences. D) nucleotide sequences of various lengths. E) enzymes. 24) The directions for each amino acid in a polypeptide are indicated by a codon that consists of ________ nucleotide(s) in an RNA molecule. A) 5 B) 4 C) 3 D) 2 E) 1 25) We would expect that a 15-nucleotide sequence will direct the production of a polypeptide that consists of A) 2 amino acids. B) 3 amino acids. C) 4 amino acids. D) 5 amino acids. E) 6 amino acids. 26) A base substitution mutation in a gene does not always result in a different protein. Which of the following factors could account for this? A) the fact that the mutation affects only the sequence of the protein’s amino acids, so the protein stays the same B) the double-ring structure of adenine and guanine C) a correcting mechanism that is part of the mRNA molecule D) the fact that such mutations are usually accompanied by a complementary deletion E) the fact that some amino acids are specified from more than one codon 27) Which of the following enzymes catalyzes the linking together of RNA nucleotides to form RNA? A) RNA polymerase B) RNA ligase C) a ribozyme D) reverse transcriptase E) tRNA 28) Which of the following occurs when RNA polymerase attaches to the promoter DNA? A) elongation of the growing RNA molecule B) termination of the RNA molecule C) addition of nucleotides to the DNA template D) initiation of a new RNA molecule E) initiation of a new polypeptide chain 29) ________ marks the end of a gene and causes transcription to stop. A) RNA polymerase B) RNA ligase C) A terminator D) Reverse transcriptase E) Methionine

BSC1005 Biology General Chapter 11

Molecular Biology of the Gene

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30) Where do transcription and translation occur in prokaryotic cells? A) on the plasma membrane B) in the nucleus C) in the cytoplasm D) in chromatophores E) in the cell wall 31) Which of the following statements about eukaryotic RNA is true? A) Introns are added to the RNA. B) Exons are spliced together. C) A small cap of extra nucleotides is added to both ends of the RNA. D) A long tail of extra nucleotides is removed from the 5′ end of the RNA. E) The modified RNA molecule is transported into the nucleus. 32) Which of the following takes place during translation? A) the conversion of genetic information from the language of nucleic acids to the language of proteins B) the conversion of genetic information from DNA nucleotides into RNA nucleotides C) the addition of nucleotides to a DNA template D) the conversion of genetic information from the language of proteins to the language of enzymes E) DNA replication 33) Which of the following is a function of tRNA? A) joining to several types of amino acid B) recognizing the appropriate anticodons in mRNA C) transferring nucleotides to rRNA D) helping to translate codons into nucleic acids E) joining to only one specific type of amino acid 34) Which of the following is not needed in order for translation to occur? A) DNA template B) ribosomes C) tRNA D) various enzymes and protein “factors” E) sources of energy, including ATP 35) Which of the following statements about ribosomes is false? A) A ribosome consists of two subunits. B) Subunits of RNA are made of proteins and ribosomal RNA. C) The ribosomes of prokaryotes and eukaryotes are the same in structure and function. D) Each ribosome has two binding sites for tRNA. E) Ribosomes coordinate the functioning of mRNA and tRNA. 36) Which of the following statements is false? A) Translation consists of initiation, elongation, and termination. B) During polypeptide initiation, an mRNA, the first amino acid attached to its tRNA, and the two subunits of a ribosome are brought together. C) An mRNA molecule transcribed from DNA is shorter than the genetic message it carries. D) During the first step of initiation, an mRNA molecule binds to a small ribosomal subunit. E) During the second step of initiation, a large ribosomal subunit binds to a small ribosomal subunit. 37) Which of the following options most accurately lists the sequence of events in translation? A) codon recognition → translocation → peptide bond formation → termination B) peptide bond formation → codon recognition → translocation → termination C) codon recognition → peptide bond formation → translocation → termination

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Molecular Biology of the Gene

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D) codon recognition → peptide bond formation → termination → translocation E) peptide bond formation → translocation → codon recognition → termination 38) Which of the following statements regarding the flow of genetic information is false? A) Polypeptides form proteins that determine the appearance and function of the cell and organism. B) Eukaryotic mRNA is processed in several ways before export out of the nucleus. C) The codons in a gene specify the amino acid sequence of a polypeptide. D) Transcription occurs in the cytoplasm of eukaryotic cells. E) Ribosomes function as factories that coordinate the functioning of mRNA and tRNA. 39) Any change in the nucleotide sequence of DNA is called A) a mutation. B) an advantage. C) a codon. D) a translation. E) an anticodon. 40) Consider the following sentence: “The dog did not eat.” Which of the following variations of this sentence is most like a base substitution mutation? A) The dog did not et. B) The dog dog did not eat. C) The did dog not eat. D) The doe did not eat. E) The dog did not. 41) Consider the following sentence: “The dog did not eat.” Which of the following variations of this sentence is most like a reading frame mutation? A) The dog dog did not eat. B) The did dog not eat. C) The dod idn ote at. D) The did not eat. E) The dog did dog did not eat. 42) A physical or chemical agent that changes the nucleotide sequence of DNA is called a(n) A) reverse transcriptase. B) terminator. C) transposon. D) mutagen. E) anticodon. 43) A protein shell enclosing a viral genome is known as a(n) A) capsule. B) envelope. C) phage. D) capsid. E) prophage. 44) Which of the following features characterizes the lytic cycle of a viral infection? A) The cycle typically ends when the host bacterium divides. B) The cycle typically leads to the lysis of the host cell. C) The viral DNA is inserted into a bacterial chromosome. D) The virus reproduces outside of the host cell. E) The viral genes typically remain inactive once they are inside the host cell.

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Molecular Biology of the Gene

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45) Which of the following statements is false? A) Some prophage genes can cause the transformation of a nonpathogenic bacterium into a form that causes human disease. B) Sometimes an environmental signal can trigger a switchover from the lysogenic to the lytic cycle. C) The lysogenic cycle always occurs inside of host cells. D) The lysogenic cycle typically results in the rapid lysis of all infected cells. E) During a lysogenic cycle, viral DNA replication typically occurs without destroying the host cell. 46) Viral DNA incorporated into host cell DNA is known as a(n) A) capsid. B) prophage. C) envelope. D) phage. E) genome. 47) The envelope of a flu virus A) helps the virus enter the cell. B) is coded by viral genes. C) helps the virus insert its DNA into the host cell genome. D) changes rapidly, thereby helping the virus evade an immune system response. E) accounts for viral resistance to antibiotics. 48) Which of the following statements about herpesviruses is false? A) Herpesviruses reproduce inside the host cell’s mitochondria. B) Herpesviruses acquire their envelopes from the host cell nuclear membrane. C) Herpesviruses are DNA viruses. D) Herpesviruses may remain latent for long periods of time while inside the host cell nucleus. E) Herpesviruses may cause cold sores or genital sores to appear during times of physical or emotional stress. 49) Which of the following statements about plant viruses is false? A) Once in a plant, a virus can spread from cell to cell through plasmodesmata. B) The genetic material in most plant viruses is RNA. C) Preventing infections and breeding resistant plants can control viral infection in plants. D) To infect a plant, a virus must first get past the plant’s epidermis. E) There are many successful ways to rid infected plants of a virus. 50) Which of the following statements regarding viral diseases is false? A) RNA viruses tend to have an unusually high rate of mutation because their RNA genomes cannot be corrected by proofreading. B) New viral diseases often emerge when a virus infects a new host species. C) Very few new human diseases have originated in other animals because the genetic differences are too great. D) Some new viral diseases arise as a result of a mutation of existing viruses. E) AIDS was around for decades before becoming a widespread epidemic. 51) What will be the most likely cause of a new avian flu pandemic like the 1918-1919 flu pandemic that killed approximately 40 million people worldwide? A) sexual promiscuity B) intravenous drug use and abuse C) easy viral transmission from person to person D) blood transfusions with tainted blood E) increased international travel at affordable rates

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Molecular Biology of the Gene

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52) What kind of virus is HIV? A) a herpesvirus B) a paramyxovirus C) a retrovirus D) a complex virus E) a provirus 53) Which of the following enzymes does HIV use to synthesize DNA on an RNA template? A) ligase B) RNA polymerase C) terminator enzyme D) reverse transcriptase E) DNA convertase 54) HIV does the greatest damage to A) the adrenal glands. B) pancreatic cells. C) nervous tissue. D) gametes. E) white blood cells. 55) How do viroids harm the plants that are infected with them? A) by increasing the plants’ metabolic rate B) by altering the plants’ growth C) by reducing the plants’ seed production D) by preventing leaf production E) by destroying the root system 56) Which of the following statements about the treatment or prevention for a prion infection is true? A) Antibiotic therapies such as penicillin are very effective cures. B) High doses of anti-inflammatory drugs such as ibuprofen reduce the symptoms of prion infections. C) Corticosteroid therapy is the only drug therapy that can reverse the effects of a prion infection. D) Preventative vaccines have recently been shown to be effective in preventing prion infections. E) There is no known treatment or cure for prion infections. 57) In the 1920s, Frederick Griffith conducted an experiment in which he mixed the dead cells of a bacterial strain that can cause pneumonia with live cells of a bacterial strain that cannot. When he cultured the live cells, some of the daughter colonies proved able to cause pneumonia. Which of the following processes of bacterial DNA transfer does this experiment demonstrate? A) transduction B) conjugation C) transformation D) transposition E) crossing over 58) Transduction A) is the direct transfer of DNA from one bacterium to another. B) occurs when a bacterium acquires DNA from the surrounding environment. C) is the result of crossing over. D) occurs when a phage transfers bacterial DNA from one bacterium to another. E) requires DNA polymerase. 59) Conjugation A) is the direct transfer of DNA from one bacterium to another. B) occurs when a bacterium acquires DNA from the surrounding environment.

BSC1005 Biology General Chapter 11

Molecular Biology of the Gene

9

C) is the result of crossing over. D) occurs when a phage transfers bacterial DNA from one bacterium to another. E) requires DNA polymerase. 60) Conjugation, transformation, and transduction are all ways that bacteria A) reduce their DNA content. B) increase the amount of RNA in the cytoplasm. C) change their ribosomes to eukaryotic ribosomes. D) increase their genetic diversity. E) alter their oxygen requirements. 61) A friend accidentally sends an email to you that contains a computer virus from his computer. Without knowing it, you infect your computer with the virus when you open the email. This process of spreading the computer virus using emails is most like which of the following processes? A) binary fission B) conjugation C) transduction D) transformation E) mitosis 62) When a bacterial cell with a chromosome-borne F factor conjugates with another bacterium, how is the transmitted donor DNA incorporated into the recipient’s genome? A) It is substituted for the equivalent portion of the recipient’s chromosome by the process of crossing over. B) It circularizes and becomes one of the recipient cell’s plasmids. C) The genes on the donor DNA of which the recipient does not have a copy are added to the recipient chromosome; the remainder of the donor DNA is degraded. D) The DNA of the recipient cell replicates, and the donor DNA is added to the end of the recipient DNA. E) The donor and recipient DNA are both chopped into segments by restriction enzymes, and a new, composite chromosome is assembled from the fragments 63) In many bacteria, genes that confer resistance to antibiotics are carried on A) factors. B) R plasmids. C) dissimilation plasmids. D) transposons. E) exons. 64) Conjugation between a bacterium that lacks an F factor (F-) and a bacterium that has an F factor on its chromosome (F+) would typically produce which of the following results? A) The F- bacterium ends up carrying one or more plasmids from the F+ bacterium; the F+ bacterium is unchanged. B) The F+ bacterium ends up with a recombinant chromosome that carries some genes from the F- bacterium, and the F- bacterium ends up with an unaltered chromosome. C) The F+ bacterium ends up with a recombinant chromosome that carries some genes from the F- bacterium, and the F- bacterium ends up with a chromosome that lacks those genes. D) The F- bacterium ends up with a recombinant chromosome that carries some genes from the F+ bacterium, and the F+ bacterium ends up with an unaltered chromosome. E) The F- bacterium ends up with a recombinant chromosome that carries some genes from the F+ bacterium, and the F+ bacterium ends up with a chromosome that lacks those genes. 65) A functional F factor that is an R plasmid must contain all of the following elements except A) genes for making sex pili. B) genes for making the enzymes needed for conjugation. C) a site for making the proteins needed for conjugation.

BSC1005 Biology General Chapter 11

Molecular Biology of the Gene

10

D) a site where DNA replication can begin. E) genes for enzymes that confer resistance to antibiotics. 66) Which of the following human activities has contributed to an increase in the number of bacteria having R plasmids? A) nitrogen fixation by genetically engineered plants B) widespread use of childhood vaccination in developing countries C) improper use of restriction enzymes in research and medical facilities D) increased carcinogen exposure from excessive fossil fuel burning E) heavy use of antibiotics in medicine and in agriculture

BSC1005 Biology General Chapter 12

Genes are Controlled

1

Chapter 12: How Genes Are Controlled

Multiple-Choice Questions

1) Which of the following statements about the problems created by cloning is false? A) Cloned animals are less healthy than animals created by natural methods. B) Cloning does not increase genetic diversity in the cloned species. C) Cloning endangered species may de-emphasize the need to preserve critical natural habitats. D) Cloned animals live longer compared to naturally bred animals. E) Cloning leads to malfunctions in gene regulation. 2) The fact that the nucleus from an adult somatic cell can be used to create all of the cell types in a new organism demonstrates that development depends upon A) the control of gene expression. B) the timing of mitosis and meiosis. C) the timing of meiosis and cell migrations. D) the deposition of materials in the extracellular matrix. E) the position of cells within an embryo. 3) The term “gene expression” refers to the A) fact that each individual of a species has a unique set of genes. B) fact that individuals of the same species have different phenotypes. C) process by which genetic information flows from genes to proteins. D) fact that certain genes are visible as dark stripes on a chromosome. E) flow of information from parent to offspring. 4) A gene operon consists of A) a transcribed gene only. B) a promoter only. C) a regulatory gene only. D) transcribed genes, an operator, and a promoter. E) transcribed genes, a promoter, and a regulatory gene. 5) In a prokaryote, a group of genes with related functions, along with their associated control sequences, defines A) an allele. B) an operon. C) a locus. D) a transposon. E) a chromosome. 6) The lac operon in E. coli A) prevents lactose-utilizing enzymes from being expressed when lactose is absent from the environment. B) coordinates the production of tryptophan-utilizing enzymes when it is present. C) allows the bacterium to resist antibiotics in the penicillin family. D) regulates the rate of binary fission. E) uses activators to initiate the production of enzymes that break down lactose. 7) Proteins that bind to DNA and turn on operons by making it easier for RNA polymerase to bind to a promoter are called A) regulators. B) inhibitors. C) operators. D) activators. E) repressors.

BSC1005 Biology General Chapter 12

Genes are Controlled

2

8) The lac operon of E. coli is ________ when the repressor is bound to lactose. A) active B) inactive C) elongated D) cloned E) unregulated 9) The expression of the tryptophan operon is controlled by A) a repressor that is active when it is alone. B) a repressor that is inactive when it binds to lactose. C) a repressor that is active when it binds to tryptophan. D) an activator that turns the operon on by binding to DNA. E) an activator that permanently deletes genes in the tryptophan operon. 10) Which of the following is likely to occur in E. coli cells that are grown in skim milk? A) The lac operon is shut off and the cells will not produce lactose-utilizing enzymes. B) The trp repressor is activated and the cells will produce lactose-utilizing enzymes. C) The trp operon is turned on but the bacteria will not produce lactose-utilizing enzymes. D) The trp operon and the lac operon are both switched off. E) The trp operon and the lac operon are both switched on. 11) A single cell, the zygote, can develop into an entirely new organism with many different specialized cells. Which of the following statements about this process is false? A) Additional genetic information for the formation of specialized cells is passed on to the developing embryo via the placenta. B) The descendant cells specialize by a process known as cellular differentiation. C) The zygote contains all of the genetic information required for the development of many different cell types. D) Only some of the genes in the zygote are expressed in all of its descendant cells. E) Differentiation of the zygote into a multicellular organism results from selective gene expression. 12) The genes for the enzymes of glycolysis A) are active in all metabolizing cells, but the genes for specialized proteins are expressed only in particular cell types. B) are inactive in all metabolizing cells, but the genes for specialized proteins are expressed in all cell types. C) and the genes for all specialized proteins are expressed in all metabolizing cells. D) and the genes for specialized proteins are expressed in all nonembryonic cell types. E) and the genes for all specialized proteins are expressed in all embryonic cells. 13) Which of the following statements regarding DNA packing is false? A) A nucleosome consists of DNA wound around a protein core of eight histone molecules. B) DNA packing tends to promote gene expression. C) Histones account for about half the mass of eukaryotic chromosomes. D) Highly compacted chromatin is generally not expressed at all. E) Prokaryotes have proteins analogous to histones. 14) The relationship between DNA and chromosomes is most like A) an egg yolk inside of an egg. B) a dozen eggs packaged within an egg carton. C) a spoon cradling some peas. D) thread wrapped around a spool. E) the candy shell surrounding the chocolate in a piece of M & M candy. 15) In female mammals, the inactive X chromosome in each cell A) becomes a nucleotroph corpus. B) can be activated if mutations occur in the active X chromosome.

BSC1005 Biology General Chapter 12

Genes are Controlled

3

C) is broken down, and its nucleotides are degraded and reused. D) is absorbed and used in energy production. E) becomes a Barr body. 16) The tortoiseshell pattern on a cat A) usually occurs in males. B) is the result of a homozygous recessive condition. C) results from X chromosome inactivation. D) is a result of alleles on the Y chromosome. E) occurs in male cats 25% of the time and in female cats 50% of the time. 17) Both prokaryotic and eukaryotic cells use ________ to turn certain genes on or off. A) DNA ligase B) RNA transcriptase C) intron segments D) regulatory proteins E) nucleosome packing 18) Enhancers are A) adjacent to the gene that they regulate. B) required to turn on gene expression when transcription factors are in short supply. C) the site on DNA to which activators bind. D) required to facilitate the binding of DNA polymerases. E) the products of transcription factors. 19) Silencers are sites in DNA that A) bind RNA promoters to promote the start of transcription. B) bind enhancers to promote the start of transcription. C) bind repressor proteins to inhibit the start of transcription. D) bind activators to inhibit the start of transcription. E) release mRNA. 20) RNA splicing involves the A) addition of a nucleotide “cap” to the molecule. B) addition of a nucleotide “tail” to the molecule. C) removal of introns from the molecule. D) removal of exons from the molecule. E) addition of introns to the molecule. 21) The coding regions of a gene (the portions that are expressed as polypeptide sequences) are called A) introns. B) exons. C) redundant coding sections. D) proto-oncogenes. E) nucleosomes. 22) Which of the following permits a single gene to code for more than one polypeptide? A) retention of different introns in the final version of the different mRNA strands B) alternative RNA splicing C) protein degradation D) genetic differentiation E) addition of different types of caps and tails to the final version of the mRNA strands

BSC1005 Biology General Chapter 12

Genes are Controlled

4

23) Small pieces of RNA that can regulate mRNA transcription are called A) microRNA. B) minuteRNA. C) miniRNA. D) monoRNA. E) minorRNA. 24) miRNA can be used by A) researchers to induce the production of more mRNA. B) researchers to stimulate the production of DNA. C) researchers to artificially turn on gene expression. D) viruses to stop the production of new proteins. E) cells to prevent infections from double-stranded RNA viruses. 25) Which of the following statements regarding RNA and proteins is false? A) Some genes are edited before they are translated. B) Some polypeptides are edited to make them functional. C) The length of time that mRNA remains functional in the cytoplasm is quite variable. D) In eukaryotes, the lifetime of a protein is closely regulated. E) In eukaryotes, one gene controls the production of just one functioning protein. 26) All of the following mechanisms are used to regulate protein production except A) controlling the start of polypeptide synthesis. B) protein activation. C) protein breakdown. D) DNA editing. E) the breakdown of mRNA. 27) The textbook authors’ analogy between the regulation of gene expression and the movement of water through pipes includes all of the following except A) the web of control that connects different genes. B) pretranscriptional events. C) post-transcriptional events. D) the editing of RNA. E) the multiple mechanisms by which gene expression is regulated. 28) Which of the following mechanisms of controlling gene expression occurs outside of the nucleus? A) adding a cap and tail to RNA B) transcription C) DNA packing/unpacking D) RNA splicing E) translation 29) Which of the following statements about fruit fly development is false? A) One of the earliest development events is the determination of the head and tail ends of the egg. B) The location of the head and tail ends of the egg is primarily determined by the location of sperm entry during fertilization. C) Cell signaling plays an important role in the development of fruit flies. D) Homeotic genes regulate batteries of other genes that direct the anatomical identity of body parts. E) Cascades of gene expression routinely direct fruit fly development. 30) A homeotic gene A) turns on the genes necessary for synthesis of proteins. B) serves as a master control gene that functions during embryonic development by controlling the developmental fate of groups of cells.

BSC1005 Biology General Chapter 12

Genes are Controlled

5

C) represses gene transcription and promotes mRNA translation. D) produces a product that controls the transcription of other genes. E) is found only in adult somatic cells. 31) Which of the following statements about microarrays is false? A) Microarrays enable scientists to determine the activity of thousands of genes at once. B) Microarrays use tiny portions of double-stranded RNA fragments from a large number of genes. C) Microarrays are used to determine which genes are active in different tissues or in tissues of different states of health. D) Microarrays use fluorescently labeled cDNA molecules to identify particular genes expressed at a particular time. E) Microarrays help scientists understand how genes interact, particularly during embryonic development. 32) Animal development is directed by A) cell receptors that detect transcription factors. B) the availability of certain “key” nutrients as cells divide. C) signal transduction pathways. D) cell-to-cell signaling. E) cell-to-cell signaling and signal transduction pathways. 33) To initiate a signal transduction pathway, a signal binds to a receptor protein usually located in the A) cytosol. B) nucleus. C) plasma membrane. D) ER. E) cytoplasm. 34) Transcription factors attach to A) DNA. B) signal molecules. C) plasma membrane receptors. D) proteins. E) mRNA. 35) A signal outside a cell triggers changes in the transcription and translation inside the cell through the process of A) post-translational editing. B) signal transduction pathways. C) protein activation. D) protein breakdown. E) X chromosome inactivation. 36) The basis of cellular differentiation is A) the operon. B) cellular specialization. C) selective gene expression. D) cloning. E) mutation. 37) Yeast are able to communicate with each other A) by close cell-to-cell contact. B) with signal transduction pathways. C) only if they can touch each other and have merged cell walls. D) with pseudopodia. E) only when a yeast cell has died and released its internal organelles into the external environment.

BSC1005 Biology General Chapter 12

Genes are Controlled

6

38) Signal transduction pathways A) are found strictly in multicellular organisms for cell-to-cell communication. B) first appeared in animals when primates began to walk upright. C) are limited for use in sexual identification. D) originally evolved in vertebrates. E) are mechanisms of communication that evolved in the ancient prokaryotes. 39) Most differentiated cells retain A) only a tiny fraction of their original set of genes. B) only a tiny fraction of their original set of genes, but can regenerate lost genes as needed. C) a complete set of their genes, but lose the ability to express most of those genes. D) a complete set of their genes, and retain the ability to express those genes under certain circumstances. E) the ability to dedifferentiate, but then cannot return to their original differentiated state. 40) Why can some plants be cloned from a single cell? A) Plant cells do not differentiate even when mature, so any cell can grow into an entire plant. B) Plant cells can dedifferentiate and give rise to all of the specialized cells required to produce an entire plant. C) Plant cells are able to retrieve genes lost to the environment during development. D) Plant cells can produce genes to replace those lost during development. E) Plant cells are capable of self-renewal by utilizing cellular components from adjacent cells . 41) Which of the following processes occurs when a salamander regenerates a lost limb? A) Oncogenes that cause accelerated cell division are turned on. B) Certain cells in the limb dedifferentiate, divide, and then redifferentiate to form a new limb. C) A new salamander develops from the lost limb. D) The homeotic genes of the regenerating cells turn off. E) The cell cycle is arrested and apoptosis begins. 42) The cloning of Dolly the sheep A) demonstrated that the nuclei from differentiated mammalian cells can retain their full genetic potential. B) demonstrated that differentiated cells contain only a fraction of their full genetic potential. C) demonstrated, for the first time, that eggs are haploid and body cells are diploid. D) revealed that cloned mammals most resemble the egg donor. E) revealed that cloned mammals most resemble the sperm donor. 43) Cloning to produce embryonic stem cells is called A) regenerative cloning. B) transplantational cloning. C) reproductive cloning. D) therapeutic cloning. E) dedifferentiation. 44) Which of the following mammals has not yet been cloned and brought through the complete gestation cycle? A) cow B) human C) pig D) dog E) cat 45) Which of the following possible uses of reproductive cloning is still considered by most to be an unresolved ethical issue? A) the production of genetically identical animals for experimentation B) the production of potentially valuable drugs C) the production of organs in pigs for transplant into humans D) the improvement of the quality of farm animals E) the production of genetically identical humans for therapeutic purposes.

BSC1005 Biology General Chapter 12

Genes are Controlled

7

46) Which of the following statements regarding stem cells is false? A) Embryonic stem cells can be induced to differentiate. B) Embryonic stem cells can give rise to all the different specialized cells in the body. C) Adult, but not embryonic, stem cells can be grown in laboratory culture. D) Adult stem cells are present in adult tissues. E) Adult stem cells are partway along the road to differentiation. 47) Adult stem cells have limited therapeutic potential A) because they are fully differentiated. B) because they lack a complete set of genes. C) due to their excessive numbers in tissues. D) because scientists have no reliable method of identification. E) because their developmental potential is limited to certain tissues. 48) A gene that can cause cancer when present in a single copy in a cell is called a(n) A) oncogene. B) enhancer gene. C) silencer gene. D) carcinogen. E) proto-oncogene. 49) Which of the following statements about proto-oncogenes is false? A) Proto-oncogenes are normal genes with the potential to become oncogenes. B) Many proto-oncogenes code for growth factors. C) A mutation must occur in a cell’s DNA for a proto-oncogene to become an oncogene. D) A mutation in a tumor-suppressor gene can stop cell division immediately. E) One of the earliest clues to understanding cancer was the discovery of a virus that causes cancer in chickens. 50) Which of the following is not a factor that contributes to normal cells becoming cancerous? A) the conversion of a proto-oncogene to an oncogene B) damage to a tumor-suppressor gene C) the acquisition of an oncogene from a virus D) one or more of the cell’s genes being removed by a virus E) excessive replication of proto-oncogenes 51) Cancer of the colon is caused by A) a single gene mutation. B) several somatic cell mutations. C) exposure of colon cells to a mutagen. D) lack of vitamin K. E) the proto-oncogene, lac. 52) The development of colon cancer occurs slowly and is more prominent in the elderly than the young. This is most likely because A) cancer cells don’t have mitochondria, so they grow slowly. B) four or more somatic mutations must occur to give rise to the cancer, which takes time. C) cancer cells suppress the growth of each other in a tissue. D) cancer cells have to wait until new blood vessels grow into the area, which takes much time. E) most cancer mutations interfere with mitosis, so cell division occurs more slowly. 53) Mutations in the proto-oncogenes ras and p53 A) increase protein synthesis by the cell. B) are rarely associated with cancers. C) can improve the chance of avoiding cancer as one ages. D) can enhance further mutations, which can develop into cancer.

BSC1005 Biology General Chapter 12

Genes are Controlled

8

E) disrupt normal regulation of the cell cycle. 54) Mutations in the p53 gene can lead to cancer by A) causing the production of excessive amounts of relay proteins. B) turning off a gene for a protein that inhibits cell division. C) increasing the production of glycogen, which nourishes the cell cycle. D) promoting the expression of mRNA that can interact with DNA, resulting in new mutations. E) increasing the production of growth hormones, which trigger faster cell cycles. 55) The carcinogen known to cause the most cases of cancer is A) plutonium. B) ultraviolet light. C) alcohol. D) salt. E) tobacco. 56) Which of the following statements regarding cancer risk factors is false? A) Factors that alter DNA and make cells cancerous are called carcinogens. B) Mutagens are usually not carcinogens. C) X-rays and ultraviolet radiation are two of the most potent carcinogens. D) Eating 20-30 grams of plant fiber daily and reducing the intake of animal fat can reduce your risk of developing colon cancer. E) Broccoli and cauliflower are thought to be especially rich in substances that help prevent cancer.

  • Chapter 10 Mendel Laws_TestQ11.4.16
  • Chapter 11 Molecular Biology of the gene_TestQ11.16.16
  • Chapter 12 Gene Regulation_TestQ11.23.16
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what is the result of procedural complexity in multiparty negotiations?

what is the result of procedural complexity in multiparty negotiations?
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choose the pair of substances that are most likely to form a homogeneous solution.

Choose the pair of substances that are most likely to form a homogeneous solution.

N2O4 and NH4Cl

C6H14 and C10H20

LiBr and C5H12

C6H14 and H2O

None of the pairs above will form a homogeneous solution.

0 0 377
asked by reem
Feb 3, 2016
Like dissolves like.
That is, polar solvents dissolve polar solutes but not non-polar solutes and non-polar solvents dissolve non-polar solutes.

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posted by DrBob222
Feb 3, 2016
c6h14 and c10h20

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posted by Anonymous
May 3, 2016

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predict a likely mode of decay for each of the following unstable nuclides.

predict a likely mode of decay for each of the following unstable nuclides. Explain why.

1.) Mo-109

2.) Fr-202

3.) Rn-196

4.) Sb-132

5.) P-27

6.) Ru-90

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asked by danielle
Apr 25, 2012

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in the first line from o captain

english

  1. In the first line from “O Captain! My Captain!” what does “our fearful trip”refer to? (1 point)
    the Civil War
    the battle at Antietam Creek
    the presidency
    Lincoln’s life 4 1 5,015
    asked by PLZ… CHECK MY WOK~English
    Feb 20, 2015
    Again … no thoughts of your own? You’re just mooching for answers? 1 55
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    Writeacher
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    1.A
    2.B
    3.C
    4.D
    5.A

And writeacher that’s kind of rude. 🙁

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posted by That Girl
Feb 10, 2016

  1. A
  2. B
  3. C
  4. A
  5. A

100%
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Feb 11, 2016
Mr. Bacon is correct.

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Feb 11, 2016

mr.bacon is right, thatgirl’s answers number 4 is wrong.

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Feb 16, 2016
Mr. Bacon is right! ThatGirl, thanks for trying to help but next time make sure you are absolutely right. Thanks!

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thanks bacon

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Feb 22, 2016
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Mar 3, 2016
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Mar 8, 2016

i think that for # 4 the answer should be B,
but the test shows that A is the right answer….

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Mar 9, 2016
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Mar 28, 2016
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posted by Ice Cream Lover
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The answers are
1.A
2.B
3.C
4.A
5.A

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Feb 3, 2017

1.A
2.B
3.C
4.A
5.A
These are all correct I really hope this helps

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Feb 13, 2017
TBH Lincoln didn’t die in the last war though, he got killed watching a play

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i think mr.bacon needs a medal for helping use get a 100 2 times

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I think mr. Bacon should to. He helps a lot and is honest. That isn’t common. A lot of people try to trick people on this website.

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2.B
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ABCAA is right!

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1.A
2.B
3.C
4.A
5.A

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Mr. Bacon is 100% Correct;
A
B
C
A
A

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Mr. Bacon is correct yo

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Mar 21, 2018
a
b
c
a
a

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Apr 26, 2018
I’m sorry I didn’t think Mr.Bacons awnsers were right because Lincon didn’t die on a boat but they were right so THANK YOU!!!!!!! still right in 2019 😀

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  1. A
  2. B
  3. C
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    a
    b
    c
    a
    a 1 0
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    posted by trynna get thru
    Feb 12, 2019
    A
    B
    C
    A
    A
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    posted by Kelly
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A
B
C
A
A

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I love Bacon, and I love u Bacon 😍😍

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balance the following equation: k2cro4+na2so3+hcl→kcl+na2so4+crcl3+h2o

Balance the following equation:
K2CrO4+Na2SO3+HCl>>>>>>Na2SO4+CrCl3+H2O

Enter the coefficients for eachcompound, separated by commas, in the order in which they appear inthe equation (e.g., 1,2,3,4,5,6,7

0 0 176
asked by roshan
Apr 4, 2011
Here are instructions for balancing redox equations. Here are some hints to get you started. Cr changes from +6 for each atom on the left to +3 on the right.
S changes from +4 on the left to +6 on the right.
http://www.chemteam.info/Redox/Redox.html

0 1
posted by DrBob222
Apr 4, 2011
1,2,3,4

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posted by Anonymous
Mar 26, 2012

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the decameron sparknotes

(above link will help with this assignment)

Instructions:

For our first class-wide discussion, please read the essay, Navigating Genres by Kerry Dirk and post your responses to the discussion prompt before the deadline listed in the course calendar.

In a fully developed short essay (minimum of eight paragraphs in length), please answer all of the questions below and post your essay to the discussion forum. Your work should include an introduction, a body of supporting evidence, and a conclusion.

Remember that you are having a conversation with your peers in this particular genre of writing, so adopt an appropriate tone and vocabulary for an audience of contemporary college students. Please take time to edit your work for punctuation, usage, and clarity prior to submission. Don’t forget to comment on the works of two peers in order to earn full credit for these discussions.

Questions for Analysis:

1) What is Dirk saying about the nature of rhetorical genres? Cite the essay specifically in formulating your answer.

2) Which genres do you follow most closely? Using at least two different genres, cite some specific examples from these genres and comment on their rhetorical features. What are the hallmarks of these communication types?

3) What, in your view, are the important components of the advertising genre? What about the contemporary speech or verbal address?

Where applicable, feel free to use hyperlinks to connect your essay to a resource or two in support of your answers. (1)

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which statement characterizes the moral reasoning typically found in a child?

ADVANCED HUMAN GROWTH & DEVELOPMENT

CHAPTER 7 SURVEY

Early Childhood: Physical and Cognitive Development

DIRECTION: Circle ONLY the letter to the correct answer and write the page number where you

found the answer in the right hand margin.

1. From birth to age 5, the rate of growth in height:

A. declines sharply B. increases sharply

C. proceeds at a steady pace D. declines gradually

2. Which statement characterizes the appearance of most children?

A. Before age 2 children are slim and wiry and gain weight after age 2

B. From ages 2 to 6 children are generally slimmer than prior to age 2

C. Children maintain a chubby, top-heavy appearance until after age 6

D. Children are generally slim from birth through around the age of 6

3. Which motor skill develops more slowly?

A. gross B. grand

C. balance D. fine

4. It is recommended that a vision exam by an optometrist be performed on a child by _______of

age.

A. 5 to 6 years B. 3 to 4 years

C. 1 to 2 years D. 6 to 8 months

5. The brain of a typical 5-year-old will weigh _______ of its adult weight while her body will be

only about _______ of its adult weight.

A. 90 percent, one-third B. 50 percent, one-half

C. 30 percent, three-fourths D. 25 percent, nine-tenths

6. Cody has trouble sitting in his seat during class lessons and finds it difficult to focus on work

assigned to him in class or for homework. He bickers with his classmates and with his brother. His

pediatrician has suggested that Cody might benefit from Ritalin (methylphenidate). Cody has most

probably been diagnosed with:

A. ADHD

B. autism

C. otitis media

D. Asperger’s syndrome

7. In general, a child can eat most of the foods in family meals at what age?

A. 6 months B. 1 year

C. 2 years D. 3 ½ years

8. According to recent research, what is the most common chronic disease of early childhood?

A. cancer B. diabetes

C. cavities D. multiple sclerosis

Page 1 (Chapter 7 Survey)

9. Which of the following foods are common allergens?

A. eggs B. milk

C. peanuts D. all of these

10. In Westernized cultures, toilet training is usually mastered by:

A. age 1 ½ B. age 2

C. age 3 D. age 4

11. By what age do most children no longer require a daytime nap?

A. age 1 ½ B. age 2

C age 3 D. age 4

e h t s i t a h t e s a e s i d c i r t a i d e p c i n o r h c , s u o i r e s a s i _ _ _ _ _ _ _ _ _ _ . 2 1 d l i h c r o f n o s a e r n o m m o c t s o m

. admission to the hospital and is a major cause of school absences

A. Measles B. Mumps

C. Asthma D. Diabetes

13. Research which found that identical twins raised apart had IQ scores more alike than fraternal

twins raised together would tend to support which view of intelligence?

A. environmental B. ecological

C. holistic D. hereditarian

14. According to Piaget, children between the ages of 2 and 7 are in which stage of development?

A. concrete operations

B. preoperational

C. conservational

D. formal operations

15. The theory that probes children’s developing conceptions of major components of mental

activity is called:

A. the theory of mind

B. mental constructs

C. cognitive conception

D. concept development

16. The study of sounds in a language is called:

A. grammatical awareness

B. syntax

C. phonology

D. semantics

17. Which statement about stuttering is true?

A. Girls are more likely to suffer from stuttering than boys are.

B. Geneticists do not currently believe that stuttering is inherited.

C. There are no effective intervention services available for stutterers.

D. Parents should see a speech pathologist for stuttering children.

Page 2 (Chapter 7 Survey)

18. _________ refers to the retention of what has been experienced; _______ refers to remembering

what was learned earlier (for example, a scientific concept).

A. Recall; memory

B. Memory; recall

C. Recognition; memory

D. Recognition; recall

19. According to Piaget, preschool children have an underdeveloped moral sense because they lack

the ability to:

A. show altruistic behavior

B. understand intentionality

C. have sympathetic feelings

D. communicate their feelings

20. The developmental psychologist who researched the development of moral reasoning by

studying differences in children’s reasoning about moral dilemmas is:

A. Lev Vygotsky

B. Noam Chomsky

C. Lawrence Kohlberg

D. Howard Gardner

Page 3 (Chapter 7 Survey)

ADVANCED HUMAN GROWTH & DEVELOPMENT

CHAPTER 8 SURVEY

Early Childhood: Emotional and Social Development

NAME _________________________________________DATE ________________________

DIRECTION: Circle ONLY the letter to the correct answer and write the page number where you

found the answer in the right hand margin.

1. Research has indicated that children aged 5 and aged 7 who employed ________solutions were

judged to be more socially competent, displaying fewer attention problems and disruptive

behaviors.

A. prosocial

B. cognitive

C. logical

D. surreptitious

2. All of the following can contribute to delays in emotional self-regulation EXCEPT:

A. prematurity

B. developmental disabilities

C. parental divorce

D. low-income household

3. All of the following tend to characterize girls’ play EXCEPT:

A. it is more intimate

B. it is likely to consist of a two-person group

C. it is more “rough and tumble”

D. it is less competitive than boys’ play

4. Researchers have found that therapeutic play:

A. tends to increase children’s aggressive behavior

B. tends to make children feel even more anxiety

C. tends to help children to express their emotions

D. tends to take away children’s sense of control

5. American parents typically tend to encourage which characteristics in their children’s play

behavior?

A. exploration

B. imagination

C. independence

D. all of these

6. The view that supports suppression of individual desire in favor of what is best for the group:

A. is rarer in Asian cultures

B. is known as collectivism

C. decreases bonding with parents

D. decreases obedience to authority

Page 1 (Chapter 8 Survey)

7. According to your textbook, around what age do children begin to develop the cognitive skills to

categorize people into different racial groups by using physical characteristics and social cues?

A. 3 B. 5

C. 7 D. 9

8. A person’s sense of self-worth or self-image is part of the overall dimension called:

A. self-esteem B. positive regard

C. cultural awareness D. performance initiative

9. Research has found that childhood self-esteem can:

A. have lifelong effects on attitudes and behavior

B. affect school performance

C. affect family relationships

D. all of these

10. The cognitive structure that we employ for selecting and processing information about ourselves

is the ________.

A. personality

B. self

C. personal cognitive structure

D. character

11. One of the central issues of early childhood is:

A. the child learning to trust the child’s caretakers

B. comprehending the concept of object permanence

C. developing a sense of a separate and distinct self

D. developmental achievement of ego integration

12. _______ is a particular type of motivation and inner strength that directs life and growth in such

a way as to become all one is capable of being.

A. Telepathy

B. Entelechy

C. Impulse

D. Impetus

13. The sets of cultural expectations that define the ways in which the members of each sex such

behave are known as:

A. gender roles

B. stereotypes

C. gender types

D. sexual categories

14. Gender identity is:

A. the characteristic traits one is born with

B. not related to socializing influences

C. an inherited characteristic

D. conception of self as male or female

Page 2 (Chapter 8 Survey)

15. Gender identity usually begins to form around what ages?

A. 1 to 2

B. 3 to 4

C. 5 to 6

D. 7 to 8

16. Brian has a favorite toy that is a baby doll. This is upsetting to Brian’s father because it conflicts

with society’s view of proper gender __________.

A. realities

B. roles

C. identities

D. characteristic

17. Which of the following statements is NOT true regarding hormones?

A. Both males and females have male and female hormones.

B. Progesterone makes males more aggressive than females.

C. The ratio of each hormone varies in males and females.

D. The predominance of female or male hormones influences the development of the fetal brain.

18. According to your textbook, which of the following statements is true?

A. Boys tend to be more verbal at an earlier age than girls do.

B. Girls have a greater tendency to be diagnosed with dyslexia.

C. Girls tend to be more analytical than boys, who are more active.

D. Girls tend to show more interest in people-oriented activities.

19. The theory associated with Lawrence Kohlberg, which claims that children first learn to label

themselves as “male” and “female” and then attempt to master the behaviors that fit their gender

category, is called:

A. psychosocial

B. psychoanalytical

C. cognitive learning

D. cognitive developmental

20. The process of transmitting culture, knowledge, skills, and dispositions that enable children to

participate effectively in group life is called:

A. conviviality

B. socialization

C. gender stereotyping

D. synchronization

Page 3 (Chapter 8 Survey)

ADVANCED HUMAN GROWTH & DEVELOPMENT

CHAPTER 9 SURVEY

Middle Childhood: Physical and Cognitive Development

NAME _________________________________________DATE ________________________

DIRECTION: Circle ONLY the letter to the correct answer and write the page number where you

found the answer in the right hand margin.

1. During middle childhood physical growth is __________ than it is during early childhood or

adolescence.

A. slower

B. faster

C. the same as

D. much faster

2. Lisa and Mark are both 8 years old. Whom would you expect to mature faster? Whom would you

expect to have more body fat?

A. They would both mature at the same rate and have the same proportion of body fat.

B. Mark would mature faster and have more body fat.

C Lisa would mature faster and have more body fat.

D. Mark would mature faster and Lisa would have more body fat.

3. Which of these is the most common childhood illness?

A. measles

B. mumps

C. chicken pox

D. upper respiratory infection

Answer: D

4. The major cause of death of children in middle childhood is:

A. cancer

B. diabetes

C. accidents

D. leukemia

5. Which group has the highest mortality rate for children in middle childhood?

A. white

B. black

C. Hispanic

D. Asian

6. The definition cited in your textbook for obesity is:

A. having a body mass index greater than the 95th percentile for age and gender

B. having a body mass index greater than the 50th percentile for age and gender

C. having 50 pounds of excess weight for age and gender

D. having 70 pounds of excess weight for age and gender

Page 1 (Chapter 9 Survey)

7. What proportion of children between the ages of 6 and 11 was overweight in 2004?

A. Nearly one in three B. Nearly one in seven

C. Nearly one in five D. Nearly one half

8. Which of the following health risks is related to overweight in children?

A. early cardiovascular disease

B. diabetes mellitus

C. orthopedic problems

D. all of these

9. Although childhood obesity and overweight are on the increase, _________ is on the decrease.

A. physical education in public schools

B. sedentary activity

C. school vending machines that offer “junk” foods

D. consumption of fast food

10. The awareness and understanding of one’s own mental processes is called:

A. mental maps

B. cognitive awareness

C. metacognition

D. cognitive compatibility

11. Research on creativity has found that:

A. formal education is essential to the development of creativity

B. creative people are often conventional thinkers with dull personalities

C. creative people were often encouraged when they were young

D. creativity relies on sheer talent to become evident

12. At about what age do children come to recognize certain regularities or unchanging qualities in

the inner dispositions and behaviors of individuals?

A. 11

B. 6

C. 8

D. 4

13. Children in the concrete operations stage:

A. cannot understand words not tied to their own personal experiences

B. can only describe objects, people, and events by their physical characteristics

C. cannot make comparisons between classes of objects

D. can describe objects, people, and events by categories and functions

14. Assessment instruments that attempt to measure abilities such as cognitive processing and

achievement are called:

A. psychometric tests

B. psychotropic tests

C. instrumental tests

D. assessment variables

Page 2 (Chapter 9 Survey)

15. 12-year-old John has an IQ of 60. He is not able to perform daily living skills independently and

lacks communication and social skills. John would most likely be classified as having:

A. a learning disability

B. functional deficits

C. mental retardation

D. social deficits

16. The determination of the severity of mental retardation is based upon:

A. observed behaviors

B. scores from IQ tests

C. physical appearance

D. genetic impairments

17. Warren has an IQ of 102 but has difficulty using spoken and written language. His mathematical

abilities are above average. Warren would most likely be classified as having:

A. a learning disability

B. functional deficits

C. mental retardation

D. social deficits

18. Raymond is impulsive, cannot follow directions, and finds it difficult to wait his turn for

outdoor activities. He frequently leaves his assignments before he is finished to pursue some other

activity. Raymond’s disability is most likely:

A. dyslexia

B. dysgraphia

C. ADHD

D. dyscalculia

19. An Individualized Education Plan (IEP) is provided for all students who are classified as having

a disability. Which of the following people are involved in developing this plan?

A. school psychologist

B. child’s teacher

C. child advocate

D. all of these

20. According to your textbook, the largest proportion of students attends which alternative to

public schooling?

