Том 6-Ряд 1-2011 Год - International Atatürk

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ALATOO ACADEMIC STUDIES
ISSN: 1694-5263
.iaaomnim
Volume 6 - Number 1 - Year 2011
CONTENTS
SOCIAL SCIENCES
ALATOO
ACADEMIC
STUDIES
BATHING CULTURE in TURKS ACCORDING
TO ISLAMIC FAITH AND TURKISH BATH
ARCHITECTURE
R. Eser Gültekin
12
International
Scientific Journal
LOCAL-ORIENTED IDENTITIES IN
KYRGYZSTAN
Halim Nezihoğlu
21
STRUGGLE FOR DEMOCRACY IN ARMENIA IN
1990s
Seyit Ali Avcu
26
a
publication
of
International
Ataturk
Alatoo University
Address:
Microregion
Thunguch, Gorky
Street, 72048
Bishkek
KYRGYZSTAN
Tel:
+996 312 631425
+996 312 631426
Fax:
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Журнал Кыргыз
Республикасыны
н Юстиция
министирлигинд
е катталган,
каттоо
куболугу № 969.
COERCION VS. COOPERATION IN THE
INTERNATIONAL RELATIONS
Veton Latifi
37
TÜRKİYE TÜRKÇESİNDE KÖK MESELESİ
Necmeddin Aydın
45
MERKEZ BANKALARININ ALTIN
PİYASASINDAKİ ROLÜ ÜZERİNE BİR
DEĞERLENDİRME
Metin Duyar
51
PHILLIPS CURVES IN THE SAARC REGION:
PANEL DATA ANALYSIS (1990-2008)
Khalid Zaman, Iqtidar Ali Shah, Muhammad
Mushtaq Khan & Waseem Ikram
64
THE INFLUENCE OF CORPORATE
ATTRIBUTES ON EXTENT OF DISCLOSURE:
EVIDENCE FROM INDIAN COMPANIES
Poonam Mahajan & Subhash Chander
77
ПЕРИОДЫ СТАНОВЛЕНИЯ ДВУЯЗЫЧНОЙ
ЛЕКСИКОГРАФИИ
Л.В. Алимпиева
105
ЭВОЛЮЦИЯ ДЕНЕЖНО-КРЕДИТНОЙ
ПОЛИТИКИ
Атабаев Нурлан & Алымкулова Наргиза
COUNCIL ON COMPETITIVENESS – A
STARTING POINT FOR INCREASING
COMPETITIVENESS OF KYRGYZSTAN
Bedelbai Mamadiev & Ahmet Sahin
109
118
TEACHER RESPONSE TO AN EARLY LITERACY
TEACHING INTERVENTION
Nkechi M. Christopher
135
ЧАСТНОЕ ВЫСШЕЕ ОБРАЗОВАНИЕ – АСПЕКТЫ
ФИНАНСИРОВАНИЯ
Талант Асан уулу
144
ПРАВОВОЕ ЗАКРЕПЛЕНИЕ ПРАВ ДЕТЕЙ И
ГАРАНТИИ ИХ ОСУЩЕСТВЛЕНИЯ
Розахунова Н.Р., Розахунова М.Р.
151
ОБЗОР ДЕМОГРАФИЧЕСКОЙ СИТУАЦИИ В
КЫРГЫЗСКОЙ РЕСПУБЛИКЕ ЗА 2002-2006 ГОДЫ
Дөөлөталиев Чоро Сейитович
165
KÜRESELLEŞME SÜRECİNDE TÜKETİCİLERİN
MARKA TERCİHLERİ, AB ÜYELİĞİNİN ÜNİVERSİTE
ÖĞRENCİLERİNİN MARKA TERCİHLERİ ÜZERİNDEKİ
ETKİSİ
Hasan Aksoy
172
DEDE KORKUT HİKAYELERİNDEKİ YANSIMA
SÖZLERİN LEKSİKO-SEMANTİK ANALİZİ
Ergün Koca
179
СОВРЕМЕННЫЕ МЕХАНИЗМЫ РЕШЕНИЯ
ПРОБЛЕМ ЖЕНЩИН, ПОТЕРПЕВШИХ НАСИЛИЕ
192
MUHTEŞEM YÜZYIL, SULTAN ŞAİR MUHİBBİ
Ayşen Koca
196
АДАБИЙ ЧЫГАРМАЛАРДА ЖЫЛКЫНЫН
БАЯНДАМАЧЫ КАТАРЫ РОЛУ
Угур Солдан
208
ЗАЩИТА ПРАВ ПОТРЕБИТЕЛЕЙ В ЖИЛИЩНОКОММУНАЛЬНОЙ СФЕРЕ И ПРОБЛЕМЫ
РЕФОРМИРОВАНИЯ В ЭТОЙ СФЕРЕ
212
MANAS DESTANI VE FİRDEVSİ’NİN ŞEHNAMESİNDE
GÖRÜLEN OLAĞANÜSTÜ DURUMLARIN
KARŞILAŞTIRILMASI
Emrah İlik
221
APPLIED SCIENCES
INNOVATIVE WAY OF DEVELOPMENT IMPORTANT TERMS OF ECONOMY
MODERNIZATION IN THE CONDITIONS OF
GLOBALIZATION
Kakhramon Shaakramov
123
MATHEMATICS ACHIEVEMENT LINKED PROBLEM
POSING TASKS USED IN MATHEMATICS
INSTRUCTION
Selim Guvercin
228
EXPECTATION LEVELS OF STUDENTS WHO
WERE NOT ABLE TO WIN THE STUDENT
SELECTION EXAMINATION AND STUDY AT
PRIVATE COURSES
H.Eray Çelik, Veysel Yılmaz & Suat Parin
128
Журнал «Alatoo Academic Studies»включен в Перечень рекомендованных Национальной аттестационной
комиссией Кыргызской Республики рецензируемых периодических изданий (Приказ № 2 от 12 февраля 2008 г.)
Журнал «Alatoo Academic Studies»включен в Перечень рекомендованных Национальной аттестационной комиссией
Кыргызской Республики рецензируемых периодических изданий (Приказ № 2 от 12 февраля 2008 г.)
Alatoo Academic Studies………………………………….………………………………………………...Vol 6, No1, Year 2011
ALATOO ACADEMIC
STUDIES
ISSN: 1694-5263
Volume 6 - Number 1 - Year 2011
(International Scientific Journal)
a
publication
of
International Ataturk Alatoo University
Bishkek, KYRGYZSTAN
March 2011
3
4
AIM AND SCOPE OF THE JOURNAL
Alatoo Academic Studies is a peer-reviewed refereed journal published semiannually by International
Ataturk Alatoo University (Bishkek, capital of Kyrgyz Republic), one of leading international universities of both
Kyrgyzstan and Central Asia with its multi-language focus in education. The journal’s mission is to enlarge
Eurasian scholarsip in different fields. The journal intends to deal with subjects ranging from economics,
business, politics, humanities, sociology, religion, linguistics, applies sciences, engneering and other fields. The
regional focus, Eurasian one, has a special place in the journal’s mission. So, those articles concerning Eurasian
scholarship will be specially welcomed by the journal. The journal’s focus is the problems and new phenomena
caused by social, economic, political, cultural changes in newly independent states of the ex- Soviet Union. Since
transition brought many different things to the related countries, the journal especially seeks original papers
dealing with all aspects of these changes. Though the major focus of the journal is on Eurasia, papers dealing
with other subjects can also be acccepted. Especially, inter disciplinary studies having views from different
perspectives are valued for the journal. The journal accepts articles, research notes, book reviews, etc. in
English, Turkish, Kyrgyz and Russian languages.