A. private schools

B. home schooling

C. charter schools

D. magnet schools

Page 3 (Chapter 9 Survey)

ADVANCED HUMAN GROWTH & DEVELOPMENT

CHAPTER 11 SURVEY

Adolescence: Physical and Cognitive Development

NAME _________________________________________DATE ________________________

DIRECTION: Circle ONLY the letter to the correct answer and write the page number where you

found the answer in the right hand margin.

1. The period in the life cycle when sexual and reproductive maturation become evident is called

A. maturation B. preadolescence

C. puberty D. growth spurt

2. The adolescent growth spurt tends to occur:

A. earlier in girls than in boys B. earlier in boys than in girls

C. at the same time in boys and girls D. only among certain ethnic groups

3. Alyssa has just experienced her first menstrual period. This is known as:

A. ovulation B. menarche

C. menopause D. PMS

4. According to the research cited in your textbook, which girls would be more likely to develop

symptoms such as depression, substance abuse, eating disorders, and disruptive behavior?

A. those who had later puberty B. those who had early puberty

C. those who had insecure attachment D. those who had the most siblings

5. According to the research cited in your textbook, young white and African American women in

the United States:

A. have similar views regarding their bodies and body image

B. both express dissatisfaction with their bodies

C. both express satisfaction with their bodies

D. differ dramatically in how they view their bodies

6. The most common eating disorder in the United States is:

A. obesity B. underweight

C. bulimia D. anorexia

7. According to the survey cited in your textbook, what percent of high school students reported that

they smoked tobacco?

A. 5 B. 12

C. 19 D. 22

8. The most common setting for teenage drinking is:

A. public park grounds B. public school grounds

C. other people’s homes D. teens’ own bedrooms

Page 1 (Chapter 11 Survey)

9. What is the most prevalent sexually transmitted infection in the United States?

A. syphilis B. gonorrhea

C. Chlamydia D. genital herpes

10. Which of the following statement is true regarding teens and sex?

A. More teens engage in oral sex because they believe it is more acceptable and less risky.

B. More teens engage in vaginal sex because they believe it is more acceptable and less risky.

C. Most teens do not use condoms.

D. U.S. teens have the lowest rates of gonorrhea, syphilis, and chlamydia of the sexually active

populations.

11. According to the research cited in your textbook, condom use among sexually active

adolescents:

A. has decreased slightly B. has increased significantly

C. has decreased significantly D. has increased slightly

12. Sixteen-year-old Bart is getting a tattoo. Which of the following could be a reason for him to

engage in body art?

A. to demonstrate social identity B. to commemorate a special event

C. to be entertained D. all of these

13. According to the statistics cited in your textbook, adolescent rates of “seriously considering

suicide” over the past decade have_______ while the rates of actual attempted suicide_________.

A. increased; decreased B. decreased; increased

C. remained the same; decreased D. increased; remained the same

14. What is the major cause of death for adolescents?

A. heart disease B. driving accidents

C. assault (homicide) D. suicide

15. According to Piaget, adolescence is the final and highest stage in the development of cognitive

functioning from infancy to adulthood. It is called the period of:

A. concrete operations B. formal operations

C. operant thinking D. cognitive operations

Page 2 (Chapter 11 Survey)

ADVANCED HUMAN GROWTH & DEVELOPMENT

CHAPTER 13 SURVEY

Early Adulthood: Physical and Cognitive Development

NAME _________________________________________DATE ________________________

DIRECTION: Circle ONLY the letter to the correct answer and write the page number where you

found the answer in the right hand margin.

1. A new developmental stage has been proposed. It spans the ages 18 through 25 and is a time that

involves greater exploration of possibilities in work, love, and worldviews. What is this stage is

called?

A. emerging adulthood B. post-adolescence

C. late adolescence D. evolving adulthood

2. The age cohort consisting of about 58 million adults who experienced events such as the Vietnam

War, the protest movement, and Woodstock is known as:

A. Generation X B. baby boomers

C. the Silent Generation D. the Millennials

3. The age cohort between the ages of 25 and 35 that generally shares an acceptance of diversity in

regard to race, ethnicity, family structure, sexual orientation, and lifestyle, and of whom more than

40 percent spent time in a single-parent home, is called:

A. Generation X B. the Silent Generation

C. baby boomers D. the Millennials

4. The age cohort born between the early 1980s and 2000s that is generally characterized as

sheltered, achievement oriented, and conventional is known as:

A. Generation X B. the Silent Generation

C. baby boomers D. Millennials

5. The set of changes that occurs in the structure and functioning of the human organism over time

is called:

A. social aging B. biological aging

C. transition points D. social norms

6. The set of changes in an individual’s assumption and relinquishment of roles over time is called:

A. social aging B. biological aging

C. transition points D. social norms

7. Beliefs that a person should not cut ahead in line at the grocery store, and that one should say

“Please” and “Thank you” are examples of:

A. normally sanctioned behavior B. age norms

C. transition points D. social norms

Page 1 (Chapter 13 Survey)

8. Social norms that define what is appropriate for people to be and to do at various ages are termed:

A. normally sanctioned behavior B. age norms

C. transition points D. social norms

9 According to your textbook, which of the following statements is true concerning social class and

the pace of the social clock?

A. The lower the socioeconomic class, the later events such as getting a job, starting a family, and

getting married tend to be.

B. The higher the socioeconomic class, the later events such as getting a job, starting a family, and

getting married tend to be.

C. Socioeconomic class is not a factor in the timing of events such as getting a job, starting a

family, and getting married.

D. None of these is true.

10. The peak years for speed and agility are from:

A. 10 to 14 B. 15 to 17

C. 18 to 30 D. 30 to 35

11. According to the statistics cited in your textbook, what percent of people in the United States

did not have health insurance in 2004?

A. 6 percent B. 12 percent

C. 16 percent D. 22 percent

12. Who is LEAST likely to be uninsured?

A. Marlon, a 19-year-old college student

B. Joy, a part-time waitress

C. William, the CEO of a corporation

D. Anna, an immigrant

13. Which of the following statements is true?

A. Employers can lose more work days from sickness in young adults than in older adults.

B. The leading cause of death among young adults is from disease.

C. Work-related accidents account for the majority of the accidental deaths among young adults.

D. Exercise makes little difference in the health of young adults.

14. Most health experts recommend which of the following for cardiovascular fitness?

A. a quick-start, strenuous program of daily exercise for at least 45 minutes per day

B. 30 minutes moderate exercise 5x/week or 20 minutes vigorous exercise 3x/week

C. eliminating all saturated fat, refined sugar and flour, and insoluble fiber from the diet

D. engaging in a regular program of receiving intensive cardiovascular massage therapy

15. According to the statistics cited in your textbook, how many people worldwide are estimated to

be living with AIDS?

A. over 1 million B. over 6 million

C. over 26 million D. over 46 million

Page 2 (Chapter 13 Survey)

16. ___________ has the highest number of people living with AIDS.

A. South and Southeast Asia B. Eastern Europe

C. sub-Saharan Africa D. North America

17. According to the research cited in your textbook, about what percent of U.S. college students

admitted that they had engaged in binge drinking?

A. 10 B. 25

C. 40 D. 80

18. According to the research cited in your textbook, which of the following relates to depression in

women?

A. unequal employment opportunities

B. unequal pay and authority in the workplace

C. the burden of child care and housework

D. all of these

19. Hereditary predispositions to psychological disorders are most probably due to a defect in:

A. the encoding in some brain receptors

B. the metabolism of lipids and proteins

C. the function of the pituitary gland

D. the function of the lymphatic system

20. Psychologists who study stress have concluded that it resides neither in the individual nor in the

situation alone but in:

A. the person’s unique genetic composition

B. the impact of some environmental factors

C. how the person defines a particular event

D. the individual’s social and income levels

Page 3 (Chapter 13 Survey)

ADVANCED HUMAN GROWTH & DEVELOPMENT

CHAPTER 14 SURVEY

Early Adulthood: Emotional and Social Development

NAME _________________________________________DATE ________________________

DIRECTION: Circle ONLY the letter to the correct answer and write the page number where you

found the answer in the right hand margin.

1. A(n) _________ tie is a social link formed when we commit ourselves to another person and a(n)

___________ tie is a social link that is formed when we cooperate with another person to achieve a

limited goal.

A. expressive; instrumental B. instrumental; expressive

C. emotional; influential D. influential; emotional

2. Relationships that a person has with family, friends, and lovers are called:

A. private B. social

C. primary D. secondary

3. According to Erik Erikson, the primary task confronting young adults is:

A. intimacy vs. isolation B. integrity vs. despair

C. identity vs. role confusion D. generativity vs. stagnation

4. The median age at which men marry today is:

A. 19 B. 23

C. 25 D. 27

5. Research on the phases of adult female development has shown:

A. Men and women follow a similar pattern of adult development.

B. Women today are more likely to follow a variety of paths.

C. Intimacy is not an important factor in female development.

D. Female development closely approximates Erikson’s stages.

6. The three elements of passion, intimacy, and commitment are components of:

A. Levinson’s stage theory of development

B. Gilligan’s theory of women’s development

C. Sternberg’s triangular theory of love

D. Mogul’s theory of stock taking

7. The kind of love that only evokes passion is called:

A. nonlove B. companionate

C. infatuation D. romantic

8. A relationship that has intimacy and passion but lacks commitment is called

______________love.

A. nonlove B. companionate

C. infatuation D. romantic

Page 1 (Chapter 14 Survey)

9. Emme and Philip both describe their relationship as having passion, intimacy, and commitment.

According to Sternberg’s theory their relationship can be described as:

A. romantic love B. companionate love

C. fatuous love D. consummate love

10. According to the research cited in your textbook, marrying one’s great love:

A. is not associated with greater happiness in marriage

B. is associated with marital duration and satisfaction

C. is associated with higher rates of divorce

D. is no different than marrying someone else

Answer: B

11. The overall pattern of living whereby we attempt to meet our biological, social, and emotional

needs is known as:

A. lifeways B. life patterns

C. lifestyle D. relationships

12. A major step in the transition to adulthood is leaving the family home. In the past this usually

came about because of:

A. crowded conditions B. getting married

C. a family feud D. cheap housing

13. The pattern in the United States and many Western nations today is toward:

A. leaving the parental home at younger ages than in the past

B. marrying earlier yet choosing to live with the parents of one of the spouses

C. people aged 18 to 34 staying in the parental home as the primary residence

D. people aged 18 to 34 living on their own in communities composed mostly of young people

14. According to the recent U.S. Census data cited in your textbook, the percentage of 18- to 34-

year-olds never married is:

A. 60 percent male and 60 percent female

B. 50 percent male and 60 percent female

C. 50 percent male and 50 percent female

D. 40 percent male and 30 percent female

15. From 1970 to 2000, the median age at first marriage:

A. has decreased for both men and women

B. has increased for both men and women

C. has decreased for women but increased for men

D. has decreased for men but increased for men

16. Which of the following factors contributes to the increase in single households?

A. deferral of marriage among young adults

B. a high rate of separation and divorce

C. ability of the elderly to maintain their own homes

D. all of these

Page 2 (Chapter 14 Survey)

17. Since 1960, the rates of cohabitation have:

A. declined slightly B. declined sharply

C. increased sharply D. remained the same

18. According to your textbook, which of the following statements is true regarding sexual

orientation?

A. Sexual orientation in all people is clearly delineated as homosexual or heterosexual.

B. Sexual orientation is a matter of “either/or”; there are no degrees of variation.

C. Some individuals show varying degrees of orientation, including bisexuality.

D. Orientation is fixed at birth and never changes for all people.

19. A lifestyle practice that exists in all contemporary societies is:

A. polyandry B. polygyny

C. bigamy D. marriage

20. King David and King Solomon each had several wives. This practice is called:

A. polyandry B. polygyny

C. group marriage D. serial monogamy

Page 3 (Chapter 14 Survey)

ADVANCED HUMAN GROWTH & DEVELOPMENT

CHAPTER 15 SURVEY

Middle Adulthood: Physical and Cognitive Development

NAME _________________________________________DATE ________________________

DIRECTION: Circle ONLY the letter to the correct answer and write the page number where you

found the answer in the right hand margin.

1. As of 2005, the average life expectancy of U.S. men and women at age 65 was:

A. mid 60s B. late 60s

C. 70s D. 80s

2. Some of the common causes of hearing loss include:

A. cochlear damage due to prolonged exposure to loud noise

B. lack of good muscle tone in the middle ear

C. job-related noise levels

D. all of these

3. Regina and Joanne are in their mid 40s. They are discussing the signs of aging that are affecting

their appearance. What in particular are they likely to be discussing?

A. skin that is drier, thinner, and less elastic

B. skin that is sagging and wrinkled on the face and at the joints

C. dark patches of skin on the face and hands

D. all of these

4. In general, compared to women, men have better-looking skin as they age because:

A. They do not moisturize their skin as women do.

B. They do not wear make-up the way that women do.

C. Their skin tends to be thicker than women’s skin.

D. They slough off dead skin cells when they shave.

5. Ron and Delores are both 35 years old, but tests show that Delores has lost bone mass while Ron

has not. This is because:

A. men have more bone mass than women

B. men retain more calcium

C. women lose bone mass more slowly as they age

D. men are more muscular

6. An inflammatory disease that causes pain, swelling, stiffness, and loss of function of the joints is

called:

A. rheumatoid arthritis B. arteriosclerosis

C. osteoarthritis D. calcitonin

Page 1 (Chapter 15 Survey)

7. Which of the following statements is true about prostate cancer?

A. It is the second leading cause of cancer death in men.

B. In general, most prostate cancers are fast growing.

C. Japanese men have the highest rates of prostate cancer.

D. Prostate cancer is most prevalent in men under 50 years of age.

8. According to a study cited in your textbook, what percent of men over the age of 40 experience

potency problems?

A. 10 percent B. 20 percent

C. 35 percent D. 50 percent

9. Hypertension affects what percent of adults in the United States?

A. half B. one in ten

C. one in four D. one in twenty

10. According to your textbook, the leading cause of death for women in the U.S. is:

A. colon cancer B. lung cancer

C. breast cancer D. skin cancer

11. When blood circulation to the brain fails, it leads to:

A. cardiovascular disease B. stroke

C. Parkinson’s disease D. seizure

12. Trembling in hands, arms, legs, jaw, and face; rigidity or stiffness of limbs and trunk; slowness

of movement; postural instability or impaired balance and coordination are symptoms most closely

associated with:

A. Alzheimer’s disease B. stroke

C. cardiovascular disease D. Parkinson’s disease

13. Which of the following statements is true?

A. Studies report infidelity occurring in 20 to 25% of marriages.

B. About 50 percent of married men and 50 percent of married women say they have been

unfaithful.

C. More women than men have admitted to being unfaithful.

D. A majority of both men and women have had only one sex partner since the age of 18.

14. The probability of HIV-positive women infecting their male partners with the virus was found

to be:

A. significantly high B. significantly low

C. about the same as the probability of HIV-positive men infecting their female partners

D. about the same as the probability of HIV-positive women infecting their female partners

15. How is crystallized intelligence acquired?

A. in the course of social experience

B. through genetically preset maturation

C. through changes in crystal structures in the brain

D. solely through formal education

Page 2 (Chapter 15 Survey)

ADVANCED HUMAN GROWTH & DEVELOPMENT

CHAPTER 19 SURVEY

Dying and Death

NAME_____________________________________DATE_______________________

DIRECTION: Circle ONLY the letter to the correct answer and write the page number where you

found the answer in the right hand margin.

1. The study of death is called:

A. epistemology B. teleology

C. theology D. thanatology

2. ______ euthanasia allows death to occur by withholding or removing treatments that would

prolong life.

A. Passive B. Involuntary

C. Voluntary D. Active

3. A legal document that states an individual’s wishes regarding medical care (such as refusal of

“heroic measures” to prolong his or her life in the event of terminal illness) in case the person

becomes incapacitated and unable to participate in decisions about his or her medical care is known

as a:

A. testament B. living will

C. death wish D. none of these

4. The survivors of a loved one’s death most likely to feel isolated are those whose loved one:

A. died from AIDS B. died in war

C. died from suicide D. died by euthanasia

5. More ______attempt suicide but more ______succeed at suicide.

A. males; females B. females; males

C. elderly people; young people D. young people; elderly people

6. Which of the following ethnic groups has the highest suicide rate?

A. Native American B. White American

C. Asian American D. Hispanic American

7. According to the statistics cited in your textbook, the fastest growing suicide rate is occurring

among:

A. White women B. young Hispanics

C. Asian men D. Black women

8. What do members of these professions: dentists, artists, machinists, auto mechanics, and

carpenters, have in common?

A. lower than average suicide rates B. rates equal to the average for suicide

C. higher than average suicide rates D. none of these

Page 1 (Chapter 19 Survey)

9. Suicide rates are highest during which periods of the lifespan?

A. adolescence and late adulthood B. young adulthood and middle age

C. middle age and late adulthood D. late childhood and middle age

10. An estimated 7 million people have experienced an event commonly precipitated by medical

illness, traumatic accident, surgical operation, childbirth, or drug ingestion, in which, after being

pronounced clinically dead, they have the sensation of leaving their bodies and undergoing

otherworldly experiences before being resuscitated. This is known as:

A. brain death B. terminal drop

C. near-death experience D. a spiritual awakening

11. When an individual resists acknowledging the reality of impending death, this refers to which of

Kübler-Ross’ stages of dying?

A. anger B. depression

C. denial D. bargaining

12. When a dying individual asks, “Why me?” and makes life difficult for friends, family, and

medical personnel with little justification, this most likely refers to which of Kübler-Ross’ stages of

dying?

A. anger B. depression

C. denial D. bargaining

13. According to the statistics cited in your textbook, for the majority of people in the United States,

where does death occur?

A. at home B. in a nursing home

C. in a hospital D. in a hospice

14. The socially established manner of displaying signs of sorrow over a person’s death is known

as:

A. grief B. mourning

C. bereavement D. anticipatory grief

15. According to the statistics cited in your textbook, what proportion of people who are widowed

each year still suffer from serious depression a year or more later?

A. one-half B. one-third

C. one-quarter D. three-quarters

Page 2 (Chapter 19 Survey)

Categories
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Experiencing Jazz

Experiencing Jazz, Second Edition, is an integrated textbook with online resources for jazz appreciation and history courses. Through readings, illustrations, timelines, listening guides, and a streaming audio library, it immerses the reader in a journey through the history of jazz, while placing the music within a larger cultural and historical context. Designed to introduce the novice to jazz, Experiencing Jazz describes the elements of music, and the characteristics and roles of different instruments. Prominent artists and styles from the roots of jazz to present day are relayed in a story-telling prose. This new edition features expanded coverage of women in jazz, the rise of jazz as a world music, the influence of Afro-Cuban and Latin jazz, and streaming audio.

Features: • Important musical trends are placed within a broad cultural, social, political, and economic

context • Music fundamentals are treated as integral to the understanding of jazz, and concepts are

explained easily with graphic representations and audio examples • Comprehensive treatment chronicles the roots of jazz in African music to present day • Commonly overlooked styles, such as orchestral jazz, Cubop, and third-stream jazz are

included • Expanded and up-to-date coverage of women in jazz.

The media-rich companion website presents a comprehensive streaming audio library of key jazz recordings by leading artists integrated with interactive listening guides. Illustrated musical concepts with web-based tutorials and audio interviews of prominent musicians acquaint new listeners to the sounds, styles, and figures of jazz.

Richard J. Lawn recently retired as Dean of the College of Performing Arts at the University of the Arts in Philadelphia. You can see and hear him as saxophonist, composer, and bandleader for Power of Ten, playing in local clubs and on recordings.

Experiencing Jazz Second Edition

Richard J. Lawn Professor Emeritus, College of Performing Arts at the University of the Arts

Second edition published 2013 by Routledge 711 Third Avenue, New York, NY 10017

Simultaneously published in the UK by Routledge 2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN

Routledge is an imprint of the Taylor & Francis Group, an informa business

© 2013 Taylor & Francis

The right of Richard J. Lawn to be identified as author of this work has been asserted by him in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988.

All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers.

Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe.

First edition published 2007 by The McGraw-Hill Companies

Library of Congress Cataloging in Publication Data Lawn, Richard, author.

Experiencing jazz/Richard J. Lawn.—Second edition. pages cm Includes bibliographical references, discography, and videography. 1. Jazz—History and criticism. 2. Jazz—Analysis, appreciation. I. Title. ML3506.L39 2013 781.65—dc23 2012024753

ISBN: 978-0-415-65935-2 (pbk and online access card) ISBN: 978-0-415-69960-0 (pbk) ISBN: 978-0-415-83735-4 (online access card) ISBN: 978-0-203-37981-3 (ebk and online access card) ISBN: 978-0-203-37985-1 (ebk)

Typeset in Bembo, Helvetica Neue and Kabel by Florence Production Ltd, Stoodleigh, Devon, UK

Please visit the companion website at www.routledge.com/cw/Lawnwww.routledge.com/cw/Lawn

I am deeply indebted to my wife, Susan Lawn, for “putting her life on hold,” not once but twice, while helping immeasurably to make this book become a reality. In addition, thanks to the many students who served as its inspiration.

Contents

List of Photos xiv List of Examples xix List of Figures xxii Preface xxiii Acknowledgments xxviii

PART I UNDERSTANDING JAZZ 1

1 The Nature of Jazz 3

Experiencing Music . . . Experiencing Jazz 4 That Four-Letter Word 4 Defining Jazz 6 Chapter Summary 8 Study Questions 9

2 The Elements of Jazz 13

Rhythm 14 Meter and Tempo 15 Rhythmic Devices Important to Jazz 16 Swing as an Aspect of Jazz Rhythm 18

Melody 18 Harmony 20 Texture 21 Form 22 Improvisation 23

Something Borrowed—The European Tradition 23 Something New, Something Blue—The Jazz Tradition 24 Blues 24 Improvisation in Jazz 26

Chapter Summary 29 Key Terms 30 Study Questions 31

3 Listening to Jazz 33

Performance Practice 33 The Instruments of Jazz 34 The Drum Set and Swing 34 Orchestration and Instrumentation 36 Instrumental Techniques and Special Effects 37

Understanding the Whole Performance 39 Describing the Performance 41

Video Blues 42 Chapter Summary 43 Key Terms 43 Study Questions 44

4 The Roots of Jazz 45

Jazz in Perspective 45 The Significance of African Music to Jazz 46 African Musical Aesthetic 46 Elements of African Music 47 African Music as a Means of Communication 49

The Afro-Latin and Caribbean Tinge 49 Background 50 Early Fusions 52

Early American Vocal Music 54 The Innovators: Getting the Blues 56

Robert Johnson (1911–1938) 57 Bessie Smith (1894–1937) 59 W.C. Handy—“Father of the Blues” (1873–1958) 61

Ragtime 62 Brass and Military Bands 67 Milestones: Chronicle of Historic Events 68 Chapter Summary 70 Key Terms 70 Study Questions 71

PART II CLASSIC JAZZ 1917–1945 73

5 Jazz Takes Root 75

Jazz in Perspective 75 The Reception of Early Jazz 78 New Orleans—The Birthplace of Jazz 80

Dixieland Jazz Band Instrumentation 81 The Innovators: Early Jazz 83

Original Dixieland Jazz Band 83 Kid Ory (1890–1973) 86 Joe “King” Oliver (1885–1938) 86 Lilian Hardin 86

viii CONTENTS

Jelly Roll Morton (1890–1941) 89 Louis Armstrong (1901–1971) 91 Sidney Bechet (1897–1959) 94

Milestones: Chronicle of Historic Events 95 Chapter Summary 97 Key Terms 97 Study Questions 98

6 The Jazz Age: From Chicago to New York 99

Jazz in Perspective 99 South Side of Chicago 100 On the Other Side of Town 102 The Chicago Sound 103 The Innovators: A Few of the Many 104

New Orleans Rhythm Kings (NORK) 104 Bix Beiderbecke (1903–1931) 105 Frankie “Tram” Trumbauer (1901–1956) 106 Paul Whiteman (1890–1967) and Symphonic Jazz 108

Boogie-Woogie, Eight to the Bar 110 The Decline of the Chicago Era 111 Chicago Jazz in Retrospect 113 New York and the Harlem Renaissance 114

James P. Johnson (1891–1955) 115 Marketing Jazz 118 Milestones: Chronicle of Historic Events 120 Chapter Summary 121 Key Terms 122 Study Questions 122

7 The Swing Era: Jazz at Its Peak 125

Jazz in Perspective: The Depths of the Depression 126 The Country Recovers 127 The Anatomy of the Swing Era Jazz Band 127

Instrumentation 128 Repertoire and Arrangement 131

The Innovators: Swing on the East Coast 132 Fletcher Henderson (1897–1952) 133 Coleman Hawkins—“The Father of Jazz Tenor Saxophone” (1904–1969) 135 Duke Ellington (1899–1974): Music Was His Mistress 137 Benny Goodman—The “King of Swing” (1909–1986) 147

Popular White Swing Bands 151 Artie Shaw (Arthur Arshawsky) (1910–2005) 151

The Vocalists’ Rise to Fame 153 Ongoing Latin Influences 155 Chapter Summary 155 Key Terms 156 Study Questions 157

CONTENTS ix

8 Swinging Across the Country: The Bands, Singers, and Pianists 159

Jazz in Perspective 160 The Innovators: A Unique Kaycee Style 161

Benny Moten 161 William “Count” Basie (1904–1984) 162 Lester Young (1909–1959) 164

Territory Bands 167 Mary Lou Williams (1910–1981) 168

The Innovators: A Few of the Swing Era Singers and Pianists 170 Billie Holiday (1915–1959): “Lady Day” 170 Ella Fitzgerald (1918–1996): The “First Lady of Song” 172 Art Tatum (1909–1956) 174

Traditional Jazz Revival 177 Swing Era Success 177 Milestones: Chronicle of Historic Events 181 Chapter Summary 184 Key Terms 185 Study Questions 185

PART III MODERN JAZZ 187

9 The Bebop Revolution 189

Jazz in Perspective 189 The Lifestyle and Musical Characteristics 192 The Birth of Bebop: The First Recordings 194

Characteristics of the Style 196 Bebop Performance Practice and Instrumental Roles Redefined 197

The Innovators: Bop Stylists 199 John Birks “Dizzy” Gillespie (1917–1993) 199 Charlie Parker (1920–1955) 201 Bud Powell (1924–1966) 203 Dexter Gordon (1923–1990) 205 J.J. Johnson (1924–2001) 206

The Innovators: Bebop Rhythm-Section Players 207 Thelonious Sphere Monk (1917–1982) 207 Oscar Pettiford (1922–1960) 209 Kenny Clarke (1914–1985) 209 Max Roach (1924–2007) 210 Sarah Vaughan: “The Divine One” (1924–1990) 211

Modern Jazz Embraces the Afro-Cuban Spirit 213 Dizzy Gillespie and the Birth of Cubop 213

The Decline of Bebop 217 Milestones: Chronicle of Historic Events 217 Chapter Summary 219 Key Terms 220

x CONTENTS

Appendix 220 Study Questions 223

10 The 1950s and Early 1960s: Cool, Intellectual, and Abstract Jazz 225

Jazz in Perspective 225 Characteristics of Cool Jazz 228 The Innovators: The Cool Sound on the East and West Coasts 231

Miles Davis and Gil Evans: The Birth of the Cool 231 Modern Jazz Quartet 233 Gerry Mulligan (1927–1996) and Chet Baker (1929–1988) 233 Dave Brubeck (1920–2012) 235 Bill Evans (1929–1980) 238

The Brazilian Bossa Nova 241 Stan Getz (1927–1991) 243

Third-Stream Jazz 245 Lennie Tristano (1919–1978) 247

Who Was Popular 248 Milestones: Chronicle of Historic Events 249 Chapter Summary 250 Key Terms 251 Study Questions 252

PART IV POSTMODERN JAZZ 253

11 Tradition Meets the Avant-Garde: Moderns and Early Postmoderns Coexist 255

Jazz in Perspective 256 The Innovators: The Characteristics and Artists of Mainstream Hard Bop 256

Art Blakey (1919–1990) Carries the Message 258 Other Hard-Bop Messengers 260

More About Funky, Soul Jazz and the 1950s and 1960s 264 Organ Trios and the Guitar 265

Wes Montgomery (1923–1968) 265 Jimmy Smith (1925–2005) 266

Everlasting Big Bands 268 Defining Postmodernism 270

Ornette Coleman (1930–) and His Disciples 271 The Innovators: Postmodern Jazz Comes of Age 276

Charles Mingus (1922–1979)—The Underdog 276 The End of Modern Jazz Heralded by the Beginning of the Postmoderns 278 Milestones: Chronicle of Historic Events 280 Chapter Summary 282 Key Terms 283 Study Questions 283

CONTENTS xi

12 Miles and Miles of Miles: Miles Davis and His Sidemen Redefine Postmodern Jazz 285

Jazz in Perspective 286 The Music 287 The Early Miles 287 The First Great Quintet 289 Modal Jazz 290

Miles and Gil 294 The Second Great Quintet 296 The Electronic Jazz–Rock Fusion Period 300 Davis Sidemen Become Major Forces 305

John Coltrane (1926–1967) 306 Wayne Shorter (1933–) 312 Herbie Hancock (1940–) 313

Milestones: Chronicle of Historic Events 314 Chapter Summary 317 Key Terms 318 Study Questions 318

13 The Electric 1970s and 1980s 321

Jazz in Perspective 321 The Music 322 Jazz and Rock: The Two-Way Connection 323 The Innovators: Living Electric in the Shadow of Miles Davis 325

Weather Report 325 Herbie Hancock and the Head Hunters 329 John McLaughlin (1942–) and the Mahavishnu Orchestra 331 Chick Corea (1941–) 333

Soul and Pop Instrumental Jazz 336 David Sanborn (1945–) 336 The Brecker Brothers 336 Grover Washington, Jr. (1943–1999) 337 Chuck Mangione (1940–) 337

The Signs of the Times: New Technologies and Changing Business Models 338 Milestones: Chronicle of Historic Events 339 Chapter Summary 340 Key Terms 341 Study Questions 342

14 The Unplugged, Eclectic 1970s and 1980s 343

Long Live Acoustic Jazz 343 The ECM Sound 344 The Innovators: The Rebirth of Acoustic Jazz 345

Keith Jarrett (1945–) 345 Return of Expatriates Unleashes a Rebirth of Acoustic Jazz 349

xii CONTENTS

Wynton Marsalis (1961–) and the Young Lions 350 The Freedom Fighters Take Risks 352

Cecil Taylor (1929–) 354 Old Bottles, New Wines—Long Live Big Bands 356 The Changing Jazz Landscape as the Millennium Comes to a Close 357 Milestones: Chronicle of Historic Events 358 Chapter Summary 360 Key Terms 361 Study Questions 361

15 Jazz for a New Century 363

Jazz in Perspective 364 Trends in Contemporary Jazz 365 Established Artists Offer Seasoned Jazz 367

John Scofield (1951–) and Joe Lovano (1952) 367 Michael Brecker (1949–2007) and Pat Metheny (1954–) 367

Popular Music Influences 371 Tim Hagans (1954–) 372

Vocal Renaissance 374 Esperanza Spalding (1984–) 375

Contemporary Women Emerging as Innovators 377 Maria Schneider (1960–) 378

Jazz as a Global Music 382 Afro-Cuban and Latin Jazz 382 Danilo Pérez (1965–) 382

Jazz as an International Language 384 Rudresh Mahanthappa and Vijay Iyer 387

The New Innovators: 21st-Century Emerging Artists 389 Jason Moran (1975–) 390

Closing Thoughts 391 Milestones: Chronicle of Historic Events 392 Chapter Summary 396 Key Terms 397 Study Questions 397

Appendix I: Glossary of Terms 399 Appendix II: Suggested Jazz DVDs and Videos 411

Biographical 409 Historical Documentaries 410 Performance/Instructional 410 Important Feature Films 411

Appendix III: Chapter Notes and Additional Sources 415

Index 429

CONTENTS xiii

Photos

August Wilson Theatre (formerly Virginia Theatre)/Neil Simon Theatre 52nd Street, Manhattan, New York City. May 2007 xxiv

American bandleader James Reese Europe (1881–1919) poses (center, with baton) with members of his Clef Club Band, New York, 1914 3

Original Dixieland Jass Band promotional photo 5

Jazz singer Joe Williams 7

The World Saxophone Quartet performing in 1992 9

“Mother of the Blues” Ma Rainey on sheet-music cover 13

Old-style mechanical metronome 15

Gertrude “Ma” Rainey (1886–1939) and her Georgia Jazz Band, Chicago, 1923 25

American jazz musician Louis Armstrong (1901–1971) smiles as he poses on stage with a band for the WMSB radio station in New Orleans, Louisiana, 1920s 26

Jazz musicians performing in a nightclub 33

The typical jazz drum set 35

April 16, 1912: The front-page New York Times newspaper headline announces the sinking of The Titanic ocean liner 45

Map tracing Christopher Columbus’s voyages, which resemble slave-trade routes 51

Slaves returning from the cotton fields in South Carolina, c.1860 54

Fisk Jubilee Singers 55

Bessie Smith, “Empress of the Blues” 59

Promotional photo, c.1930, of W.C. Handy, “Father of the Blues” 61

1899 sheet-music cover of Scott Joplin’s “Maple Leaf Rag” 65

Portrait of American ragtime composer and pianist Scott Joplin (1868–1917), c.1910 66

Player piano roll of Scott Joplin’s “Maple Leaf Rag,” patented September 13, 1904 67

An American suffragette wears a sign proclaiming “Women! Use your vote,” c.1920 75

Portrait of the Buddy Bolden Band, New Orleans, Louisiana, c.1900 81

The Original Dixieland Jass Band 84

Pianist, composer, arranger, singer, and bandleader Lilian Hardin Armstrong 86

King Oliver’s Creole Jazz Band in the early 1920s 87

Composer and pianist Jelly Roll Morton at the piano 89

Louis Armstrong and his Hot Five 92

Sidney Bechet plays clarinet for a Blue Note Records session, June 8, 1939 94

Henry Ford and his son Edsel in front of their new model in New York in 1927–1933 99

Marathon dance competitions were part of the growing phenomenon of youth culture in the 1920s, Chicago 101

Bix Beiderbecke and the Wolverines in the Gennett Recording Studios, in 1924, in New York 103

Cornetist Bix Beiderbecke (1903–1931) poses for a portrait, c.1925 105

Frankie Trumbauer and unidentified guitarist 107

Paul Whiteman and his orchestra 109

A crowd of depositors outside the American Union Bank in New York, having failed to withdraw their savings before the bank collapsed 112

Exterior of the Renaissance Casino ballroom in Harlem, New York, late 1920s 114

James P. Johnson poses for a studio portrait in 1921 115

Corner of Lennox Avenue and 147th Street in Harlem showing the exterior of the M&S Douglas Theatre and a sign for the Cotton Club a few doors down, 1927 125

Jazz pianist Teddy Wilson playing with a quartet during the set break of Benny Goodman’s band, because racially mixed bands were not the rule in New York City at the “Madhattan Room” in the Hotel Pennsylvania 131

Bandleader, pianist, composer/arranger Fletcher Henderson 133

Coleman Hawkins, “the father of jazz tenor saxophone” 135

Duke Ellington and his band performing at the legendary Cotton Club 139

Dancers performing onstage at the Cotton Club 141

Composer Duke Ellington, singer Ivie Anderson, and drummer Sonny Greer pose for a portrait with the orchestra in 1943, in Los Angeles, California 143

Bandleader and clarinetist Benny Goodman (center) performs for a large crowd at Manhattan Beach, New York, August 11, 1938 148

The Benny Goodman Sextet 149

Guitarist Charlie Christian on stage with the Benny Goodman Orchestra, in New York, c.1940 150

Big-Band Leader Artie Shaw performs in 1945, Los Angeles, California 151

December 8, 1941: The front page of the New York World Telegram announces Japanese air attack at Pearl Harbor, commencing the U.S. entry into World War II 159

The Count Basie Orchestra performs on stage in Chicago in 1940 162

Count Basie with his “All American Rhythm Section” 163

PHOTOS xv

Tenor saxophonist Lester Young performs while holding his instrument in his classic sideways style 165

Pianist, composer, arranger Mary Lou Williams 168

Billie Holiday singing at a Decca recording session, c.1946 170

Ella Fitzgerald, the “First Lady of Song,” 1940 172

Art Tatum Trio 175

Special edition of Jazzmen, produced by the Armed Services and designed to fit in soldiers’ knapsacks 177

The ruins of a cinema stand stark against the rubble after the atomic bomb dropped on Hiroshima August 8, 1945, brought World War II to a close 189

The Onyx jazz club in New York, advertising singer Maxine Sullivan 193

The club named after Charlie Parker, located at 1678 Broadway, New York 195

Dizzy Gillespie, with characteristic puffed cheeks and upturned trumpet 200

Jay McShann Orchestra in New York, 1942 201

Charlie Parker, with Miles Davis, trumpet; Tommy Potter, bass 202

Pianist Earl “Bud” Powell 203

Tenor saxophonist Dexter Gordon in Los Angeles, 1947 205

Thelonious Monk at Minton’s Playhouse 207

Drummer Max Roach 210

Vocalist Sarah Vaughan 211

Latin jazz singer and bandleader Machito (Frank Raul Grillo) holding maracas, while leading his band 214

Saxophonist James Moody, Cuban conga player Chano Pozo, and trumpeter Dizzy Gillespie performing in 1948 215

Race riots and picketers in Birmingham, Alabama 225

Miles Davis recording in 1959 231

The Dave Brubeck Quartet, with Brubeck at the piano, Paul Desmond on saxophone, Eugene Wright on bass, and Joe Morello on drums, in 1959 236

Pianist Bill Evans 238

Stan Getz in a live performance 244

Pianist Lennie Tristano 247

American civil rights leader Dr. Martin Luther King Jr. (1929–1968) speaks at a rally held at the Robert Taylor Houses in Chicago, Illinois, 1960s 255

Art Blakey and the Jazz Messengers play at the Birdhouse, a Chicago jazz club, 1961 258

Clifford Brown at a recording session 262

Tenor saxophonist Sonny Rollins performs at the Berkshire Music Barn Jazz Festival in Lenox, MA, 1956 262

Guitarist Wes Montgomery, c.1960 266

Jimmy Smith sitting at the Hammond B3 organ 266

Contemporary bandleader Stan Kenton rehearses his jazz band in London, in preparation for a performance at the Royal Albert Hall 268

xvi PHOTOS

Saxophonist Ornette Coleman with trumpeter Don Cherry at the 5 Spot, New York City 272

Jazz bassist and composer Charles Mingus 276

Apollo 11, the first manned lunar-landing mission, was launched on July 16, 1969, and Neil Armstrong and Buzz Aldrin became the first and second men to walk on the moon 285

Miles Davis’s nonet in a recording studio for the sessions released as Birth of the Cool 288

John Coltrane, Cannonball Adderley, Miles Davis, and Bill Evans perform in the studio, New York, May 26, 1958 292

Trumpeter Miles Davis and producer/arranger Gil Evans record the album Quiet Nights in 1962 295

Miles Davis with Herbie Hancock, Ron Carter, and Wayne Shorter at the 1967 Newport Jazz Festival 297

Miles Davis performing in Copenhagen, 1973, wearing hip clothes of the day 304

John Coltrane performing on soprano saxophone with his quartet in West Germany, 1959 307

Demonstrators march up Avenue of Americas on their way to Central Park in New York as part of a rally against the Vietnam War, April 5, 1969 321

The rock band Blood, Sweat and Tears performs on stage at the Longhorn Jazz Festival, Dallas, Texas 324

Weather Report performs on stage at the Playboy Jazz Festival at the Hollywood Bowl, Los Angeles, June 1981 328

Herbie Hancock using a portable synthesizer keyboard 330

Guitarist John McLaughlin and violinist Jean-Luc Ponty from the Mahavishnu Orchestra perform in Amsterdam, the Netherlands, in 1974 332

Return To Forever performs in May 1977 335

Popular Philadelphia soulful saxophonist Grover Washington, Jr. 337

Chuck Mangione playing his signature flugelhorn 338

A demonstration outside the Whitehouse in support of the impeachment of President Nixon (1913–1994) following the watergate revelations 343

Jazz pianist Keith Jarrett, c.1975 346

Dexter Gordon and quartet performing in the UK 349

Trumpeter/composer Wynton Marsalis in 1982 351

Pianist Cecil Taylor performs at Ronnie Scott’s in London 354

Jazz pianist and composer Toshiko Akiyoshi conducts her orchestra, c.1977 357

U.S. President Bill Clinton plays a saxophone along with musician Everett Harp at the Arkansas inaugural ball 20 January 1993 363

Michael Brecker performing with the Brecker Brothers at the New Orleans Jazz & Heritage Festival 369

Contemporary guitarist Pat Metheny 369

Popular smooth-jazz artist Chris Botti 371

PHOTOS xvii

Trumpeter/composer Tim Hagans at the 2008 IAJE Conference in Toronto, Canada 372

Diana Krall performing in 2004 at the Mountain Winery, in Saratoga, California 374

Esperanza Spalding performs at the 4th Annual Roots Picnic at the Festival Pier, in Philadelphia, Pennsylvania, June 4, 2011 375

Maria Schneider conducts the Maria Schneider Orchestra on stage during the Festival Internacional de Jazz de Barcelona at Palau De La Musica, in Barcelona, Spain, 2011 379

Pianist Danilo Pérez 383

Jason Moran performs at Thelonious Monk Town Hall 50th Anniversary Celebration, 2009 390

xviii PHOTOS

Examples

2.1 Graphic representation of “Happy Birthday” 14 2.2 Illustration of a simple syncopation in measure 1 that results from handclaps on

off beats that create a tension between major beats represented by the foot tapping a steady pulse. By the second beat of the second measure, the handclaps are lined up precisely with the foot tapping on beats 2, 3, and 4, hence no syncopation and no tension 17

2.3 Using similar graphics, the following example illustrates a simple polyrhythm. In this case, the foot taps indicate a 3/4 meter and fundamental rhythm. The hand-clapping introduces a new rhythm in opposition to the foot tapping. If the foot tapping suddenly stops, the continuing handclaps give the illusion of 2/4 meter. The combined result when both are executed simultaneously is a polyrhythm 17

2.4 Two-octave C scale. Raised half-steps in between each scale note (black keys) are labeled above as sharps 19

2.5 Chord symbols in a typical progression that jazz musicians must learn to interpret 20

2.6 Visualization of monophonic texture. The light, horizontal, wavy line represents the melodic shape of a solo singer. There are no other layers present in this single-dimensional texture 21

2.7 Visualization of homophonic texture. The wavy, horizontal line represents the melodic shape of a solo singer. The vertical bars represent chords, with darker shades indicating major chords, and lighter shades representing minor chords 21

2.8 Visualization of polyphony. The light, horizontal, wavy lines represent the melodic shape of a solo singer and a second melodic voice complementing the primary vocal melody below it. The vertical bars represent chords, with darker shades indicating major chords, and lighter shades representing minor chords. Black dots represent a rising and falling bass line in counterpoint with the melody line. The entire texture, with multiple layers of activity, is described as polyphonic 21

2.9 Lowered third, fifth and seventh (E flat, G flat, B flat) are called “blue notes” and are indicated in the following keyboard example 24

2.10 Typical jazz chord progression illustrated by symbols 27 3.1 Swing ride cymbal pattern 36 3.2 Visual notations of special effects associated with jazz 38

4.1 The first line shows your foot tapping down and up, indicating 2 beats per measure. The second line adds handclaps that help to divide each beat in half, showing 1&2& 1&2&, corresponding to line 1. The third line adds handclaps to divide each measure of line 1 into triplets, or three pulses for every 2 foot taps. The last line shows handclaps dividing each beat in line 1 into groups of three, faster triplets than those line 3 47

4.2 African fundamental or ground pattern. Although many readers would likely not understand music notation, laymen can execute the following graphic representation of the pattern. The feet establish the pulse or basic beat, while the handclaps outline the specific ground rhythm pattern 48

4.3 The habanera rhythm is represented below in 4/4 meter for convenience, although it is usually found in 2/4 meter. Try to coordinate your hands and feet in a steady tempo. The handclap emphasizes the habanera rhythm, while the feet establish a basic tempo 52

4.4 Notice the close resemblance between this Charleston rhythm and the habanera at the middle of the measure 52

4.5 The clavé rhythm: The following illustrations are graphic representations of the 3–2 and 2–3 clavé patterns. The vertical line serves to delineate measures. You should try executing these rhythms with your hands and feet 53

4.6 Classic 12-bar blues. Each block represents 1 measure 57 4.7 Final rhythm from Stephen Foster’s “Camptown Races” 64 7.1 A graphic representation of 1 measure in 4/4 meter showing alternation

between a full quarter note of full value on beats 1 and 3, followed by even eighth-note divisions of beats 2 and 4. This rhythm pattern does not swing 129

7.2 A graphic representation of 1 measure in 4/4 meter showing the uneven division of beats 2 and 4, causing a feeling of anticipation of the following beats (3 and 1). This was the typical pattern played by the drummer on the cymbals, expressed below by the syllables. This rhythm helps to create the basis of the “swing” feel. Horn soloists and pianists would likely also swing in this uneven fashion 130

7.3 Contrast between arpeggiated and linear styles 136 9.1 Graphic representation of the jazz conga drum variation. Tap your left foot

in a steady tempo following the graphic while clapping the conga drum pattern 213

10.1 Eighth-note triplets 238 10.2 Quarter-note triplets 239 10.3 Samba rhythmic ostinato patterns; the foot image represents downward taps 242 10.4 Hand clapping syncopated bossa nova rhythm—syncopated tensions occur

when hand claps fall between the foot taps. There are numerous variations to the ostinato bossa nova rhythm patterns 243

11.1 Modern and postmodern jazz coexist 279 12.1 Piano with whole and chromatic half-steps indicated over two octaves,

C to C 290 12.2 By using different visual shades to represent sound, it is possible to differentiate

between modal and functional harmony as shown in the following illustrations. (A) Visual conceptualization of a modal texture. There is a sameness about this visual texture, much like there is in a modal section of music, where all notes, whether used vertically as a chord or horizontally to form melodic lines, stem from the same essential set of pitches (color, in this example).

xx EXAMPLES

(B) Visual conceptualization of functional harmony: Each horizontal bar represents a changing chord in a progression. Some chords are related, whereas others serve a quite different role. The black represents the strong chords that supply more variety than the above example 291

15.1 Piano keyboard based on Western music system with half-steps. Imagine 12 more keys (notes) added between C and C on this traditional Western keyboard 388

EXAMPLES xxi

Figures

1.1 Jazz styles timeline 10 7.1 Typical big-band seating arrangement 128 7.2 Memorable Swing Era hits and associated bands 153 7.3 Important artists to emerge from Woody Herman and Stan Kenton bands 154 7.4 Popular vocalists and associated bands 154 8.1 Cost of living index, c.1940 167 8.2 Well-known territory bands and their locales 167 9.1 Comparison of swing and bebop styles 198

10.1 Comparison of bebop and cool styles 230 11.1 Jazz Messengers Sidemen 259 11.2 Horace Silver Sidemen 259 11.3 A study in contrasts: A comparison in the characteristics of free jazz and

more traditionally grounded, modern mainstream jazz styles 275 12.1 Miles Davis’s innovations 305 12.2 John Coltrane’s innovations 311 14.1 Distinguishing characteristics of Keith Jarrett’s music 347 15.1 Late 20th- and early 21st-century trends and artists in jazz 366 15.2 21st-century women in jazz 380 15.3 21st-century emerging innovators 389

Preface

I do not agree that the layman’s opinion is less of a valid judgment of music than that of a professional musician. In fact, I would often rely more on the judgment of a sensitive layman than that of a professional … —Jazz Pianist Bill Evans, from The Universal Mind of Bill Evans

Jazz is about America. It is American as apple pie and baseball, but surprisingly few people fully understand it or appreciate its wonder and appeal. Jazz represents the spirit and cultural fabric of America and has served as the basis of most popular music styles. Perhaps this is why our lives are invaded daily with jazz music – on television, in commercials selling everything from cars to banks and clothing, in films, in elevators and doctors’ offices, in restaurants and shopping malls and countless other pubic places. It is music that evokes basic human emotions and can be soothing, chilling, sensual, raucous, uplifting, thought provoking, transformational, spiritual, meditative, annoying, or even jarring. Sometimes it strikes controversy among listeners. Anyone is capable of enjoying these fundamental feelings, but the experience is enhanced beyond expectation when one knows more about how the music is produced, its roots, developments and place in American history.