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EDITOR
Prof. Dr. Ali AYATA,
International Ataturk Alatoo University (Bishkek, KYRGYZSTAN)
CO-EDITOR
Prof. Dr. Mariam EDILOVA,
International Ataturk Alatoo University (Bishkek, KYRGYZSTAN)
JOURNAL COORDINATOR
Bedelbai MAMADIEV, International Ataturk Alatoo University (Bishkek, KYRGYZSTAN)
JOURNAL MAILING ADDRESS:
Microregion Tunguch Gorky Street, 720048, Bishkek, KYRGYZSTAN
JOURNAL WEB ADDRESS:
www.iaau.edu.kg/aas
JOURNAL CONTACT E-MAILS:
Bedelbai MAMADIEV, (journal coordinator) at [email protected]
6
JOURNAL SCIENCE BOARD
Prof. Dr. Ali AYATA
(Kyrgyzstan)
Acad.Prof.Dr.Altay BORUBAEV (Mathematics)
Kyrgyz National Attestation Committee
(Kyrgyzstan)
Prof. Dr. Erol ORAL
Turgut Ozal University (Turkey)
Prof. Dr. Ibrahim HASGUR, (Statistics & Law)
TBMM (Turkey)
Prof. Dr. Mariam EDILOVA, (Philosophy)
Kyrgyz State University (Kyrgyzstan)
Prof. Dr. Valentin BABAK (Information
Technology in Economics)
Kyrgyz Technical University (Kyrgyzstan)
Prof. Dr. Vildan SERIN (Central Asian
Economies)
Fatih University (Turkey)
Prof. Dr. Beyshebay Usubaliev (Kyrgyz
Language)
East University named Mahmoud Kashgary
Barskany (Kyrgyzstan)
Prof. Dr. Tashpolot SADYKOV (Turkish
Language)
(Kyrgyzstan)
Prof. Dr. Niyazi ARI, (Electronics&Computer
Science)
University of Technology-Zurich (Switzerland)
Prof. Dr. Samandar ISKANDAROV,
(Mathematics)
(Kyrgyzstan)
Prof. Dr. Ismail OZSOY, (Economic History)
Prof. Dr. Asylbek IBRAEV (Phonetics)
(Kyrgyzstan)
Prof. Dr. Hasan SELCUK, (Law)
Marmara University (Turkey)
Assoc. Prof. Dr. Zinaida KARAYEVA (Literature)
Kyrgyzstan International University (Kyrgyzstan)
Assoc. Prof. Dr. Orozbek KOCOGULOV (Physics)
(Kyrgyzstan)
Assoc. Prof. Dr. Mehmet ORHAN (Econometry)
Assoc. Prof. Dr. Nizamettin BAYYURT
(Quantitative Techniques)
Assoc. Prof. Dr. Ihsan YILMAZ, (Socio-legal
studies, Law and Politics, Religion and Secularism)
University of London (United Kingdom)
Assoc. Prof. Dr. Cihan BULUT, (Economic Policy)
Qafqaz University (Azerbaijan)
Assoc. Prof. Dr. Alexander TSOY (Russian
Language) Litarature Institute of A.M. Gorki
(Russian Federatio
Assoc. Prof. Dr. Vedat KIRAY, (Electronics,
Robotics & Fuzzy Logic)
(Kyrgyzstan)
Assis. Prof. Dr. Mesut YILMAZ, (Ecomomics)
Suleyman Demirel University (Kazakhstan)
Assis. Prof. Dr. Reha YILMAZ (International
Relations)
Cankiri Karatekin University (Turkey)
Assis. Prof. Dr. Mustafa AKIN, (Development
Economies) Maltepe University (Turkey)
Assis. Prof. Dr. Ahmet AKIN (Finance)
Assis. Prof. Dr. László VASA, (Management)
Szent István University (Hungary)
Assis. Prof. Dr. Ghiyath NAKSHBENDI
(International Business) Sangamore Group (USA)
Assis. Prof. Dr. Lutfu SAGBANSUA, (Operations
Management) International Ataturk Alatoo
University (Kyrgyzstan)
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CALL FOR PAPERS AND SUBMISSION GUIDELINES
CALL FOR PAPERS
Alatoo Academic Studies is a double-blind refereed journal which seeks togather original and
unpublished academic papers. The journal accepts original papers dealing with scholarship in economics,
business, international relations, humanities, sociology, religion, linguistics, literature, applied sciences,
engineering, etc. Those papers focusing on newly independent states will be especially welcomed. The journal
accepts articles, research notess, book reviews. The manuscripts can include theoretical, conceptual,
empirical and case study meaningful contributions which will advance our understanding in the related
areas. The journal is semiannually published. The deadlines for submissions are March 1 and September 1.
All submissions will be subjected to “double blind” peer review.
SUBMISSION GUIDELINES
Papers should be submitted via e-mail (in word format) to [email protected] or [email protected].