Pictured on the front cover is Swing Street, 52nd Street in New York City in 1948. It was the place to hear jazz in the mid-20th Century. Miles Davis, Charlie Parker, Billie Holiday Dizzy Gillespie, and performers from the earlier “Swing Era” could be heard in clubs like the Onyx and Three Deuces that lined the street between 5th and 7th Avenue as shown in the cover photo. Jazz in the 1930s and ’40s was America’s popular music. It was embedded in American culture and was the soundtrack for American life. The jazz musician helped to tell our country’s story at nightclubs, dance halls, and on records and radio. Their music was accessible, daring and represented freedom to the outside world.

This same street shown in the 2007 photo overleaf by comparison looks quite different though still the home for aspects of the entertainment business. Jazz was associated with entertainment in its early years and considered forbidden fruit by some. Over time Jazz has gained a respect and stature shared by art music, studied and analyzed much like Western classical music. Jazz is now found in most university curricula, cultivated in high school and middle schools jazz bands, and no longer associated with underbelly of society. Jazz has become and international language recognized as an American tradition. We invite you to explore and experience this unique national treasure, listen to landmark recordings and hear the stories of the artists who changed American culture.

Experiencing Jazz, Second Edition, places the music in an historical, cultural, and social context of American society. By placing Jazz within the context of social history, students better understand

its relevance. It also helps them to relate the music to their own interest areas, and to understand why, to some extent, the music may have developed as it did. In this way, Experiencing Jazz, Second Edition, goes beyond many textbooks.

COVERAGE

Experiencing Jazz provides clear explanations of each jazz style and how it contrasts or is similar to other styles. Each style is presented in association with its primary innovators. The material is presented in a logical chronological sequence, but art is never that clean and easy to categorize or sort out. The reader will find the occasional paradox within a single chapter created by the juxtaposition of one style against a polar opposite. This approach was chosen rather than compartmentalizing styles and artists and confining their discussions to nice, cleanly sectionalized chapters. The multiplicity of styles is precisely what was encountered at the time, particularly from about 1950 on, leaving audiences, critics and the musicians to make sense of it all. To frame the socio-cultural backdrop and keep its importance at the fore, each chapter begins with a section described as “Jazz in Perspective” and closes with a “Chronicle of Historic Events,” serving as a reminder of the larger American fabric in which the music discussed throughout the chapter is an important thread.

xxiv PREFACE

August Wilson Theatre (formerly Virginia Theatre)/Neil Simon Theatre 52nd Street, Manhattan, New York City. May 2007

Experiencing Jazz—the textbook and website with streamed music—provide the reader with an understanding of how jazz works, how and why it evolved, who its primary innovators were, how to listen to it, and how in some cases jazz has been informed by certain aspects of American society including the evolution of new technologies that parallel the growth of jazz. The book and website familiarize the student with the basic building blocks of music as they relate to a discussion of jazz. Without an elementary understanding of music construction and jazz performance practices, it is difficult to fully appreciate a jazz performance. It is for this reason that such topics are discussed in Chapters 2 and 3 rather than at the end of the book as appendices. Experiencing Jazz is designed to create educated listeners, not just to present facts, dates, figures, lists of tunes and performers.

Each style chapter includes a retrospective glimpse at the reception of jazz in America by providing the reader with some insight into how the music was perceived by critics, historians and fans.

CHAPTER ORGANIZATION

Fifteen chapters in all, the text is designed exclusively for the non-musician, carefully defining basic musical concepts as they relate to an understanding of a jazz performance. Such concepts are reinforced throughout the book.

• All key terms are shown in bold with immediate definitions. A comprehensive glossary of terms is included as an appendix.

• Explanations of fundamental musical concepts are often accompanied by graphic illustrations, making such concepts easier to understand by the non-musician.

• Each historic chapter begins with a section “Jazz in Perspective” that provides a context and historic backdrop for the music being discussed.

• Each historic chapter ends with a “Chronicle of Historic Events,” once again reminding the reader of how jazz styles are woven into the fabric of American culture at the time.

• Specific references are made to the website where activities are provided to support the chapter.

• Each jazz style is carefully examined through discussion and comparison to performance characteristics of earlier jazz styles. Helpful quick reference comparative and descriptive tables are also provided to summarize salient characteristics.

• Chapters focus on the primary innovators including the bands and soloists and what made their work innovative.

• Listening guides are provided in each chapter to serve as road maps through each featured audio track. These guides focus on important points using laymen terms or terms that have been well defined and used throughout the text.

• Discussions of how jazz was received and marketed are also included. • Chapter summaries and helpful study guides including a list of key performers, bands, terms

and places along with review questions are found at the end of each chapter. Supplementary listening lists are also included at the close of each chapter.

NEW TO THIS EDITION

Since jazz is in a constant state of change it stands to reason that this second edition of Experiencing Jazz has been significantly revised:

PREFACE xxv

• A final chapter addresses jazz at the close of the 20th century and the first decade of this new millennium.

• New sections about the internationalization of jazz as a global language and women in jazz have been added to the final chapter along with discussions and new recordings showing contemporary trends.

• Since a book about jazz should emphasize the music, a comprehensive collection of audio tracks—to accompany any text—is provided.

• Improved discussions of fundamental musical concepts as they relate to jazz performance are provided to cater to the needs of a non-musician in grasping basic musical concepts as they relate to a better understanding of jazz.

• Discussions of Afro-Cuban and Latin jazz trends are now integrated chronologically throughout the book.

• The narrative has been streamlined, reducing the page count. • New links to historic recordings only recently made available by the Library of Congress. • A new, greatly enhanced website providing streamed audio tracks, video, and additional

supplementary materials including more listening guides for landmark recordings not provided in the companion audio collection.

MUSIC TRACKS

Experiencing Jazz offers a web streamed, comprehensive audio collection featuring landmark recordings by leading performers that illustrate the various styles discussed throughout the text. A complete list of tracks is included inside the covers. This collection is quite comprehensive, providing expanded coverage of women in jazz, Afro-Cuban and Latin jazz styles, and often overlooked styles or artists such as African music, rural blues, ragtime, organ trios, early symphonic jazz, vocalists and third-stream jazz. Some texts appear to be biased against certain styles, but Experiencing Jazz does not take sides and presents what listeners need to know in order to formulate their own aesthetic.

Listening guides that track each recording as it is streamed from the companion website clarify the listening experience. The website also includes additional listening guides for supplementary tunes easily found in most library collections or online suppliers. These guides are designed specifically for the non-musician and draw on skills acquired through readings about the elements of jazz and jazz performance practice presented in the first three chapters. Nothing has been assumed of the reader in terms of prerequisite knowledge. It is not enough to merely read about jazz, it must be keenly listened to and Experiencing Jazz provides all the necessary guidance to engage with the recordings and live performances.

A collection of audio recordings, combined with numerous video and audio tutorials found on the website reinforce the principles and performance practices associated with jazz. Emphasis is placed on artists who made and are making significant contributions to jazz rather than confusing the reader with lengthy lists of performers who, while their contributions to the evolution of jazz should be noted, are not considered in retrospect as major trendsetters or innovators. Special attention has been paid through the text design to emphasize one or two artists in each chapter who exemplify a particular style or trend. The decision to feature one artist over another was difficult but based logically on the artists innovative impact, longevity, and their overall impact and contributions to further developing the music. A case could certainly be made to highlight others.

xxvi PREFACE

LISTENING GUIDES

These are provided to most of the historically significant recordings streamed and from the companion website. The website also includes additional listening guides for supplementary study of tunes easily found in most library collections or online suppliers. These guides are designed specifically for the non-musician and draw on skills acquired through readings about the elements of jazz and jazz performance practice presented in the first three chapters. Nothing has been assumed of the reader in terms of prerequisite knowledge. It is not enough to merely read about jazz it must be keenly listened to and Experiencing Jazz provides all the necessary guidance to fully appreciate the recordings and live performance.

Not every significant recording or artist can be represented in any collection, no matter how extensive. The selection of recordings to include confronted the author with difficult choices as it does most teachers. In some cases recording companies were unwilling to license some landmark recordings, however, excellent alternatives were found and listening guides for others not included are found on the website.

ONLINE RESOURCES FOR STUDENTS AND TEACHERS

www.routledge.com/cw/lawn

Since this book embraces and recognizes the needs of non-musicians, web-based materials were developed to enhance student’s understanding and appreciation of jazz by providing a more informed listening experience through audio, video and interactive tutorials. The companion website carefully parallels Chapters 1–3 in the text, providing audio and visual examples that bring to life the basic elements of music, jazz performance practices, improvisation styles, the instruments associated with jazz, and the concepts that help to define it. Chapters 4–15 provide suggestions for supplemental material found on the website such as interviews with innovative artists, YouTube links, and so on. A wealth of support material is included here that closely follows readings in the text. The website should therefore be considered as a closely integrated companion to the book. While it would be useful to have ready access to the website as each chapter is studied, it is not imperative or mandatory. All web-based activities are highlighted with icons throughout the text to direct students and teachers to additional information that can be found on the site.

This website provides a wide range of support for the students and teachers including:

• Interactive materials that clearly explain fundamentals of melody, rhythm, harmony, form, blues, and performance practice in jazz including improvisation

• Instructional videos to provide a keen awareness of form, the instruments associated with jazz including Latin percussion and their roles in an ensemble, solo jazz piano styles, and jazz drum-set performance techniques associated with jazz styles.

• An audio introduction to each instrument associated with jazz that also acquaints the user with special effects, performance techniques and brass mutes associated with the jazz style. There is an instrument identification quiz provided as well.

• Additional listening guides for recordings not provided in the streamed audio collection. • Photos and documents that relate to each stylistic era. • Numerous audio excerpts from interviews with noted musicians including Miles Davis, Gil

Evans, Chick Corea, Keith Jarrett, Charles Mingus, Herbie Hancock, Pat Metheny, Charlie Parker, Dexter Gordon, Bud Powell, Stan Kenton, Stan Getz, John Coltrane, Billie Holiday,

PREFACE xxviiwww.routledge.com/cw/lawn

Louis Armstrong, Gerry Mulligan, Dizzy Gillespie, and others bring authenticity to the text and the total experience.

• A condensed history of disc recording and discussion of the relationship of this medium to jazz.

• A glossary of terms that is linked to the any music specific terms used on the website.

Jazz has become a universal music that has gone global, recognized worldwide and identified with the United States, but no longer “owned” by Americans. It is a unique American nationalist style representing the most significant cultural contribution that the US has made to the global arts landscape. Jazz has become synonymous with modern American thought and is a metaphor for democracy and freedom of expression. It should be studied, experienced and treasured!

Richard J. Lawn Summer 2012

ACKNOWLEDGMENTS

I offer my sincere thanks and appreciation to the following individuals for their significant contributions and assistance during various stages in the development of this text and companion materials.

Special thanks to: Dan Morgenstern, Tad Hershorn, and the staff of the Rutgers Institute of Jazz Studies; UT-Austin College of Fine Arts Information Technology staff Jim Kerkhoff, Frank Simon, Andy Murphy, and Tyson Breaux; Paul Young, Glenda Smith, Todd Hastings, and Paul White who, as students at The University of Texas, helped in the development of a CD-ROM as a prototype of the new website; David Aaberg for his tenacious editorial suggestions and concise chapter summaries; Ben Irom and Mark “Kaz” Kazanoff, who helped to create some of the listening guides; David Fudell and the staff of the Center for Instructional Technologies at The University of Texas; The Harry Ransom Humanities Research Center at UT-Austin; Jack Cooper for his composition Video Blues; Austin, Texas musicians Greg Wilson, Randy Zimmerman, Pat Murray, Mike Koenning, Craig Biondi, Paul Haar, John Fremgen, Steve Snyder, Chris Maresh, Eric Middleton, Russell Scanlon, and John Kreger for their recorded contributions; Charlie Richard, Steve Hawk, and the Hawk–Richard Jazz Orchestra, whose Sea Breeze Jazz CD (SB-2093) The Hawk Is Out provided a source for brief audio examples; Paul DeCastro, Jeff Benedict, and members of Rhumbumba for their self-titled Sea Breeze Jazz CD (SB-3067) that provided Afro-Cuban examples; members of the Third Coast Jazz Orchestra, whose Sea Breeze Jazz CD (SB-2116) Unknown Soldiers provided a source for additional audio clips; Marc Dicciani and Marlon Simon from the University of the Arts School of Music for their Afro-Cuban demonstrations; Sara MacDonald from the UArts Library; Wesley Hall for his assistance in gaining permissions for the website; Denny Tek for her perseverant photo research; and Constance Ditzel and the staff at Routledge, Taylor & Francis Group, for believing in the lasting value of this project.

xxviii PREFACE

P A R T

Understanding Jazz

1

C H A P T E R 1

The Nature of Jazz Jazz isn’t a noun. It’s a verb. It’s a process, a way of being, a way of thinking.1

—Pat Metheny

American bandleader James Reese Europe (1881–1919) poses (center, with baton) with members of his Clef Club Band, New York, 1914

EXPERIENCING MUSIC . . . EXPERIENCING JAZZ

Music is the most elusive, abstract, and in some ways most intangible of all art forms. It cannot be touched, felt, or seen. It does, however, evoke any number of emotional responses, which is why it has become such an important part of the human experience. The only way to truly understand music, like any art form, is to experience it. No art form can be genuinely appreciated without an intimate experience with it. By working with clay, one gains a new perspective on what the sculptor faces when creating a work of art. By closely examining jazz performance practice, one gains a new view and appreciation of the music-making process.

Jazz is a performance art—a spontaneous art designed for the moment. Although it can be described in words, analyzed, and placed in a historic continuum, it cannot be fully understood and appreciated without the music being experienced first hand. Yet words alone cannot do justice to the listening experience, and it is important to understand that it is the music that points to the words we use to describe it. Jazz is a work in progress, an ongoing experiment and music in constant evolution. To quote jazz guitarist Larry Coryell, “jazz is a workshop.” One of the enduring qualities of jazz, and a defining characteristic, has been its ability to change, chameleon- like in nature, while absorbing every style it encounters, resulting in a new by-product.

Like any of the other art forms, music can be divided into numerous subcategories that, over time, have been described in great detail and consequently named. Words such as swing, bebop, cool, fusion, and smooth jazz have been coined in an effort to describe and compartmentalize jazz styles. It is the naming of these styles that often tends to confuse the listener, as there are often only subtle differences between them. The naming of various styles is the result of historians and critics attempting to better explain and describe the music. To some extent, these stylistic names are also the result of commercial marketing strategies. The term “jazz,” used to describe this uniquely American music, is no less confusing than the terms “classical” or “pop” music. Each of these general headings can imply numerous substyles. What is unique about jazz compared with classical music, among other things, is the rate at which jazz styles have evolved. In a mere 100 years, this American music has been transformed to include countless innovations in performance practice. These stylistic changes are so significant that the jazz of today bears only subtle similarities to the earliest forms from 100 years ago, and yet buried beneath the surface are common threads binding all of the uniquely different styles together to form a rich tapestry. The fun lies in finding these common characteristics. The essence of jazz is its ability to absorb, trans – form, and change. Like any art form, it is periodically renewed by various influences. Throughout its development, jazz has been viewed variously as folk music, entertainment, and art music. All three views often existed simultaneously, a fact still true today. It is a music that crosses all social, economic, racial, and geographic boundaries. Centuries from now, only the unique American innovations will be recognized and remembered. These will be sports such as baseball, inventions such as the personal computer, and, no doubt, jazz. Its influence has endured, and it is a unique, original American art form that has been designated a national treasure by the U.S. government.

THAT FOUR-LETTER WORD

It wasn’t that long ago we used to hear the word “jazz” frequently in common speech. It first appeared in American vocabulary in the early 1900s. Phrases such as “jazz up your wardrobe,” “put some jazz in your savings account,” “own the jazziest car on the road,” and “quit jazzin’ me!” came into being and were commonly heard. In the hit stage and film musical, Chicago, the most popular and most performed song is “All That Jazz.” The storyline takes place in the “gangsta” days of Al Capone in the 1920s, when jazz was in the early stages of becoming America’s popular music.

4 UNDERSTANDING JAZZ

Existing as a slang term before it was used to describe music, its origins have puzzled historians for many years. Theories about the origins of the word jazz are largely unsubstantiated. Some have associated the word with the red-light district of New Orleans. Garvin Bushell, a circus band musician from New Orleans, offers the following observation:

They said that the French had brought the perfume industry with them to New Orleans, and the oil of jasmine was a popular ingredient locally. To add it to perfume was called “jassing it up.” The strong scent was popular in the red light district, where a working girl might approach a perspective customer and say, “Is jazz on your mind tonight, young fellow?”2

As late as 1947, Berry’s American Dictionary of Slang cited the word under copulate. The term jazz was supposedly related to the act itself—“he’s jazzin’ her”3 (a line from the musical Chicago). The New York Times used the term in its February 2, 1917 issue, in an advertisement taken by Reisenweber’s club to promote “The First Eastern Appearance of the Famous Original Dixieland Jazz Band.”4 According to Nick LaRocca, the group’s cornetist, “jass” was changed to “jazz” to discourage people from defacing signs by erasing the letter “j.” The associations of the word jazz to vulgarity, sex, and the bordello, coupled with the many styles that the word could describe, probably explains why some jazz musicians rarely, if ever, use the word in discussing their own music.5

Others attribute the word’s origins to linguistic variations. One writer points out the word’s relationship to the French word jaser, which means “to chat,” “to chatter,” “to prattle,” or “talk

THE NATURE OF JAZZ 5

Original Dixieland Jass Band promotional photo

a lot and say nothing.” Prior to the Louisiana Purchase in 1803, the French owned the Mississippi Delta area, often referred to as the birthplace of jazz.

Creoles, a racial mix resulting from unions between French, African-Americans and sometimes Spanish, spoke a hybrid form of French. Some theorists suggest that the word “jazz” in Creole meant to speed things up. Another theory to consider is the claim that the term jazz is derived from West African languages, a natural conclusion because the Gold (west) Coast of Africa served as the point of origin for many slaves. Early jazz artists’ names such as Charles and James morphed from their formal spellings to nicknames such as Chaz and Jas or Jazz.6 A 1919 article in the Music Trade Review refers to the wild, barbaric music played by trumpeter Jasbo Brown after he’d had a few drinks. Patrons who enjoyed his musically gregarious behavior shouted, “More Jasbo,” which eventually distorted to just “more jazz.”7 Jazz historian Robert Goffin attributed the word to a black musician named Jess who played in a “jerky, halting style.” As early as 1904, James Reese Europe, a black society bandleader, believed the word was a distortion of the name of a New Orleans band known as Razz’s Band. Other historians speculate that the term “jazz” stemmed from a vaudeville expression meaning to excite, stir things up, or make things go faster.8

As jazz developed into a more sophisticated, acceptable art form, efforts were even made to rename the music and discard “jazz,” owing to its undesirable connotations. In 1949, Down Beat magazine sponsored a contest to find a new name for jazz. The publisher announced prizes and a distinguished panel of judges (including the well-known, contem porary big-band leader Stan Kenton and author S.I. Hayakawa). After months of deliberation, the winner was announced— CREWCUT. The winner collected her $1,000 first prize from the magazine and defended her entry as “simply the exact opposite of the slang name for ‘classical’ music—‘Longhair’.” Other winning selections were Amerimusic, Jarb, Syncope, Improphony, and Ragtibop. The results were announced in the magazine, but this surprising statement was added: “The judges were unanimous in the opinion, shared by the editors of Down Beat, that none of the hundreds of words submitted is adequate as a substitute for Jazz.”9

Whatever the true story is about the derivation of this uniquely American word, the music and the word quickly gained recognition worldwide. One can fully experience jazz only by exploring how it is unique, how it can be described and identified, and how to evaluate and appreciate its forms and variety.

Before reading the following section, visit the website to listen to the collage recording that traces approximately 80 years of recorded jazz. Make note of how different each excerpt is from the others, and make a list of the similar and distinctly different features. Repeat this exercise once you have read the following section.

DEFINING JAZZ

Jazz is a direct result of West African influences on European-derived music styles and popular American music. Since its beginnings at the turn of the 19th to 20th centuries, it has shown an ability to absorb aspects of other music styles and transform them into something entirely new and different. Jazz is, therefore, both a noun and a verb, as it is a way of interpreting music. In true West African tradition, jazz is shaped by the performers’ individual musical gestures and spontaneous variations. It is a music in which the performers assume the most prominent role and bear the greatest responsibility. It features certain instruments and special effects that are synonymous with the style. Many of these instrumental affectations may have been an effort to emulate the flexibility and expressiveness of the human voice. These instrumental effects alter and color the sound in unusual ways and exerted an impact on 20th century “classical” music. Although jazz is closely associated with certain instruments, any instrument can be used to imply

6 UNDERSTANDING JAZZ

the style. A wide range of instrumentalists and/or singers can present jazz, from solo performers to large orchestras. Self-proclaimed inventor of jazz Jelly Roll Morton advocated that almost any kind of music could sound like jazz, as jazz is a way of playing and interpreting music in an individualistic and spontaneous way.

Emerging in the first decades of the 1900s as an unpolished folk music, jazz reflected diverse influences. Among them are the blues, marching bands, polkas, field hollers and work songs, religious music, ragtime, and, of course, West African, Latin, and Afro-Cuban music, with an emphasis on individualistic expression through improvisation. Spontaneity, rhythmic complexity, and a close association with dance are other characteristics shared by African music and jazz. Jazz has been a chameleon even since the beginning, absorbing and reflecting the musical influences present in America at the turn of the century.

Although jazz is a distinctive style, recognizable worldwide, it has been difficult to define and has confounded many critics and historians. The difficulty of defining jazz is exacerbated because it remains in a constant state of change, influenced by popular culture, advancements in technology, and the musicians’ own desire for change and self-improvement. Therefore, like the music itself, there is no absolute set of criteria for defining it. Nonetheless, different combinations of certain traits can always be found in jazz music. Jazz is a rhythmically vibrant and complex music that often includes a rhythm section (piano, bass, and drums). It is this rhythm section that eventually inspires other popular American music styles such as R & B, blues, and various rock styles. The rhythms of jazz are richly complex, creating an element of tension. Rhythm is not the sole source of this tension, for it is also found in the sometimes-dissonant harmonies and complex improvisations associated with jazz.

Some definitions of jazz assert that swing, a certain rhythmic phenomenon, and improvisation are two absolute criteria for authentic jazz. Although these can be important features, they are not entirely unique to jazz, nor are they required for the music to be considered jazz. Much contemporary jazz post-1970 does not swing in the same way jazz was played in the 1940s. Music in a jazz style may not contain much improvisation, but can still be identified as jazz. On the other hand, some non-jazz may contain jazz characteristics. For example, does jazz saxophonist Phil Woods’s improvised solo on Billy Joel’s pop hit “Just the Way You Are” make it jazz? It is not uncommon to hear improvisation in many pop and rock performances.

THE NATURE OF JAZZ 7

Jazz singer Joe Williams

8 UNDERSTANDING JAZZ

Jazz has become a truly eclectic music, embracing musical styles from around the world and transforming them into a uniquely American form of artistic expression that frequently requires the performer to improvise. The blues, in itself an individualistic and spontaneous form of expression, remains an important component of jazz and a significant contribution by black Americans. Black performers have been the primary developers of jazz and blues, although some white performers and composers contributed significantly to advancing the music and to developing it as a viable commercial product. At the dawn of the 21st century, jazz can easily be considered one of the most significant musical accomplishments of the previous century and one that shows promise for continued advancement.

In conclusion, the following elements and features characterize all jazz styles:

1. Jazz evolved in the US at the dawn of the 20th century by absorbing characteristics from African music, blues, ragtime, marching bands, polkas, field hollers and work songs, religious music, Afro-Cuban and Latin music, and American folk music.

2. Jazz is an ever-changing style of music with multiple substyles and is significantly influenced by an evolving popular culture.

3. African-American performers have been the principal innovators throughout the history of jazz.

4. Jazz is a way of performing that places emphasis on interpretation, improvisation, and individualistic expression, in the African tradition.

5. It is usually the performer who is most important to a jazz performance, not the composer. 6. Although jazz began as a folk music and became an important form of music associated with

entertainment, it gradually matured to become art music, to be taken as seriously as classical music.

7. Until rock ’n’ roll attracted younger Americans’ attention, jazz had been the soundtrack for American life.

8. Rhythmic complexity, inspired by a rhythm section of piano, bass and drums, and sometimes guitar, is a predominant feature of jazz, including the special swing feel attributed to some styles.

9. Some instruments, such as the saxophone, guitar, drum set, and mutes used to color the sound of brass instruments, originated with jazz.

10. Jazz is the most unique and indigenous American art form.

The subsection “Characterizing Jazz,” found in the corresponding chapter of the companion website, provides an excellent supplement to this section and includes excerpts of interviews with many prominent performers. These artists offer their own insights into what makes this music so special. Note: All terms in bold are defined in the glossary included in Appendix I of this book and on the website.

CHAPTER SUMMARY

Jazz is a music that developed in America at the dawn of the 20th century. Many styles of music and music-making that influenced the beginnings of jazz reflect the melting pot that is America. This mix includes elements from both European and African music. A product of these diverse influences, jazz is a music containing a great variety of substyles, from early ragtime and blues-influenced jazz to free jazz and rock-influenced fusion.

Succinctly defining the word “jazz,” considering its many substyles and the fact that jazz is constantly changing, is challenging. Origins of the word itself are also murky, with no single

explanation substantiated. A change in approach to improvisation is one of the most important factors in the development of the various styles of jazz, and yet examples of jazz containing little or no improvisation exist. At one time, jazz was played exclusively in a swing feel. Approaches to playing swing evolved with each new style of jazz, and, because jazz continues to evolve and adapt, embracing music styles from around the world, jazz is no longer played exclusively in a swing feel. Certain instruments and performance techniques have become associated with jazz, which can be played or sung by any number of performers. Individuality, spontaneity, and the importance of the performer instead of the composer have always been at the core of jazz.

What can be unequivocally stated about jazz is that it was pioneered primarily by black Americans, is often improvised, is rhythmically driven, and combines European, African, American, and, sometimes, Afro-Latin elements. Further, jazz continually evolves as it is influenced by technology, current events, different cultures, and music from throughout the world.

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ksp of calcium iodate

“Determination of a Solubility Product Constant”

Purpose of Experiment:

According to the textbook, the purpose of this experiment is to determine the solubility product constant Ksp for Ca(IO3)2.xH2O by investigating the dissolved iodate ion concentration in saturated solutions of calcium iodate.

Procedure:

First we added 50 mL of 0.240 M KI, 10 mL of Ca(IO3)2 in water solution 1 and 10 mL of 1 M HCl to a 250 mL Erlenmeyer flask for each trail. Adding the components will make the solution turn brown. Moreover, we had to set up a buret and titrate Na2S2O3 until the solution turns into a yellow. Then finally add 10 drops of 1% starch indicator which will turn the solution to blue-black and we kept titrating until the solution just turns colorless. Then we recorded all buret readings. To sum, we repeated the procedure about 4 to 6 times until we obtained the accurate values.

Then we will make titrations of saturated calcium iodate in KIO3. Add 50 mL of 0.240 M KI, 10 mL of Ca(IO3)2 in KIO3 (solution 2) and 10 mL of 1 M HCl to a 250 mL erlenmeyer flask. The solution will turn to brown. Then we set up a buret and titrate Na2S2O3 until the solution turns to yellow. Then finally add 10 drops of 1% starch indicator which will change the solution to dark blue and keep titrating until the solution just turns colorless. And we recorded all the buret readings.

Observation:

After we added all the components to the Erlenmeyer flask, the solution turned to brown and by titrating Na2S2O3, the solution turned to yellow and finally we add the starch indicator and we also will continue titrating until the solution turns colorless.

Data for the saturated Calcium Iodate titration in water (Solution 1):

1234
Final Buret Reading10.5mL25 mL30.5X
Initial Buret Reading0 mL10.5 mL25.5X
Vol. of Na2S2O3 used10.5 mL14.5 mL5.5X
[Na2S2O3]0.05 L0.05 L0.05X
1234
mol S2O32-5.22*10^-4L7.25*10^-4L2.75*10^-4LX
mol IO3-8.75*10^-5L1.208*10^-4L4.583*10^-5LX
vol. of Ca(IO3)20.01L0.01L0.01LX
[IO3-]8.75*10^-3L1.208*10^-2L4.583*10^-3LX
[Ca2+]4.375*10^-3L6.04*10^-3L2.2915*10^-3LX
Ksp3.35*10^-3L8.814*10^-7L4.813*10^-8LX

Data for saturated Calcium Iodate in KIO3 (Solution 2):

1234
Final Buret Reading28L38.548X
Initial Buret Reading028L38.5X
Vol. of Na2S2O3 used28L10.5 L9.5X
[Na2S2O3]0.050.050.05X
1234
Mol S203- reacted (L)0.0014L5.25*10^-4L4.75*10^-4LX
Mol IO3- reacted0.00023(mol)8.75*10^-57.92*10^-5X
Vol. of Ca(IO3-)2 (with KIO3) used0.01L0.01L0.01LX
Mol IO3- from KIO3.0000056(mol/L).0000056(mol/L).0000056(mol/L)X
Mol IO3- from Ca(IO3)22.44*10^-48.19*10^-57.3*10^-5X
[IO3-] from Ca(IO3)20.022448.19*10^-37.36*10^-3X
[Ca2+]1.122*10^-24.095*10^-33.68*10^-3X
Ksp5.94*10^-63.135*10^-72.31*10^-7X
Total1234
[IO3-]2.3*10^-28.75*10^-37.92*10^-3X

Conclusion:

Overall, our data indicated that Ca(IO3)2.H2O is actually more soluble in water. Since we didn’t get the accurate values from the beginning, we had to redo the experiment to get more accurate results and values. However, the Ksp Data remained constant and similar. Also, we could have used sodium iodate as another salt option. We were able to determine and investigate the [IO3-] and the [Ca2+] and refer to the values to obtain Ksp.

Questions:

Q3: It will be different because Ksp of Ca(IO3)(IO-3) and if Ca(Io2)2 in H2O then the concentration of Ca2+ and (IO-3) is higher so the value of Ksp is high.

Q4: Another salt solution that could have been used to provide a common ion effect is Cacl2.

Q5: From Le Chatelier’s principle we would predict that the molar solubility of calcium idotae would be smaller so adding CaCl2 Ca(No3)2 the equilibrium shifts towards left. Also, dirty glassware.

Q6: Saturated Solution – Chemical solution containing maximum concentration of solute dissolved in a solvent so, additional solute will not dissolve in the saturated solution.

Calculations:

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in the credit terms of 1/10, n/30, the “1” represents the

Test Bank for Accounting Principles, Eleventh Edition

5 – 13

Accounting for Merchandising Operations

CHAPTER 5

ACCOUNTING FOR MERCHANDISING OPERATIONS

Summary of Questions by LEARNING Objectives and Bloom’s Taxonomy
ItemLOBTItemLOBTItemLOBTItemLOBTItemLOBT
True-False Statements
1.1C10.3C19.5K28.5Ksg37.2K
2.1C11.3C20.5K29.5Ksg38.3K
3.1K12.3K21.5Ca30.6Ksg39.3K
4.1K13.4C22.5Ca31.7Ksg40.4C
5.1K14.4K23.5Ca32.7Ksg41.5K
6.2K15.4K24.5Ka33.7Ksg42.5K
7.2K16.5K25.5Ka34.7K
8.3C17.5K26.5APsg35.1K
9.3C18.5K27.5Ksg36.1K
Multiple Choice Questions
43.1K73.2AP103.3K133.5APa163.7AP
44.1K74.3AP104.3C134.5APa164.7AP
45.1C75.3AP105.3C135.5APsg165.1AP
46.1K76.3AP106.3K136.5APsg166.2K
47.1K77.3C107.3K137.5APsg167.2K
48.1C78.3C108.4C138.5APst168.2K
49.1K79.3AP109.4C139.5APsg169.3K
50.1K80.3AP110.4K140.5APst170.4K
51.1C81.3C111.1C141.5APsg171.6AP
52.1K82.3C112.4C142.5APst172.5K
53.1C83.3C113.5AP143.5APsg173.6K
54.1C84.3K114.5K144.5APa,st174.7K
55.1C85.3K115.5C145.5AP175.8K
56.1K86.3C116.5Ca146.6K176.8K
57.1C87.3C117.5Ca147.6K177.8K
58.2K88.3K118.5APa148.7AP178.8K
59.2K89.3K119.5K149.7AP179.8K
60.2C90.3C120.5C150.7AP180.8K
61.2K91.3K121.5K151.7C1818K
62.2C92.3AP122.5Ka152.7K1828K
63.2C93.3C123.5Ka153.7K183.8K
64.2C94.3C124.5APa154.7K184.8K
65.2AP95.3C125.5APa155.7AP185.8K
66.2AP96.3C126.5Ka156.7AP186.8K
67.2C97.3C127.5Ca157.7K187.8K
68.2K98.3C128.5Ka158.7C188.8K
69.2AP99.3AP129.5Ka159.7C189.8K
70.2AP100.3AP130.5APa160.7K
71.2K101.3AP131.5APa161.7K
72.2AP102.3K132.5APa162.7C

sg This question also appears in the Study Guide.

st This question also appears in a self-test at the student companion website.

a This question covers a topic in an appendix to the chapter.

Summary of Questions by LEARNING Objectives and Bloom’s Taxonomy
Brief Exercises
190.1AP193.3AP196.5AP199.7AP
191.2AP194.3AP197.5AP200.7AP
192.2,3AP195.4AP198.7APa201.7AP
Exercises
202.1C207.2,3AN212.4AP217.5APa222.7AP
203.2,3AP208.2AP213.4AP218.5Ca223.7AP
204.2,3AP209.3AP214.5AN219.5APa224.7AP
205.2E210.3AP215.5AP220.5APa221.7AP
206.2,3AP211.4AP216.5APa221.6APa226.7AP
Completion Statements
227.1K229.1K231.2K233.3K235.5K
228.1K230.2K232.3K234.3K236.5K
Matching Statements
237.1K
Short-Answer Essay
238.3K240.3K242.1K244.1K
239.1K241.5K243.5K245.1K

SUMMARY OF LEARNING OBJECTIVES BY QUESTION TYPE

ItemTypeItemTypeItemTypeItemTypeItemTypeItemTypeItemType
Learning Objective 1
1.TF35.TF46.MC51.MC56.MC202.Ex239.SA
2.TF36.TF47.MC52.MC57.MC227.C242.SA
3.TF43.MC48.MC53.MC111.MC228.C244.SA
4.TF44.MC49.MC54.MC165.MC229.C245.SA
5.F45.MC50.MC55.MC190.BE237.MA
Learning Objective 2
6.TF60.MC65.MC70.MC157.MC204.Ex230.C
7.TF61.MC66.MC71.MC158.MC205.Ex231.C
37.TF62.MC67.MC72.MC203.Ex206.Ex
58.MC63.MC68.MC73.MC166.BE207.Ex
59.MC64.MC69.MC156.MC167.BE208.Ex
Learning Objective 3
8.TF75.MC83.MC91.MC99.MC107.MC209.Ex
9.TF76.MC84.MC92.MC100.MC169.MC210.Ex
10.TF77.MC85.MC93.MC101.MC192.BE232.C
11.TF78.MC86.MC94.MC102.MC193.BE233.C
12.TF79.MC87.MC95.MC103.MC194.BE234.C
38.TF80.MC88.MC96.MC104.MC203.Ex240.SA
39.TF81.MC89.MC97.MC105.MC204.Ex
74.MC82.MC90.MC98.MC106.MC206.Ex

SUMMARY OF Learning OBJECTIVES BY QUESTION TYPE

Learning Objective 4
13.TF15.TF108.MC110.MC170.MC211.Ex213.Ex
14.TF40.TF109.MC112.MC195.BE212.Ex
Learning Objective 5
16.TF26.TF117.MC127.MC137.MC172.MC235.C
17.TF27.TF118.MC128.MC138.MC173.MC236.C
18.TF28.TF119.MC129.MC139.MC196.BE241.SA
19.TF29.TF120.MC130.MC140.MC197.BE243.SA
20.TF41.TF121.MC131.MC141.MC215.Ex
21.TF42.TF122.MC132.MC142.MC216.Ex
22.TF113.MC123.MC133.MC143.MC217.Ex
23.TF114.MC124.MC134.MC144.MC218.Ex
24.TF115.MC125.MC135.MC145.MC219.Ex
25.TF116.MC126.MC136.MC171.MC220.Ex
Learning Objective a6a34.TF175.MC178.MC181.MC184.MC187.MCa225.Exa146.MC176.MC179.MC182.MC185.MC188.MCa147.MC177.MC180.MC183.MC186.MC189.MCLearning Objective a7
a30.TFa149.MCa154.MCa159.MCa164.MCa201.BEa225.Ex
a31.TFa150.MCa155.MCa160.MCa174.MCa221.Exa226.Ex
a32.TFa151.MCa156.MCa161.MCa198.BEa222.Ex
a33.TFa152.MCa157.MCa162.MCa199.BEa223.Ex
a148.MCa153.MCa158.MCa163.MCa200.BEa224.Ex
Learning Objective 8
175.MC177.MC179.MC181.MC183.MC185.MC
176.MC178.MC180.MC182.MC184.MC

Note: TF = True-False BE = Brief Exercise C = Completion

MC = Multiple Choice Ex = Exercise SA = Short-Answer

MA = Matching

CHAPTER LEARNING OBJECTIVES

1. Identify the differences between service and merchandising companies. Because of inventory, a merchandising company has sales revenue, cost of goods sold, and gross profit. To account for inventory, a merchandising company must choose between a perpetual and a periodic inventory system.

2. Explain the recording of purchases under a perpetual inventory system. The company debits the Inventory account for all purchases of merchandise, and freight-in, and credits it for purchase discounts and purchase returns and allowances.

3. Explain the recording of sales revenues under a perpetual inventory system. When a merchandising company sells inventory, it debits Accounts Receivable (or Cash) and credits Sales Revenue for the selling price of the merchandise. At the same time, it debits Cost of Goods Sold and credits Inventory for the cost of the inventory items sold. Sales returns and allowances and sales discounts are debited and are contra revenue accounts.

4. Explain the steps in the accounting cycle for a merchandising company. Each of the required steps in the accounting cycle for a service company applies to a merchandising company. A worksheet is again an optional step. Under a perpetual inventory system, the company must adjust the Inventory account to agree with the physical count.

5. Distinguish between a multiple-step and a single-step income statement. A multiple-step income statement shows numerous steps in determining net income, including nonoperating activities sections. A single-step income statement classifies all data under two categories, revenues or expenses, and determines net income in one step.

a6. Prepare a worksheet for a merchandising company. The steps in preparing a worksheet for a merchandising company are the same as for a service company. The unique accounts for a merchandiser are Inventory, Sales Revenue, Sales Returns and Allowances, Sales Discounts, and Cost of Goods Sold.

a7. Explain the recording of purchases and sales of inventory under a periodic inventory system. In recording purchases under a periodic system, companies must make entries for (a) cash and credit purchases, (b) purchase returns and allowances, (c) purchase discounts, and (d) freight costs. In recording sales, companies must make entries for (a) cash and credit sales, (b) sales returns and allowances, and (c) sales discounts.

TRUE-FALSE STATEMENTS

1. Retailers and wholesalers are both considered merchandisers.

Ans: T, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Reporting, AICPA PC: None, IMA: Business Economics

2. The steps in the accounting cycle are different for a merchandising company than for a service company.

Ans: F, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

3. Sales minus operating expenses equals gross profit.

Ans: F, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

4. Under a perpetual inventory system, the cost of goods sold is determined each time a sale occurs.

Ans: T, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

5. A periodic inventory system requires a detailed inventory record of inventory items.

Ans: F, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

6. Freight terms of FOB Destination means that the seller pays the freight costs.

Ans: T, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

7. Freight costs incurred by the seller on outgoing merchandise are an operating expense to the seller.

Ans: T, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

8. Sales revenues are earned during the period cash is collected from the buyer.

Ans: F, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

9. The Sales Returns and Allowances account and the Sales Discount account are both classified as expense accounts.

Ans: F, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

10. The revenue recognition principle applies to merchandisers by recognizing sales revenues when the performance obligation is satisfied.

Ans: T, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

11. Sales Returns and Allowances and Sales Discounts are both designed to encourage customers to pay their accounts promptly.

Ans: F, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Business Economics

12. To grant a customer a sales return, the seller credits Sales Returns and Allowances.

Ans: F, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

13. A company’s unadjusted balance in Inventory will usually not agree with the actual amount of inventory on hand at year-end.

Ans: T, LO: 4, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

14. For a merchandising company, all accounts that affect the determination of income are closed to the Income Summary account.

Ans: T, LO: 4, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

15. A merchandising company has different types of adjusting entries than a service company.

Ans: F, LO: 4, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

16. Nonoperating activities exclude revenues and expenses that result from secondary or auxiliary operations.

Ans: F, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

17. Operating expenses are different for merchandising and service enterprises.

Ans: F, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

18. Net sales appears on both the multiple-step and single-step forms of an income statement.

Ans: T, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

19. A multiple-step income statement provides users with more information about a company’s income performance.

Ans: T, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

20. The multiple-step form of income statement is easier to read than the single-step form.

Ans: F, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

21. Inventory is classified as a current asset in a classified balance sheet.

Ans: T, LO: 5, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

22. Gain on sale of equipment and interest expense are reported under other revenues and gains in a multiple-step income statement.

Ans: F, LO: 5, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

23. The gross profit section for a merchandising company appears on both the multiple-step and single-step forms of an income statement.

Ans: F, LO: 5, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

24. In a multiple-step income statement, income from operations excludes other revenues and gains and other expenses and losses.

Ans: T, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

25. A single-step income statement reports all revenues, both operating and other revenues and gains, at the top of the statement.

Ans: T, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

26. If net sales are $800,000 and cost of goods sold is $600,000, the gross profit rate is 25%.

Ans: T, LO: 5, Bloom: AP, Difficulty: Easy, Min: 1, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

27. Gross profit represents the merchandising profit of a company.

Ans: T, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

28. Gross profit is a measure of the overall profitability of a company.

Ans: F, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

29. Gross profit rate is computed by dividing cost of goods sold by net sales.

Ans: F, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

a30. In a worksheet, cost of goods sold will be shown in the trial balance (Dr.), adjusted trial balance (Dr.) and income statement (Dr.) columns.

Ans: T, LO: 6, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

a31. Freight-in is an account that is subtracted from the Purchases account to arrive at cost of goods purchased.

Ans: F, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

a32. Under a periodic inventory system, the acquisition of inventory is charged to the Purchases account.

Ans: T, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

a33. Under a periodic inventory system, freight-in on merchandise purchases should be charged to the Inventory account.

Ans: F, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

a34. Purchase Returns and Allowances and Purchase Discounts are subtracted from Purchases to produce net purchases.

Ans: T, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

35. Inventory is reported as a long-term asset on the balance sheet.

Ans: F, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

36. Under a perpetual inventory system, inventory shrinkage and lost or stolen goods are more readily determined.

Ans: T, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

37. The terms 2/10, n/30 state that a 2% discount is available if the invoice is paid within the first 10 days of the next month.

Ans: F, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

38. Sales revenue should be recorded in accordance with the matching principle.

Ans: F, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

39. Sales returns and allowances and sales discounts are subtracted from sales in reporting net sales in the income statement.

Ans: T, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

40. A merchandising company using a perpetual inventory system will usually need to make an adjusting entry to ensure that the recorded inventory agrees with physical inventory count.

Ans: T, LO: 4, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

41. If a merchandising company sells land at more than its cost, the gain should be reported in the sales revenue section of the income statement.

Ans: F, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

42. The major difference between the balance sheets of a service company and a merchandising company is inventory.

Ans: T, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

Answers to True-False Statements

ItemAns.ItemAns.ItemAns.ItemAns.ItemAns.ItemAns.ItemAns.
1.T7.T13.T19.T25.Ta31.F37.F
2.F8.F14.T20.F26.Ta32.T38.F
3.F9.F15.F21.T27.Ta33.F39.T
4.T10.T16.F22.F28.Fa34.T40.T
5.F11.F17.F23.F29.F35.F41.F
6.T12.F18.T24.T30.T36.T42.T

MULTIPLE CHOICE QUESTIONS

43. Net income is gross profit less

a. financing expenses.

b. operating expenses.

c. other expenses and losses.

d. other expenses.

Ans: B, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

44. An enterprise which sells goods to customers is known as a

a. proprietorship.

b. corporation.

c. retailer.

d. service firm.

Ans: C, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Business Economics

45. Which of the following would not be considered a merchandising company?

a. Retailer

b. Wholesaler

c. Service firm

d. Dot Com firm

Ans: C, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Business Economics

46. A merchandising company that sells directly to consumers is a

a. retailer.

b. wholesaler.

c. broker.

d. service company.

Ans: A, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Business Economics

47. Two categories of expenses for merchandising companies are

a. cost of goods sold and financing expenses.

b. operating expenses and financing expenses.

c. cost of goods sold and operating expenses.

d. sales and cost of goods sold.

Ans: C, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

48. The primary source of revenue for a wholesaler is

a. investment income.

b. service fees.

c. the sale of merchandise.

d. the sale of fixed assets the company owns.

Ans: C, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Business Economics

49. Sales revenue less cost of goods sold is called

a. gross profit.

b. net profit.

c. net income.

d. marginal income.

Ans: A, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

50. After gross profit is calculated, operating expenses are deducted to determine

a. gross margin.

b. net income.

c. gross profit on sales.

d. net margin.

Ans: B, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

51. Cost of goods sold is determined only at the end of the accounting period in

a. a perpetual inventory system.

b. a periodic inventory system.

c. both a perpetual and a periodic inventory system.

d. neither a perpetual nor a periodic inventory system.

Ans: B, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

52. Which of the following expressions is incorrect?

a. Gross profit – operating expenses = net income

b. Sales revenue – cost of goods sold – operating expenses = net income

c. Net income + operating expenses = gross profit

d. Operating expenses – cost of goods sold = gross profit

Ans: D, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

53. Detailed records of goods held for resale are not maintained under a

a. perpetual inventory system.

b. periodic inventory system.

c. double entry accounting system.

d. single entry accounting system.

Ans: B, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

54. A perpetual inventory system would likely be used by a(n)

a. automobile dealership.

b. hardware store.

c. drugstore.

d. convenience store.

Ans: A, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

55. Which of the following is a true statement about inventory systems?

a. Periodic inventory systems require more detailed inventory records.

b. Perpetual inventory systems require more detailed inventory records.

c. A periodic system requires cost of goods sold be determined after each sale.

d. A perpetual system determines cost of goods sold only at the end of the accounting period.

Ans: B, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

56. In a perpetual inventory system, cost of goods sold is recorded

a. on a daily basis.

b. on a monthly basis.

c. on an annual basis.

d. with each sale.

Ans: D, LO: 1, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

57. If a company determines cost of goods sold each time a sale occurs, it

a. must have a computer accounting system.

b. uses a combination of the perpetual and periodic inventory systems.

c. uses a periodic inventory system.

d. uses a perpetual inventory system.

Ans: D, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

58. Under a perpetual inventory system, acquisition of merchandise for resale is debited to the

a. Inventory account.

b. Purchases account.

c. Supplies account.

d. Cost of Goods Sold account.

Ans: A, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

59. The journal entry to record a return of merchandise purchased on account under a perpetual inventory system would credit

a. Accounts Payable.

b. Purchase Returns and Allowances.

c. Sales Revenue.

d. Inventory.

Ans: D, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

60. The Inventory account is used in each of the following except the entry to record

a. goods purchased on account.

b. the return of goods purchased.

c. payment of freight on goods sold.

d. payment within the discount period.

Ans: C, LO: 2, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

61. A buyer would record a payment within the discount period under a perpetual inventory system by crediting

a. Accounts Payable.

b. Inventory.

c. Purchase Discounts.

d. Sales Discounts.

Ans: B, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

62. If a purchaser using a perpetual system agrees to freight terms of FOB shipping point, then the

a. Inventory account will be increased.

b. Inventory account will not be affected.

c. seller will bear the freight cost.

d. carrier will bear the freight cost.

Ans: A, LO: 2, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

63. Freight costs paid by a seller on merchandise sold to customers will cause an increase

a. in the selling expense of the buyer.

b. in operating expenses for the seller.

c. to the cost of goods sold of the seller.

d. to a contra-revenue account of the seller.

Ans: B, LO: 2, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

64. Paden Company purchased merchandise from Emmett Company with freight terms of FOB shipping point. The freight costs will be paid by the

a. seller.

b. buyer.

c. transportation company.

d. buyer and the seller.

Ans: B, LO: 2, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

65. Glenn Company purchased merchandise inventory with an invoice price of $9,000 and credit terms of 2/10, n/30. What is the net cost of the goods if Glenn Company pays within the discount period?

a. $8,100

b. $8,280

c. $8,820

d. $9,000

Ans: C, LO: 2, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: $9,000 ( (1 – .02) ( $8,820

66. Scott Company purchased merchandise with an invoice price of $3,000 and credit terms of 1/10, n/30. Assuming a 360 day year, what is the implied annual interest rate inherent in the credit terms?

a. 20%

b. 24%

c. 18%

d. 36%

Ans: C, LO: 2, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: [360 ( (30 ( 10)] ( 1% ( 18%

67. If a company is given credit terms of 2/10, n/30, it should

a. hold off paying the bill until the end of the credit period, while investing the money at 10% annual interest during this time.

b. pay within the discount period and recognize a savings.

c. pay within the credit period but don’t take the trouble to invest the cash while waiting to pay the bill.

d. recognize that the supplier is desperate for cash and withhold payment until the end of the credit period while negotiating a lower sales price.

Ans: B, LO: 2, Bloom: C, Difficulty: Medium, Min: 2, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: Business Economics

68. In a perpetual inventory system, the amount of the discount allowed for paying for merchandise purchased within the discount period is credited to

a. Inventory.

b. Purchase Discounts.

c. Purchase Allowance.

d. Sales Discounts.

Ans: A, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

69. Jake’s Market recorded the following events involving a recent purchase of merchandise:

Received goods for $60,000, terms 2/10, n/30.

Returned $1,200 of the shipment for credit.

Paid $300 freight on the shipment.

Paid the invoice within the discount period.

As a result of these events, the company’s inventory increased by

a. $57,624.

b. $57,918.

c. $57,924.

d. $59,100.

Ans: C, LO: 2, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: [($60,000 ( $1,200( .98)] ( 300 ( $57,924

70. Costner’s Market recorded the following events involving a recent purchase of merchandise:

Received goods for $40,000, terms 2/10, n/30.

Returned $800 of the shipment for credit.

Paid $200 freight on the shipment.

Paid the invoice within the discount period.

As a result of these events, the company’s inventory

a. increased by $38,416.

b. increased by $38,612.

c. increased by $38,616.

d. increased by $39,400.

Ans: C, LO: 2, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: [($40,000 ( $800) ( .98] ( $200 ( $38,616

71. Under the perpetual system, cash freight costs incurred by the buyer for the transporting of goods is recorded in

a. Freight Expense.

b. Freight – In.

c. Inventory.

d Freight – Out.

Ans: C, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

72. Glover Co. returned defective goods costing $5,000 to Mal Company on April 19, for credit. The goods were purchased April 10, on credit, terms 3/10, n/30. The entry by Glover Co. on April 19, in receiving full credit is:

a. Accounts Payable 5,000

Inventory 5,000

b. Accounts Payable 5,000

Inventory 150

Cash 5,150

c. Accounts Payable 5,000

Purchase Discounts 120

Inventory 4,850

d. Accounts Payable 5,000

Inventory 120

Cash 4,850

Ans: A, LO: 2, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

73. McIntyre Company made a purchase of merchandise on credit from Marvin Company on August 8, for $9,000, terms 3/10, n/30. On August 17, McIntyre makes the appropriate payment to Marvin. The entry on August 17 for McIntyre Company is:

a. Accounts Payable 9,000

Cash 9,000

b. Accounts Payable 8,730

Cash 8,730

c. Accounts Payable 9,000

Purchase Returns and Allowances 270

MC. 73 (Cont.)

Cash 8,730

d. Accounts Payable 9,000

Inventory 270

Cash 8,730

Ans: D, LO: 2, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: $9,000 ( .97 ( $8,730

74. On July 9, Sheb Company sells goods on credit to Wooley Company for $5,000, terms 1/10, n/60. Sheb receives payment on July 18. The entry by Sheb on July 18 is:

a. Cash 5,000

Accounts Receivable 5,000

b. Cash 5,000

Sales Discounts 50

Accounts Receivable 4,950

c. Cash 4,950

Sales Discounts 50

Accounts Receivable 5,000

d. Cash 5,050

Sales Discounts 50

Accounts Receivable 5,000

Ans: C, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: $5,000 ( .99 ( $4,950

75. On November 2, 2014, Kasdan Company has cash sales of $6,000 from merchandise having a cost of $3,600. The entries to record the day’s cash sales will include:

a. a $3,600 credit to Cost of Goods Sold.

b. a $6,000 credit to Cash.

c. a $3,600 credit to Inventory.

d a $6,000 debit to Accounts Receivable.

Ans: C, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

76. A credit sale of $4,000 is made on April 25, terms 2/10, n/30, on which a return of $250 is granted on April 28. What amount is received as payment in full on May 4?

a. $3,675

b. $3,750

c. $3,920

d $4,000

Ans: A, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: ($4,000 ( $250) ( .98 ( $3,675

77. The entry to record the receipt of payment within the discount period on a sale of $2,000 with terms of 2/10, n/30 will include a credit to

a. Sales Discounts for $40.

b. Cash for $1,960.

c. Accounts Receivable for $2,000.

d. Sales Revenue for $2,000.

Ans: C, LO: 3, Bloom: C, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

78. The collection of a $6,000 account within the 2 percent discount period will result in a

a. debit to Sales Discounts for $120.

b. debit to Accounts Receivable for $5,880.

c. credit to Cash for $5,880.

d. credit to Accounts Receivable for $5,880.

Ans: A, LO: 3, Bloom: C, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: $6,000 ( .02 ( $120

79. Company X sells $900 of merchandise on account to Company Y with credit terms of 2/10, n/30. If Company Y remits a check taking advantage of the discount offered, what is the amount of Company Y’s check?

a. $630

b. $720

c. $810

d. $882

Ans: D, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: $900 ( .98 ( $882

80. Cleese Company sells merchandise on account for $5,000 to Langston Company with credit terms of 2/10, n/30. Langston Company returns $1,000 of merchandise that was damaged, along with a check to settle the account within the discount period. What is the amount of the check?

a. $3,920

b. $4,000

c. $4,900

d. $4,920

Ans: A, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: ($5,000 ( $1,000) ( .98 ( $3,920

81. The collection of a $1,500 account after the 2 percent discount period will result in a

a. debit to Cash for $1,470.

b. debit to Accounts Receivable for $1,500.

c. debit to Cash for $1,500.

d. debit to Sales Discounts for $30.

Ans: C, LO: 3, Bloom: C, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

82. The collection of a $1,000 account after the 2 percent discount period will result in a

a. debit to Cash for $980.

b. credit to Accounts Receivable for $1,000.

c. credit to Cash for $1,000.

d. debit to Sales Discounts for $20.

Ans: B, LO: 3, Bloom: C, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

83. In a perpetual inventory system, the Cost of Goods Sold account is used

a. only when a cash sale of merchandise occurs.

b. only when a credit sale of merchandise occurs.

c. only when a sale of merchandise occurs.

d. whenever there is a sale of merchandise or a return of merchandise sold.

Ans: D, LO: 3, Bloom: C, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

84. Sales revenues are usually considered earned when

a. cash is received from credit sales.

b. an order is received.

c. goods have been transferred from the seller to the buyer.

d. adjusting entries are made.

Ans: C, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

85. A sales invoice is a source document that

a. provides support for goods purchased for resale.

b. provides evidence of incurred operating expenses.

c. provides evidence of credit sales.

d. serves only as a customer receipt.

Ans: C, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Business Economics

86. Sales revenue

a. may be recorded before cash is collected.

b. will always equal cash collections in a month.

c. only results from credit sales.

d. is only recorded after cash is collected.

Ans: A, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

87. The journal entry to record a credit sale is

a. Cash

Sales Revenue

b. Cash

Service Revenue

c. Accounts Receivable

Service Revenue

d. Accounts Receivable

Sales Revenue

Ans: D, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

88. Sales Returns and Allowances is increased when

a. an employee does a good job.

b. goods are sold on credit.

c. goods that were sold on credit are returned.

d. customers refuse to pay their accounts.

Ans: C, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

89. The Sales Returns and Allowances account is classified as a(n)

a. asset account.

b. contra asset account.

c. expense account.

d. contra revenue account.

Ans: D, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

90. A credit granted to a customer for returned goods requires a debit to

a. Sales Revenue and a credit to Cash.

b. Sales Returns and Allowances and a credit to Accounts Receivable.

c. Accounts Receivable and a credit to a contra-revenue account.

d. Cash and a credit to Sales Returns and Allowances.

Ans: B, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

91. If a customer agrees to retain merchandise that is defective because the seller is willing to reduce the selling price, this transaction is known as a sales

a. discount.

b. return.

c. contra asset.

d. allowance.

Ans: D, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

92. A credit sale of $3,600 is made on July 15, terms 2/10, n/30, on which a return of $200 is granted on July 18. What amount is received as payment in full on July 24?

a. $3,332

b. $3,440

c. $3,528

d $3,600

Ans: A, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: ($3,600 ( $200) ( .98 ( $3,332

93. When goods are returned that relate to a prior cash sale,

a. the Sales Returns and Allowances account should not be used.

b. the cash account will be credited.

c. Sales Returns and Allowances will be credited.

d. Accounts Receivable will be credited.

Ans: B, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

94. The Sales Returns and Allowances account does not provide information to management about

a. possible inferior merchandise.

b. the percentage of credit sales versus cash sales.

c. inefficiencies in filling orders.

d. errors in overbilling customers.

Ans: B, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

95. A Sales Returns and Allowances account is not debited if a customer

a. returns defective merchandise.

b. receives a credit for merchandise of inferior quality.

c. utilizes a prompt payment incentive.

d. returns goods that are not in accordance with specifications.

Ans: C, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

96. As an incentive for customers to pay their accounts promptly, a business may offer its customers

a. a sales discount.

b. free delivery.

c. a sales allowance.

d. a sales return.

Ans: A, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

97. The credit terms offered to a customer by a business firm are 2/10, n/30, which means that

a. the customer must pay the bill within 10 days.

b. the customer can deduct a 2% discount if the bill is paid between the 10th and 30th day from the invoice date.

c. the customer can deduct a 2% discount if the bill is paid within 10 days of the invoice date.

d. two sales returns can be made within 10 days of the invoice date and no returns thereafter.

Ans: C, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

98. A sales discount does not

a. provide the purchaser with a cash saving.

b. reduce the amount of cash received from a credit sale.

c. increase a contra-revenue account.

d. increase an operating expense account.

Ans: D, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

99. Company A sells $2,500 of merchandise on account to Company B with credit terms of 2/10, n/30. If Company B remits a check taking advantage of the discount offered, what is the amount of Company B’s check?

a. $1,750

b. $2,000

c. $2,250

d. $2,450

Ans: D, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: Business Economics

Solution: $2,500 ( .98 ( $2,450

100. Kern Company sells merchandise on account for $8,000 to Block Company with credit terms of 2/10, n/30. Block Company returns $1,600 of merchandise that was damaged, along with a check to settle the account within the discount period. What is the amount of the check?

a. $6,272

b. $6,400

c. $7,840

d. $7,872

Ans: A, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: Business Economics

Solution: ($8,000 ( $1,600) ( .98 ( $6,272

101. Carter Company sells merchandise on account for $4,000 to Hannah Company with credit terms of 2/10, n/30. Hannah Company returns $600 of merchandise that was damaged, along with a check to settle the account within the discount period. What entry does Carter Company make upon receipt of the check?

a. Cash 3,400

Accounts Receivable 3,400

b. Cash 3,332

Sales Returns and Allowances 668

Accounts Receivable 4,000

c. Cash 3,332

Sales Returns and Allowances 600

Sales Discounts 68

Accounts Receivable 4,000

d. Cash 3,920

Sales Discounts 80

Sales Returns and Allowances 600

Accounts Receivable 3,400

Ans: C, LO: 3, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

102. Which of the following would not be classified as a contra account?

a. Sales Revenue

b. Sales Returns and Allowances

c. Accumulated Depreciation

d. Sales Discounts

Ans: A, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

103. Which of the following accounts has a normal credit balance?

a. Sales Returns and Allowances

b. Sales Discounts

c. Sales Revenue

d. Selling Expense

Ans: C, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

104. With respect to the income statement,

a. contra-revenue accounts do not appear on the income statement.

b. sales discounts increase the amount of sales.

c. contra-revenue accounts increase the amount of operating expenses.

d. sales discounts are included in the calculation of gross profit.

Ans: D, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

105. When a seller grants credit for returned goods, the account that is credited is

a. Sales Revenue.

b. Sales Returns and Allowances.

c. Inventory.

d. Accounts Receivable.

Ans: D, LO: 3, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

106. The respective normal account balances of Sales Revenue, Sales Returns and Allowances, and Sales Discounts are

a. credit, credit, credit.

b. debit, credit, debit.

c. credit, debit, debit.

d. credit, debit, credit.

Ans: C, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

107. All of the following are contra revenue accounts except

a. sales revenue.

b. sales allowances.

c. sales discounts.

d. sales returns.

Ans: A, LO: 3, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

108. A merchandising company using a perpetual system will make

a. the same number of adjusting entries as a service company does.

b. one more adjusting entry than a service company does.

c. one less adjusting entry than a service company does.

d. different types of adjusting entries compared to a service company.

Ans: B, LO: 4, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

109. In preparing closing entries for a merchandising company, the Income Summary account will be credited for the balance of

a. sales revenue.

b. inventory.

c. sales discounts.

d. freight-out.

Ans: A, LO: 4, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

110. A merchandising company using a perpetual system may record an adjusting entry by

a. debiting Income Summary.

b. crediting Income Summary.

c. debiting Cost of Goods Sold.

d. debiting Sales Revenue.

Ans: C, LO: 4, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

111. The operating cycle of a merchandiser is

a. always one year in length.

b. generally longer than it is for a service company.

c. about the same as for a service company.

d. generally shorter than it is for a service company.

Ans: B, LO: 1, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

112. When the physical count of Rosanna Company inventory had a cost of $4,350 at year end and the unadjusted balance in Inventory was $4,500, Rosanna will have to make the following entry:

a. Cost of Goods Sold 150

Inventory 150

b. Inventory 150

Cost of Goods Sold 150

c. Income Summary 150

Inventory 150

d. Cost of Goods Sold 4,500

Inventory 4,500

Ans: A, LO: 4, Bloom: C, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: $4,500 ( $4,350 ( $150

113. Arquette Company’s financial information is presented below.

Sales Revenue $ ???? Cost of Goods Sold 540,000

Sales Returns and Allowances 40,000 Gross Profit ????

Net Sales 900,000

The missing amounts above are:

Sales Revenue Gross Profit

a. $940,000 $360,000

b. $860,000 $360,000

c. $940,000 $420,000

d. $860,000 $420,000

Ans: A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: Business Economics

Solution: $900,000 ( $40,000 ( $940,000; $900,000 ( $540,000 ( $360,000

114. The sales revenue section of an income statement for a retailer would not include

a. Sales discounts.

b. Sales revenue.

c. Net sales.

d. Cost of goods sold.

Ans: D, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

115. The operating expense section of an income statement for a wholesaler would not include

a. freight-out.

b. utilities expense.

c. cost of goods sold.

d. insurance expense.

Ans: C, LO: 5, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

116. Income from operations will always result if

a. the cost of goods sold exceeds operating expenses.

b. revenues exceed cost of goods sold.

c. revenues exceed operating expenses.

d. gross profit exceeds operating expenses.

Ans: D, LO: 5, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

117. Indicate which one of the following would appear on the income statement of both a merchandising company and a service company.

a. Gross profit

b. Operating expenses

c. Sales revenues

d. Cost of goods sold

Ans: B, LO: 5, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

118. Conrad Company reported the following balances at June 30, 2014:

Sales Revenue $16,200

Sales Returns and Allowances 600

Sales Discounts 300

Cost of Goods Sold 7,500

Net sales for the month is

a. $7,800

b. $15,300.

c. $15,600.

d. $16,200.

Ans: B, LO: 5, Bloom: AP, Difficulty: Medium, Min: 1, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $16,200 ( $600 ( $300 ( $15,300

119. Income from operations appears on

a. both a multiple-step and a single-step income statement.

b. neither a multiple-step nor a single-step income statement.

c. a single-step income statement.

d. a multiple-step income statement.

Ans: D, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

120. Gross profit does not appear

a. on a multiple-step income statement.

b. on a single-step income statement.

c. to be relevant in analyzing the operation of a merchandiser.

d. on the income statement if the periodic inventory system is used because it cannot be calculated.

Ans: B, LO: 5, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

121. Which of the following is not a true statement about a multiple-step income statement?

a. Operating expenses are similar for merchandising and service enterprises.

b. There may be a section for nonoperating activities.

c. There may be a section for operating assets.

d. There is a section for cost of goods sold.

Ans: C, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

122. Which one of the following is shown on a multiple-step but not on a single-step income statement?

a. Net sales

b. Net income

c. Gross profit

d. Cost of goods sold

Ans: C, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

123. All of the following items would be reported as other expenses and losses except

a. freight-out.

b. casualty losses.

c. interest expense.

d. loss from employees’ strikes.

Ans: A, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

124. If a company has net sales of $700,000 and cost of goods sold of $455,000, the gross profit percentage is

a. 25%.

b. 35%.

c. 65%.

d. 100%.

Ans: B, LO: 5, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: ($700,000 ( $455,000) ( $700,000 ( 35%

125. A company shows the following balances:

Sales Revenue $2,500,000

Sales Returns and Allowances 450,000

Sales Discounts 50,000

Cost of Goods Sold 1,400,000

What is the gross profit percentage?

a. 30%

b. 44%

c. 56%

d. 70%

Ans: A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $2,500,000 ( $450,000 ( $50,000 ( $2,000,000; ($2,000,000 ( $1,400,000) ( $2,000,000 ( 30%

126. The gross profit rate is computed by dividing gross profit by

a. cost of goods sold.

b. net income.

c. net sales.

d. sales revenue.

Ans: C, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

127. In terms of liquidity, inventory is

a. more liquid than cash.

b. more liquid than accounts receivable.

c. more liquid than prepaid expenses.

d. less liquid than store equipment.

Ans: C, LO: 5, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Reporting, AICPA PC: None, IMA: Business Economics

128. On a classified balance sheet, inventory is classified as

a. an intangible asset.

b. property, plant, and equipment.

c. a current asset.

d. a long-term investment.

Ans: C, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

129. Gross profit for a merchandiser is net sales minus

a. operating expenses.

b. cost of goods sold.

c. sales discounts.

d. cost of goods available for sale.

Ans: B, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

130. During 2014, Parker Enterprises generated revenues of $90,000. The company’s expenses were as follows: cost of goods sold of $45,000, operating expenses of $18,000 and a loss on the sale of equipment of $3,000.

Parker’s gross profit is

a. $24,000.

b. $27,000.

c. $45,000.

d. $90,000.

Ans: C, LO: 5, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

131. During 2014, Parker Enterprises generated revenues of $90,000. The company’s expenses were as follows: cost of goods sold of $45,000, operating expenses of $18,000 and a loss on the sale of equipment of $3,000.

Yoder’s income from operations is

a. $18,000.

b. $27,000.

c. $45,000.

d. $90,000.

Ans: B, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

132. During 2014, Parker Enterprises generated revenues of $90,000. The company’s expenses were as follows: cost of goods sold of $45,000, operating expenses of $18,000 and a loss on the sale of equipment of $3,000.

Yoder’s net income is

a. $24,000.

b. $27,000.

c. $45,000.

d. $90,000.

Ans: A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

133. Financial information is presented below:

Operating Expenses $ 60,000

Sales Revenue 225,000

Cost of Goods Sold 135,000

Gross profit would be

a. $30,000.

b. $90,000.

MC. 133 (Cont.)

c. $165,000.

d. $225,000.

Ans: B, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $225,000 ( $135,000 ( $90,000

134. Financial information is presented below:

Operating Expenses $ 60,000

Sales Revenue 225,000

Cost of Goods Sold 135,000

The gross profit rate would be

a. .133.

b. .400.

c. .600.

d. .733.

Ans: B, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: ($225,000 ( $135,000) ( $225,000 ( .40

135. Financial information is presented below:

Operating Expenses $ 90,000

Sales Returns and Allowances 26,000

Sales Discounts 12,000

Sales 300,000

Cost of Goods Sold 158,000

Gross profit would be

a. $104,000.

b. $116,000.

c. $130,000.

d. $142,000.

Ans: A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $300,000 ( $26,000 ( $12,000 ( $262,000; $262,000 ( $158,000 ( $104,000

136. Financial information is presented below:

Operating Expenses $ 90,000

Sales Returns and Allowances 26,000

Sales Discounts 12,000

Sales Revenue 300,000

Cost of Goods Sold 158,000

The gross profit rate would be

a. .347.

b. .397.

c. .473.

d. .542.

Ans: B, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $300,000 ( $26,000 ( $12,000 ( $262,000; ($262,000 ( $158,000) ( $262,000 ( .397

137. Financial information is presented below:

Operating Expenses $ 90,000

Sales Returns and Allowances 18,000

Sales Discounts 12,000

Sales Revenue 320,000

Cost of Goods Sold 174,000

The amount of net sales on the income statement would be

a. $290,000.

b. $302,000.

c. $308,000.

d. $320,000.

Ans: A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $320,000 ( $18,000 ( $12,000 ( $290,000

138. Financial information is presented below:

Operating Expenses $ 90,000

Sales Returns and Allowances 18,000

Sales Discounts 12,000

Sales Revenue 320,000

Cost of Goods Sold 174,000

Gross profit would be

a. $26,000.

b. $116,000.

c. $128,000.

d. $134,000.

Ans: B, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $320,000 ( $18,000 ( $12,000 ( $290,000; $290,000 ( $174,000 ( $116,000

139. Financial information is presented below:

Operating Expenses $ 90,000

Sales Returns and Allowances 18,000

Sales Discounts 12,000

Sales Revenue 320,000

Cost of Goods Sold 174,000

The gross profit rate would be

a. .363.

b. .400.

c. .456.

d. .503.

Ans: B, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $320,000 ( $18,000 ( $12,000 ( $290,000;($290,000 ( $174,000) ( $290,000 ( .40

140. If a company has sales revenue of $630,000, net sales of $600,000, and cost of goods sold of $390,000, the gross profit rate is

a. 35%.

b. 38%

c. 62%.

d. 65%.

Ans: A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: ($600,000 ( $390,000) ( $600,000 ( 35%

141. Dawson’s Fashions sold merchandise for $40,000 cash during the month of July. Returns that month totaled $1,000. If the company’s gross profit rate is 40%, Murray’s will report monthly net sales revenue and cost of goods sold of

a. $39,000 and $23,400.

b. $39,000 and $24,000.

c. $40,000 and $23,400.

d. $40,000 and $24,000.

Ans: A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

142. During August, 2014, Baxter’s Supply Store generated revenues of $60,000. The company’s expenses were as follows: cost of goods sold of $36,000 and operating expenses of $4,000. The company also had rent revenue of $1,000 and a gain on the sale of a delivery truck of $2,000.

Baxter’s gross profit for August, 2014 is

a. $20,000.

b. $21,000.

c. $23,000.

d. $24,000.

Ans: D, LO:5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $60,000 ( $36,000 ( $24,000

143. During August, 2014, Baxter’s Supply Store generated revenues of $60,000. The company’s expenses were as follows: cost of goods sold of $36,000 and operating expenses of $4,000. The company also had rent revenue of $1,000 and a gain on the sale of a delivery truck of $2,000.

Baxter’s nonoperating income (loss) for the month of August, 2014 is

a. $0.

b. $1,000.

c. $2,000.

d. $3,000.

Ans: D, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $1,000 ( $2,000 ( $3,000

144. During August, 2014, Baxter’s Supply Store generated revenues of $60,000. The company’s expenses were as follows: cost of goods sold of $36,000 and operating expenses of $4,000. The company also had rent revenue of $1,000 and a gain on the sale of a delivery truck of $2,000.

Baxter’s operating income for the month of August, 2014 is

a. $20,000.

b. $21,000.

c. $23,000.

d. $24,000.

Ans: A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $60,000 ( $36,000 ( $4,000 ( $20,000

145. During August, 2014, Baxter’s Supply Store generated revenues of $60,000. The company’s expenses were as follows: cost of goods sold of $36,000 and operating expenses of $4,000. The company also had rent revenue of $1,000 and a gain on the sale of a delivery truck of $2,000.

Baxter’s net income for August, 2014 is

a. $20,000.

b. $21,000.

c. $23,000.

d. $24,000.

Ans: C, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $60,000 ( $36,000 ( 4,000 ( $1,000 ( $2,000 ( $23,000

a146. In a worksheet for a merchandising company, Inventory would appear in the

a. trial balance and adjusted trial balance columns only.

b. trial balance and balance sheet columns only.

c. trial balance, adjusted trial balance, and balance sheet columns.

d. trial balance, adjusted trial balance, and income statement columns.

Ans: C, LO: 6, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

a147. The Inventory account balance appearing in a perpetual inventory worksheet represents the

a. ending inventory.

b. beginning inventory.

c. cost of merchandise purchased.

d. cost of merchandise sold.

Ans: A, LO: 6, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

a148. The following information is available for Dennehy Company:

Sales Revenue $390,000 Freight-In $30,000

Ending Inventory 37,500 Purchase Returns and Allowances 15,000

Purchases 270,000 Beginning Inventory 45,000

Dennehy’s cost of goods sold is

a. $262,500.

b. $285,000.

MC. 148 (Cont.)

c. $292,500.

d. $345,000.

Ans: C, LO: 7, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $45,000 + $270,000 ( $15,000 + $30,000 ( $37,500 ( $292,500

,

a149. At the beginning of September, 2014, Stella Company reported Inventory of $8,000. During the month, the company made purchases of $35,600. At September 30, 2014, a physical count of inventory reported $8,400 on hand. Cost of goods sold for the month is

a. $35,200.

b. $35,600.

c. $36,000.

d. $43,600.

Ans: A, LO: 7, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $8,000 + $35,600 ( $8,400 ( $35,200

,

a150. At the beginning of the year, Hunt Company had an inventory of $750,000. During the year, the company purchased goods costing $2,400,000. If Hunt Company reported ending inventory of $900,000 and sales of $3,750,000, the company’s cost of goods sold and gross profit rate must be

a. $1,500,000 and 66.7%.

b. $2,250,000 and 40%.

c. $1,500,000 and 40%.

d. $2,250,000 and 60%.

Ans: B, LO: 7, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $$750,000 +$2,400,000 ( $900,000 ( $2,250,000; ($3,750,000 ( $2,250,000) ( $3,750,000 ( 40%

a151. During the year, Slick’s Pet Shop’s inventory decreased by $25,000. If the company’s cost of goods sold for the year was $500,000, purchases must have been

a. $475,000.

b. $500,000.

c. $525,000.

d. Unable to determine.

Ans: A, LO: 7, Bloom: C, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: $500,000 ( $25,000 ( $475,000

a152. Cost of goods available for sale is computed by adding

a. beginning inventory to net purchases.

b. beginning inventory to the cost of goods purchased.

c. net purchases and freight-in.

d. purchases to beginning inventory.

Ans: B, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Industry/Sector Perspective, AICPA FN: Measurement, AICPA PC: None, IMA: Business Economics

a 153. The Freight-In account

a. increases the cost of merchandise purchased.

b. is contra to the Purchases account.

c. is a permanent account.

d. has a normal credit balance.

Ans: A, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

a 154. Net purchases plus freight-in determines

a. cost of goods sold.

b. cost of goods available for sale.

c. cost of goods purchased.

d. total goods available for sale.

Ans: C, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

a155. Goldblum Company has the following account balances:

Purchases $96,000

Sales Returns and Allowances 12,800

Purchase Discounts 8,000

Freight-In 6,000

Delivery Expense 10,000

The cost of goods purchased for the period is

a. $80,800.

b. $88,000.

c. $94,000.

d. $104,000.

Ans: C, LO: 7, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

Solution: $96,000 ( $8,000 + $6,000 ( $94,000

,

a156. McKendrick Shoe Store has a beginning inventory of $45,000. During the period, purchases were $195,000; purchase returns, $6,000; and freight-in $15,000. A physical count of inventory at the end of the period revealed that $30,000 was still on hand. The cost of goods available for sale was

a. $189,000.

b. $204,000.

c. $219,000.

d. $249,000.

Ans: D, LO: 7, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

Solution: $45,000 + $195,000 ( $6,000 + $15,000 ( $249,000

a157. In a periodic inventory system, a return of defective merchandise to a supplier is recorded by crediting

a. Accounts Payable.

b. Inventory.

c. Purchases.

d. Purchase Returns and Allowances.

Ans: D, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

a158. Which one of the following transactions is recorded with the same entry in a perpetual and a periodic inventory system?

a. Cash received on account with a discount

b. Payment of freight costs on a purchase

c. Return of merchandise sold

d. Sale of merchandise on credit

Ans: A, LO: 7, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

a159. The journal entry to record a return of merchandise purchased on account under a periodic inventory system would be

a. Accounts Payable

Purchase Returns and Allowances

b. Purchase Returns and Allowances

Accounts Payable

c. Accounts Payable

Inventory

d. Inventory

Accounts Payable

Ans: A, LO: 7, Bloom: C, Difficulty: Medium, Min: 2, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

a160. Under a periodic inventory system, acquisition of merchandise is debited to the

a. Inventory account.

b. Cost of Goods Sold account.

c. Purchases account.

d. Accounts Payable account.

Ans: C, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: None, IMA: FSA

a161. Which of the following accounts has a normal credit balance?

a. Purchases

b. Sales Returns and Allowances

c. Freight-In

d. Purchase Discounts

Ans: D, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

a162. The respective normal account balances of Purchases, Purchase Discounts, and Freight-in are

a. credit, credit, debit.

b. debit, credit, credit.

c. debit, credit, debit.

d. debit, debit, debit.

Ans: C, LO: 7, Bloom: C, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

a163. Cobb Company’s accounting records show the following at the year ending on December 31, 2014:

Purchase Discounts $ 11,200

Freight – In 15,600

Purchases 402,000

Beginning Inventory 47,000

Ending Inventory 57,600

Purchase Returns 12,800

Using the periodic system, the cost of goods purchased is

a. $378,000.

b. $383,000.

c. $393,600.

d. $404,200.

Ans: C, LO: 7, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $402,000 ( $11,200 ( $12,800 ( $15,600 ( $393,600

a164. Cobb Company’s accounting records show the following at the year ending on December 31, 2014:

Purchase Discounts $ 11,200

Freight – In 15,600

Purchases 402,000

Beginning Inventory 47,000

Ending Inventory 57,600

Purchase Returns 12,800

Using the periodic system, the cost of goods sold is

a. $378,000.

b. $383,000.

c. $393,600.

d. $404,200.

Ans: B, LO: 7, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: $47,000 + $402,000 ( $11,200 ( $12,800 + $15,600 ( $57,600 ( $383,000

165. Ezra Company has sales revenue of $60,000, cost of goods sold of $36,000 and operating expenses of $14,000 for the year ended December 31. Ezra’s gross profit is

a. $0.

b. $10,000.

c. $24,000.

d. $46,000.

Ans: C, LO: 1, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

Solution: $60,000 ( $36,000 ( $24,000

166. Rae Company uses a perpetual inventory system made a purchase of merchandise on credit from Tyree Corporation on August 3, for $9,000, terms 2/10, n/45. On August 10, Rae makes the appropriate payment to Tyree. The entry on August 10 for Rae Company is

a. Accounts Payable 9,000

Cash 9,000

b. Accounts Payable 8,820

Cash 8,820

c. Accounts Payable 9,000

Purchase Returns and Allowances 180

Cash 8,820

d. Accounts Payable 9,000

Inventory 180

Cash 8,820

Ans: D, LO: 2, Bloom: K, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution: $9,000 ( .98 ( $8,820

167. Kate Company uses a perpetual inventory system purchased inventory from Phoebe Company. The shipping costs were $500 and the terms of the shipment were FOB shipping point. Kate would have the following entry regarding the shipping charges:

a. There is no entry on Kate’s books for this transaction.

b. Freight Expense 500

Cash 500

c. Freight-Out 500

Cash 500

d. Inventory 500

Cash 500

Ans: D, LO: 2, Bloom: K, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

168. In a perpetual inventory system, a return of defective merchandise by a purchaser is recorded by crediting

a. Purchases.

b. Purchase Returns.

c. Purchase Allowance.

d. Inventory.

Ans: D, LO: 2, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: FSA

169. On October 4, 2014, JT Corporation had credit sales transactions of $4,000 from merchandise having cost $2,400. The entries to record the day’s credit transactions include a

a. debit of $4,000 to Inventory.

b. credit of $4,000 to Sales Revenue.

c. debit of $2,400 to Inventory.

d. credit of $2,400 to Cost of Goods Sold.

Ans: B, LO: 3, Bloom: K, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

170. Which of the following accounts is not closed to Income Summary?

a. Cost of Goods Sold

b. Inventory

c. Sales Revenue

d. Sales Discounts

Ans: B, LO: 4, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

171. In the Augie Company, sales were $750,000, sales returns and allowances were $30,000, and cost of goods sold was $450,000. The gross profit rate was

a. 36%.

b. 37.5%.

c. 40%.

d. 41.7%.

Ans: B, LO: 6, Bloom: AP, Difficulty: Medium, Min: 2, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution: ($750,000 ( $30,000) ( $450,000 ( $270,000; $270,000 ( $720,000 ( 37.5%

172. Net sales is sales revenue less

a. sales discounts.

b. sales returns.

c. sales returns and allowances.

d. sales discounts and sales returns and allowances.

Ans: D, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

173. In the balance sheet, ending inventory is reported

a. in current assets immediately following accounts receivable.

b. in current assets immediately following prepaid expenses.

c. in current assets immediately following cash.

d. under property, plant, and equipment.

Ans: A, LO: 5, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

a174. Cost of goods available for sale is computed by adding

a. freight-in to net purchases.

b. beginning inventory to net purchases.

c. beginning inventory to purchases and freight-in.

d. beginning inventory to cost of goods purchased.

Ans: D, LO: 7, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

175. The Income statement is

a. required under GAAP but not under IFRS.

b. required under IFRS in the same format as under GAAP.

c. required under IFRS but not under GAAP.

d. required under IFRS with some differences as compared to GAAP.

IFRS. Ans: D, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

176. The basic accounting entries for merchandising are

a. the same under GAAP and under IFRS.

b. required under GAAP but not under IFRS.

c. required under IFRS but not under GAAP.

d. required under IFRS with some differences as compared to GAAP.

IFRS. Ans: A, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

177. Under GAAP, companies can choose which inventory system?

Perpetual Periodic

a. Yes No

b. Yes Yes

c. No Yes

d. Yes No

IFRS. Ans: B, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

178. Under IFRS, companies can choose which inventory system?

Perpetual Periodic

a. Yes No

b. Yes Yes

c. No Yes

d. Yes No

IFRS. Ans: B, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

179. Companies cannot use the

a. periodic inventory system under GAAP.

b. periodic inventory system under IFRS.

c. perpetual system under IFRS.

d. both periodic and perpetual can be used under GAAP and IFRS.

IFRS. Ans: D, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

180. Inventories are defined by IFRS as

a. held-for-sale in the ordinary course of business.

b. in the process of production for sale in the ordinary course of business.

c. in the form of materials or supplies to be consumed in the production process or in the providing of services.

d. All of these answer choices are correct.

IFRS. Ans: D, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

181. Under GAAP, companies generally classify income statement items by

a. function.

b. nature.

c. nature or function

d. date incurred.

IFRS. Ans: A, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

182. Under IFRS, companies must classify income statement items by

a. function.

b. nature.

c. nature or function

d. date incurred.

IFRS. Ans: C, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

183. Under GAPP, income statement items are generally described as

a. administration, distribution, manufacturing, etc.

b. salaries, depreciation, utilities, etc.

c. administration, depreciation, manufacturing, etc.

d. salaries, distribution, utilities, etc.

IFRS. Ans: A, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

184. Under IFRS, income statement items are generally described as

a. administration, distribution, manufacturing, etc.

b. salaries, depreciation, utilities, etc.

c. administration, depreciation, manufacturing, etc.

d. salaries, distribution, utilities, etc.

IFRS. Ans: B, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

185. For the income statement, IFRS requires

a. single-step approach.

b. multiple-step approach.

c. single-step approach or multiple-step approach.

d. no specific income statement approach.

IFRS. Ans: D, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

186. Under IFRS, companies can apply revaluation to

a. land, buildings, and intangible assets.

b. land, buildings, but not intangible assets.

c. intangible assets, but not land or beer.

d. no assets.

IFRS. Ans: A, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

187. The use of IFRS results in more transactions affecting

a. net income but not other comprehensive income.

b. other comprehensive income, but not net income.

c. but net income and other comprehensive income.

d. neither net income nor other comprehensive income.

IFRS. Ans: B, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

188. Comprehensive income under IFRS

a. includes unrealized gains and losses included in net income, in contrast to GAAP.

b. includes unrealized gains and losses included in net income, similar to GAAP.

c. excludes unrealized gains and losses included in net income, in contrast to GAAP.

d. excludes unrealized gains and losses included in net income, similar to GAAP.

IFRS. Ans: B, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

189. The number of years of income statement information to be presented is

a. 2 years under both GAAP and IFRS.

b. 3 years under both GAAP and IFRS.

c. 2 years under GAAP and 3 years under IFRS.

d. 3 years under GAAP and 2 years under IFRS.

IFRS. Ans: D, LO: 8, Bloom: K, Difficulty: Easy, Min: 1, AACSB: None, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: None, IMA: Reporting

Answers to Multiple Choice Questions

ItemAns.ItemAns.ItemAns.ItemAns.ItemAns.ItemAns.ItemAns.
43.b64.b85.c106.c127.ca148.c169.b
44.c65.c86.a107.a128.ca149.a170.b
45.c66.c87.d108.b129.ba150.b171.b
46.a67.b88.c109.a130.ca151.a172.d
47.c68.a89.d110.c131.ba152.b173.a
48.c69.c90.b111.b132.aa153.aa174.d
49.a70.c91.d112.a133.ba154.c175.d
50.b71.c92.a113.a134.ba155.c176.a
51.b72.a93.b114.d135.aa156.d177.b
52.d73.d94.b115.c136.ba157.d178.b
53.b74.c95.c116.d137.aa158.a179.d
54.a75.c96.a117.b138.ba159.a180.d
55.b76.a97.c118.b139.ba160.c181.a
56.d77.c98.d119.d140.aa161.d182.c
57.d78.a99.d120.b141.aa162.c183.a
58.a79.d100.a121.c142.da163.c184.b
59.d80.a101.c122.c143.da164.b185.d
60.c81.c102.a123.a144.a165.c186.a
61.b82.b103.c124.b145.c166.d187.b
62.a83.d104.d125.aa146.c167.d188.b
63.b84.c105.d126.ca147.a168.d189.d

BRIEF Exercises

BE 190

Presented here are the components in Bradley Company’s income statement. Determine the missing amounts.

Sales Cost of Gross Operating Net

Revenue Goods Sold _Profit Expenses Income

$75,000 (a) $35,000 (b) $17,000

(c) $86,000 $59,000 $48,000 (d)

Ans: N/A, LO: 1, Bloom: AP, Difficulty: Medium, Min: 5, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution 190 (5 min.)

a. $40,000

b. $18,000

c. $145,000

d. $11,000

BE 191

Prepare the necessary journal entries on the books of Kelly Carpet Company to record the following transactions, assuming a perpetual inventory system (you may omit explanations):

(a) Kelly purchased $45,000 of merchandise on account, terms 2/10, n/30.

(b) Returned $3,000 of damaged merchandise for credit.

(c) Paid for the merchandise purchased within 10 days.

Ans: N/A, LO: 2, Bloom: AP, Difficulty: Medium, Min: 5, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution 191 (5 min.)

(a) Inventory 45,000

Accounts Payable 45,000

(b) Accounts Payable 3,000

Inventory 3,000

(c) Accounts Payable ($45,000 – $3,000) 42,000

Inventory ($42,000 × .02) 840

Cash ($42,000 – $840) 41,160

BE 192

Garth Company sold goods on account to Kyle Enterprises with terms of 2/10, n/30. The goods had a cost of $600 and a selling price of $1,100. Both Garth and Kyle use a perpetual inventory system. Record the sale on the books of Garth and the purchase on the books of Kyle.

Ans: N/A, LO: 2,3, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution 192 (3 min.)

Journal entry on Garth’s books:

Accounts Receivable…. 1,100

Sales. 1,100

Cost of Goods Sold….. . 600

Inventory………… 600

Journal entry on Kyle’s books:

Inventory……………… 1,100

Accounts Payable 1,100

BE 193

Richter Company sells merchandise on account for $2,500 to Lynch Company with credit terms of 3/10, n/60. Lynch Company returns $200 of merchandise that was damaged, along with a check to settle the account within the discount period. What entry does Richter Company make upon receipt of the check and the damaged merchandise?

Ans: N/A, LO: 3, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution 193 (3 min.)

Sales Returns and Allowances 200

Sales Discounts ($2,300 × .03) 69

Cash ($2,500 – $200 – $69) 2,231

Accounts Receivable 2,500

BE 194

Charlie Company uses a perpetual inventory system. During May, the following transactions and events occurred.

May 13 Sold 8 motors at a cost of $45 each to Scruffy Brothers Supply Company, terms 4/10, n/30. The motors cost Charlie $26 each.

May 16 One defective motor was returned to Charlie.

May 23 Received payment in full from Scruffy Brothers. Round to nearest dollar.

Instructions

Journalize the May transactions for Charlie Company (seller) assuming that Charlie uses a perpetual inventory system. You may omit explanations. Round amounts to nearest dollar.

Ans: N/A, LO: 3, Bloom: AP, Difficulty: Medium, Min: 8, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

Solution 194 (8 min.)

May 13 Accounts Receivable 360

Sales Revenue 360

Cost of Goods Sold 208

Inventory 208

May 16 Sales Returns and Allowances 45

Accounts Receivable 45

Inventory 26

Cost of Goods Sold 26

May 23 Cash 302

Sales Discounts ($315 × .04) 13

Accounts Receivable ($360 – $45) 315

BE 195

The income statement for Pepe Serna Company for the year ended December 31, 2014 is as follows:

PEPE SERNA COMPANY

Income Statement

For the Year Ended December 31, 2014

Revenues

Sales revenue $58,000

Interest revenue 3,000

Total revenues 61,000

Expenses

Cost of goods sold $33,000

Salaries and wages expense 13,000

Interest expense 1,000

Total expenses 47,000

Net income $ 14,000

Prepare the entries to close the revenue and expense accounts at December 31, 2014. You may omit explanations for the transactions.

Ans: N/A, LO: 4, Bloom: AP, Difficulty: Medium, Min: 5, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution 195 (5 min.)

Dec. 31 Sales Revenue 58,000

Interest Revenue 3,000

Income Summary 61,000

31 Income Summary 47,000

Cost of Goods Sold 33,000

Salaries and Wages Expense 13,000

Interest Expense 1,000

BE 196

Hoyt Company provides this information for the month of November, 2014: sales on credit $170,000; cash sales $70,000; sales discounts $2,000; and sales returns and allowances $9,000. Prepare the sales revenues section of the income statement based on this information.

Ans: N/A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 3, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution 196 (3 min.)

HOYT COMPANY

Income Statement (Partial)

For the Month Ended November 30, 2014

Sales Revenue $240,000

Less: Sales Returns and Allowances $9,000

Sales Discounts 2,000 11,000

Net Sales $229,000

BE 197

During October, 2014, Red’s Catering Company generated revenues of $14,000. Sales discounts totaled $200 for the month. Expenses were as follows: Cost of goods sold of $7,700 and operating expenses of $2,000.

Calculate (1) gross profit and (2) income from operations for the month.

Ans: N/A, LO: 5, Bloom: AP, Difficulty: Medium, Min: 4, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution 197 (4 min.)

(1) Gross profit: $6,100 ($14,000 – $200 – $7,700)

(2) Income from operations: $4,100 ($6,100 – $2,000)

aBE 198

For each of the following, determine the missing amounts.

Beginning Goods Available Cost of Ending

Inventory Purchases for Sale Goods Sold Inventory

1. $10,000 ________ $ 45,000 $25,000 _______

2. ______ $220,000 $265,000 _______ $40,000

Ans: N/A, LO: 7, Bloom: AP, Difficulty: Medium, Min: 4, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

aSolution 198 (4 min.)

1. Purchases $35,000 ($45,000 – $10,000), Ending inventory $20,000 ($45,000 – $25,000)

2. Beginning inventory $45,000 ($265,000 – $220,000), Cost of Goods Sold $225,000 ($265,000 – $40,000)

aBE 199

Assume that Swann Company uses a periodic inventory system and has these account balances: Purchases $525,000; Purchase Returns and Allowances $14,000; Purchase Discounts $9,000; and Freight-In $15,000. Determine net purchases and cost of goods purchased.

Ans: N/A, LO: 7, Bloom: AP, Difficulty: Medium, Min: 4, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

aSolution 199 (4 min.)

Calculation of Net purchases and Cost of goods purchased

Purchases $525,000

Less: Purchase returns and Allowances $14,000

Purchase discounts 9,000 23,000

Net purchases 502,000

Add: Freight-in 15,000

Cost of goods purchased $517,000

aBE 200

Assume that Swann Company uses a periodic inventory system and has these account balances: Purchases $630,000; Purchase Returns and Allowances $25,000; Purchase Discounts $11,000; and Freight-In $19,000; beginning inventory of $45,000; ending inventory of $55,000; and net sales of $750,000. Determine the cost of goods sold.

Ans: N/A, LO: 7, Bloom: AP, Difficulty: Medium, Min: 6, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution 200 (6 min.)

Inventory, beginning $ 45,000

Purchases $630,000

Less: Purchase returns and allowances $25,000

Purchase discounts 11,000 36,000

Net purchases 594,000

Add: Freight-in 19,000

Cost of goods purchased 613,000

Cost of goods available for sale 658,000

Inventory, ending 55,000

Cost of goods sold $603,000

aBE 201

Scruffy Brothers Supply uses a periodic inventory system. During May, the following transactions and events occurred.

May 13 Purchased 8 motors at a cost of $45 each from Charlie Company, terms 4/10, n/30. The motors cost Charlie Company $26 each.

May 16 Returned 1 defective motor to Charlie.

May 23 Paid Charlie Company in full. Round to nearest dollar.

Instructions

Journalize the May transactions for Scruffy Brothers. You may omit explanations.

Ans: N/A, LO: 7, Bloom: AP, Difficulty: Medium, Min: 6, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Measurement, AICPA PC: Problem Solving, IMA: FSA

aSolution 201 (6 min.)

May 13 Purchases 360

Accounts Payable 360

May 16 Accounts Payable 45

Purchase Returns and Allowances 45

May 23 Accounts Payable ($360 – $45) 315

Purchase Discounts ($315 × .04) 13

Cash 302

Exercises

Ex. 202

For each of the following, determine the missing amounts.

Sales Cost of Gross Operating Net

Revenue Goods Sold _Profit Expenses Income

1. $100,000 ________ _______ $30,000 $12,000

2. ________ $135,000 $125,000 _______ $80,000

Ans: N/A, LO: 1, Bloom: C, Difficulty: Medium, Min: 5, AACSB: Analytic, AICPA BB: Legal/Regulatory, AICPA FN: Reporting, AICPA PC: Problem Solving, IMA: Reporting

Solution 202 (5 min.)

1. Gross Profit = $42,000 ($30,000 + $12,000)

Cost of Goods Sold = $58,000 ($100,000 – $42,000)

2. Sales = $260,000 ($135,000 + $125,000)

Operating Expenses = $45,000 ($125,000 – $80,000)

Ex. 203

On October 1, Benji’s Bicycle Store had an inventory of 20 ten speed bicycles at a cost of $200 each. During the month of October, the following transactions occurred.

Oct. 4 Purchased 40 bicycles at a cost of $200 each from Monrue Bicycle Company, terms 1/10, n/30.

6 Sold 25 bicycles to Team Wisconsin for $330 each, terms 2/10, n/30.

7 Received credit from Monrue Bicycle Company for the return of 2 defective bicycles.

13 Issued a credit memo to Team Wisconsin for the return of a defective bicycle.

14 Paid Monroe Bicycle Company in full, less discount.

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the “coincidence of wants” problem associated with barter refers to the fact that:

Exam: 050472RR – INTRODUCTION TO ECOMONICS AND THE ECONOMY

When you have completed your exam and reviewed your answers, click Submit Exam. Answers will not be recorded until you hit Submit Exam. If you need to exit before completing the exam, click Cancel Exam.

Questions 1 to 20: Select the best answer to each question. Note that a question and its answers may be split across a page break, so be sure that you have seen the entire question and all the answers before choosing an answer.

1. Other things equal, the provision of a per unit subsidy for a product will A. decrease the quantity sold. B. increase its price. C. decrease its demand.

D. increase its supply. 2. When the price of a product rises, consumers shift their purchases to other products whose prices are

now relatively lower. This statement describes A. the income effect. B. the substitution effect. C. the rationing function of prices.

D. an inferior good.

3. The law of demand states that A. price and quantity demanded are directly related. B. consumers will buy more of a product at high prices than at low prices. C. the larger the number of buyers in a market, the lower will be product price. D. price and quantity demanded are inversely related.

4. Which one of the following statements about the competitive market system is correct?

A. The competitive market system encourages innovation because successful innovators are rewarded with economic profits.

B. The competitive market system discourages innovation because it’s difficult to acquire additional capital in the form of new machinery and equipment.

C. The competitive market system discourages innovation because firms want to get all the profits possible from existing machinery and equipment.

D. The competitive market system encourages innovation because government provides tax breaks and subsidies to those who develop new products or new productive techniques.

5. The coincidence-of-wants problem associated with barter refers to the fact that A. specialization is restricted by the size or scope of a market. B. for exchange to occur, each seller must have a product that some buyer wants. C. buyers in resource markets and sellers in product markets can never engage in exchange.

D. money must be used as a medium of exchange, or trade will never occur.

SStudent ID: 21784984 Exam: 050472RR – INTRODUCTION TO ECOMONICS AND THE ECONOMY

When you have completed your exam and reviewed your answers, click Submit Exam. Answers will not be recorded until you hit Submit Exam. If you need to exit before completing the exam, click Cancel Exam.

Questions 1 to 20: Select the best answer to each question. Note that a question and its answers may be split across a page break, so be sure that you have seen the entire question and all the answers before choosing an answer.

1. Other things equal, the provision of a per unit subsidy for a product will A. decrease the quantity sold. B. increase its price. C. decrease its demand.

D. increase its supply. 2. When the price of a product rises, consumers shift their purchases to other products whose prices are

now relatively lower. This statement describes A. the income effect. B. the substitution effect. C. the rationing function of prices.

D. an inferior good.

3. The law of demand states that A. price and quantity demanded are directly related. B. consumers will buy more of a product at high prices than at low prices. C. the larger the number of buyers in a market, the lower will be product price. D. price and quantity demanded are inversely related.

4. Which one of the following statements about the competitive market system is correct?

A. The competitive market system encourages innovation because successful innovators are rewarded with economic profits.

B. The competitive market system discourages innovation because it’s difficult to acquire additional capital in the form of new machinery and equipment.

C. The competitive market system discourages innovation because firms want to get all the profits possible from existing machinery and equipment.

D. The competitive market system encourages innovation because government provides tax breaks and subsidies to those who develop new products or new productive techniques.

5. The coincidence-of-wants problem associated with barter refers to the fact that A. specialization is restricted by the size or scope of a market. B. for exchange to occur, each seller must have a product that some buyer wants. C. buyers in resource markets and sellers in product markets can never engage in exchange.

D. money must be used as a medium of exchange, or trade will never occur.

6. Microeconomics is concerned with A. a detailed examination of specific economic units that make up the economic system. B. the establishing of an overall view of the operation of the economic system. C. the aggregate or total levels of income, employment, and output. D. positive economics, but not normative economics.

7. Government rather than private firms must provide economically desirable public goods because A. high marginal costs preclude their production in the private sector. B. public goods have characteristics that make it difficult or impossible for private firms to produce them profitably. C. public goods have marginal costs that exceed marginal benefits.

D. the law of increasing opportunity costs applies only to private goods. 8. In performing its stabilization function, it may be appropriate for the nation’s central bank (the Federal

Reserve in the United States) to A. lower interest rates to stimulate private spending and reduce unemployment. B. increase subsidies to businesses to reduce unemployment. C. raise taxes to reduce inflation. D. increase government spending to reduce unemployment.

9. Income data that show how total income is distributed as wages, rents, interest, and profits describe the _______ distribution of income.

A. horizontal B. functional C. vertical D. personal

10. Welfare checks and food stamps are examples of _______ used by the government to redistribute income.

A. transfer payments B. corporate subsidies C. market intervention D. taxation

11. The two general types of economic systems that exist today are A. market systems and command systems. B. socialism and central planning. C. market systems and capitalism.

D. laissez-faire systems and pure command systems.

12. Macroeconomic stability is said to exist in an economy whenever A. there’s no inflation. B. the rates of output growth, unemployment, and inflation are all zero.

C. total spending exceeds production capacity. D. output matches production capacity, labor is fully employed, and inflation is low and stable.

13. The law of increasing opportunity costs states that

A. if society wants to produce more of a particular good, it must sacrifice larger and larger amounts of other goods to do so.

B. the sum of the costs of producing a particular good can’t rise above the current market price of that good.

C. if the prices of all the resources used to produce goods increase, the cost of producing any particular good will increase at the same rate.

D. if the sum of the costs of producing a particular good rises by a specified percent, the price of that good must rise by a greater relative amount.

14. Which one of the following is not an important source of revenue for the federal government? A. Payroll taxes B. Corporate income taxes C. Personal income taxes

D. Property taxes 15. If consumers are willing to pay a higher price than previously for each level of output, we can say that

_______ has occurred. A. a decrease in demand B. an increase in demand C. an increase in supply

D. a decrease in supply

16. Which one of the following is not a characteristic of the market system? A. Government ownership of the major industries B. Freedom of enterprise C. Private property

D. Competition in product and resource markets

17. The major source of tax revenue for the United States federal government is _______ taxes. A. personal income B. corporate income C. property

D. sales and excise

18. Which one of the following statements correctly describes export subsidies?

A. Export subsidies are excise taxes or duties placed on imported products.

B. Export subsidies are licensing requirements, unreasonable quality standards, and the like designed to impede imports.

C. Export subsidies are government payments to domestic producers to enable them to charge lower prices and sell more goods in world markets.

D. Export subsidies are maximum limits on the quantity or total value of specific products imported to a nation.

19. The organization created to oversee the provisions of multilateral trade agreements, resolve disputes under the international trade rules, and meet periodically to consider further trade liberalization is called the

A. Common Market Organization (CMO). B. International Monetary Fund (IMF). C. International Trade Commission (ITC). D. World Trade Organization (WTO).

20. Which one of the following statements about limited liability is correct? A. Limited liability means that creditors have no legal claim on the personal assets of a proprietor. B. Limited liability means that creditors have no legal claim on the personal assets of a corporate stockholder. C. Limited liability means that corporations can’t be sued. D. Limited liability means that corporations have a legal life independent of their owners and managers.

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closing entries examples and solutions

Comprehensive Problem, Chapters 1-5 *Solutions for Requirements 1 and 5 are omitted in this problem

Chapter 5 Merchandising Operations

Req. 2 Comprehensive Problem Chs 1-5 St. Paul Technology

Worksheet

For the Month Ended January 31, 2012 ADJUSTED

ACCOUNT TITLE

TRIAL BALANCE ADJUSTMENTS TRIAL BALANCE INCOME STATEMENT BALANCE SHEET

DEBIT CREDIT DEBIT CREDIT DEBIT CREDIT DEBIT CREDIT DEBIT CREDIT

Cash $16,260 $16,260 $16,260

Accounts receivable 18,930 18,930 18,930

Inventory 65,000 (e) $1,540 6,3460 63,460

Supplies 2,580 (a) 1,400 1,180 1,180

Building 188,090 188,090 188,090

Accum. Depre. – building

$35,300 (b) 3,800 $39,100 $39,100

Furniture 44,800 44,800 44,800

Accum. Depre. – furniture

5,500 (b) 4,600 10,100 10,100

Accounts payable 27,900 27,900 27,900

Salary payable 0 (d) 1,100 1,100 1,100

Unearned sales revenue 6,480 (c) $4,420 2,060 2,060

Note payable, long-term 85,000 85,000 85,000

Tarsus, capital 152,190 152,190 152,190

Tarsus, drawing 9,100 9,100 9,100

Sales revenue 179,930 (c) 4,420 184,350 $184,350

Sales discounts 7,100 7,100 7,100 Sales returns and allowances 8,080 8,080 8,080

Cost of goods sold 101,900 (e) 1,540 103,440 103,440

Selling expense 21,380 (a) 700 24,180 24,180

(b) 950*

(b) 1,150*

General expense 9,080 (a) 700 17,180 17,180

(b) 2,850*

(b) 3,450*

(d) 1,100

$492,300 $492,300 $16,860 $16,860 $501,800 $501,800 $159,980 $184,350 $341,820 $317,450

Net income 24,370 24,370

$184,350 $184,350 $341,820 $341,820

*Students may combine the b-1 and b-2 amounts as $2,100 Selling expense and $6,300 General expense.

Comprehensive Problem, Chapters 1-5 *Solutions for Requirements 1 and 5 are omitted in this problem

Chapter 5 Merchandising Operations

(continued) Comprehensive Problem Chs 1-5 Req. 3 (financial statements)

St. Paul Technology

Income Statement

Month Ended January 31, 2012

Revenue:

Sales revenue $184,350

Less: Sales returns and allowances

$88,080

Sales discounts 7,100 15,180

Net sales revenue $169,170

Cost of goods sold 103,440

Gross profit $65,730

Operating expenses:

Selling expense $24,180

General expense 17,180 41,360

Net income $24,370

St. James Technology

Statement of Owner’s Equity

Month Ended January 31, 2012

Tarsus, capital, January 1, 2012 $152,190

Net income 24,370

176,560

Drawing (9,100)

Tarsus, capital, January 31, 2012 $167,460

Comprehensive Problem, Chapters 1-5 *Solutions for Requirements 1 and 5 are omitted in this problem

Chapter 5 Merchandising Operations

(continued) Comprehensive Problem Chs 1-5 Req. 3 (financial statements)

St. Paul Technology

Balance Sheet

January 31, 2012

ASSETS

Current assets:

Cash $ 16,260

Accounts receivable 18,930

Inventory 63,460

Supplies 1,180

Total current assets 99,830

Plant assets:

Building $188,090

Accumulated depreciation— building

(39,100) 148,990

Furniture $44,800

Accumulated depreciation— furniture

(10,100) 34,700

Total assets $283,520

LIABILITIES

Current liabilities:

Accounts payable $27,900

Salary payable 1,100

Unearned sales revenue 2,060

Total current liabilities 31,060

Long-term liabilities:

Note payable, long-term 85,000

Total liabilities 116,060

OWNER’S EQUITY

Tarsus, capital 167,460

Total liabilities and owner’s equity $283,520

Comprehensive Problem, Chapters 1-5 *Solutions for Requirements 1 and 5 are omitted in this problem

Chapter 5 Merchandising Operations

(continued) Comprehensive Problem Chs 1-5 Req. 4 (adjusting and closing entries)

Journal Entry

DATE ACCOUNTS AND EXPLANATIONS POST. REF. DEBIT CREDIT

Adjusting Entries

2012

a. Jan 31 Selling expense 700

General expense 700

Supplies 1,400

b. 31 Selling expense 950

General expense 2,850

Accumulated depreciation—

building 3,800

b. 31 Selling expense 1,150

General expense 3,450

Accumulated depreciation—

furniture 4,600

c. 31 Unearned sales revenue 4,420

Sales revenue 4,420

d. 31 General expense 1,100

Salary payable 1,100

e. 31 Cost of goods sold 1,540

Inventory 1,540

Comprehensive Problem, Chapters 1-5 *Solutions for Requirements 1 and 5 are omitted in this problem

Chapter 5 Merchandising Operations

(continued) Comprehensive Problem Chs 1-5 Req. 4 (adjusting and closing entries)

Journal Entry

DATE ACCOUNTS AND EXPLANATIONS

POST.

REF. DEBIT CREDIT

Closing Entries

Jan 31 Sales revenue 184,350

Sales discounts 7,100

Sales returns and allowances

8,080

Income summary 169,170

31 Income summary 144,800

Cost of goods sold 103,440

Selling expense 24,180

General expense 17,180

31 Income summary

($169,170 − $144,800) 24,370

Tarsus, capital 24,370

31 Tarsus, capital 9,100

Tarsus, drawing 9,100

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what you pawn i will redeem pdf

List of Writing Prompts For students: There are three prompts below each with four texts. For your literary analysis essay, choose ONE prompt and text pairing that interests you. Then, take a look at the guiding questions for the text you choose. You don’t necessarily need to answer all of these questions in your paper. The questions are there to help get you thinking in a direction that will be more likely to lead you to a successful literary analysis.
PROMPT 1. Write an analysis of a key character in a literary work. Focus on two or three key actions of that character. Discuss the character’s motivations and decisions in terms you can support with clear evidence from a critical reading of the text. Consider whether this character’s actions fit together or contradict each other. You may also want to consider whether or not any other characters in the story are aware of this conflict, and if so, how they influence the character you are writing about. Literary Works (choose one): “Interpreter of Maladies” (Jhumpa Lahiri, 1999)
Guiding Questions: 1. How does a new outsider community member like Mrs. Das influence Mr. Kapasi, who
seems to have become bored with his life and his role in the community? 2. How does Mr. Kapasi’s desire for Mrs. Das make him unable to understand Mrs. Das’
desires, leading to his failure to fulfill his role as the Interpreter of Maladies? 3. How do the Das family’s actions surrounding their children show that their desires or
interests do not accord with their obligations? “What You Pawn, I Will Redeem” (Sherman Alexie, 2003)
Guiding Questions: 1. How does the grandmother’s property at the pawn shop help to define the narrator’s
desires and feeling of obligation to recover it? Why is it so important? 2. How does the character accomplish his objective, and how is this surprising considering
all of the unfortunate events and bad decisions he makes along the way? 3. How do the other characters–the Aleuts, the pawn shop owner, the waitress, the police
officer, the other Indians at the bar–each play an important role in showing how the

http://central-lausd-ca.schoolloop.com/file/1251955222331/1251955217263/2279767265736662414.pdf
http://www.newyorker.com/magazine/2003/04/21/what-you-pawn-i-will-redeem

narrator is committed to an important mission he is worthy of completing? “We Came All the Way from Cuba so You Could Dress Like This?” (Achy Obejas, 1994)
Guiding questions: 1. To what conflicts does the title allude (social? Political? Cultural? others?)? 2. The first-person narrator switches tenses (from present to future). How does this create
tension in the story? 3. How is the narrator’s internal conflict (“man v. self”) merely an internalization of
political, familial, and social conflict? “The Things They Carried” (Tim O’Brien, 1990) – 5.4 in Journey into Literature
Guiding Questions: 1. The second paragraph of the story begins, “The things they carried were largely
determined by necessity” (O’Brien, 1990). Were the soldiers truly able to carry everything they needed? What needs were left unfulfilled by these items, and what in the story suggests this?
2. The narrator also lists specific items that each man carried. How do these items symbolize the emotions that they carried with them, and how does this understanding enrich our understanding of the characters?
3. Often a comparative analysis can help us to notice elements of a story that we might not otherwise notice. Choose two or three characters and compare the things they carried. How does this comparison help qualities of each come to the surface?

PROMPT 2. In some stories, characters come into conflict with the culture in which they live. Often, a character feels alienated in his/her community or society due to race, gender, class or ethnic background. The texts below all contain a character who is ‘outcast’ or otherwise disconnected from society in some way, reflecting important ideas about both the character and the surrounding society’s assumptions, morality, and values. Choose a text and consider the questions below as you critically read the text. Then, craft a working thesis that suggests how this alienation is expressed in the text and why it is significant. Literary Works (choose one): “What You Pawn, I Will Redeem” (Sherman Alexie, 2003)
Guiding Questions: 1. What beliefs and values from Native American culture does the narrator consider
important, based on ideas and actions in the story? 2. What kinds of experience and values do characters share across cultural differences like
Native Americans and whites, or even between different native groups in the story?

https://latinosexualitygender.files.wordpress.com/2013/02/obejas-we-came-all-the-way-from-cuba.pdf
http://www.newyorker.com/magazine/2003/04/21/what-you-pawn-i-will-redeem

3. How do the bisexual character, the narrator, and the homeless characters in the story all demonstrate and resolve different “outsider” identities?
“A Very Old Man with Enormous Wings” (Gabriel García Marquez, 1955)
Guiding Questions: 1. How is the supernatural made familiar and the familiar defamiliarized in the story? Is
the angel made more human? Are humans made supernatural or less humane? 2. How is the tension between supernatural and human resolved (or not) in the story? 3. What doe the community’s treatment of this ‘outsider’ reveal about its culture, values,
and beliefs? “A Hunger Artist” (Franz Kafka, 1924) – 7.5 in Journey into Literature
Guiding Questions: 1. What is the “hunger artist’s” art, and how does it challenge the understanding of the
men who look after the artist as well as the audience that ignores him? 2. Why does the artist have to explain so much about his “art” throughout the story– is he
explaining it for others to understand or as part of his own self-definition? 3. How does the young panther capture the audience’s attention so easily yet they ignore
the artist– what does this say about “appreciating” what others value? “Everyday Use” (Alice Walker, 1973)
Guiding Questions: 1. How do we know that the protagonist is impoverished? Is she content with her class?
Why or why not? 2. How do we know that she is African-American? How does her alienation due to her race
also connect with her education? 3. The protagonist’s daughter, Dee, who has embraced her African roots, accuses her
mother of not understanding her heritage. Why? What is the situational irony at the end of the story?
PROMPT 3. Consider the role of setting, or context, in one of the works. For example, a story that takes place in a wild and natural setting might include characters struggling against nature to survive. A story set in a city might include themes of alienation and anonymity because of the impersonal crowds and busy city life. Cultural contexts can combine with both urban and rural elements to produce further meaning, as well. Consider the following questions as you critically read one of the texts below: Does the protagonist conflict with the setting or have particular interactions with it? Does the protagonist’s relationship with the setting connect with his/her development as a character? Does the setting reveal other themes and conflicts? Literary Works (choose one from any of the lists below): “The Man of the Crowd” (Edgar Allan Poe, 1845)

https://docs.google.com/document/d/1WD0f_YhxqZO8avsfAmPtA2ngivbyqwJxY17XdBk2iyY/mobilebasic?pli=1
https://www.deanza.edu/faculty/leonardamy/Everyday%20Use.pdf
http://poestories.com/read/manofthecrowd

Guiding Questions: 1. How does the city setting–busy streets, buildings with specific purposes, dark
backstreets– produce a disorienting and confining experience for people in the story? 2. How do all of the different occupations and “types” of workers in the city combine to
communicate that no one is an individual person and no one really knows each other? 3. What sorts of problems do the narrator and some of the other characters have as a
result of this alienating city life? (Think of the narrator’s obsession with the man.) “The Things They Carried” (O’Brien, 1990) – 5.4 in Journey into Literature
Guiding Questions: 1. How does the story communicate the uncertain and frightening setting these soldier-
characters experience? (Consider repeated phrases or other devices.) 2. What sorts of emotions, such as stress or fear, does the Vietnam context cause the
characters to experience? Give specific examples from the story, and consider how these emotions might be “told” to us in multiple ways.
3. How do the soldiers in the story cope with their setting/context, whether through imagined escapes or other means, and are they successful?

“A Worn Path” (Eudora Welty, 1941) – 5.3 in Journey into Literature Guiding Questions:
1. Clugston suggests that “[t]he setting in this story is in a particular season — the Christmas season.” Why is this significant considering the plot?
2. Clugston (2011) further writes: “The physical setting changes during Phoenix Jackson’s journey. How does each environment she encounters reflect her character?”
3. Phoenix Jackson encounters many obstacles on her journey. To what non-physical challenges do they allude?
“Sonny’s Blues” (James Baldwin, 1957)
Guiding Questions: 1. How do the characters’ interactions with the multi-faceted “local color” and
communities of Harlem articulate the differences between those characters? 2. What does the story suggest about a neighborhood’s cultural identity and the diverse
life experiences possible, even when people seem to come from the same place? 3. What aspects of the setting (the neighborhood, the school, etc.) could be characterized
as liberating or oppressive, and how is this reflected in the characters?

http://swcta.net/moore/files/2012/02/sonnysblues.pdf
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FIFTH EDITION

DEVELOPMENT and

SOCIAL CHANGE

For Karen, with love and gratitude

FIFTH EDITION

DEVELOPMENT and

SOCIAL CHANGE A GLOBAL

PERSPECTIVE

PHILIP MCMICHAEL Cornell University

FOR INFORMATION:

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Copyright © 2012 by SAGE Publications, Inc.

All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without permission in writing from the publisher.

Printed in the United States of America.mailto:order@sagepub.com

Library of Congress Cataloging-in-Publication Data

McMichael, Philip.

Development and social change: a global perspective / Philip McMichael. —5th ed.

p. cm.

Includes bibliographical references and index.

ISBN 978-1-4129-9207-7 (pbk.: alk. paper)

1. Economic development projects—History. 2. Economic development—History. 3. Competition, International—History. I. Title.

HC79.E44M25 2012 306.309—dc23 2011036148

This book is printed on acid-free paper.

11 12 13 14 15 10 9 8 7 6 5 4 3 2 1

Brief Contents

About the Author

Preface to the Fifth Edition

A Timeline of Development

Acknowledgments

Abbreviations

1. Development: Theory and Reality

Part I. The Development Project (Late 1940s to Early 1970s)

2. Instituting the Development Project

3. The Development Project: International Framework

4. Globalizing Developments

Part II. The Globalization Project (1980s to 2000s)

5. Instituting the Globalization Project

6. The Globalization Project in Practice

7. Global Countermovements

Part III. Millennial Reckonings (2000s to Present)

8. The Globalization Project in Crisis

9. The Sustainability Project

10. Rethinking Development

Notes

References

Glossary/Index

Detailed Contents

About the Author

Preface to the Fifth Edition

A Timeline of Development

Acknowledgments

Abbreviations

1. Development: Theory and Reality Development: History and Politics Development Theory

Naturalizing Development Global Context Agrarian Questions Ecological Questions

Social Change The Projects as Framework

The Development Experience Conclusion

Part I. The Development Project (Late 1940s to Early 1970s)

2. Instituting the Development Project Colonialism

The Colonial Division of Labor Social Reorganization under Colonialism

Decolonization Colonial Liberation

Decolonization and Development Postwar Decolonization and the Rise of the Third World Ingredients of the Development Project

The Nation-State Economic Growth

Framing the Development Project National Industrialization: Ideal and Reality

Economic Nationalism

Import-Substitution Industrialization Summary

3. The Development Project: International Framework The International Framework

U.S. Bilateralism: The Marshall Plan (Reconstructing the First World) Multilateralism: The Bretton Woods System Politics of the Postwar World Order

Remaking the International Division of Labor The Newly Industrializing Countries (NICs)

The Food-Aid Regime The Public Law 480 Program Food Dependency

Remaking Third World Agricultures The Global Livestock Complex The Green Revolution Anti-rural Biases of the Development Project

Summary

4. Globalizing Developments Third World Industrialization in Context

The World Factory The Strategic Role of Information Technologies The Export-Processing Zone The Rise of the New International Division of Labor (NIDL) From the NIDL to a Global Labor Force Global Sourcing

Agricultural Globalization The New Agricultural Countries (NACs)

Global Finance The Offshore Money Market Banking on Development

Summary

Part II. The Globalization Project (1980s to 2000s)

5. Instituting the Globalization Project Securing the Global Market Empire The Debt Regime

Debt Management Reversing the Development Project Challenging the Development State

The Globalization Project Global Governance

Liberalization and the Reformulation of Development The Making of a Free Trade Regime

The World Trade Organization The Agreement on Agriculture (AoA) Trade-Related Investment Measures (TRIMs) Trade-Related Intellectual Property Rights (TRIPs) General Agreement on Trade in Services (GATS)

Summary

6. The Globalization Project in Practice Poverty Governance Outsourcing Displacement

Labor: The New Export Informalization Global Recolonization Summary

7. Global Countermovements Environmentalism

Sustainable Development Earth Summits Managing the Global Commons Environmental Resistance Movements

Feminism Feminist Formulations Women and the Environment Women, Poverty, and Fertility Women’s Rights

Cosmopolitan Activism Food Sovereignty Movements Summary

Part III. Millennial Reckonings (2000s to Present)

8. The Globalization Project in Crisis Legitimacy Crisis

Microfinance, or Poverty Capital Post-Washington Consensus? The Latin Rebellion Arab Spring?

Geopolitical Transitions Financial Crisis Food Crises

Ecological Crisis Conclusion

9. The Sustainability Project The Problem of Climate Change

The Pentagon The United Nations Framework Convention on Climate Change (UNFCCC) The Stern Review and Grassroots Initiatives

Stabilizing Ecosystems The Millennium Ecosystem Assessment (MA)

The Centrality of Agriculture International Assessment of Agricultural Science and Technology for

Development (IAASTD) Feeding the World

The Agro-Ecology Project The World Bank World Development Report (2008)

The Global Land Grab Biofuels Green Technology Summary

10. Rethinking Development Development in the Gear of Social Change

Nonmarket Values Politicizing Inequality New Geography of Inequality The Analytical and Political “Purchase” of Development

Paradigm Change Degrowth Economics Transition Towns The Commons

Conclusion

Notes

References

Glossary/Index

About the Author

Philip McMichael grew up in Adelaide, South Australia, and he completed undergraduate degrees in economics and in political science at the University of Adelaide. After traveling in India, Pakistan, and Afghanistan and doing community work in Papua New Guinea, he pursued his doctorate in sociology at the State University of New York at Binghamton. He has taught at the University of New England (New South Wales), Swarthmore College, and the University of Georgia, and he is presently International Professor of Development Sociology at Cornell University. Other appointments include Visiting Senior Research Scholar in International Development at the University of Oxford (Wolfson College), and Visiting Scholar, School of Political Science and International Relations at the University of Queensland. His book Settlers and the Agrarian Question: Foundations of Capitalism in Colonial Australia (1984) won the Social Science History Association’s Allan Sharlin Memorial Award in 1985. McMichael edited The Global Restructuring of Agro-Food Systems (1994), Food and Agrarian Orders in the World Economy (1995), New Directions in the Sociology of Global Development (2005) with Frederick H. Buttel, Looking Backward and Looking Forward: Perspectives on Social Science History (2005) with Harvey Graff and Lesley Page Moch, Contesting Development: Critical Struggles for Social Change (2010), and The Politics of Biofuels, Land and Agrarian Change (2011) with Jun Borras and Ian Scoones. He has served as chair of his department, as director of Cornell University’s International Political Economy Program, as chair of the American Sociological Association’s Political Economy of the World-System Section, as president of the Research Committee on Agriculture and Food for the International Sociological Association, and as a board member of Cornell University Press. He has also worked with the Food and Agricultural Organization of the United Nations (FAO) and its Committee on Food Security, the UN Research Institute for Social Development (UNRISD), the international peasant coalition Vía Campesina, and the International Planning Committee for Food Sovereignty. He and his wife, Karen Schachere, have two children, Rachel and Jonathan.

T

Preface to the Fifth Edition

he fifth edition of this text updates the material in a world in substantial transition. The original framework and perspective of the first edition remain intact, although the

attempt to organize development as a global project is fraught with instability and possibly planet-threatening trends. Accordingly, a new section outlining an emergent “sustainability project” has been added. The thread that weaves together this story of colonialism, developmentalism, globalization, and sustainability is that development is a project of rule, with environmental consequences. It takes different forms in different historical periods, and these have been laid out as changing sets of political-economic and political-ecological relations, animated by powerful discourses of discipline, opportunity, and sustainability. While this text may have the appearance of an economic argument, it is important to note that the framework is essentially political and world-historical in that it attempts to understand the intersection between the development enterprise and power relations in ordering the world and its ecological foundations. This account of development focuses on social and political transformations, and the various ways in which development is realized through social and spatial inequalities. It also considers these processes from the perspective of social movements, and how their resistances problematize the dominant vision of economism as a form of rule and as an increasingly evident threat to ecological stability.

The conceptual framework posits “development” as a political construct devised by dominant actors such as metropolitan states, multilateral institutions, and political and economic elites to order the world and contain opposition. Development and globalization are presented as projects with coherent organizing principles (e.g., economic nationalism, market liberalization), yet unrealistic in their vision and potential for accomplishment, since they are realized through inequality. The theoretical subtext of the development project is organized by extended Polanyian cycles of regulation and resistance. In the mid-twentieth century, a form of “embedded liberalism” (market regulation within a maturing nation-state system to contain labor and decolonization movements) informed social-democratic (developmentalist) goals within a Cold War context of economic and military aid to the Third World. This “development era” ended with a “countermobilization” of corporate interests dedicated to instituting a “self-regulating market” on a global scale from the 1970s onwards. The dominant discourse of neoliberalism proposed market liberalization, privatization, freedom of capital movement and access, and so on. This globalization project had a “test run” during the debt regime of the 1980s, and was institutionalized with the establishment of the World Trade Organization (WTO) in 1995. A further countermobilization—to the deprivations of the globalization project—has gathered momentum through maturing global justice movements in the 1990s, the Latin American and Arab rebellions of the new century, and a growing “legitimacy deficit” for the global development establishment. This is symbolized in the collapse of the Washington Consensus following the 1997 Asian-originating global financial crisis, recovery of the trope of “poverty reduction” in the Millennium

Development Goals (MDGs) initiative of 2000, stalemate at the WTO, and growing antipathy toward the World Bank and the International Monetary Fund (IMF) among countries of the global South. Neoliberalism is at a crossroads, complicated by serious security concerns: with a social component—in mushrooming slums; an economic dimension—in both financial volatility and the casualization of employment; a political element—in acts of terrorism; and an ecological aspect—in the evidence of global climate change. How the current cycle of opposition and creative development alternatives will unfold is yet to be determined, but it is possible to see an emergent sustainability project which includes both security concerns— largely of those with political and economic power—and grassroots initiatives toward rethinking the values that define development.

The fifth edition has two major revisions. The first is the introduction of an explicit discussion of the origins and role of development theory. The purpose here is to (a) introduce basic theoretical concepts that organize our understanding of development, (b) situate these theoretical concepts in the era of decolonization and the optimism of the development decades, (c) examine how subsequent transformations in world ordering call such foundational development theory into question, and (d) indicate to the reader how the author has organized the narrative according to social change theory that allows transformation in conceptions of development.

The second major revision considers current events as indicative of fundamental transitions in development possibilities. These events, outlined in Chapter 8, include the conjunction of food, energy, financial, and climate crises, as well as a redistribution of political-economic power as registered in the rise of the Group of 21 (G-21)—in particular the BRICS—and the challenge to U.S. supremacy. Structural adjustment of states in the global North, combined with social rebellion in the Middle East and the aforementioned crises in several dimensions, call into question the assumptions and institutions associated with the “Globalization Project” and its neoliberal dictates. Chapter 9 provides the outlines of the “Sustainability Project” as an emergent set of practices and institutions governing the next iteration/ordering of “development,” which is no longer about improving on the past so much as managing the future. The chapter considers the significance of a series of high-profile reports, initiatives, and green technologies—together these investigations and experiments reveal an array of disparate attempts to manage the future, and point toward a future ecological/climate regime.

The subject of development is difficult to teach. Living in relatively affluent surroundings, most university students understandably situate their society on the “high end” of a development continuum—at the pinnacle of human economic and technological achievement. And they often perceive the development continuum and their favorable position on it as “natural”—a well-deserved reward for embracing modernity. It is difficult to put one’s world in historical perspective from this vantage point. It is harder still to help students grasp a world perspective that goes beyond framing their experience as an “evolved state”—the inevitable march of progress.

In my experience, until students go beyond simple evolutionary views, they have difficulty valuing other cultures and social possibilities that do not potentially mirror their own. When they do go beyond the evolutionary perspective, they are better able to evaluate their own culture sociologically and to think reflexively about social change, development, and global

inequalities. This is the challenge we face.

Ancillaries

For the Instructor

The password-protected Instructor Site at www.sagepub.com/mc michael5e gives instructors access to a full complement of resources to support and enhance their courses. The following assets are available on the instructor site:

An essay test question bank that provides a number of essay questions to test students’ comprehension of the topics PowerPoint slides for each chapter that are integrated with the book’s distinctive features and incorporate key tables, figures, and photos, for use in lecture and review Chapter summaries and outlines that provide valuable tools for use in handouts and lectures Tables and figures from the book in an easily downloadable format, for use in handouts and presentations A timeline of globalization and development from the printed text in a digital formathttp://www.sagepub.com/mc michael5e

A Timeline of Development

I

Acknowledgments

wish to express my thanks to the people who have helped me along the way, beginning with the late Terence Hopkins (my graduate school mentor), and James Petras and

Immanuel Wallerstein. The late Giovanni Arrighi played a critical role in encouraging me to cultivate “analytical nerve.” For the first three editions, which include acknowledgment of the various people who were so helpful, special mention still goes to the original editor-in-chief, Steve Rutter, for his remarkable vision and his enthusiasm and faith in this project, as well as friends and colleagues who made significant contributions to improving this project—the late Fred Buttel, Harriet Friedmann, Richard Williams, Michelle Adato, Dale Tomich, Farshad Araghi, Rajeev Patel, Dia Da Costa, Gayatri Menon, and Karuna Morarji—and my undergraduate and graduate students (particularly my remarkable teaching assistants) at Cornell.

For this fifth edition, I have been fortunate to have the encouragement and understanding of publisher for sociology at SAGE, David Repetto, and the thoughtful guidance of editorial assistants for sociology, Maggie Stanley and Lydia Balian. Also, special thanks go to senior project editor, Laureen Gleason, and to editorial and marketing specialists Theresa Accomazzo and Erica DeLuca for their work behind the scenes, and especially to Anna Socrates, my fastidious copyeditor. Graduate student Ian Bailey provided much-needed and thorough research support when I needed it most and turned a critical eye on the first chapter. And Gary Hytrek prompted me to make more explicit my conceptual framework, despite my skepticism toward formal theorizing. Great thanks are also due to the reviewers of this edition: Pamela Altman, Dennis Canterbury, Julie Guthman, Robert Hard, Syndee Knight, and P. Pushkar.

Abbreviations

AfDB African Development Bank AGRA Alliance for a Green Revolution in Africa ALBA Bolivarian Alternative for the Americas AoA Agreement on Agriculture (WTO) APEC Asia-Pacific Economic Cooperation BAIR Bureaucratic-Authoritarian Industrializing Regime BIP Border Industrialization Program BRICS Brazil, Russia, India, China and South Africa CAFTA Central American Free Trade Agreement CBD Convention on Biodiversity CDM Clean development mechanism

CEDAW Convention on the Elimination of All Forms of Discrimination againstWomen CGIAR Consultative Group on International Agricultural Research COMECON Council for Mutual Economic Assistance COP conference of parties ECA Export Credit Agency ECLA Economic Commission for Latin America EOI export-oriented industrialization EPZ export processing zone EU European Union FAO Food and Agricultural Organization (UN) FDI foreign direct investment FLO Fairtrade Labelling Organizations International FTA Free Trade Agreement FTAA Free Trade Area of the Americas GAD gender and development GATS General Agreement on Trade in Services GATT General Agreement on Tariffs and Trade GDI Gender Development Index GDL global division of labor GDP gross domestic product GEF Global Environmental Facility GEM gender empowerment measure

GHG greenhouse gas emissions GLOBALGAP Retailer Produce Working Group on Good Agricultural Practices GNH gross national happiness GNP gross national product GPI genuine progress indicator HDI Human Development Index HIPC heavily indebted poor countries HYV high-yielding variety

IAASTD International Assessment of Agricultural Science and Technology forDevelopment ICT information and communication technologies IDS Institute for Development Studies IEA International Energy Agency IFI international financial institutions IFPRI International Food Policy Research Institute IIED International Institute for Environment and Development IMF International Monetary Fund IPCC Inter-Governmental Plan on Climate Change IPR intellectual property rights ISI import-substitution industrialization LDC least developed countries LDCF less developed countries fund MA millennium ecosystem assessment MDGs millennium development goals MNEA Middle East North African states MICs middle-income countries NAC new agricultural country NAFTA North American Free Trade Agreement NAM Non-Aligned Movement NAPA National adaptation programme of action NEPAD New Partnership for Africa’s Development NGO nongovernmental organization NIC newly industrializing country NIDL new international division of labor NIEO new international economic order NTE nontraditional export OAU Organization for African Unity ODA Overseas Development Assistance OECD Organisation for Economic Co-operation and Development

PRSP poverty reduction strategy papers RAI Responsible agricultural investment REDD Reducing Emissions from Deforestation and Degradation SAL structural adjustment loan SAP structural adjustment policies SEZ special economic zone TFN Transnational Feminist Network TIE Transnationals Information Exchange TNB transnational bank TNC transnational corporation TPN Transnational Policy Network TRIMs trade-related aspects of investment measures TRIPs trade-related intellectual property rights UNASUR Union of South American Nations UNCED United Nations Conference on Environment and Development UNCTAD United Nations Conference on Trade and Development UNDESA United Nations Department of Economic and Social Affairs UNDP United Nations Development Program UNEP United Nations Environment Program UNFCCC United Nations Convention on Climate Change WEEE waste from electrical and electronic equipment WEF World Economic Forum WHO World Health Organization WID Women in Development WSF World Social Forum WTO World Trade Organization

D

1 Development

Theory and Reality

evelopment, today, is increasingly about how we survive the future, rather than how we improve on the past. While ideas of human progress, development stages, or visions of

improvement will still guide social theory and policy making, how we manage “energy descent” and adapt to serious ecological deficits and climatic disruption will define our existence. How will this shift change our understanding and practice of development?

A central issue is how effectively policy makers (in states and development agencies) recognize the need for wholesale public coordination of planning to minimize and adapt to inevitable climatic changes. Plenty of new ideas, practices, and policies are surfacing, but more as a cacophony rather than a strategic endeavor to reverse our ecological footprint. (See Glossary/Index for bolded definitions.) While the Chinese government is strategic in promoting green technology, China—the major offshore assembly zone for global commodities—is now the leading source of global greenhouse gas emissions. China averages $150 billion worth of environmental damage annually, due to its breakneck economic growth.1 Climate summits have so far only confirmed the intransigence of governments held hostage to domestic growth policies—whether these governments are from the global North or the global South. This division, and which nation belongs to which “bloc”—and therefore is most responsible for emissions—only distracts authorities from substantive action. Another crisis also confronts twenty-first century nation-states, namely, the global crisis of unemployment and debt, which compounds the challenges of development futures.

Not only are there increasingly evident biophysical limits to development as we know it, but development is now compromised by mushrooming public austerity policies across the nation-state system. Such policies, tested in the global South from the 1980s, are now affecting the societies of the global North. All over, the development ideal of a social contract between governments and citizens is crumbling as hard-won social rights and entitlements erode—this is evident in contemporary European and U.S. political and social disorder as citizens protest cut-backs, as well as in the Middle Eastern uprisings against repressive regimes and joblessness (see Chapter 8). Arguably, “development” is not only in crisis but is at a significant turning point in its short history as a master concept of (Western- based) social science and cultural life.

This book is a guide to the rise and transformation of development as a vector of global social change over the last two centuries. From one (long-term) angle, it appears increasingly comet-like: a brilliant lodestar for the world, but perhaps destined to burn out as its energy- intensive foundations meet their limits. From another (immediate) angle, the energy dilemma forces renewed critical thinking about how humans might live sustainably on the planet. These

perspectives are the subject of Chapter 9, “The Sustainability Project.” Here we are concerned with the source and maturation of “development” as a master concept.

Development: History and Politics

Development had its origins in the colonial era, as Europeans began constructing systems of government—domestic and imperial—and concentrating within the emerging national states an industrial system fueled by the products of colonial labor regimes. As European political economies matured within this broader context, “development” emerged as the definitive concept. Global in its origins, the meaning of development nevertheless focused on European accomplishments. While such accomplishments came with massive social—and often violent —upheaval, they have been represented in theory as a set of idealized outcomes to be emulated by other countries. Accordingly, the “end” of development justifies the means of getting there, however disruptive socially and ecologically the process may be.

At this point it is helpful to work with Michael Cowan and Robert Shenton’s distinction between development as an imminent and/or universal social process, and development as a political intervention. In the nineteenth century, development was understood philosophically as the improvement of humankind (in the form of knowledge-building, technological change, wealth accumulation). European political elites interpreted development practically, as a way to socially engineer emerging national societies. Elites formulated government policy to manage the social transformations attending the rise of capitalism and industrial technologies, so development was identified with both industrialization and the regulation of its disruptive social impacts. These impacts began with the displacement of rural populations by land enclosures for cash cropping, a process that generated “undesirables,” such as menacing paupers, restless proletarians, and unhealthy factory towns.2 Development, then, meant balancing technological change and class formation with social intervention, that is, managing the citizen-subjects who experienced wrenching social transformations. At the same time, such transformations became the catalyst of competing political visions—liberal, socialist, conservative—of the ideal society.

In Europe’s colonies, the inhabitants appeared undeveloped—by self-defined European standards. In this context, development (as “evolution”) ideologically justified imperial intervention, whether to plunder or civilize. Either way, the social engineering impulse framed the European colonization of the non-European world. Not only did the extraction of colonial resources facilitate European industrialization, but European colonial administrators managed subject populations as they experienced their own version of wrenching social transformations. Thus development assumed an additional, normative meaning, namely, the “white man’s burden”—the title of a poem by English poet Rudyard Kipling—imparting honor to an apparently noble task. The implied racism remains a part of the normative understanding (and world consequence) of development.

Under these circumstances, development extended modern social engineering to colonies incorporated into the European orbit. Subject populations were exposed to a variety of new disciplines, including forced labor schemes, schooling, and segregation in native quarters. Forms of colonial subordination differed across time and space, but the overriding object

was either to adapt or marginalize colonial subjects to the European presence. In this sense, development was a power relationship. For example, British colonialism introduced the English factory-model “Lancaster school” to the (ancient) city of Cairo in 1843 to educate Cairo’s emerging civil service. Egyptian students learned the new disciplines necessary to a developing society that was busily displacing peasant culture with plantations of cotton for export to English textile mills and managing an army of migrant labor building an infrastructure of roads, canals, railways, telegraphs, and ports.3 Through the colonial relation, industrialism was transforming both English and Egyptian society, producing new forms of social discipline among laboring populations and middle-class citizen-subjects. And, while industrialism produced new class inequalities within each society, colonialism racialized international inequality. In other words, development introduced new class and racial hierarchies within and across societies.

While development informed modern narratives in the age of industrialism and empire, it only became formalized as a project in the mid-twentieth century. This period was the high tide of decolonization, as the Western—British, Italian, German, French, Dutch, Portuguese, and Belgian—and Japanese empires collapsed, and when a standardizing concept, “development,” as an emancipatory promise, became the new global ontology (a way of seeing/ordering the world).

In 1945, the United Nations, with the intent of expanding membership as colonies gained independence as sovereign states, institutionalized the System of National Accounts. A universal quantifiable measure of development, the Gross National Product (GNP), was born. At this point, the colonial rule of subjects under the guise of civilizing inferior races morphed into the development project, based on the ideal of self-governing states composed of citizens united by the ideology of nationalism. By the twentieth century’s end, the global development project focused on market governance of and by self-maximizing consumers.

Development Theory

Specifying development as consumption privileges the market as the vehicle of social change. The underlying philosophy—deriving from a popular (but limiting) interpretation of Adam Smith’s The Wealth of Nations4 and formalized in neoclassical economic theory—is that markets maximize individual preferences and allocate resources efficiently. Whether this theory reflects reality or not, it is a deeply held belief that is now institutionalized in much development policy across the world. Why is this the case?

Naturalizing Development

There are two ways to answer this question. First, a belief in markets is a central tenet of liberal Western philosophy. Hungarian philosopher Karl Polanyi noted that modern liberalism rests on a belief in a natural propensity for self-gain, which translates in economic theory as the market principle—realized as consumer preference.5 Self-gain, expressed through the market, drives the aspiration for improvement, aggregated as development. Second, as

Polanyi noted, to naturalize (competitive) market behavior as a transhistorical attribute discounts other human attributes, or values—such as cooperation, redistribution, and reciprocity. For Polanyi, and other classical social theorists, economic individualism is quite novel in the history of human societies and specific to nineteenth-century European developments, rather than being an innate human characteristic.

While these other values are clearly evident today in human interactions, the aspiration for improvement, normalized now as a private motivation, informs development. That is, well-being and self-improvement are squarely centered on access to goods and services through the marketplace. Initial (dating from the mid-twentieth century) formulations of development paired private consumption with public provisions—infrastructure, education, health, water supply, commons, clean air, and so forth. The mid-twentieth century was the heyday of the welfare, or development, state. But from the last quarter of the twentieth century, increasingly all provisioning has been subjected to privatization, as the market becomes the medium through which we consume and develop. To this end, development has become synonymous with consumption.

This outcome was prefigured in one of the most influential theories of development emerging in the post–World War II world. In 1960, economist Walt Rostow published The Stages of Economic Growth: A Non-Communist Manifesto,6 outlining a development theory that celebrates the Western model of free enterprise—in contrast to a state-planned economy. The “stages” traversed a linear sequence, beginning with “Traditional Society” (agrarian, limited productivity) and moving through “Preconditions for Take-off” (state formation, education, science, banking, profit-systematization), “Take-off” (normalization of growth, with investment rates promoting the expanded reproduction of industry), and “Maturity” (the second industrial revolution that moved from textiles and iron to machine-tools, chemicals, and electrical equipment)—and finally to the “Age of High Mass-Consumption,” which is characterized by the movement from basic to durable goods, urbanization, and the rising level of white-collar versus blue-collar work.

This evolutionary sequence, distilled from the U.S. experience, represents the consumer society as the terminal stage of a complex historical process. Rostow also held out the U.S. model as the goal to which other (i.e., developing) societies should aspire, which partly explains Rostow’s subtitle—expressing the Cold War rivalry between the United States and the Soviet Union at the time. The theorization of development as a series of evolutionary stages naturalizes the process, whether it occurs on a national (development era) or an international (globalization era) stage. Mass consumption was a final goal to be realized through membership of the “free world” at the time, and by implication, U.S. assistance would be available to spur the Third World of post-colonial, developing nations into progress along the stages.

However, note that Rostow’s “development blueprint” depended on a political context. That is, markets were not so natural that they did not require creating, securing, and protecting (by a development state). Development was neither spontaneous or inevitable, rather it required an institutional complex on a world scale (a development project) to nurture it along, complete with trade, monetary, and investment rules, aid regimes, and a military umbrella—all of which were supplied through post-war multilateral institutions and bilateral

arrangements led by the United States. In this way, theory came to imitate reality, which in turn is shaped by theory—informing public discourse and translating into policy implementation.

Global Context

Reality, of course, is more complicated than it first appears. Rostow’s prescriptions artificially separated societies from one another. While this may have expressed the idealism of mid-twentieth century nationalism, to assign stages of growth to societies without accounting for their unequal access to offshore resources discounted a fundamental historic relationship between world regions that have been shaped by colonial and investment patterns. Not only did European powers once depend on their colonies for resources and markets, these patterns continued in the post-colonial era. Because of continuing First World dependence on raw materials from the Third World, some societies were more equal than others in their capacity to traverse Rostow’s stages, as we shall see in Chapter 4.

It was this reality that stimulated dependency analysis and world-system analysis. The concept of “dependency” emerged in the mid-twentieth century from several quarters—an empirical observation by economist Hans Singer that “peripheral” countries were exporting more and more natural resources to pay for increasingly expensive manufactured imports; an argument by Singer’s collaborator, Argentinean economist Raúl Prebisch, that Latin American states should therefore industrialize behind protective tariffs on manufactured imports; and earlier Marxist theories of exploitative imperialist relations between the European and the non-European world.7 “Dependency” referred to the unequal economic relations between metropolitan societies and non-European peripheries—a factor accounting for the development of the former at the expense of the underdevelopment of the latter. As economist Andre Gunder Frank put it:

[H]istorical research demonstrates that contemporary underdevelopment is in large part the historical product of past and continuing economic and other relations between the satellite underdeveloped and the now-developed metropolitan countries. … When we examine this metropolis-satellite structure, we find that each of the satellites … serves as an instrument to suck capital or economic surplus out of its own satellites and to channel part of this surplus to the world metropolis of which all are satellites.8

World-system analysis, advanced by sociologist Immanuel Wallerstein, deepened the concept of dependency by elevating the scope of the modern social system to a global scale. States became political units competing for—or surrendering—resources within a world division of labor. Here regional labor forces occupy a skill/technological hierarchy associated with state strength or weakness in the capitalist world-economy.9 From this perspective, the “core” concentrates capital-intensive or intellectual production and the “periphery” is associated with lower-skilled labor-intensive production, whether plantation labor or assembly of manufactured goods. As we shall see, this kind of geographical hierarchy is increasingly complicated by what journalist Thomas Friedman calls “flat world”

processes (an example is India’s Information Technology boom).10 While “dependency” broadens the analysis of development processes to world-scale

relationships, challenging the assumption that societies are aligned along a self-evident spectrum of growth stages, it implies a “development-centrism”—where (idealized western) development is the term of reference. In this regard Wallerstein has argued that given the power hierarchy of the world-system, (idealized western) “development” represents a “lode- star” or master concept of modern social theory.11 As such, the privileging of “development” denied many other collective/social strategies of sustainability or improvement in other cultures. Nevertheless, while measuring all societies against a conception of (industrial) development may have seemed the appropriate goal for modernization and dependency theory at mid-century, from the vantage point of the twenty-first century it is quite problematic. The growing recognition that the planet cannot sustain the current urban-industrial trends in China and India is one dramatic expression of this new reality.

Agrarian Questions

Urbanization is a defining outcome of development and the “stages of growth” metaphor, where “tradition” yields to “modernity” as industrialization deepens and nurtures it. Political scientist Samuel Huntington, writing about the process of modernization in Political Order and Changing Societies (1968), claimed, “Agriculture declines in importance compared to commercial, industrial, and other nonagricultural activities, and commercial agriculture replaces subsistence agriculture.”12 While this sequence is clearly in evidence, the way in which it has played out raises questions about the model of separate national development (leaving aside the problem of artificial boundary drawing of “nations” in the colonial world). Rather than commercial agriculture replacing subsistence agriculture in country by country, millions of small producers have been unable to survive because of foreign impact—in the form of colonialism, foreign aid, and unequal market relations—expressing the global power relations identified by dependency and world-system analysts. How we perceive these changes is the ultimate question: Even as social changes occur within nations, does that mean the change is “internally” driven? Thus, if subsistence agriculture declines or disappears, is this because it does not belong on a society’s “development ladder”?13 Or is it because of a deepening exposure of smallholders to unequal world market competition by agribusiness— where agricultural productivity ratios across high- and low-input farming systems have risen from 10 to 1 before 1940 to 2000 to 1 in the twenty-first century?14

Rather than simply developing “internally,” Britain progressively outsourced its agriculture to the colonies, replacing subsistence agriculture there with plantations for commercial export. Such a global process played out in the North American continent as well, and partly accounts for the commercial dynamism of U.S. agriculture by the twentieth century (informing Rostow’s model). Therefore, modeling the rise of commercial agriculture as a question of domestic transformation is only partially valid. Nevertheless, the absence of peasantries in the First World is a key register for development theory. A logical extrapolation (if not historical analysis) would therefore define peasant cultures elsewhere as remnants of “Traditional Society.” As such, and according to this development model, peasant

cultures are destined to disappear, whether because of urban gravitational pull, green revolution technologies, eviction by land grabs, or unequal competition from First World agribusiness exports.

Thus small farming cultures became development “baselines”—in theory, and in practice, given modern technology’s drive to replace labor and control production. Unrecognized is the superior capacity or potential in surviving agrarian cultures for managing and sustaining their ecosystems than commercial agriculture, which overrides natural limits with chemicals and other technologies that deplete soil fertility, hydrological cycles, and biodiversity.15 The current “global land grab” depends on representing small-holdings across the global South as “underutilized” land that would be better employed by conversion to commercial agricultural estates producing foods and biofuels largely for export.16 Such activities raise the question as to whether and to what extent development—as modeled—is inevitable or intentional, and national or international?

Ecological Questions

In addition, this particular example of agricultural land usage also underscores a significant ecological blindspot in development theory. Where the passage from subsistence to commercial agriculture is represented as improvement (of single-crop productivity), it is an insufficient measure if it does not take into account the “externals.” These are the significant social and environmental impacts such as disruption of agrarian cultures and ecosystems, the deepening of dependency on fossil fuel, and modern agriculture’s responsibility for up to a third of greenhouse gas emissions (GHG). It is this consequence that challenges the veracity of linear projections of development, and also the wisdom of replacing a long-standing knowledge-intensive culture/ecology (farming) with an industrialized economic sector (agriculture).

One key example of this ecological blindspot is its reproduction in the Human Development Index (HDI), constructed by the United Nations Development Programme (UNDP). The HDI overcame the singular emphasis on economic growth as development, but carried forward the absence of the ecological dimension:

The concept of human development focuses on the ends rather than the means of development and progress. The real objective of development should be to create an enabling environment for people to enjoy long, healthy and creative lives. Though this may appear to be a simple truth, it is often overlooked as more immediate concerns are given precedence.17

While the HDI is known for its more robust measurement of (human) development, its data sources have lacked environmental content. This is particularly so given that humanity has now overshot the earth’s biocapacity (see Figure 1.1). Focusing on the outcomes of development discounts how we live on the earth, that is, measuring what practices are sustainable or not. It was only in 2011 that the UNDP began to embrace an ecological sensibility. Thus the Human Development Report (2011) is “about the adverse repercussions

of environment degradation for people, how the poor and disadvantaged are worst affected, and how greater equity needs to be part of the solution.”18

Figure 1.1 Humanity’s Ecological Footprint

Source: Global Footprint Network 2010 National Footprint Accounts, see http://www.footprintnetwork.org/en/index.php/newsletter/bv/ humanity_now_demanding_1.4_earthsUS:official&channel=np&prmd =ivns&tbm=isch&tbo=u&source=univ&sa=X&ei=aPv_TYmj EOqy0AHx7LGvDg&ved=0CDMQsA Q&biw=1125&bih=821

Given the UNDP’s reputation for questioning conventional wisdom, this new focus is a counterpoint to the 2005 Millennium Ecosystem Assessment, which noted that the last half century of human action has had the most intensive and extensive negative impact on world ecosystems ever, and yet this has been accompanied by continuing global gains in human well-being.19 Known as the “environmentalist’s paradox” (since we might expect ecosystem degradation to negatively affect human well-being), researchers have noted that average measures of well-being may reduce the validity of this claim, but perhaps more significantly “technology has decoupled well-being from nature” and time lags will only tell.20 In other words, mastery of nature may be effective in the short-term in generating rising consumption patterns, but also in masking the long-term implications of ecosystem stress. What such research suggests is that development needs a robust sustainability dimension. It is in this context that this book ends with an account of an emerging Sustainability Project.

DEVELOPMENT PARADOXES

The environmentalist’s paradox, when inverted, is—in fact—a “development paradox.” Former World Bank economist Herman Daly formulated this as an “impossibility theorem,” namely, that the universalization of U.S.-style high mass consumption economy wouldhttp://www.footprintnetwork.org/en/index.php/newsletter/bv/humanity_now_demanding_1.4_earthsUS:official&channel=np&prmd=ivns&tbm=isch&tbo=u&source=univ&sa=X&ei=aPv_TYmjEOqy0AHx7LGvDg&ved=0CDMQsAQ&biw=1125&bih=821

require several planet Earths. Either way, the ultimate paradox here is that the environment is not equipped to absorb its unrelenting exploitation by the current growth model of endless accumulation. In other words, development as we know it is undermining itself.

Three of the nine planetary operational boundaries have been crossed already—climate change, biodiversity, and the nitrogen cycle—while others such as fresh water use and oceanic acidification are at serious tipping points. Meanwhile, the costs of ecological degradation are borne disproportionately by the poor—the very same people targeted by the development industry. Two paradoxical formulations follow: (1) development expands opportunity/prosperity but is realized through inequality; and (2) development targets poverty but often magnifies it. Related to these formulations is the notion (advanced by the World Bank in 1992) that economic growth is a condition for sustainable development, which the UK Stern Review of 2006 termed a paradox: since the cost of climate change adaptation would be far greater if we wait for higher future levels of wealth to address the problem.

Some subsidiary paradoxes include such questions as these: Are low-carbon cultures that live with rather than seek to master nature backward? Are non-western cultures judged poor in what makes western cultures rich? Is frugality poverty? Why is malnutrition common to western and non-western cultures (see Figure 1.2)? Are non-western cultures rich in what western cultures are now poor (non-monetized items such as open space, leisure, solidarity, ecological knowledge)? Should we measure living standards only in monetary terms?

Sources: Foster (2011), Stern (2006), Daly (1990).

Figure 1.2 Percentage of Population That Is Malnourished and Overweight

Source: Adapted from New Internationalist 353 (2003): 20.

Social Change

As we have seen, development theory provides a blueprint, and justification, for universalizing a process originating within Europe—but as “greater Europe,” since European industrialization depended on displacing non-European industry and capturing non-European resources (minerals, raw materials, labor, and foodstuffs). Justification of this exploitation meant representing colonial intervention as a civilizing mission to those opposing colonialism on moral grounds. Of course colonial subjects resisted—for example, the successful late- eighteenth-century slave uprising in the French colony of Saint Domingue (forming the Haitian free state), but also the unsuccessful Amritsar rebellion put down savagely by British forces in India in 1919. Such uprisings marked a long-term politics of decolonization, with colonial subjects gaining moral and material power as countermovements to European empires, which in turn became increasingly costly to maintain. Resistance to colonialism—including substantial peasant mobilizations from China to Mexico to Kenya—was matched with labor uprisings and political organization during the late-colonial era. The British faced widespread labor strikes in their West Indian and African colonies in the 1930s, and this pattern continued over the next two decades in Africa as British and French colonial subjects protested conditions in cities, ports, mines, and on the railways.21

In other words, large-scale social changes accompanying industrial development involve definitive power struggles. Colonial rule generated a politics of decolonization, including class conflict, identity/cultural claims, and the desire for equality and sovereignty. The colonial project was certainly anchored in class relations as empires subordinated colonial labor forces and resources to service imperial needs. But this economic relation was accompanied by fundamental racial politics that both justified subjugation and fueled resistances across the colonial world. Added to the mix was the human rights dimension, whereby the desire for equality and sovereignty driving European social changes resonated in anti-colonial movements. While all three dimensions inform social struggles today, including gender and indigenous rights, they are all conditioned by the global development project that emerged in the mid-twentieth-century postcolonial era. Here, decolonization led to a universal realization of sovereignty in the (European-based) form of the nation-state, and expressed in the establishment of the United Nations organization in 1945.

The divided racial legacy of colonialism certainly did not disappear, but a very diverse world was bound together now by a universal principle: an international governmental structure enshrining the meaning and measurement of development as a national standard. This was institutionalized in the UN System of National Accounts by which monetized economic activity was recorded as Gross National Product (GNP). Outside of the Communist bloc (also known as the Second World), as national economic growth and income levels became the measure of development, so First- and Third-World societies came to be governed by the market (and its metrics), with varying degrees of public regulation.

The “market society” was the product of modern capitalism and its drive to commodify social relations, expressed in monetary exchanges. As Karl Marx pointed out, even human labor power came to be commodified via the wage contract, as villagers lost their means of livelihood and were forced to work for wages.22 Karl Polanyi extended this observation to

land and currency, noting that with the rise of nineteenth-century market society each of these substances came to be traded for a price. He argued that neither labor, land, nor money were produced for sale, and so were really “fictitious commodities.” For this reason, when these substances are treated as commodities, workers, farmers, and businesses are exposed to exploitative or uncertain conditions. That is, their labor, farming, or entrepreneurship experience competitive relations beyond their control, by a market with seemingly independent authority. Under these circumstances, Polanyi proposed that social movements would inevitably arise to protect society from unregulated markets (a “double movement”)— in effect, to re-embed markets within social controls. For Polanyi, the proof of this pudding was establishment of the twentieth-century welfare state, which became a model for the development state. It arose out of a European-wide social mobilization to protect the rights of workers, farmers, and businesses from the ill effects of unrestrained markets.23

The Projects as Framework

Within the terms of this broad social change theory, then, the postcolonial world order emerged from the combined force of decolonization politics and the new model of publicly regulated capitalist markets (as distinct from the communist model of a state-planned economy). Development as an ideal and as a policy carried forward the social welfare dimension, reinforced by the UN Declaration of Universal Human Rights (1948), through which governments were enjoined to protect civil rights through a social contract between state and citizen. This contract defined the era of the development project (1940s–1980), rooted in public regulation of markets as servants of states. The following era of the globalization project (1980s–through the present) saw markets regain ascendancy—with states as servants—and the incorporation of the “good market, bad state” mantra into public discourse. The tension between these poles continues in the emerging sustainability project (2000s onward) as the world transitions to a new project governed by a “climate regime.”

This book frames the story of development around these three projects, as a clarifying method to underline the point that the meaning and practice of development changes with changing political-economic (and environmental) conditions. The transition from the development to the globalization project involved a political countermovement “from above” by powerful business and financial interests and their allies to reduce or eliminate public regulation of corporations and their ability to operate across national borders. Deregulation of markets has been the ultimate goal, legitimized by neo-liberal economic theory. And subsequent controversies over the impact of globalization at the turn of the twenty-first century have been generated by social mobilization “from below,” driven by economic destabilization and intensification of social inequalities as markets have been disembedded from social controls.24

The development paradox, where poverty accompanies economic growth, is evident in the control of 50 percent of the world’s income by the wealthiest 10 percent of the world’s population, as well as in the deepening food crisis rendering over a billion people chronically hungry.25 In India—with annual economic growth rates around 8 percent and projections of overtaking China’s by 2013—almost half of its children under the age of five

were malnourished in 2010. The paradox can be qualified by public action—when in 2009, child malnutrition was 42.5 percent in India, it was just 7 percent in China.26

The current market malaise and combination of crises—food, energy, climate, social— suggests the world is in transition toward another project, which I term the Sustainability Project. The dynamic that links these projects, and accounts for their succession, can be thought of as a series of Polanyian “double movements” (politicization of market rule via social mobilization). The colonial project accompanying the rise of capitalist markets yielded to the development project as social and decolonization countermovements challenged the ascendancy of the market in their respective territories. Then the development project yielded to a globalization project intent on restoring market sway and reducing the power of states and citizens to the status of servants and consumers respectively.

Currently, the crisis of the globalization project (addressed in Chapter 8) is stimulating a wide range of sustainability initiatives, from the global to the local scale, that are geared to containing or reducing environmental degradation and climate warming. How these may coalesce into some kind of world ordering is not yet clear. Whether we will see or make a more authoritarian world order built on energy and climate security claims, or some decentralized ecologically-based social organization, are some of the possibilities that are informing debate (see Chapter 9). In the meantime, it is important to situate our condition via some “development coordinates.”

The Development Experience

Development is not an activity that other societies do to catch up to the “developed societies.” That nomenclature is unfortunate, since it suggests there is a state of development enjoyed by a minority of the world’s population that is the goal and envy of the rest of the world. It forgets that development is an endless process, not an end. Indeed, some argue that the West is busy “undeveloping” as jobs relocate to growth areas like China and India, as public infrastructure decays, and social services such as education and health care dwindle. From this perspective, development—at the national level—does not look like a linear process, nor is it a model outcome.

From a global perspective, development redistributes jobs to lower-wage regions. While transnational firms thereby enhance profitability, Northern consumers (at least those with incomes) enjoy access to low-cost products that are produced offshore. In this sense, development has been identified—for its beneficiaries—as consumption. This of course corresponds with Rostow’s final growth stage, but not as a national characteristic—rather as a global relationship. Much of what we consume today has global origins. Even when a product has a domestic “Made in …” label, its journey to market probably combines components and labor from production and assembly sites located around the world. Sneakers, or parts thereof, might be produced in China or Indonesia, blue jeans assembled in the Philippines, a cell phone or portable media player put together in Singapore, and a watch made in Hong Kong. The British savor organic vegetables from western China, the Chinese eat pork fed with Brazilian soy, and North Americans consume fast foods that may include chicken diced in Mexico or hamburger beef from cattle raised in Costa Rica. And, depending

on taste, our coffee is from Southeast Asia, the Americas, or Africa. We readers may not be global citizens yet, but we are certainly global consumers.

But global consumers are still a minority. While over three-quarters of the world’s population can access television images of the global consumer, only half of that audience has access to sufficient cash or credit to consume. Television commercials depict people everywhere consuming global commodities, but this is just an image. We know that 20 percent of the world’s population consume 86 percent of all goods and services, while the poorest 20 percent consume just 1.3 percent.27 Distribution of, and access to, the world’s material wealth is extraordinarily uneven. Almost half of the ex-colonial world dwells now in slums. Over 3 billion people cannot, or do not, consume in the Western style. Uruguayan writer Eduardo Galeano observes,

Advertising enjoins everyone to consume, while the economy prohibits the vast majority of humanity from doing so. … This world, which puts on a banquet for all, then slams the door in the noses of so many, is simultaneously equalizing and unequal: equalizing in the ideas and habits it imposes and unequal in the opportunities it offers.28

And yet it is important also to note that while we may be accustomed to a commercial culture, and view it as the development “standard,” other cultures and peoples are noncommercial, not comfortable with commercial definition, or are simply marginal to commercial life. Contrary to media images, global consumerism is neither accessible to—nor possible for—a majority of humans, nor is it a universal aspiration.

Nevertheless, the global marketplace binds consumers, producers, and even those marginalized by resource consumption. Consumers everywhere are surrounded, and often identified by, world products. One of the most ubiquitous, and yet invisible, world products is coltan, a metallic ore used in consumer electronics, such as computers and cell phones, in addition to nuclear reactors. It comes predominantly from the Congo, where militarized conflict over this valuable resource caused nearly 4 million deaths, and mining has negative environmental consequences for forests and wild-life. Such ethical issues, similar to those associated with “blood diamonds,” have driven some electronics corporations to mine coltan elsewhere in Africa.29

The global marketplace is a matrix of networks of commodity exchanges. In any one network, there is a sequence of production stages, located in a number of countries at sites that provide inputs of labor and materials contributing to the fabrication of a final product (see Figure 1.3). These networks are called commodity chains. The chain metaphor illuminates the interconnections among producing communities dispersed across the world. And it allows us to understand that, when we consume a product, we often participate in a global process that links us to a variety of places, people, and resources. While we may experience consumption individually, it is a fundamentally social—and environmental—act.

Commodity chains enable firms to switch production sites for flexible management of their operations (and costs). Any shopper at The Gap, for example, knows that this clothing retailer competes by changing its styles on a short-term cycle. Such flexibility requires access through subcontractors to labor forces, increasingly feminized, which can be intensified or let

go as orders and fashion changes. Workers for these subcontractors often have little security —or rights—as they are one of the small links in this global commodity chain stretching across an unregulated global workplace.

The world was shocked in 2010 when 18 Chinese migrant workers between 17 and 25 years old attempted suicide at Foxconn factories in three Chinese provinces. Foxconn recorded profits that year in excess of some of its corporate customers, such as Microsoft, Dell, and Nokia. Foxconn—responsible for producing iPhone 4, the iPod, and iPad 2— captures 50 percent of the world electronics market share in manufacturing and service.30

Figure 1.3 A Commodity Chain for Athletic Shoes

Source: Adapted from Bill Ryan and Alan During, “The Story of a Shoe,” World Watch, March/April 1998.

CASE STUDY Waste and the Commodity Chain

The disconnect between development theory and the environment is dramatized by the problem of waste, concealed in plain sight. The fact that consumption simultaneously produces waste is neither something consumers want to acknowledge, nor does it feature in

measures of economic growth. And yet waste in general, and electronic waste (e-waste) in particular, are huge and problematic by-products of our lifestyle. The household electronics sector is now the fastest growing segment of municipal waste streams, as computing and communication technologies rapidly evolve. The UN estimates the annual global generation of waste from electrical and electronic equipment (WEEE) runs at a rate of between 20–50 million tons. In 2009, the UN Environment Programme (UNEP) reported that e-waste could increase by 500 percent over the next decade in rising middle-income countries. The toxicity of this waste is extraordinary: From 1994–2003, for example, disposal of personal computers released 718,000 tons of lead, 287 tons of mercury, and 1,363 tons of cadmium into landfills worldwide.

Cellular, or mobile, phones (1.2 billion sold globally in 2007) leach more than 17 times the U.S. federal threshold for hazardous waste. And yet the noxious ingredients (including silver, copper, platinum, and gold) are valued on secondhand markets, just as discarded e-waste may be recycled for reuse in poorer markets—sometimes by businesses such as Collective Good, which donate a portion of the profits to the Red Cross or the Humane Society. Refurbishing phones occurs from Ghana to India, where labor costs are lower and environmental regulations are less. About 70 percent of the world’s discarded e-waste finds its way through informal networks to China, where it is scavenged for usable parts—often by children with no protection—and abandoned to pollute soil and groundwater with toxic metals. Africa is one of the largest markets for discarded phones, while China sells between 200–300 million phones annually to dealers in India, Mongolia, Vietnam, and Thailand, from where they may pass on to buyers in Laos, Cambodia, Bangladesh, and Myanmar. Just as water seeks its own level, unregulated markets enable toxic waste to leach into the global South. While there are regulations regarding hazardous waste, the 170-nation agreement called the Basel Convention is ambiguous on the question of restricting the movement of e-waste from North to South.

Why is the current fixation on the virtual, or “de-materialized” information economy unable to recognize the dependence on offshore manufacturing and disposal of waste—both of which pose social and environmental hazards?

Sources: Schwarzer et al. (2005); Widmer et al. (2005); Mooallem (2008); Leslie (2008); Salehabadi (2011).

Not everything we consume has such global origins, but the trend toward these worldwide supply networks is powerful. Our food, clothing, and shelter, in addition to other consumer comforts, have increasingly long supply chains. Take food, for example. Britain was the first nation to deliberately “outsource” a significant part of its food supply to its empire in the 1840s. In spite of the fact that the British climate is ideal for fruit production, 80 percent of pears and almost 70 percent of apples consumed by Britons now come from Chile, Australia, the United States, South Africa, and throughout the European Union.31 The Dutch concept of “ghost acres” refers to additional land offshore used to supply a national diet. Britons are estimated to use about 4.1 million hectares of ghost acres to grow mainly animal feed.32 Ghost acres include “food miles,” prompting the remark, “This form of global sourcing … is

not only energy-inefficient, but it is also doubtful whether it improves global ‘equity,’ and helps local farmers to meet the goals of sustainable development.”33 In other words, much commercial agriculture today is dedicated to supplying the global consumer rather than improving production for domestic consumers. It is extraverted, rather than introverted as in the Rostow schema. Thus,

Half of all [Guatemala’s] children under five are malnourished—one of the highest rates of malnutrition in the world. Yet the country has food in abundance. It is the fifth largest exporter of sugar, coffee, and bananas. Its rural areas are witnessing a palm oil rush as international traders seek to cash in on demand for biofuels created by U.S. and EU mandates and subsidies. But despite being a leading agro-exporter, half of Guatemala’s 14 million people live in extreme poverty, on less than $2 a day.34

Globalization deepens the paradox of development by virtue of its sheer scale. Integrating the lives of consumers and producers across the world does not necessarily mean universalizing the benefits of development. The distance between consumers, and producers and their environments, means it is virtually impossible for consumers to recognize the impact of their consumption on people and environments elsewhere. At the other end, producers experience the social distance in the difficulty in voicing concerns about working conditions or the health of their habitats. Bridging this distance has become the focus of initiatives such as fair trade, or brand boycotts organized by activist movements or nongovernmental organizations (NGOs), to enhance transparency with information to support more responsible consumption.

CASE STUDY Consuming the Amazon

In a recent report, Eating Up the Amazon, Greenpeace noted that “Europe buys half the soya exported from the Amazon state of Matto Grosso, where 90% of rainforest soya is grown. Meat reared on rainforest soya finds its way on to supermarket shelves and fast food counters across Europe.” As the Greenpeace website claimed, “nuggets of Amazon forest were being served up on a platter at McDonald’s restaurants throughout Europe.” Following this dramatic report, McDonald’s slapped a moratorium on purchasing soya grown in newly deforested regions of the rainforest, and entered into an alliance with Greenpeace, and other food retailers, to develop a zero deforestation plan, involving the government in monitoring the integrity of the forest and of its inhabitants, some of whom had been enslaved and subjected to violence. The global soy traders, Cargill, ADM, Bunge, Dreyfus, and Maggi, made a two-year commitment to the alliance.

What is all this about? Quite simply, like many nongovernmental organizations (NGOs) today, Greenpeace made the lifestyle connection and ecological relation embodied in chicken nuggets explicit. Documenting the ways in which the Brazilian soy boom—with all its social and environmental consequences—is a product of the fast food diet, Greenpeace made visible what is routinely invisibilized by an impersonal marketplace. By tracing the soy chain—with the aid of satellite images, aerial surveillance, classified government documents, and on-ground observation—Greenpeace reconstructed the geography of the

soy trade, bringing the ethical dimensions of their diet to consumers’ notice. While traders can escape the notice of the consuming public, retailers have become “brand sensitive” in an era in which information technology has created a new public space, and consumers have the ability to choose not to consume products that come with baggage.

What is the value of fast food compared with the value of preserving one of the richest and most biologically diverse rainforests on the planet—especially given that the scientific journal Nature recently warned that 40 percent of the Amazon rainforest will disappear by 2050 if current trends continue?

Source: Greenpeace, Eating Up the Amazon, 2006. Available at www.greenpeace.org.

With only 6 percent of the world adult population, North America holds 34 percent of household wealth (in monetary terms). Europe and high-income Asia-Pacific countries also have disproportionate wealth, whereas the overall share of wealth of Africans, Chinese, Indians, and other lower-income countries in Asia is substantially less than their population share, sometimes by a factor of more than ten.35 Standardizing development measures reinforces the belief that there is a high correlation between GNP and social well-being. Clive Hamilton, executive director of the Australian Institute think tank, notes, “The evidence shows that, beyond a certain point, increased income does not result in increased well- being.”36

CONCLUSION

Development, conventionally associated with economic growth, is a recent phenomenon. With the rise of European capitalism, state bureaucrats pursued economic growth to finance their needs for military protection and political legitimacy. But “development,” as such, was not yet a worldwide strategy. It became so only in the mid-twentieth century, as newly independent states embraced development as an antidote to colonialism, with varying success.

The mid-twentieth-century development project (1940s–1970s) was an internationally orchestrated program of nationally-sited economic growth across the Cold War divide, involving superpower-provided financial, technological, and military assistance. Development was a United Nations ideal, as formerly colonized subjects gained political independence, and governments implemented a human rights–based social contract with their citizens. This book traces the implementation of this project, noting its partial successes and ultimate failure, in its own terms, to equalize conditions across the world, and the foreshadowing of its successor, the globalization project, in laying the foundations of a global market that progressively overshadowed the states charged with development in the initial post–World War II era.

The globalization project (1970s–2000s) superimposed open markets across national boundaries, liberalizing trade and investment rules, and privatizing public goods and services. Corporate rights gained priority over the social contract and redefined developmenthttp://www.greenpeace.org

as a private undertaking. The neoliberal doctrine (“market freedoms”) underlying the globalization project has been met with growing contention, symbolized by the anti-neoliberal social revolt in Latin America over the last decade and the recent Middle-East rebellions, and the growing weight and assertiveness of China (and India) in the world political economy. Polanyi’s double movement is alive and well.

Whether the global market will remain dominant is still to be determined. In the meantime an incipient sustainability project, heavily influenced by the climate change emergency, is forming, with China leading the green technology race and a myriad of environmental and justice movements across the world pushing states, business leaders, and citizens toward a new formulation of development as “managing the future” sustainably.

FURTHER READING

Crow, Ben, and Suresh K. Lodha. The Atlas of Global Inequalities. Berkeley: University of California Press, 2011.

Payne, Anthony, and Nicola Phillips. Development. Cambridge: Polity, 2010. Perrons, Diane. Globalization and Social Change: People and Places in a Divided World.

London: Routledge, 2004. Sage, Colin. Environment and Development. London: Routledge, 2011. Willis, Katie. Theories and Practices of Development. London: Routledge, 2011.

SELECT WEBSITES

Eldis Gateway to Development Information: www.eldis.org Global Exchange: www.globalexchange.org New Internationalist: www.newint.org Raj Patel: www.RajPatel.org UNDP Human Development Reports: http://hdr.undp.org/en/ World Bank Development Report: http://wdronline.worldbank.org/http://www.eldis.orghttp://www.globalexchange.orghttp://www.newint.orghttp://www.RajPatel.orghttp://hdr.undp.org/en/http://wdronline.worldbank.org/

PART I

The Development Project (Late 1940s to Early 1970s)

D

2 Instituting the Development Project

evelopment emerged during the colonial era. While it may have been experienced by nineteenth century Europeans as something specifically European, over time it came to

be viewed as a universal necessity. Understanding why this was so helps to answer the question “what is development?”

As we have seen in Chapter 1, development (as social engineering) framed European colonization of the non-European world. Not only did the extraction of colonial resources facilitate European industrialization, but this process also required colonial administrators to manage subject populations adjusting to the extractive economy and monocultures, administering colonial rule for their masters, and experiencing physical, as well as psychic displacement. Under these circumstances, development assumed an additional meaning: the proverbial “white man’s burden,” a dimension that has persisted in various ways.

Non-European cultures were irrevocably changed through colonialism, and the postcolonial context was founded on inequality. When newly independent states emerged, political leaders had to negotiate an unequal international framework not of their making but through which their governments acquired political legitimacy. How that framework emerged is the subject of this chapter. But first we must address the historical context of colonialism.

Colonialism

Our appeal to history begins with a powerful simplification. It concerns the social psychology of European colonialism, built largely around stereotypes that have shaped perceptions and conflict for at least five centuries. (Colonialism is defined and explained in the box below, and the European colonial empires are depicted in Figure 2.1.) One such perception was the idea among Europeans that non-European native people or colonial subjects were “backward” and trapped in stifling cultural traditions. The experience of colonial rule encouraged this image, as the juxtaposition of European and non-European cultures invited comparison—but through the lens of Europe’s powerful missionary and military-industrial apparatus. This comparison was interpreted—or misinterpreted—as European cultural superiority. It was easy to take the next step and view the difference as “progress,” something the colonizers had, and could impart to their subjects.

WHAT IS COLONIALISM?

Colonialism is the subjugation by physical and psychological force of one culture by

another—a colonizing power—through military conquest of territory and stereotyping the relation between the two cultures. It predates the era of European expansion (fifteenth to twentieth centuries) and extends to Japanese colonialism in the twentieth century and, most recently, Chinese colonization of Tibet. Colonialism has two forms: colonies of settlement, which often eliminate indigenous people (such as the Spanish destruction of the Aztec and Inca civilizations in the Americas); and colonies of rule, where colonial administrators reorganize existing cultures by imposing new inequalities to facilitate their exploitation. Examples of this are the British creation of local landlords, zamindars, to rule parts of India; the confiscation of personal and common land for cash cropping; depriving women of their customary resources; and the elevation of ethnoracial differences, such as privileging certain castes or tribes in the exercise of colonial rule. Outcomes are, first, the cultural genocide or marginalization of indigenous people; second, the introduction of new tensions around class, gender, race, and caste that continue to disrupt postcolonial societies; third, the extraction of labor, cultural treasures, and resources to enrich the colonial power, its private interests, and public museums; fourth, the elaboration of ideologies justifying colonial rule, including racism and notions of backwardness; and fifth, various responses by colonial subjects, ranging from death to submission and internalization of inferiority to a variety of resistances—from everyday forms to sporadic uprisings to mass political mobilization.

Figure 2.1 European Colonial Empires at the Turn of the Twentieth Century

Such a powerful misinterpretation—and devaluing—of other cultures appears frequently in historical accounts. It is reflected in assumptions made by settlers about indigenous people they encountered in the Americas and Australasia. Europeans perceived the Native Americans and aboriginal Australians as people who did not “work” the land they inhabited. In other words, the native populations had no right of “property”—a European concept in which property is private and alienable. Their displacement from their ancestral lands is a bloody reminder of the combined military power and moral fervor with which the European powers pursued colonization. It also foreshadowed the modern practice of rupturing the unity of the human and natural world, a unity that characterized non-European cultures.

In precolonial Africa, communities relied on ancestral ecological knowledge and earth- centered cosmologies to sustain themselves and their environment. These methods were at once conservative and adaptive because, over time, African communities changed their composition, scale, and location in a long process of settlement and migration through the lands south of the equator. European colonists in Africa, however, saw these superstitious cultures as static and as only occupying—rather than improving—the land. This perception ignored the complex social systems adapted first to African ecology and then to European occupation.1 Under these circumstances, Europeans viewed themselves as bringing civilization to the non-white races. French historian Albert Sarraut, ignoring non-European

inventions such as gunpowder, the compass, the abacus, moveable type printing, and the saddle, claimed,

It should not be forgotten that we are centuries ahead of them, long centuries during which—slowly and painfully, through a lengthy effort of research, invention, meditation and intellectual progress aided by the very influence of our temperate climate—a magnificent heritage of science, experience, and moral superiority has taken shape, which makes us eminently entitled to protect and lead the races lagging behind us.2

The ensuing colonial exchange was captured in the postcolonial African saying, “When the white man came he had the Bible and we had the land. When the white man left, we had the Bible and he had the land.” Under colonialism, when non-Europeans lost control of their land, their spiritual life was compromised insofar as it was connected to their landscapes. It was difficult to sustain material and cultural integrity under these degrading extractive processes and conditions. At the same time, European colonization of natural resources converted land, water, cultivars, and food into economic categories, discounting their complex regenerative capacities and ecological interdependencies.

What Are Some Characteristics of Precolonial Cultures?

All precolonial cultures had their own ways of satisfying their material and spiritual needs. Cultures varied by the differentiation among their members or households according to their particular ecological endowments and social contact with other cultures. The variety ranged from small communities of subsistence producers, who lived off the land or the forest, to extensive kingdoms or states. Subsistence producers, organized by kin relations, usually subdivided social tasks between men, who hunted and cleared land for cultivation, and women, who cultivated and processed crops, harvested wild fruits and nuts, and performed household tasks. These cultures were highly skilled in resource management and production to satisfy their material needs. They generally did not produce a surplus beyond what was required for their immediate needs, and they organized cooperatively—a practice that often made them vulnerable to intruders because they were not prepared for self-defense. Unlike North American Indians, whose social organization provided leadership for resistance, some aboriginal cultures, such as those of Australia and the Amazon, lacked leadership hierarchies and were more easily wiped out by settlers. By contrast, the Mogul empire in seventeenth century India had a complex hierarchical organization based on local chiefdoms in which the chief presided over the village community and ensured that surpluses (monetary taxes and produce) were delivered to a prosperous central court and “high culture.” Village and urban artisans produced a range of metal goods, pottery, and crafts, including sophisticated muslins and silks. Caste distinctions, linked to previous invasions, corresponded to divisions of labor, such as trading, weaving, cultivating, ruling, and performing unskilled labor. Colonizers typically adapted such social and political hierarchies to their own ends—alienating indigenous

cultures from their natural ecologies, and their political systems from their customary social functions, incubating tensions that have been inherited by postcolonial states.

Sources: Bujra (1992); Rowley (1974).

Development thus came to be identified as the destiny of humankind. The systematic handicapping of non-Europeans in this apparently natural and fulfilling endeavor remained largely unacknowledged, just as non-European scientific, ecological, and moral achievements, and legacies in European culture, were generally ignored. Being left holding the Bible was an apt metaphor for the condition of non-Europeans who were encouraged to pursue the European way—often without the resources to accomplish this task—of “development.”

The Colonial Division of Labor

From the sixteenth century, European colonists and traders traveled along African coasts to the New World and across the Indian Ocean and the China seas seeking fur, precious metals, slave labor, spices, tobacco, cacao, potatoes, sugar, and cotton. The principal European colonial powers—Spain, Portugal, Holland, France, and Britain—and their merchant companies exchanged manufactured goods such as cloth, guns, and implements for these products and for Africans taken into slavery and transported to the Americas. In the process, they reorganized the world.

The basic pattern was to establish in the colonies specialized extraction and production of raw materials and primary products that were unavailable in Europe. In turn, these products fueled European manufacturing as industrial inputs and foodstuffs for its industrial labor force. On a world scale, this specialization between European economies and their colonies came to be termed the colonial division of labor (see Figure 2.2).

Figure 2.2 Distinguishing Between an International and a National Division of Labor

While the colonial division of labor stimulated European industrialization, it forced non- Europeans into primary commodity production. Specialization at each end of the exchange set

in motion a transformation of social and environmental relationships, fueled by a dynamic relocation of resources and energy from colony to metropolis: an unequal ecological exchange.3 Not only were the colonies converted into exporters of raw materials and foodstuffs, they also became “exporters of sustainability.”4

CASE STUDY The Colonial Division of Labor and Unequal EcologicalExchange

The ecological dimension of the colonial division of labor reminds us that industrialism is premised on transforming nature from a regenerative system to mere “raw material.” Prior to industrial society and colonialism, the majority of humans depended on their local ecosystem to supply their various needs via a multiplicity of locally produced materials, harvesting just what was necessary. Overharvesting resources wastes energy, reducing an ecosystem’s capacity and thereby threatening the sustainability of the human community. The colonial division of labor depended on overharvesting. Here, trade across ecosystemic boundaries focused extractive activities on those few resources profitable to the traders. Stephen Bunker and Paul Ciccantell, in their research on Amazonian ecology, observe, “Extractive economies thus often deplete or seriously reduce plants or animals, and they disrupt and degrade hydrological systems and geological formations [which] serve critical functions for the reproduction of other species and for the conservation of the watercourses and land forms on which they depend. Losses from excessive harvesting of a single species or material form can thus ramify through and reduce the productivity and integrity of an entire ecosystem.”

The early Portuguese colonists, enslaving indigenous labor, extracted luxury goods from the Amazon such as cacao, rosewood, spices, caymans, and turtle eggs—all of which had high value to volume ratios in European markets. Wealthy Europeans prized turtle oil for perfume and lighting their lamps, but wasteful harvesting of turtle eggs for the oil severely depleted protein supplies and Amazonian aquatic environments on which populations depended for their material reproduction. English and French colonies of the eighteenth century imposed monocultures of sugar, tobacco, coffee, and tea. Mimi Sheller observes, “In consuming the Caribbean … Europe was itself transformed.”

By the nineteenth century, European and North American extraction focused on industrial inputs such as rubber, further disrupting Amazonian habitats and ecology and exposing local industry to competition from commodities imported cheaply in the ample cargo space on the return leg of the rubber transport ships. As demand for rubber intensified later in the century, rubber plantations were established in Southeast Asia and Africa, by the British and the Americans respectively—in turn transforming those ecologies by introducing monocultures, and also impoverishing the Amazonian economy as feral rubber extraction declined.

Why does the developmentalist focus on human exchange through trade ignore the exchange with nature?

Sources: Bunker and Ciccantell (2005: 34–47); Sheller (2003: 81).

The colonial division of labor, as cause and consequence of economic growth, exposed non-European cultures and ecologies to profound disorganization, given the precipitous way in which colonies were converted into supply zones of labor and resources. Local crafts and mixed farming systems were undermined, alienating land and forests for commercial exploitation and rupturing the ecological balance. Not only did non-European cultures surrender their handicraft industries in this exchange, but also their agriculture was often reduced to a specialized export monoculture, where local farmers produced a single crop, such as peanuts or coffee, for export, or plantations (sugar, cotton, tea, rubber, bananas) were imposed on land appropriated from those who became plantation laborers. Systems of export agriculture interrupted centuries-old patterns of diet and cultivation, creating the all-too- familiar commercial food economy, in which “what was grown became disconnected from what was eaten, and for the first time in history, money determined what people ate and even if they ate.”5

Handicraft decline was often deliberate and widespread. Perhaps the best-known destruction of native crafts occurred through Britain’s conquest of India. Until the nineteenth century, Indian cotton muslins and calicos were luxury imports into Europe (as were Chinese silks and satins). By that time, however, the East India Company (which ruled India for the British Crown until 1858) undermined this Indian craft and, in its own words, “succeeded in converting India from a manufacturing country into a country exporting raw produce.”6 The company had convinced the British government to use tariffs of 70 to 80 percent against Indian finished goods and to permit virtually free entry of raw cotton into England. In turn, British traders flooded India with cheap cloth manufactured in Manchester. Industrial technology (textile machinery and the steam engine) combined with political power to impose the colonial division of labor, as British-built railway systems moved Indian raw cotton to coastal ports for shipment to Liverpool and returned across India with machine-made products, undermining a time-honored craft.

Social Reorganization under Colonialism

The colonial division of labor devastated producing communities and their craft- and agriculture-based systems. When the British first came to India in the mid-eighteenth century, Robert Clive described the textile city of Dacca as “extensive, populous, and rich as the city of London.” By 1840, Sir Charles Trevelyan testified before a British parliamentary committee that the population of Dacca “has fallen from 150,000 to 30,000, and the jungle and malaria are fast encroaching upon the town. … Dacca, the Manchester of India, has fallen off from a very flourishing town to a very poor and small town.”7

While native industries declined under colonial systems, local farming cultures lost their best lands to commercial agriculture supplying European consumers and industries. Plantations and other kinds of cash cropping proliferated across the colonial world, producing specialized tropical exports ranging from bananas to peanuts, depending on local agri-ecologies (see Table 2.1). Non-European societies were fundamentally transformed through the loss of resources and craft traditions as colonial subjects were forced to labor in mines, fields, and plantations to produce exports sustaining distant European factories. This

was a global process, whereby slaves, peasantries, and laborers in the colonies provisioned European industrial classes with cheap colonial products such as sugar, tea, tropical oils, and cotton for clothing. European development was realized through a racialized global relationship, “underdeveloping” colonial cultures. The legacy of this relationship continues today—for example, Mali (ranked 160th out of 169 on the UN Human Development Index) derives half of its export revenues from cotton, with 40 percent of its population depending on this crop for their livelihoods, but the country is in unequal competition with highly subsidized cotton producers in the United States, the European Union, and China.8

Colonial systems of rule focused on mobilizing colonial labor. For example, a landed oligarchy (the hacendados) ruled South America before the nineteenth century in the name of the Spanish and Portuguese monarchies, using an institution called encomienda to create a form of native serfdom. Settler colonialism also spread to North America, Australasia, and southern Africa, where settlers used military, legal, and economic force to wrest land from the natives for commercial purposes using slave, convict, and indentured labor.9 As the industrial era matured, colonial rule (in Asia and Africa) grew more bureaucratic. By the end of the nineteenth century, colonial administrations were self-financing, depending on military force and the loyalty of local princes and chiefs, tribes, and castes (note that the British presence never exceeded 0.5 percent of the Indian population).10 Native rulers were bribed with titles, land, or tax-farming privileges to recruit male peasants to the military and to force them into cash cropping to pay the taxes supporting the colonial state.

Table 2.1 Selected Colonial Export Crops

Male entry into cash cropping disrupted patriarchal gender divisions, creating new gender inequalities. Women’s customary land-user rights were often displaced by new systems of

private property, circumscribing food production, traditionally women’s responsibility. Thus British colonialism in Kenya fragmented the Kikuyu culture as peasant land was confiscated and men migrated to work on European estates, reducing women’s control over resources and lowering their status, wealth, and authority.

In India, production of commercial crops such as cotton, jute, tea, peanuts, and sugar cane grew by 85 percent between the 1890s and the 1940s. In contrast, in that same period, local food crop production declined by 7 percent while the population grew by 40 percent, a shift that spread hunger, famine, and social unrest.11 Using tax and irrigation policies to force farmers into export agriculture, Britain came to depend on India for almost 20 percent of its wheat consumption by 1900. Part of the reason that “Londoners were in fact eating India’s bread” was the destruction of Indian food security by modern technologies converting grain into a commodity. New telegraph systems transmitted prices set by London grain merchants, prying grain reserves from villages along railway networks for export to Britain. Thus new global market technologies undermined the customary system of grain reserves organized at the village level as protection against drought and famine. For example, during the 1899– 1900 famine, 143,000 peasants in Berar starved to death as the province exported tens of thousands of cotton bales in addition to 747,000 bushels of grain.12

Starvation in the colonies was not simply due to conversion of resources into export commodities. British rule in India, for example, converted the “commons” into private property or state monopolies. Forest and pasture commons were ecological zones of nonmarket resources to which villagers were customarily entitled—village economy across monsoonal Asia “augmented crops and handicrafts with stores of free goods from common lands: dry grass for fodder, shrub grass for rope, wood and dung for fuel, dung, leaves, and forest debris for fertilizer, clay for plastering houses, and, above all, clean water. All classes utilized these common property resources, but for poorer households they constituted the very margin of survival.”13 By the end of the 1870s, Britain had enclosed all Indian forests, previously communally managed. Ending communal access to grassland resources ruptured “the ancient ecological interdependence of pastoralists and farmers,” and age-old practices of extensive crop rotation and long fallow, to replenish soils, declined with the expansion of cotton and other export monocrops.14 Export monocultures displaced indigenous irrigation systems with canals, which blocked natural drainage, and thus exacerbating water salinity and pooling water in swamps, the perfect host environment for the dreaded malarial anopheline mosquito. A British engineer reported to the 1901 Irrigation Commission, “Canals may not protect against famines, but they may give an enormous return on your money.”15

The colonial division of labor developed European capitalist civilization (with food and raw materials) at the same time that it undermined non-European cultures and ecologies. As European industrial society matured, the exploding urban populations demanded ever- increasing imports of sugar, coffee, tea, cocoa, tobacco, and vegetable oils from the colonies, and the expanding factory system demanded ever-increasing inputs of raw materials such as cotton, timber, rubber, and jute. The colonists forced more and more subjects to work in cash cropping, employing a variety of methods such as enslavement, taxation, land grabbing, and recruitment for indentured labor contracts.

As the African slave trade subsided, the Europeans created new schemes of forced, or

indentured, labor. Indian and Chinese peasants and handi-craftsmen, impoverished by colonial intervention or market competition from cheap textiles, scattered to sugar plantations in the Caribbean, Fiji, Mauritius, and Natal; to rubber plantations in Malaya and Sumatra; and to British East Africa to build the railways that intensified the two-way extraction of African resources and the introduction of cheap manufactured goods. In the third quarter of the nineteenth century alone, more than 1 million indentured Indians went overseas. Today, Indians still outnumber native Fijians; they also make up 50 percent of the Guyanese population and 40 percent of the residents of Trinidad. In the same period, 90,000 Chinese indentured laborers went to work in the Peruvian guano fields, and 200,000 went to California to work in the fruit industry, on the gold fields, and on the railways.16 Displacement of colonial subjects from their societies and their dispersion to resolve labor shortages elsewhere in the colonial world have had a lasting global effect—most notably in the African, Indian, and Chinese diasporas. This cultural mosaic underlines modern expressions of race, ethnicity, and nationality—generating ethno-political tensions that shape national politics across the world today, and question the modernist ideal of the secular state.

THE COLONIAL PROJECT UNLOCKS A DEVELOPMENT PUZZLE

Colonialism was far-reaching and multidimensional in its effects. We focus here on the colonial division of labor because it isolates a key issue in the development puzzle. Unless we see the interdependence created through this division of world labor, it is easy to take our unequal world at face value and view it as a natural continuum, with an advanced European region showing the way for a backward, non-European region. But viewing world inequality as relational (interdependent) rather than as sequential (catch-up), calls the conventional modern understanding of “development” into question. The conventional understanding is that individual societies experience or pursue development in sequence, on a “development ladder.” If, however, industrial growth in Europe depended on agricultural monoculture in the non-European world, then development was more than simply a national process, even if represented as such. What we can conclude from the colonial project is that development historically depended on the unequal relationships of colonialism, which included an unequal division of labor and unequal ecological exchanges—both of which produced a legacy of “underdevelopment” in the colonial and postcolonial worlds. Persisting global inequality today, in material and governance terms, prompts the charge of “recolonization.”

The secular-modernist ideal is contradicted by colonial racialized rule, where industrial and/or military techniques organized labor forces, schooling, and urban and rural surveillance, as well as supervised hygiene and public health.17 European exercise of power in the colonies revealed the hard edge of power in the modern state, premised on class structuring via racial humiliation.18 Such methods produced resistances among subject populations, whether laborers, peasants, soldiers, or civil servants. These tensions fed the

politics of decolonization, dedicated to molding inchoate resistance to colonial abuses into coherent, nationalist movements striving for independence.

Decolonization

As Europeans were attempting to “civilize” their colonies, colonial subjects across the Americas, Asia, and Africa engaged the European paradox—a discourse of rights and sovereignty juxtaposed against their own subjugation. In the French sugar colony of Saint Domingue, the late-eighteenth-century “Black Jacobin” revolt powerfully exposed this double standard. Turning the rhetoric of the French Revolution successfully against French colonialism, the rebellious slaves of the sugar plantations became the first to gain their independence in the newly established nation of Haiti, sending tremors throughout the slaveholding lands of the New World.19

Resistance to colonialism evolved across the next two centuries, from the early- nineteenth-century independence of the Latin American republics (from Spain and Portugal) to the dismantling of South African apartheid in the early 1990s. Although decolonization has continued into the present day (with the independence of East Timor in 2002 and the Palestinians still struggling for a sovereign homeland), the worldwide decolonization movement peaked as European colonialism collapsed in the mid-twentieth century, when World War II sapped the power of the French, Dutch, British, and Belgian states to withstand anticolonial struggles. Freedom was linked to overcoming the deprivations of colonialism. Its vehicle was the nation-state, which offered formal political independence. Substantively, however, the sovereignty of independent states was shaped by the cultural and economic legacies of colonialism.

Colonial Liberation

Freedom included overcoming the social-psychological scars of colonialism. The racist legacy of colonialism penetrated the psyche of colonist and colonized and remains with us today. In 1957, at the height of African independence struggles, Tunisian philosopher Albert Memmi wrote The Colonizer and the Colonized, dedicating the American edition to the (colonized) American Negro. In this work (published in 1967), he claimed,

Racism … is the highest expression of the colonial system and one of the most significant features of the colonialist. Not only does it establish a fundamental discrimination between colonizer and colonized, a sine qua non of colonial life, but it also lays the foundation for the immutability of this life.20

To overcome this apparent immutability, West Indian psychiatrist Frantz Fanon, writing from Algeria, responded with The Wretched of the Earth, a manifesto of liberation. It was a searing indictment of European colonialism and a call to people of the former colonies (the Third World) to transcend the mentality of enslavement and forge a new path for humanity. He wrote,

It is a question of the Third World starting a new history of Man, a history which will have regard to the sometimes prodigious theses which Europe has put forward, but which will also not forget Europe’s crimes, of which the most horrible was committed in the heart of man, and consisted of the pathological tearing apart of his functions and the crumbling away of his unity. … On the immense scale of humanity, there were racial hatreds, slavery, exploitation and above all the bloodless genocide which consisted in the setting aside of fifteen thousand millions of men. … Humanity is waiting for something other from us than such an imitation, which would be almost an obscene caricature.21

Decolonization was rooted in a liberatory upsurge, expressed in mass political movements of resistance. In Algeria (much as in Palestine today), the independence movement incubated within and struck at the French occupation from the native quarter. The use of terror, on both sides, symbolized the bitter divide between colonizer and colonized (portrayed in Gillo Pontecorvo’s classic film Battle of Algiers).

CASE STUDY The Tensions and Lessons of the Indian

Mahatma Gandhi’s model of nonviolent resistance to British colonialism affirmed the simplicity and virtue in the ideal-typical premodern solidarities of Indian village life. Rather than embrace the emerging world of nation-states, Gandhi argued, didactically, that Indians became a subject population not because of colonial force but through the seduction of modernity. Gandhi’s approach flowed from his philosophy of transcendental (as opposed to scientific or historical) truth, guided by a social morality. Gandhi disdained the violent methods of the modern state and the institutional rationality of the industrial age, regarding machinery as the source of India’s impoverishment, not only in destroying handicrafts but in compromising humanity:

We notice that the mind is a restless bird; the more it gets the more it wants, and still remains unsatisfied. … Our ancestors, therefore, set a limit to our indulgences. They saw that happiness is largely a mental condition. … We have managed with the same kind of plough as existed thousands of years ago. We have retained the same kind of cottages that we had in former times and our indigenous education remains the same as before. We have had no system of life-corroding competition. … It was not that we did not know how to invent machinery, but our forefathers knew that if we set our hearts after such things, we would become slaves and lose our moral fibres.

Gandhi’s method of resistance included wearing homespun cloth instead of machine-made goods, foreswearing use of the English language, and mistrusting the European philosophy of self-interest. Gandhi viewed self-interest as undermining community-based ethics, and advocated the decentralization of social power, appealing to grassroots notions of self- reliance, proclaiming,

Independence must begin at the bottom. Thus, every village will be a republic or panchayat having full powers. It follows, therefore, that every village has to be self- sustained and capable of managing its affairs even to the extent of defending itself against the whole world.

While Gandhi’s politics, anchored in a potentially reactionary Hindu religious imagery, galvanized rural India, Indian nationalism actually rode to power via the Indian National Congress and one of its progressive democratic socialist leaders, Jawaharlal Nehru. Nehru represented the formative national state, viewing the Gandhian philosophy as inappropriate to the modern world but recognizing its mobilizing power. Infusing the national movement with calls for land reform and agrarian modernization to complement industrial development, Nehru declared, “It can hardly be challenged that, in the context of the modern world, no country can be politically and economically independent, even within the framework of international interdependence, unless it is highly industrialized and has developed its power resources to the utmost.”

Together, Gandhi and Nehru are revered as fathers of independence and the Indian national state, respectively. Note that the struggle against empire was woven out of two strands: an idealist strand looking back and looking forward to a transcendental Hinduism anchored in village-level self-reliance, as well as a realist strand looking sideways and asserting that Indian civilization could be rescued, contained, and celebrated in the form of a modern state.

Did Gandhi and Nehru’s opposing visions of development at the time of Indian independence foreshadow today’s rising tension between sustainability and maximum economic growth?

Source: Chatterjee (2001: 86, 87, 91, 97, 144, 151).

Other forms of resistance included militarized national liberation struggles (e.g., Portuguese African colonies, French Indo-China) and widespread colonial labor unrest. British colonialism faced widespread labor strikes in its West Indian and African colonies in the 1930s, and this pattern continued over the next two decades in Africa as British and French colonial subjects protested conditions in cities, ports, mines, and on the railways. In this context, development was interpreted as a pragmatic effort to preserve the colonies by improving material conditions—and there was no doubt that colonial subjects understood this and turned the promise of development back on the colonizers, viewing development as an entitlement. British Colonial Secretary MacDonald observed in 1940, “If we are not now going to do something fairly good for the Colonial Empire, and something which helps them to get proper social services, we shall deserve to lose the colonies and it will only be a matter of time before we get what we deserve.”22 In these terms, eloquent international appeals to justice in the language of rights and freedom by the representatives of colonized peoples held a mirror up to the colonial powers, in their demands for freedom.

A new world order was in the making. From 1945 to 1981, 105 new states joined the United Nations (UN) as the colonial empires crumbled, swelling UN ranks from 51 to 156.

The extension of political sovereignty to millions of non-Europeans (more than half of humanity) ushered in the era of development.23 This era was marked by a sense of almost boundless idealism, as governments and people from the First and Third Worlds joined together in a coordinated effort to stimulate economic growth; bring social improvements through education, public health, family planning, and transport and communication systems to urban and rural populations; and promote political citizenship in the new nations. Just as colonized subjects appropriated the democratic discourse of the colonizers in fueling their independence movements, so leaders of the new nation-states appropriated the idealism of the development era and proclaimed equality as a domestic and international goal, informed by the UN Universal Declaration of Human Rights (1948).

The UN declaration represented a new world paradigm of fundamental human rights of freedom, equality, life, liberty, and security to all, without distinction by race, color, sex, language, religion, political opinion, national or social origin, property, birth, or other status. The declaration also included citizenship rights—that is, citizens’ rights to the social contract: everyone was “entitled to realization, through national effort, and international co- operation and in accordance with the organization and resources of each State, of the economic, social and cultural rights indispensable for his dignity and the free development of his personality.”24

Decolonization and Development

Decolonization gave development new meaning, linking it to the ideal of sovereignty, the possibility of converting subjects into citizens, and the pursuit of economic development for social justice. Already independent Latin American states adopted similar goals, having been inspired by French and U.S. revolutionary ideologies of liberal-nationalism, which informed nineteenth-century European nation building via national education systems, national languages and currencies, and modern armies and voting citizens. These ideologies also informed the twentieth-century movements in Asia and Africa for decolonization, coinciding with the rise of the United States to global power and prosperity. Eager to reconstruct the post–World War II world to expand markets and the flow of raw materials, the United States led an international project, inspired by a vision of development as a national enterprise to be repeated across a world of sovereign states.

U.S. development modeled this vision, being more “inner-directed” than the “outer- directed” British imperial model (as “workshop of the world”). In spite of the relentless destruction of native American cultures as the continent was claimed (internal colonialism), U.S. origins in the revolt of the North American colonies against British colonialism in the late eighteenth century informed an “anticolonial” heritage. Once slavery was abolished, the New South was incorporated into a national economic dynamic articulating agricultural and industrial sectors. Figure 2.2 depicts the difference between the colonial and the national division between industry and agriculture.

The division of labor between industry and agriculture defining the global exchange between colonial powers and their colonies was now internalized within the United States. Chicago traders, for instance, purchased Midwestern farm products for processing, in turn

selling machinery and goods to those farmers. This mutual prosperity of city and countryside is a model—that is, it prescribes an ideal version, even as foreign trade and investment continued. But it did industrialize agriculture. On the American plains, farmers “ripped open enormous areas of prairie grasslands” and enjoyed high yields so long as crops drew down the “vast storehouse of accumulated organic fertility just below the surface.” As this rich topsoil was consumed, the land frontier was extended, until reaching its ecological limits in the “dustbowl” crisis of the 1930s. The solution was publicly supported agro- industrialization, centered on commodity stabilization programs. Specialized mono-cropping encouraged an excessive use of industrial inputs, such as chemical fertilizers, whose corrosive effect on soils generates the “fertilizer treadmill.” The export of this model of capital-intensive industrial farming has defined agricultural modernization, with global ecological consequence.25

Postwar Decolonization and the Rise of the Third World

In the era of decolonization, the world subdivided into three geopolitical segments. These subdivisions emerged after World War II (1939–1944) during the Cold War, dividing the capitalist Western (First World) from the communist Soviet (Second World) blocs. The Third World included the postcolonial bloc of nations. Of course, there was considerable inequality across and within these subdivisions, as well as within their national units. The subdivision of the world is further explained in the box below.

In this era, the United States was the most powerful state economically, militarily, and ideologically. Its high standard of living (with a per capita income three times the West European average), its anti-colonial heritage, and its commitment to liberal domestic and international relations lent it the legitimacy of a world leader, and the model of a developed society.

HOW WE DIVIDE THE WORLD’S NATIONS

Division of the nations of the world is quite complex and extensive, and it depends on the purpose of the dividing. The basic division made (by French demographer Alfred Sauvy in 1952) was into three worlds: The First World was essentially the capitalist world (the West plus Japan), the Second World was basically the socialist world (the Soviet bloc), and the Third World was the rest—mostly former European colonies. The core of the Third World was the group of Nonaligned Countries steering an independent path between the First and Second Worlds, especially China, Egypt, Ghana, India, Indonesia, Vietnam, and Yugoslavia. In the 1980s, a Fourth World was named to describe marginalized regions. The United Nations and the development establishment use a different nomenclature: developed countries, developing countries, and least developed countries—this terminology echoes “modernization” theory, which locates countries on a continuum, or “development ladder,” ascended as a country develops an industrial economy, rational-legal administrative structures, and a pluralist-representative political system.

Ranged against the United States were the Soviet Union and an assortment of Eastern European communist states. This Second World was considered the alternative to First World capitalism. The Third World, the remaining half of humanity—most of whom were still food- growing rural dwellers—was represented in economic language as impoverished or, in Fanon’s politico-cultural language, as the “wretched of the earth.”

Whereas the First World had 65 percent of world income with only 20 percent of the world’s population, the Third World accounted for 67 percent of world population but only 18 percent of its income. While some believe the gap in living standards between the First and Third Worlds registers differential rates of growth, others believe that much of it was a result of colonialism.26 Still others are skeptical of distinguishing cultures via a uniform standard based on income levels, since non-Western cultures value non-cash-generating practices.

Economic disparity between the First and Third Worlds generated the vision of development that would energize political and business elites in each world. Seizing the moment as leader of the First World, President Harry S. Truman included in a key speech on January 20, 1949, the following proclamation:

We must embark on a bold new program for making the benefits of our scientific advances and industrial progress available for the improvement and growth of underdeveloped areas. The old imperialism—exploitation for foreign profit—has no place in our plans. What we envisage is a program of development based on the concepts of democratic fair dealing. … Only by helping the least fortunate of its members to help themselves can the human family achieve the decent, satisfying life that is the right of all people. Democracy alone can supply the vitalizing force.27

The following year, a Nigerian nationalist echoed these sentiments:

Self-government will not necessarily lead to a paradise overnight. … But it will have ended the rule of one race over another, with all the humiliation and exploitation which that implies. It can also pave the way for the internal social revolution that is required within each country.28

Despite the power differential between the United States and the African countries, the shared sentiments affirmed the connection between decolonization and development, where sovereign states could pursue national economic growth with First World assistance. The program of development pursued by new nations, “dependence” in independence, marked the postcolonial experience.

President Truman’s paternalistic proclamation confirmed this understanding in suggesting a new paradigm for the postwar era: the division of humanity into developed and undeveloped regions. This division of the world projected a singular destiny for all nations. Mexican intellectual Gustavo Esteva commented,

Underdevelopment began, then, on January 20, 1949. On that day, two billion people

became underdeveloped. In a real sense, from that time on, they ceased being what they were, in all their diversity, and were transmogrified into an inverted mirror of others’ reality: a mirror that defines their identity … simply in the terms of a homogenizing and narrow minority.29

In other words, the proclamation by President Truman divided the world between those who were modern and those who were not. Development/modernity became the discursive benchmark. This was a way of looking at the world, a new paradigm, suggesting that the ex- colonial world was not only backward, but could also develop, with help.

This new paradigm inscribed First World power and privilege in the new institutional structure of the postwar international economy. In context of the Cold War between First and Second Worlds (for the hearts and resources of the ex-colonial world), “development” was simultaneously the restoration of a capitalist world market to sustain First World wealth, through access to strategic natural resources, and the opportunity for Third World countries to emulate First World civilization and living standards. Because development was both a blueprint for the world of nation-states and a strategy for world order, I call this enterprise the development project. The epithet project emphasizes the political content of development, as an organizing principle. It also underlines the subjective meaning of development, as defined by those with the means to make the rules.

The power of the new development paradigm arose in part from its ability to present itself as universal, natural, and therefore uncontentious—obliterating its colonial roots. In a postcolonial era, Third World states could not repeat the European experience of developing by exploiting the labor and resources of other societies. Development was modeled as a national process, initiated in European states. Its aura of inevitability devalued non-European cultures and discounted what the West learned from the non-European world. Gilbert Rist observed of postcolonial states, “Their right to self-determination had been acquired in exchange for the right to self-definition,”30 suggesting that in choosing the Western-centered future for the world, they legitimized (or naturalized) it. Of course, each state imparted its own particular style to this common agenda, drawing on regional cultures such as African socialism, Latin American bureaucratic authoritarianism, or Confucianism in East Asia.

Ingredients of the Development Project

The development project was a political and intellectual response to the condition of the world at the historic moment of decolonization. Under these conditions, development assumed a specific meaning. It imposed an essentially economic (reductionist) understanding of social change. In this way, development could be universalized as a market culture common to all, driven by the nation-state and economic growth.

The Nation-State

The nation-state was to be the framework of the development project. Nation-states were territorially defined political systems based on the government–citizen relationship that

emerged in nineteenth-century Europe. Colonialism exported this political model (with its military shell), framing the politics of the decolonization movement, even where national boundaries made little sense. The UN Economic Commission for Africa, for example, argued in 1989 that African underdevelopment derived from its arbitrary postcolonial geography, including 14 landlocked states, 23 states with a population below 5 million, and 13 states with a land mass of fewer than 50,000 hectares each.31 The following insert illustrates the effects of these arbitrarily drawn boundaries.

HOW WAS AFRICA DIVIDED UNDER COLONIALISM?

The colonial powers inflicted profound damage on that continent, driving frontiers straight through the ancestral territories of nations. For example, we drew a line through Somalia, separating off part of the Somali people and placing them within Kenya. We did the same by splitting the great Masai nation between Kenya and Tanzania. Elsewhere, of course, we created the usual artificial states. Nigeria consists of four principal nations: the Hausa, Igbo, Yoruba, and Fulani peoples. It has already suffered a terrible war which killed hundreds of thousands of people and which settled nothing. Sudan, Chad, Djibouti, Senegal, Mali, Burundi, and of course Rwanda, are among the many other states that are riven by conflict.

Source: Quoted from Goldsmith (1994: 57).

During the 1950s, certain leading African anticolonialists doubted the appropriateness of the nation-state form to postcolonial Africa. They knew that sophisticated systems of rule had evolved in Africa before colonialism. They advocated a pan-African federalism whose territories would transcend the arbitrary borders drawn across Africa by colonialism. However, decisions about postcolonial political arrangements were made in London and Paris where the colonial powers, looking to sustain spheres of influence, insisted on the nation-state as the only appropriate political outcome of decolonization. Indeed, a British Committee on Colonial Policy advised the prime minister in 1957, “During the period when we can still exercise control in any territory, it is most important to take every step open to us to ensure, as far as we can, that British standards and methods of business and administration permeate the whole life of the territory.”32 An African elite, expecting gains from decolonization—whether personal or national—prepared to assume power in the newly independent states. The power its members assumed was already mortgaged to the nation- state system: a vehicle of containment of political desires and of extraction of resources via European military and economic aid, investment, and trade—the paradox of sovereignty.

Pan-Africanism was unsuccessful; nevertheless, it did bear witness to an alternative political and territorial logic. Some of Guinea’s rural areas were in fact attached as hinterlands to urban centers in other states, such as Dakar in Senegal and Abidjan in the Côte d’Ivoire. Considerable cross-border smuggling today is continuing testimony to these

relationships. Fierce civil wars broke out in Nigeria in the 1960s and in Ethiopia in the 1970s, states such as Somalia and Rwanda collapsed in the early 1990s and, in the twenty- first century, military conflict in the Congo threatened a repartition of Africa, and Sudan subdivided, creating a new state in 2011: South Sudan. Such eruptions all include ethnic dimensions, rooted in social disparities and cross-border realities. In retrospect, they suggest that the pan-African movement had considerable foresight. Ideas about the limits to the nation-state organization resonate today in new macro-regional groupings.

Economic Growth

The second ingredient of the development project was economic growth. A mandatory UN System of National Accounts institutionalized a universal quantifiable measure of national development. The UN Charter of 1945 proclaimed “a rising standard of living” as the global objective. This “material well-being” indicator is measured in the commercial output of goods and services within a country: capita gross national product (GNP), or the national average of per capita income. While per capita income was not the sole measure of rising living standards (health, literacy, etc.), the key criterion was measurable progress toward the “good society,” popularized by U.S. presidential adviser Walt Rostow’s idea of the advanced stage of “high mass consumption.”33

In the minds of Western economists, development required a kind of jump-start in the Third World. Cultural practices of wealth sharing and cooperative labor—dissipating individual wealth, but sustaining the community—were perceived as a traditional obstacle to making the transition. The solution was to introduce a market system based on private property and accumulation of wealth. A range of modern practices and institutions designed to sustain economic growth, such as banking and accounting systems, education, stock markets and legal systems, and public infrastructure (transport, power sources) was required.

The use of the economic growth yardstick of development, however, is fraught with problems. Average indices such as per capita income obscure inequalities among social groups and classes. Aggregate indices such as rising consumption levels, in and of themselves are not accurate records of improvement in quality of life. Running air conditioners is measured as increased consumption, but it also releases harmful hydrocarbons into the warming atmosphere. Economic criteria for development have normative assumptions that often marginalize other criteria for evaluating living standards relating to the quality of human interactions, physical and spiritual health, and so on.

The emphasis on converting human interactions into measurable (and taxable) cash relations discounts the social wealth of nonmonetary activities (nature’s processes, cooperative labor, people growing their own food, performing unpaid household labor, and community service). Wolfgang Sachs observed of early 1940s comparative statistical measurement of “economic growth,”

As soon as the scale of incomes had been established, order was imposed on a confused globe: horizontally, such different worlds as those of the Zapotec people of Mexico, the Tuareg of north Africa, and Rajasthanies of India could be classed together, while a

vertical comparison to “rich” nations demanded relegating them to a position of almost immeasurable inferiority. In this way, “poverty” was used to define whole peoples, not according to what they are and want to be, but according to what they lack and are expected to become. Economic disdain had thus taken the place of colonial contempt.34

Framing the Development Project

Perhaps the most compelling aspect of the development project was a powerful perception by planners, governmental elites, and citizens alike that development was destiny. Both Cold War blocs understood development in these terms, even if their respective paths of development were different. Each bloc took its cue from key nineteenth-century thinkers. The West identified free-enterprise capitalism as the endpoint of development, based in Jeremy Bentham’s utilitarian philosophy of the common good arising out of the pursuit of individual self-interest. Communist orthodoxy identified the abolition of private property and central planning as the goal of social development, deriving from Karl Marx’s collectivist dictum: “from each according to their ability, and to each according to their needs.”

Although the two political blocs subscribed to opposing representations of human destiny, they shared the same modernist paradigm. National industrialization would be the vehicle of development in each.

National Industrialization: Ideal and Reality

“National industrialization” had two key assumptions. First, it assumed that development involved the displacement of agrarian civilization by an urban-industrial society. For national development policy, this meant a deliberate shrinking of the agricultural population as the manufacturing and service sectors grew. It also meant the transfer of resources such as food, raw materials, and redundant labor from the agrarian sector as peasants disappeared and agricultural productivity grew. Industrial growth would ideally feed back into and technify agriculture. These two national economic sectors would therefore condition each other’s development, as in the U.S. case discussed earlier in this chapter and illustrated in Figure 2.2.

Second, the idea of national industrialization assumed a linear direction for development —that is, playing catch-up with the West. Soviet dictator Joseph Stalin articulated this doctrine in the 1930s, proclaiming, “We are fifty or a hundred years behind the advanced countries. We must make good this distance in ten years. Either we do it or they crush us.”35 Stalin’s resolve came from the pressures of military (and therefore economic) survival in a hostile world. The Soviet Union industrialized in one generation, “squeezing” the peasantry to finance urban-industrial development with cheap food.

Across the Cold War divide, industrialization symbolized success. Leaders in each bloc pursued industrial development to legitimize their power; the reasoning was that, as people consumed more goods and services, they would subscribe to the prevailing philosophy delivering the goods and support their governments. Development is not just a goal; it is a method of rule.

The competitive—and legitimizing—dynamic of industrialization framed the development project across the Cold War divide. Third World states climbed on the bandwagon. The ultimate goal was to achieve Western levels of affluence. If some states chose to mix and match elements from either side of the Cold War divide, well and good. The game was still the same: catch-up. Ghana’s first president, Kwame Nkrumah, proclaimed, “We in Ghana will do in ten years what it took others one hundred years to do.”36

Economic Nationalism

Decolonization involved a universal nationalist upsurge across the Third World, assuming different forms in different countries depending on the configuration of social forces in each national political system. Third World governments strove to build national development states—whether centralized like South Korea, corporatist like Brazil, or decentralized and populist like Tanzania. The development state organizes national economic growth by mobilizing money and people. It uses individual and corporate taxes, along with other government revenues such as export taxes and sales taxes, to finance public building of transport systems and to finance state enterprises such as steel works and energy exploration. And it forms coalitions to support its policies. State elites regularly use their power to accumulate wealth and influence in the state—whether through selling rights to public resources to cronies or capturing foreign aid distribution channels. As Sugata Bose remarked of the Indian state, “Instead of the state being used as an instrument of development, development became an instrument of the state’s legitimacy.”37 Either way, the development state was a central pillar of the postwar development era.

Import-Substitution Industrialization

Just as political nationalism pursued sovereignty for Third World populations, so economic nationalism sought to reverse the colonial division of labor—as governments encouraged and protected domestic industrialization with tariffs and public subsidies, reducing dependence on primary exports (“resource bondage”).

Economic nationalism was associated with Raul Prebisch, an adviser to the Argentine military government in the 1930s. During that decade’s world depression, world trade declined and Latin American landed interests lost political power as shrinking primary export markets depleted their revenues. Prebisch proposed an industrial protection policy. Import controls reduced expensive imports of Western manufactured goods and shifted resources into domestic manufacturing.38 This policy was adopted in the 1950s by the UN Economic Commission for Latin America (ECLA), under Prebisch’s lead as executive secretary.

Import-substitution industrialization (ISI) framed initial economic development strategies in the Third World as governments subsidized “infant industries.” The goal was a cumulative process of domestic industrialization. For example, a domestic automotive industry would generate parts manufacturing, road building, service stations, and so on, in addition to industries such as steel, rubber, aluminum, cement, and paint. In this way, a local

industrial base would emerge. ISI became the new economic orthodoxy in the postwar era.39 In formally promoting economic nationalism, ironically ISI substantively resulted in encouraging direct investment by foreign firms.

Development states like Brazil redistributed private investment from export sectors to domestic production, establishing a development bank to make loans to investors and state corporations in such central industries as petroleum and electric power generation. When the domestic market was sufficiently large, multinational corporations invested directly in the Brazilian economy—as they did elsewhere in Latin America during this period. Latin America characteristically had relatively urbanized populations with expanding consumer markets.40

By contrast, the South Korean state centralized control of national development and the distribution of industrial finance. South Korea relied less on foreign investment than Brazil and more on export markets for the country’s growing range of manufactured goods. Comprehensive land reforms equalized wealth among the rural population, and South Korean development depended on strategic public investment decisions that more evenly distributed wealth among urban classes and between urban and rural constituencies.

FOREIGN INVESTMENT AND THE PARADOX OF PROTECTIONISM

When states erected tariffs in the development era, multinational corporations hopped over and invested in local, as well as natural resource, industries. For Brazil, in 1956, foreign (chiefly U.S.) capital controlled 50 percent of the iron and rolled-metal industry, 50 percent of the meat industry, 56 percent of the textile industry, 72 percent of electric power production, 80 percent of cigarette manufacturing, 80 percent of pharmaceutical production, 98 percent of the automobile industry, and 100 percent of oil and gasoline distribution. In Peru, a subsidiary of Standard Oil of New Jersey owned the oil that represented 80 percent of national production, and Bell Telephone controlled telephone services. In Venezuela, Standard Oil produced 50 percent of the oil, Shell another 25 percent, and Gulf one-seventh. In what Peter Evans has called the “triple alliance,” states such as Brazil actively brokered relationships between foreign and local firms in an attempt to spur industrial development.

Sources: de Castro (1969: 241–242); Evans (1979).

To secure an expanding industrial base, Third World governments constructed political coalitions among different social groups to support rapid industrialization—such as the Latin American development alliance.41 Its social constituency included commercial farmers, public employees, urban industrialists, merchants, and workers dependent on industrialization, organized into associations and unions. Policy makers used price subsidies and public services such as health and education programs, cheap transport, and food

subsidies to complement the earnings of urban dwellers, attract them to the cause of national industrialization, and realize the social contract.

The development alliance was also a vehicle of political patronage, whereby governments could manipulate electoral support. Mexico’s Institutional Revolutionary Party (PRI), which controlled the state for much of the twentieth century, created corporatist institutions such as the Confederation of Popular Organizations, the Confederation of Mexican Workers, and the National Confederation of Peasants to channel patronage “downward” to massage loyalty “upward.” Political elites embraced the development project, mobilizing their national populations around the promise of rising living standards, and expecting economic growth to legitimize them in the eyes of their emerging citizenry.

In accounting for and evaluating the development project, this book gives greatest attention to the Western bloc, since Western affluence was the universal standard of development and modernity, and this has been extended under the guise of the globalization project to the ex–Second World following the collapse of the Soviet empire in 1989.

SUMMARY

The idea of development emerged during, and within the terms of, the colonial era. This global hierarchy informed the understanding of development as a European achievement. Meanwhile, colonialism disorganized non-European societies by reconstructing their labor systems around specialized, and ecologically degrading, export production, and disorganizing the social psychology of colonial subjects. Exposure of non-European intellectuals, workers, and soldiers to the European liberal discourse on rights fueled anticolonial movements for political independence.

The political independence of the colonial world gave birth to the development project, a blueprint for national political-economic development as well as a “protection racket,” insofar as international aid, trade, and investment flows were calibrated to military aid from the West to secure Cold War perimeters and make the “free world” safe for business. Third World states become at once independent, but collectively defined as “underdeveloped.”

The pursuit of rising living standards, via industrialization, inevitably promoted Westernization in political, economic, and cultural terms as the non-European world emulated the European enterprise. The influential terms of the development project undercut Frantz Fanon’s call for a non-European way, qualifying the sovereignty and diversity that often animated the movements for decolonization. It also rejected the pan-African insight into alternative political organization. Both of these ideas have reemerged recently, and they have a growing audience.

The remainder of this book explores how these ideals have worked out in practice, and how they have been reformulated. The next chapter examines the development project in action.

FURTHER READING

Achebe, Chinua. Things Fall Apart. London: William Heineman, 1958.

Davis, Mike. Late Victorian Holocausts: El Niño Famines and the Making of the Third World. London: Verso, 2001.

Escobar, Arturo. Encountering Development: The Making and Unmaking of the Third World. Princeton, NJ: Princeton University Press, 1995.

Evans, Peter. Dependent Development: The Alliance of Multinational, State, and Local Capital in Brazil. Princeton, NJ: Princeton University Press, 1979.

Fanon, Frantz. The Wretched of the Earth. Harmondsworth, UK: Penguin, 1967. Leys, Colin. Underdevelopment in Kenya: The Political Economy of Neo-Colonialism.

Berkeley: University of California Press, 1975. Memmi, Albert. The Colonizer and the Colonized. Boston: Beacon Press, 1967. Mitchell, Timothy. Colonizing Egypt. Berkeley: University of California Press, 1991.

W

3 The Development Project

International Framework

hen countries became independent nation-states, they joined the international relations of the development project. But how could a national strategy simultaneously be

international?

First, the colonial division of labor’s legacy of “resource bondage” was embedded in Third World social structures, where trading classes of landowners and merchants, enriched by the exports of primary goods, would favor this relationship. And, of course, the First World still desired raw materials and agricultural imports and markets for its industrial products. Second, as newly independent states industrialized, they purchased First World technology, for which they paid with loans or foreign exchange earned from primary exports. Third, nation-states formed within an international framework, with the normative, legal, and financial relationships of the United Nations (UN) and the Bretton Woods institutions integrating states into universal political-economic relations.

National economic growth strategies depended, then, on the stimulus of these new international economic arrangements. The UN declared the 1960s and 1970s “Development Decades” to mobilize international development cooperation. In this chapter, we examine the construction of the Bretton Woods system and look at how its multilateral arrangements shaped national development strategies. We then examine the ways in which the development project reshaped the international division of labor.

WHAT ARE THE INGREDIENTS OF THE DEVELOPMENT PROJECT?

The development project was an internationally organized strategy for stimulating nationally managed economic growth. As colonialism collapsed, political elites of newly independent states embraced development as an enterprise for growth, revenue generation, and legitimacy. The Western experience offered a (partial) model, and an international institutional complex supplied financial and technical assistance for development across the world, protected by Cold War military relations. Some ingredients were

an organizing concept with universal claims (e.g., development as rising living standards, rationality, and scientific progress); a national framework for economic growth; an international framework of aid (military and economic) binding the developing world to the developed world, and securing continuing access to its natural and human resources; a growth strategy favoring industrialization; an agrarian reform strategy encouraging agro-industrialization; development-state initiatives to manage investment and mobilize multi-class political coalitions into a development alliance supporting industrial growth; and realization of development through new inequalities, embedded in states and markets along regional, class, gender, racial, and ethnic lines.

The International Framework

The pursuit of national economic growth depended on international relations, both material and political-legal. Material supports included foreign aid, technology transfer, stable currency exchange, and international trade. Aid and trade relationships followed well-worn paths between ex-colonial states and their postcolonial regions. Complementing these historic relationships were the Bretton Woods institutions and the political, military, and economic relationships of the new superpower, the United States, as it sought to contain the rival Soviet empire.

Following the severe 1930s depression and the devastation of World War II (1939–1945), the United States spearheaded two initiatives to reconstruct the world economy: the bilateral Marshall Plan and the multilateral Bretton Woods program. The development project emerged within the Marshall Plan and was formalized under the Bretton Woods program, but it did not become a fully fledged operation until the 1950s, the peak decade of Third World political independence.

U.S. Bilateralism: The Marshall Plan (Reconstructing the First World)

In the post–World War II years, the United States focused on European reconstruction as the key to stabilizing the Western world and securing capitalism. European grain harvests in 1946 would reach only 60 percent of prewar levels. Scarcity of labor skills and certain goods depleted transport and communication networks, and countless refugees posed enormous problems. There was also a growing popular desire for social reform.1 Returning from Europe in 1947, U.S. Assistant Secretary of State for Economic Affairs Will Clayton stated,

Communist movements are threatening established governments in every part of the globe. These movements, directed by Moscow, feed on economic and political

weakness. … The United States is faced with a world-wide challenge to human freedom. The only way to meet this challenge is by a vast new programme of assistance given directly by the United States itself.2

In these political circumstances, the United States hoped to use financial aid to stabilize discontented populations and rekindle economic growth in strategic parts of the world. Central to this strategy was containing communism—primarily in Europe, where the Soviet Union had laid claim to territories east of Berlin, but also in the Far East, where communism had gained ground, first in China and then in North Korea. The United States courted nations’ allegiance to the Western free enterprise system with financial assistance. In 1950, Secretary of State Dean Acheson proposed to concentrate assistance in Western Europe, to counter Soviet rule over Eastern Europe: “We cannot scatter our shots equally all over the world. We just haven’t got enough shots to do that. … If anything happens in Western Europe the whole business goes to pieces.”3

U.S. bilateral initiatives—increasingly important in the Cold War—complemented and sometimes contradicted these multilateral initiatives. The Marshall Plan was a bilateral transfer of billions of dollars to Europe and Japan, serving U.S. geopolitical goals in the Cold War. The plan restored trade and price stability, and expanded production, to undercut socialist movements and labor militancy. Dollar credits, allowing recipients to purchase U.S. goods, and a massive rearmament effort closely integrated these countries’ economies with that of the United States, solidifying political loyalty to the Western “free world.”

Europeans desired social peace and full employment, to be achieved through closely regulated national economies, but the U.S. government wanted an open world economy. The Marshall Plan solved this dilemma, using bilateral aid to facilitate international trade and encourage U.S. direct investment in European national economies. 4

Multilateralism: The Bretton Woods System

The idea for an international bank was part of the plan to reconstruct the world economy in the 1940s. Trade was to be restored by disbursing credit to regions devastated by war or colonialism. The famous July 1944 conference of 44 financial ministers at Bretton Woods, New Hampshire, provided the opportunity to create such an international banking system. Here, the U.S. Treasury steered the conference toward chartering the foundation of the “twin sisters”: the World Bank and the International Monetary Fund (IMF).

Each institution was based on member subscriptions. The World Bank would match these subscriptions by borrowing money in international capital markets to raise money for development. The IMF was to disburse credit where needed to stabilize national currency exchanges. The conference president, Henry Morgenthau, foresaw

the creation of a dynamic world economy in which the peoples of every nation will be able to realize their potentialities in peace … and enjoy, increasingly, the fruits of material progress on an earth infinitely blessed with natural riches. This is the indispensable cornerstone of freedom and security. All else must be built upon this. For

freedom of opportunity is the foundation for all other freedoms.5

These were the key sentiments of the development project: multinational universalism, viewing nature as an unlimited resource, and a liberal belief in freedom of opportunity as the basis of political development and rising living standards.

The functions of the Bretton Woods agencies were as follows:

to stabilize national finances and revitalize international trade (IMF); to underwrite national economic growth by funding Third World imports of First World infrastructural technologies; and to expand Third World primary exports to earn foreign currency for purchasing First World exports.

The World Bank’s mandate was for large-scale loans to states for national infrastructural projects such as dams, highways, and power plants, complementing smaller scale private and public investments. In its first 20 years, two-thirds of the Bank’s loans purchased inputs to build transportation and electric power systems. At the same time, the Bank invested in large- scale cash crop agriculture, such as cacao, rubber, and livestock, deepening the legacy of the colonial division of labor.6

The Bretton Woods institutions lubricated the world economy by moving funds to regions that needed purchasing power. Expanded trade stimulated economic growth across the First World–Third World divide. At the same time, these agencies disseminated the technologies of the development project, encouraging Third World states to adopt the capital-intensive methods of the West. Whereas Europe had taken several centuries to industrialize, Third World governments expected to industrialize rapidly with multilateral loans, substituting capital-intensive for labor-intensive production technologies despite substantial populations already displaced from customary habitats.

The Bretton Woods system was unveiled as a universal and multilateral attempt to promote rising living standards on a global scale. Of the 45 nations in attendance at Bretton Woods, 27 were from the Third World. Nevertheless, the institution had a First World imprint. First, control of the World Bank was dominated by the five biggest shareholders (beginning with the United States), whose representatives appointed their own executive directors to the board. The remaining seven directors represented the remaining member states. Such asymmetry, including overwhelming male representation, still exists. Second, the president of the World Bank is selected by the United States president, and the managing director of the IMF is appointed by the largest European nations (the United Kingdom, France, and Germany).7 Third, the Bank finances foreign exchange costs of approved projects, encouraging import dependence (in capital-intensive technologies) in development priorities. Finally, the IMF adopted a “conditionality” requirement, requiring applicants to have economic policies that met certain criteria for them to obtain loans. International banks and other lenders inevitably adopted IMF conditionality as their criterion for Third World loans. In this way, Third World development priorities were tailored toward external (i.e., First World) evaluation.8

World Bank lending, however effective, reflected First World priorities. The Bank has emphasized “productive” investments, such as energy and export agriculture, rather than “social” investments, such as education, health services, water and sanitation facilities, and housing. In addition, as a global agency, the Bank finds it more convenient to invest in large- scale, capital-intensive projects that might, for example, have common technological inputs and similar appraisal mechanisms.9 Not only has the Bank sponsored Western technology transfer, but it has also established an institutional presence in Third World countries. When the Bank finances infrastructural projects, these are often administered through agencies with semi-autonomous financial and political power within host countries, as the case study shows.

In examining how the development project issued from the Bretton Woods institutions, we have focused on the World Bank as the key multilateral agency responsible for underwriting Third World development. In addition to its parastatal influence, the World Bank framed development priorities via onsite project agencies and by encouraging large-scale power generation and transport projects, stimulating industrialization on a Western scale. The World Bank also channeled loans into intensive agriculture, requiring fossil fuel, energy-dependent technical inputs such as chemical fertilizers, pesticides, and hybrid seeds. It catalyzed development project norms, creating the Economic Development Institute in 1956 to train Third World officials (soon to be prime ministers or ministers of planning or finance in their own countries) in the theory and practice of development.10

In short, multilateralism, World Bank style, characterized the Bretton Woods system— World Bank policy set the parameters for development. Third World elites by and large embraced these parameters, since they were in no position to present an alternative to free enterprise. When governments adopted socialist policies, loan funds would shrink.

Politics of the Postwar World Order

As the realm of free enterprise expanded, the political dynamics of the Cold War deepened. While the United States and the Soviet Union were busy dividing the world, the countries of the Third World came together to assert their own international presence. We explore the interplay of all these forces in the following sections.

Foreign Aid

An examination of the patterns of Western foreign aid shows that patterns of development assistance contradicted the universalism of the development project. All states could not be equal, as some were more significant than others in the maintenance of order in the world market system. Western aid concentrated on undercutting competition from states or political movements that espoused rival (i.e., socialist) ideologies of development. Economic and military aid and trade to stabilize geopolitical regions prioritized regionally powerful states such as South Korea, Israel, Turkey, and Iran. These states functioned as military outposts in securing the perimeters of the “free world” and in preventing a “domino effect” of defections to the Soviet bloc.

Cold War rivalry governed much of the political geography of the development project. The Soviet Union was expanding economic and political relations with Third World states, especially newly independent states in Asia and Africa. By 1964, the Soviet Union had extended export credits to about 30 states, even though eight received the most aid. Under the Soviet aid system, loans could be repaid in local currencies or in the form of traditional exports, a program that benefited states short of foreign currency. Not only was the Soviet Union offering highly visible aid projects to key states such as Indonesia and India, but aid policies also clearly favored states pursuing policies of central planning and public ownership in their development strategies.11

For the United States and its First World allies, then, the development project was more than a transmission belt for Western technology and economic institutions. So long as the Third World—a vital source of strategic raw materials and minerals—was under threat from a political alternative, First World security was at stake. In 1956, this view was articulated clearly by Walt Rostow, the influential development economist and presidential advisor: “The location, natural resources, and populations of the underdeveloped areas are such that, should they become effectively attached to the Communist bloc, the United States would become the second power in the world.”12

The United States’ foreign aid patterns between 1945 and 1967 confirm this view of the world. Yugoslavia, for instance, received considerable aid as the regional counterweight to the Soviet Union. Elsewhere, aid to geopolitically strategic states (including Iran, Turkey, Israel, India, Pakistan, South Vietnam, Taiwan, South Korea, the Philippines, Thailand, and Laos) matched the total aid disbursement to all other Third World countries.13

The Non-Aligned Movement

Against this world ordering was an emerging Third World perspective that advocated a more independent vision. As decolonization proceeded, the composition of the United Nations shifted toward a majority of non-European member states. In 1955, the growing weight of the Third World in international politics produced the first meeting of “nonaligned” Asian and African states at Bandung, Indonesia, forming the Non-Aligned Movement (NAM) by 1961. Key players were the leaders of Yugoslavia (Tito), Indonesia (Sukarno), India (Nehru), Ghana (Nkrumah), North Vietnam (Ho Chi Minh), Egypt (Nasser), and China (Zhou Enlai). The NAM used its collective voice in international fora to forge a philosophy of noninterference in international relations. President Nyerere of Tanzania articulated this position in terms of economic self-reliance:

By non-alignment we are saying to the Big Powers that we also belong to this planet. We are asserting the right of small, or militarily weaker, nations to determine their own policies in their own interests, and to have an influence on world affairs. … At every point … we find our real freedom to make economic, social and political choices is being jeopardized by our need for economic development.14

The subtext of this statement, following the final Bandung communiqué, involved

questioning the legitimacy of the model of development embedded in the multilateral institutional order. The first bone of contention was the paucity of multilateral loans. By 1959, the World Bank had lent more to the First World ($1.6 billion) than to the Third World ($1.3 billion). Third World members of the UN pressed for expanded loans, with concessions. The First World’s response was to channel this demand toward the World Bank, where the International Development Association (IDA) was established to make loans at highly discounted rates (called “soft loans”) to low-income countries. In addition, several regional banks were established—including the Inter-American Development Bank (IDB) in 1959, the African Development Bank (AfDB) in 1964, and the Asian Development Bank (ADB) in 1966.15

The Group of 77

International trade remained contentious. The General Agreement on Tariffs and Trade (GATT), founded in 1947, enabled states to negotiate reciprocal trade concessions, but without adjusting for the uneven effects of colonialism.16 In fact, during the 1950s, the Third World’s share of world trade fell from one-third to almost one-fifth, with declining rates of export growth associated with declining terms of trade.17

Third World pressure founded the United Nations Conference on Trade and Development (UNCTAD) in 1964—the first international forum in which Third World countries, caucusing as the Group of 77 (G-77), collectively demanded world-economic reforms. They demanded stabilized and improved primary commodity prices, opening First World markets to Third World manufactures, and expanding financial flows from the First World.

While UNCTAD had a limited world-economic impact, its scholar/planner members infused international agencies with a “Third Worldist” perspective. Perhaps its most concrete influence was on the World Bank under its president, Robert McNamara (1968–1981), who refocused development (for a time) on quality of life issues rather than simply income measures—the idea of “growth with equity”18

We now take leave of the institutional side of the development project to examine its impact on the international division of labor.

Remaking the International Division of Labor

If the development project was an initiative to promote Third World industrialization, then it certainly had some success. The result was uneven, however, and in some respects industrialization was quite incomplete. Nevertheless, by 1980 the international division of labor had been remade, if not reversed. Overall, exports from the Third World included more manufactured goods than raw materials, and the First World was exporting 36 percent more primary commodities than the Third World.19

The Newly Industrializing Countries (NICs)

The average growth rate for the Third World in the 1960s was 4.6 percent; however, six Third World newly industrializing countries (NICs)20

grew at rates of 7 to 10 percent.21 These six countries were Hong Kong, Singapore, Taiwan, South Korea, Brazil, and Mexico. The rise of the NICs revealed two sides of the development project. On one hand, NICs fulfilled the expectation of rising living standards and upward mobility in the international system, legitimizing the development project, as showcases. The other middle-income countries—especially Malaysia, Thailand, Indonesia, Argentina, and Chile—expected to follow the same path. On the other hand, the NICs also demonstrated the selectivity of the development project. They cornered the bulk of private foreign investment, and considerable (Cold War driven) military aid sustaining authoritarian regimes.22 Much of this was concentrated in developing export production facilities in textiles and electronics in South Korea, Taiwan, Mexico, and Brazil. In 1969, for instance, most of the foreign investment in electronic assembly centered on the Asian NICs—Hong Kong, South Korea, Taiwan, and Singapore.23 Between 1967 and 1978, the share of manufactured exports from the NICs controlled by transnational corporations (TNCs) was 20 percent in Taiwan, 43 percent in Brazil, and 90 percent in Singapore.24 Distribution of industrial growth in the Third World was also highly concentrated. Between 1966 and 1975, more than 50 percent of the increase in value of Third World manufacturing occurred in only four countries, while about two-thirds of the increase was accounted for by only eight countries: Brazil, Mexico, Argentina, South Korea, India, Turkey, Iran, and Indonesia.25

Figure 3.1 Textiles, Clothing, and Footwear Exports from Newly Industrializing Countries

Sources: Adapted from graphs in Ransom (2001b:103); data retrieved from UNCTAD (1996: 118– 119).

Across the Third World, countries and regions differed in their levels of industrialization. The manufacturing portion of the gross domestic product (GDP) in 1975 was 5 percent in Africa, 16 percent in Asia, and 25 percent in Latin America and the Caribbean.26 By 1972, the Organisation for Economic Co-operation and Development (OECD) reported, “It has become more and more clear that measures designed to help developing countries as a group have not been effective for [the] least developed countries. They face difficulties of a special kind and intensity; they need help specifically designed to deal with their problems.”27 The idea of a universal blueprint was clearly fading.

The European First World lost its core manufacturing position in this period. Japan and a middle-income group of Third World states improved their share of world manufacturing, from 19 to 37 percent.28 In agriculture, the Third World’s share of world agricultural exports fell from 53 to 31 percent between 1950 and 1980, while the American granary consolidated

its critical role in world agricultural trade.29 By the 1980s, the United States was producing 17 percent of the world’s wheat, 63 percent of its corn, and 63 percent of its soybeans; its share of world exports was 36 percent in wheat, 70 percent in corn, and 59 percent in soybeans.30 On the other side of the globe, between 1961 and 1975 Third World agricultural self-sufficiency declined everywhere except in centrally planned Asian countries (China, North Korea, and Vietnam). In all regions except Latin America, self-sufficiency dropped below 100 percent. Africa’s self-sufficiency, for instance, declined from 98 percent in 1961 to 79 percent in 1978.31

Two questions arise:

Why did commercial agriculture concentrate in the First World, while manufacturing dispersed to the Third World? Is there a relation between these trends?

The answer lies in the political structures of the development project. While import- substitution industrialization (ISI) protected Third World “infant” industries, farm subsidies protected First World agriculture under the terms of the GATT. These policies complemented one another via American food surplus aid mechanisms, substantially reshaping the international division of labor. Central to this process was a “food-aid regime,” which demonstrated the profoundly international character of the development project as a strategy of ordering the world under the guise of promoting development.

CASE STUDY South Korea in the Changing International Division of Labor

South Korea is arguably the most successful of the middle-income NICs, transforming its economy and society in the space of a generation. In 1953, agriculture generated 47 percent of its gross national product (GNP), whereas manufacturing generated less than 9 percent. By 1981, these proportions had switched to 16 percent and 30 percent respectively. At the same time, the contribution of heavy and chemical industries to total industrial output matured from 23 percent in 1953–1955 to 42 percent in 1974–1976. How did this happen?

South Korea depended on injections of American dollars following the Korean War in the early 1950s, as it pursued the ISI strategy. By 1973, its government’s Heavy Industry and Chemicals Plan encouraged industrial maturity in shipbuilding, steel, machinery, and petrochemicals, and complemented ISI with export-oriented industrialization, beginning with labor-intensive consumer goods such as textiles and garments. From the early 1960s to the early 1980s, manufactured goods rose from 17 to 91 percent of exports, as increasingly sophisticated electronics goods emerged, and as Korean manufacturers gained access to foreign markets.

South Korea exemplifies a development state whose success depended on a rare flexibility in policy combined with the unusually repressive political system of military ruler Park Chung Hee (1961–1979). Koreans worked extremely long hours only to find their savings taxed away to support government investment policies. Industrial labor had no rights. Confucianism promoted consensus, and the authority of education and the

bureaucracy, providing a powerful mobilizing cultural myth. A frontline position in the Cold War helped, as the United States opened its markets to Korean exports.

Meanwhile, cheap U.S. food exports were key. Before 1960, virtually no Western-style bread was consumed in Korea—rice is cherished, and at that time, the country was self- sufficient in food. By 1975, however, South Korea was only 60 percent food self- sufficient, and by 1978 it belonged to what the U.S. Department of Agriculture calls “the billion dollar club.” That is, South Korea was purchasing $2.5 billion worth of American farm commodities, primarily wheat. The government provided free lunch bread to schoolchildren, and thousands of Korean housewives attended sandwich-making classes, financed by U.S. “counterpart funds” from its food aid program.

The South Korean farming population fell by 50 percent as urban industry attracted rural migrants. From 1957 to 1982, more than 12 million migrated to work in industrial cities like Seoul and Pusan. Rural migration occurred, but not because rice farms consolidated—they remained extremely small scale, retaining an average farm size of 1 hectare (2.471 acres), closely husbanded by the state with farm credit and price supports.

Since the South Korean “miracle” depended significantly on the subsidy to its industrialization strategy provided by cheap American food (lowering wage costs), and on access to U.S. markets for its manufactured exports, was its development ultimately a domestic or an international process?

Sources: Chung (1990: 43); Evans (1995); Harris (1987: 31–36); Wessel (1983: 172–173).

The Food-Aid Regime

In the postwar era, the United States set up a food-aid program to channel food surpluses to Third World countries. Surpluses arose out of the U.S. agro-industrial model, protected by tariffs and subsidies (institutionalized in the GATT). Farmers specialized in one or two commodities (such as corn, rice, sugar, and dairy products) and, with technological support from the public purse, routinely overproduced. Farm subsidies set prices for farm goods above their price on the world market. The resulting surpluses were used to subsidize Third World wage bills with cheap food. It was a substantial transfer of agricultural resources to Third World urban-industrial sectors. This food-aid regime32 set in motion the rural–urban prescriptions of development economists, with a difference: operating on a global, instead of a national, scale.

The Public Law 480 Program

To dispose of farm surpluses, the U.S. government instituted the Public Law 480 Program (PL-480) in 1954. It had three components: commercial sales on concessionary terms— discounted prices in local currency (Title I); famine relief (Title II); and food bartered for strategic raw materials (Title III). The stated goal was “to increase the consumption of U.S.

agricultural commodities in foreign countries, to improve the foreign relations of the U.S. and for other purposes.” In 1967, the U.S. Department of Agriculture reported, “One of the major objectives and an important measure of the success of foreign policy goals is the transition of countries from food aid to commercial trade.”33

Title I sales anchored this food aid regime, accounting for 70 percent of world food aid (mostly wheat) between 1954 and 1977. By the mid-1960s, food aid accounted for one- quarter of world wheat exports, determining the prices of traded foods. Management of food surpluses stabilized prices, and this in turn stabilized two key, and mutually conditioning, parts of the development project: the American agricultural economy and Third World government industrial plans.

Food Dependency

Under the aid program, wheat imports provisioned rising Third World urban populations. Third World governments established distribution programs to channel aid to reward the so- called “development alliance” of manufacturers, labor unions, urban professionals, and middle classes. Cheap food thus supported consumer purchasing power and subsidized the cost of labor, stabilizing urban politics and improving the Third World environment for industrial investments.

The impact of food aid varied across the world, depending on the resources of particular countries and their development policies. South Korea was a success story largely because the government centralized management of its rice culture and the supply of labor to the industrial centers. By contrast, urbanization in Colombia followed the collapse of significant parts of its unprotected farm belt under the competitive impact of food aid and commercial imports of wheat. Stimulated by the food aid program, imports of discounted wheat grew tenfold between the early 1950s and 1971, reducing by half the prices obtained by Colombian farmers. Displaced peasants contributed to the characteristic urban underemployment and low-wage economy of Third World countries.34

Between 1954 and 1974, major recipients of U.S. food aid were India, South Korea, Brazil, Morocco, Yugoslavia, South Vietnam, Egypt, Tunisia, Israel, Pakistan, Indonesia, Taiwan, and the Philippines (see Figure 3.2). Usually, it was cheaper and easier for governments to import wheat to feed their growing urban populations than to bankroll long- term improvements in the production, transportation, and distribution of local foods.35 Food aid allowed governments to purchase food without depleting scarce foreign currency, but it built “food dependency.”

Shipments of food were paid for in counterpart funds—that is, local currency placed in U.S. local bank accounts as payment—in India, for example, the United States owned over one-third of the rupee supply by the 1970s.36 These funds could be spent only by U.S. agencies within the recipient country, on a range of activities such as infrastructural projects, supplies for military bases, loans to U.S. companies (especially local agribusiness operations), locally produced goods and services, and trade fairs. Counterpart funds were also used to promote new diets among Third World consumers in the form of school lunch programs and the promotion of bread substitutes. U.S. Senator George McGovern predicted

in 1964,

Figure 3.2 Food Shortage Regions and Food Aid Recipients

Source: Michael Kidron and Ronald Segal, The State of the World Atlas. London: Pan, 1981.

The great food markets of the future are the very areas where vast numbers of people are learning through Food for Peace to eat American produce. The people we assist today will become our customers tomorrow. … An enormous market for American produce of all kinds will come into being if India can achieve even half the productivity of Canada.37

By 1978, the Third World was receiving more than three-quarters of American wheat exports. At the same time, Third World per capita consumption of wheat rose by almost two- thirds, and per capita consumption of all cereals except wheat increased 20 percent while per capita consumption of traditional root crops declined by more than 20 percent.38 In Asian and Latin American urban diets, wheat progressively replaced rice and corn. Wheat (and rice) imports displaced maize in Central America and parts of the Middle East and millet and sorghum in West Africa. Subsidized grain imports also undercut the prices of traditional starches (potatoes, cassava, yams, and taro). Thus, traditional “peasant foods” were replaced by the new “wage foods” of grains and processed foods consumed by urban workers.39

The rising consumption of imported wheat in Third World countries was linked to two far-reaching changes:

the erosion of peasant agriculture, urban food rations enabled subsidized wage foods to

outcompete peasant foods; and the expansion of an industrial labor force, as small producers left the land for low-wage jobs in the rapidly growing cities.

In the conventional development model, these social trends occur within a national framework. In reality, via the development project, they occurred within an international political-economic framework as First World farmers supplied Third World industrial workers, thus remaking the international division of labor.

Remaking Third World Agricultures

The intent of the PL-480 program was to create future markets for commercial sales of U.S. grains as consumers shifted to wheat-based diets. Consumption of final products (bread) was complemented by expanding consumption of other surplus agricultural goods, such as feed grains and agricultural technology. Behind this stood the massive state-sponsored expansion in American agricultural productivity, which outstripped manufacturing from the 1950s to the 1970s. Disposal of surpluses was a matter of government policy. At this point, it is important to reflect on the longer-term consequences of a short-term “food-empire” strategy. Such public support of “petro-farming”—where petroleum fuels industrial agriculture via mechanization, inorganic fertilizers, pesticides, herbicides and seed varnishes, abandoning agriculture’s natural biological base—undermines nature’s intrinsic ecological qualities over time. In the process, intensive agriculture annually loses 2 million acres of farm land to erosion, soil salinity, and flooding, in addition to consuming groundwater 160 percent faster than it can be replenished.40 Marc Reisner, referring to the American West in Cadillac Desert, wrote, “Westerners call what they have established out here a civilization, but it would be more accurate to call it a beachhead. … And if history is any guide, the odds that we can sustain it would have to be regarded as low.”41 This agribusiness model remains one of the key exports stemming from the era of the development project.

The Global Livestock Complex

During the food-aid regime, surplus grain was sufficiently cheap and plentiful to feed livestock rather than people. Expanding supplies of feed grains stimulated the growth of commodity chains linking specialized feed producers with specialized animal protein producers across the world. Beyond a wheat-based diet, more affluent Third World consumers shifted up the food chain, from grain to animal protein (beef, poultry, pork, and shrimp). Such “dietary modernization” is as much the result of policy as it is the consequence of rising incomes. The hamburger commodity chain has its counterpart to petro-farming’s ecological impact in deforestation. For example, between 1960 and 1990, over 25 percent of the Central American rainforest was converted to pasture for cattle in turn, converted into hamburgers for an expanding fast-food industry in the United States. The contributions of beef production to global warming, via carbon dioxide, nitrous oxide, and methane, are significant, as Jeremy Rifkin reminds us: “Altered climates, shorter growing seasons, changing rainfall

patterns, eroding rangeland, and spreading deserts may well sound the death knell for the cattle complex and the artificial protein ladder that has been erected to support a grain-fed beef culture.”42

American grain-processing industries followed the movement of cattle from open-range feeding to grain feeding (75 percent by the early 1970s). The grain companies that formerly sold and processed wheat diversified into processed feeds (corn, barley, soybeans, alfalfa, oats, and sorghum) for cattle and hog feedlots as well as poultry motels. Consumption of animal protein became identified with “the American way of life,” as meat accounted for one- quarter of the food bill by 1965.43 Beef consumption roughly doubled between the turn of the century and 1976, and poultry consumption more than tripled between the 1930s and 1970.44 Looking ahead, factory farms in the United States today annually produce well over 1 billion tons of manure, laden with chemicals, antibiotics, and hormones, which leach into rivers and water tables.45 The animal protein culture is also symbolic of the problematic chemical technology enabling modern development.

Through the food aid program, exports of feed grains also flourished as animal protein consumption spread among Third World middle classes. The U.S. Feed Grains Council routinely channeled counterpart funds, via over 400 agribusinesses, into the development of local livestock and poultry industries.46 In 1969, four South Korean firms entered into joint ventures with U.S. agribusinesses (including Ralston-Purina and Cargill) to acquire technical and marketing expertise. The 1970 PL-480 annual report stated these enterprises would use counterpart funds “to finance construction and operation of modern livestock feed mixing and livestock and poultry production and processing facilities. As these facilities become fully operational, they will substantially expand the market for feedgrain and other feed ingredients.”47

CASE STUDY Food and Class Relations

The growing feed grains trade traces changing social diets as societies transform. Animal protein consumption reflects rising affluence as middle-class Third Worlders

embraced First World diets beyond those staple (grain, primarily wheat) diets promoted directly through food aid. (Ernst) Engel’s law correlated the dietary move from starch to grain to animal protein and fresh vegetables with rising incomes. Rather than reflecting individual choice, however, dietary differentiation reflects who controls production of certain foods, and how consumption patterns distribute among social classes.

Consider Egypt, where, in 1974–1975, the richest 27 percent of the urban population consumed four times as much animal protein as the poorest 27 percent. Rising incomes, complemented by U.S. and Egyptian government subsidies, fostered a switch from legumes and maize to wheat and meat products. From 1970 to 1987, livestock production outstripped crop production on an order of ten to one. Egypt’s grain imports exploded as it became the world’s largest importer after Japan and China. Timothy Mitchell notes that dependence on imported grain stems from a government-sponsored shift to meat consumption, remarking,

Egypt’s food problem is the result not of too many people occupying too little land, but of the power of a certain part of that population, supported by the prevailing domestic and international regime, to shift the country’s resources from staple foods to more expensive items of consumption.

Engel’s law appears to operate globally, as different classes dine on different parts of the food chain, but the difference is an effect of the development project. As wealthy consumers dine “up” on animal protein, the working poor dine either on food aid grains or the low end of the food chain: low-protein starchy diets, or little at all.

While it seems natural for those with rising incomes to consume animal protein, can we separate meat consumption from the political mechanisms and social inequalities that support such indirect consumption of feed grains, displacing direct consumption of grains and other staple foods?

Sources: Gardner and Halweil (2000); Mitchell (1991).

A global livestock complex formed, with livestock production expanding across the Third World, and specialized feed grain supply zones concentrating in the First World and in “middle-income” countries such as Brazil and Argentina. Between the late 1940s and 1988, world production of soybeans increased sixfold. At the same time, maize production was revolutionized as a specialized, capital-intensive agro-industry, outstripping the value of the world wheat trade by a factor of six.48

The Green Revolution

The other major contribution to the remaking of Third World agriculture was the green revolution, associated with a “package” of plant-breeding agricultural technologies originally developed by the Rockefeller Foundation in Mexico—increasing production of corn, wheat, and beans in the two decades after 1943 by 300 percent—and, in a combined venture with the Ford Foundation in the Philippines in the 1960s, then in tropical centers in Nigeria and Colombia. In 1971 it culminated in the formation of the Consultative Group on International Agricultural Research (CGIAR), sponsored by the Food and Agricultural Organization (FAO), the United Nations Development Program (UNDP), and the World Bank, with research facilities and gene banks across the world.49 The green revolution was also the principal medium through which the U.S. model of chemical agriculture was introduced into the Third World—a technology transfer involving specific political choices and consequences.

Green revolution advocacy symbolized the idealized prescriptions of the development project, with its focus on output, despite known social and ecological consequences.50 In the development narrative, rural population shrinkage is inevitable as agriculture “modernizes.” The question is, why shrink huge rural populations where industry was either capital- intensive or not extensive, and slumdwellers comprise 50 percent of Third World

populations? “Productivism” has been a central development theme. It was promoted heavily by the

U.S. land-grant university system, with an extension program geared to a model of commodity-specific research, supporting large, capitalized farmers.51 Within the development project, the “entire argument for increasing yields was framed by the specter of increasing population.” This argument lent moral and political legitimacy to a technological solution (despite the consequences), it represented population as an independent variable (we have seen how the case study of Egypt questions this) and, finally, the green revolution program appealed to “economic nationalism,” a central ingredient of developmentalism at the time.52

Even more compelling were the political implications of the Chinese model where, following the 1949 communist revolution, about 45 percent of total cultivated land monopolized by landlords was redistributed to small and landless peasants. Collectivization of land mobilized underemployed surplus labor and investment in water management and local enterprises, and extended basic health and rural education through a decentralized process supplemented with central government assistance—albeit with a goal of squeezing agriculture to finance industrial growth and centralized administration.53 Whether or not this vast social experiment ultimately succeeded, the Chinese model loomed large in countries like India, where Prime Minister Nehru was determined to match the Chinese.54 However, Indian national institutional reforms required compliance by state governments, generally dominated by landlords and merchants unfavorable to land reform and labor cooperatives. The revolution would thus change color, from red to green.

Meanwhile, the United States, with the leverage of its counterpart funds in India, was encouraging India to substitute green revolution technology for land redistribution.55 Pressure to extend chemical agriculture stemmed from the conversion of wartime nitrogen production (for bombs) to inorganic fertilizer, displacing nitrogen-fixing legumes and manure, and the development of insecticides, stemming from World War I nerve gases, with advances in petroleum refining and organic chemistry.56

“Petro-farming”—marrying the chemical industry with the energy sector—both enabled and encouraged proliferation of green revolution technology, with the FAO providing extension services for the disposal of synthetic fertilizer across the Third World, intensifying agricultural dependence on the energy sector.57 Vandana Shiva remarks, “The Green Revolution seeds were designed to overcome the limits placed on chemically intensive agriculture by the indigenous seeds.”58

The new high-yielding varieties (HYVs) of hybrid seeds were heavily dependent on disease- and pest-resisting chemical protections in the form of fungicides and pesticides. Intensive irrigation and fertilization were necessary to optimize macro-nutrient yields, eliminating traditional leafy greens (micro-nutrients such as vitamin A) now redefined as “weeds” and targeted by herbicides. The HYVs produced “wage foods” for urban consumers, displacing “peasant foods” produced with methods of crop-rotation to maintain soil fertility. In 1984, an Indian farmer commented on the stronger, healthy soils promoted by manure- based fertilizer: “chemical fertilizer makes the crop shoot up … whereas organic manure makes for strength. Without strength, no matter how much fertilizer you put, the field won’t give output.”59 The hybrid seed ruptured the ecological cycle of natural regeneration and

renewal, replacing it with linear flows of purchased inputs and commodified outputs, and incorporating farmers into the “chemical treadmill.”60 Long-term economic and ecological impacts have been blamed for as many as 100,000 farmer suicides in India between 1993 and 2003.61

The expansion of green revolution agriculture embodied the two sides of the development project: the national and the international. From a national perspective, governments sought to improve agricultural productivity and the delivery of maize, wheat, and rice to urban centers. In the context of the food-aid regime, this import-substitution strategy either supplemented food aid or complemented its competitive effects on local farmers. The green revolution produced dramatic yields, but highly concentrated in a few ecologically advantaged regions of the Third World. Asia and, to a much lesser degree, Latin America have captured the benefits from the new grain varieties, while Africa—lacking an expansive commercial wheat or rice culture—has charted few gains. The major wheat-producing countries in the Third World—India, Argentina, Pakistan, Turkey, Mexico, and Brazil— planted the bulk of their wheat acreage in the new hybrid varieties, accounting for 86 percent of the total green revolution wheat area by the 1980s. Meanwhile, six Asian countries—India, Indonesia, the Philippines, Bangladesh, Burma, and Vietnam—were cultivating more than 87 percent of the rice acreage attributed to the green revolution by the 1980s.62

From an international perspective, the food aid program helped to spread green revolution technology. Counterpart funds routinely promoted agribusiness and green revolution technologies, complemented with loans from institutions such as the United States Agency for International Development (USAID) and the World Bank.63 These agencies aimed to weave First World agricultural technologies into Third World commercial farming.

The green revolution was realized through the increase of rural income inequalities. In parts of Latin America, such as Mexico, Argentina, Brazil, and Venezuela, as well as in irrigated regions of India (Punjab and Haryana), this high-input agriculture promoted economic differentiation among—and often within—farming households. Within households, typically women have less commercial opportunity. Hybrid seeds and supporting inputs had to be purchased; to buy them, participants needed a regular supply of money or credit. Women tended to be excluded—not only because of the difficulty of obtaining financing but also because of agricultural extension traditions of transferring technology to male heads of households.

Among farming households, the wealthier ones were more able to afford the package— and the risk—of introducing the new seed varieties. They also prospered from higher grain yields—often with easier access to government services than their poorer neighbors, who lacked the political and economic resources to take full advantage of these technologies. Rising land values often hurt tenant farmers by inflating their rent payments, forcing them to rent their land to their richer neighbors or to foreclose to creditors. Finally, the mechanical and chemical technologies associated with the green revolution either reduce farmhand employment opportunities for poor or landless peasants (where jobs were mechanized) or degrade working conditions where farmhands are exposed to toxic chemicals, such as pesticides and herbicides.64

Anti-rural Biases of the Development Project

Within the framework of the development project, Third World governments strove to feed growing urban populations cheaply, for political support, for lowering wages, and for national security. The term urban bias has been coined to refer to the systematic privileging of urban interests, from health and education services through employment schemes to the delivery of food aid.65 This bias was central to the construction of development alliances based in the cities of the Third World. But it also expressed the modernist belief in peasant redundancy.

Urban bias did not go unnoticed in the countryside. Growing rural poverty, rural marginalization, and persistent peasant activism over the question of land distribution put land reform on the political agenda in Asia and Latin America. When the Cuban Revolution redistributed land to poor and landless peasants in 1959, land reforms swept Latin America. Between 1960 and 1964, Brazil, Chile, Costa Rica, the Dominican Republic, Ecuador, Guatemala, Nicaragua, Panama, Peru, and Venezuela all enacted land reforms. The Alliance for Progress (1961)—a program of nationally planned agrarian reform coordinated across Latin America—provided an opportunity for the United States to use land reforms to undercut radical insurgents and stabilize rural populations via a U.S.-inspired family farming model.66

The land reform movement exempted commercialized farmland, redistributing what was left, including frontier lands. Indeed, considerable “re-peasantization” occurred during this period. In Latin America, two-thirds of the additional food production between 1950 and 1980 came from frontier colonization, and the number of small farmers with an average of two hectares of land grew by 92 percent. Overall, arable land increased by as much as 109 percent in Latin America and 30 percent in Asia but possibly declined in Africa.67 Resettlement schemes on frontiers, including forests, were typically financed by the World Bank, especially in Indonesia, Brazil, Malaysia, and India, and they usually privileged males, as household heads—“one of the principal mechanisms of exclusion of women as direct beneficiaries.”68 These strategies sometimes simply relocated rural poverty. In Brazil between 1960 and 1980 roughly 28 million small farmers were displaced by industrial farming for export to enhance foreign exchange earnings. The displaced farmers spilled into the Amazon region, burning the forest for new and often infertile land.69

Persistent rural poverty through the 1960s highlighted the urban bias of the development project. At this point, the World Bank (under Robert McNamara) devised a new poverty alleviation program—a multilateral scheme to channel credit to smallholding peasants and stabilize rural populations where previous agrarian reforms failed, with quite mixed success. Outcomes included leakage of credit funds to more powerful rural operators, displacement of hundreds of millions of peasants, and the incorporation of surviving peasant smallholders via credit into commercial cropping at the expense of basic food farming.70

The lesson we may draw from this episode of reform is that neither the resettlement of peasants nor their integration into monetary relations is always a sustainable substitute for supporting agro-ecological methods that preserve natural cycles of regeneration of land, water, and biodiversity. The assumptions of the development project heavily discriminated against the survival of peasant culture, as materially impoverished as it may have seemed.

Through a combination of food dumping, and institutional support of commercial and export agriculture, the long-term assault on peasant agriculture begun in the colonial era has intensified. Priority given to import and production of “wage foods”—compromising soil fertility and hydro-logical cycles—undermines the viability of household food production as a livelihood strategy for peasants and a subsistence base for the rural poor. The result has been a swelling migration of displaced peasants to overcrowded urban centers of Latin America, Asia, and Africa, creating a “planet of slums.”71

SUMMARY

The development project was multilayered, as national strategies of economic growth dovetailed with international programs of multilateral and bilateral assistance. The Third World as a whole was incorporated into a singular project, despite national and regional variations in available resources, starting point, and ideological orientation.

Military and economic aid programs shaped the geopolitical contours of the “free world,” integrating Third World countries into the Western orbit. They also shaped patterns of development through technological transfer and food subsidies to industrialization programs. Food aid was significant in securing geopolitical alliances as well as in reshaping the international division of labor via support of Third World manufacturing. As development economists predicted, Third World industrialization depended on the transfer of rural resources. But this transfer was not confined to national arenas, as exports of First World food and agricultural technology constituted a global rural–urban exchange.

The international dimension is as critical to our understanding of the development processes during the postwar era as is the variety of national forms. We cannot detail such variety here, and that is not the point of this story. Rather, the focus is on understanding how the development project set in motion a global dynamic that embedded national policies within an international institutional and ideological framework. This framework was theoretically in the service of national economic growth policies, but proved to be ultimately internationalizing. Social changes within Third World countries put their own local face on what was ultimately a common global process of development embedded in unequal relations, and technology transfer, between the First and Third Worlds.

In this chapter, we have examined one such example of these transfers, and we have seen how they condition the rise of new social structures. First World agricultural expansion was linked with the rise of new industrial classes in the Third World. At the same time, the export of green revolution technology to Third World regions stimulated social differentiation among men and women and among rural producers, laborers, and capitalist farmers. Those peasants unable to survive the combined competition of cheap foods and high-tech farming in the countryside migrated to the cities, further depressing wages. Not surprisingly, this scenario stimulated a massive relocation of industrial tasks to the Third World, reshaping the international division of labor. This is the subject of Chapter 4.

FURTHER READING

Chang, Ha-Joon. Kicking Away the Ladder: Development Strategy in Historical Perspective. London: Anthem Press, 2002.

Gupta, Akhil. Postcolonial Developments: Agriculture in the Making of Modern India. Durham, NC: Duke University Press, 1998.

Kloppenburg, Jack R., Jr. First the Seed: The Political Economy of Plant Biotechnology, 1492–2000. Cambridge, UK: Cambridge University Press, 1988.

Rich, Bruce. Mortgaging the Earth: The World Bank, Environmental Impoverishment and the Crisis of Development. Boston: Beacon, 1994.

SELECT WEBSITES

Consultative Group on International Agricultural Research (CGIAR): www.cgiar.org Food and Agriculture Organization (FAO), UN: www.fao.org International Monetary Fund (IMF): www.imf.org United Nations Conference on Trade and Development (UNCTAD): www.unctad.org The World Bank: www.worldbank.orghttp://www.cgiar.orghttp://www.fao.orghttp://www.imf.orghttp://www.unctad.orghttp://www.worldbank.org

R

4 Globalizing Developments

ecall that the “economic nationalism” of the development project was an ideal, not a guarantee. The conversion of segments of domestic production to export production

deepened the participation of national economies in the world market. This chapter focuses on the socioeconomic dimensions of this transformation, anticipating the process and politics of globalization, as the development project was replaced by the globalization project.

The development project depended on postwar reconstruction of the world market, albeit subordinated to the development concerns of nation-states. The Cold War marked the rise of a U.S.-centered world economy in which the U.S. government deployed military and economic largesse to secure an informal empire as colonialism receded. With the West focused on containing Soviet and Chinese power, the development project settled on the twin economic foundations of freedom of enterprise and the U.S. dollar as the international currency. Bilateral disbursements of dollars wove together the principal national economies of the West and Japan and, as the dollar source, the U.S. Federal Reserve System led those countries’ central banks in regulating an international monetary system.1

Within this arrangement, Third World political elites pursued national development targets assisted by substantial military and financial aid packages. Countries differed in their resource endowments and their political regimes—ranging from military dictatorship to one- party states to parliamentary rule. Nonetheless, despite expectations of convergence through development, divergent forces soon appeared. These included a growing, rather than diminishing, gap between First and Third World living standards and a substantial differentiation among states within the Third World, as the newly industrializing countries “took off.” In combination, these divergent developments signaled a deepening integration of production relations across, rather than within, nation-states. The development “fast track” was emerging in the web of economic relations across national borders as a new form of global economy emerged, leaving the national experiment behind.

Third World Industrialization in Context

The rise of the newly industrializing countries (NICs) appeared to confirm that the colonial legacy was in retreat and that industrialization would inevitably expand into the Third World. Each of the NICs, with some variation, moved through low-value industries (processed foods, clothing, toys) to higher-value industries (steel, autos, petrochemicals, machinery). Whereas the Latin American NICs (Mexico and Brazil) began the early phase in the 1930s, graduating to the more mature phase in the 1950s, the Asian NICs (Taiwan and South Korea) began manufacturing basic goods in the 1950s and did not upgrade until the 1970s. The other

regional variation was that the Asian NICs financed their import-substitution industrialization (ISI) via the export of labor-intensive products because they lacked the resource base and domestic markets of the Latin NICs.2

With the exception of Hong Kong, most of the NICs had strong development states guiding public investment into infrastructure development and industrial ventures with private enterprise. The South Korean development state virtually dictated national investment patterns.3 Industrialization depended on the size of domestic markets as well as access to foreign exchange for purchasing First World capital equipment technologies. As technological rents rose, Latin NICs adopted the export-oriented industrialization (EOI) model of the Asian NICs to earn foreign exchange.

Widespread EOI signaled a significant change in strategies of industrialization, increasingly organized by transnational corporation (TNC) investment and marketing networks. For First World firms, EOI became a means of relocating the manufacturing of consumer goods, and then machinery and computers, to the Third World. Third World states welcomed the new investment with corporate concessions and a ready supply of cheap, disorganized labor. At the same time, First World consumption intensified with easy credit and a mushrooming of shopping mal