BEFORE YOUR SUBMISSION, PLEASE READ CAREFULLY (PROOF-READING) YOUR PAPER TO MAKE
SURE IT HAS NO SPELLING AND GRAMMAR MISTAKES, AND FOLLOW THE INSTRUCTIONS STATED BELOW
TO FORMAT YOUR PAPER. PAPERS WITH MISTAKES AND WRITTEN NOT CONFORMING TO THE FORMAT
GUIDELINES BELOW WILL BE RETURNED TO THE CORRESPONDING AUTHOR(S)
Paper format:
The submission will include
- The title of the paper,
- Name of author(s) and affiliation(s),
- Contact information of the corresponding author
- An abstract of maximum 250 words (all papers should also include an abstract written in English if the
paper is not written in English)
- Key words (up to 5)
- All papers should be double-spaced with 11 font size (Times New Roman)
- Margins should be (4 cm) at the left, (2.5cm) at the top, bottom and right
- Before and after paragraphs 6 cm.
- Limits: Approximately 20 pages. If your paper is longer than these limits, we recommend you to shorten it
before the submission.
Reference Style
Please use in-text reference style, not endnotes style! Examples:
…Fisher and Madet (2000) state that…
…this result has been obtained in a recent study (David, 1997).
At the end of your paper, please give the full citation as indicated below:
Journal Articles
Fisher, J. and Madet, G. (2000), Implications of Globalisation, Journal of Business Development, 34(2): 102-123
Books
Mariam, G. J. (1999), Managing the Change, Basic Books: New York.
Papers
9
David, H. (1997), Radon Risk Models', in A.R. Knight and B.Harrad (eds.) Indoor Air and Human Health,
Proceedings of the Seventh Life Sciences Symposium; 29-31 October 1981; Knoxville, USA. Amsterdam: Elsevier,
pp 69-78.
Chapters in Edited Books
Teece, D.J. (1987), Capturing Value from Technological Innovation: Integration, Strategic Partnering and Licensing
Decisions, in R.B. Guile and H. Brooks (eds.) Technology and global industry: Companies and Nations in the World
Economy, Washington DC: National Academy Press, pp.19-38.
Dissertations
Salk, J.E. (1992), Shared Management Joint Ventures: Their Developmental Patterns, Challenges and Possibilities,
Unpublished Ph.D Dissertation, Sloan School of Management, Massachusetts Institute of Technology, Cambridge,
MA.
Online documents
Van de Vliert, E. (2002), Thermoclimate, Culture, and Poverty as Country-level Roots of Workers' Wages, [www
document] http://www.jibs.net (accessed 13 January 2003).
Online journal articles
Van de Vliert, E. (2002), Thermoclimate, Culture, and Poverty as Country-level Roots of Workers' Wages, Journal
of Business, doi:10.1057/palgrave.jibs.8400007
10
SOCIAL SCIENCES
11
BATHING CULTURE in TURKS ACCORDING TO ISLAMIC FAITH AND TURKISH BATH
ARCHITECTURE
Assoc. Prof. Ph.D. R. Eser GULTEKIN
Akdeniz University Faculty of Fine Arts, Head of Department of Architecture, Antalya.
ABSTRACT
The importance given to the hygiene for centuries by the Turks caused the Turkish Bath
Architecture to be born. Turkish baths, which are among the most important architectural structures, have
an important place in terms of their function and architecture. Turkish baths are worth of attention with
their architectural foundation, decorative elements and heating systems. Despite the fact that very few of
the Turkish baths from the Periods of Anatolian Seljuk and “Beyliks” reached our day, a significant
number of Turkish baths from the Ottoman Period could reach our day.
Turkish baths, which had an important place in Turkish culture and social life and which reached
our day as the heritages from our ancestors, gradually disappear due to the fact that they lose their prior
attractiveness and importance day by day. In this paper, it was aimed to try to introduce Turkish baths in
terms of their general characteristics, division of places, functions, installation system and decorative
elements.
Keywords: Bathing Culture, Aquatic Architecture, Turkish Baths
Bathing Culture in Turks
In the early days, the humankind made use of stagnant waters or running waters to bath. It has
been stated in the resources that the cleanest people of the world were the Oghuzs who lived in the
“Tanrıdag” area. Again, according to these resources, although they had long hair, they used to shave
their moustache and beard, their women and men frequently bathed and they built their nomad camping
sides near springheads or water sides (Şapolyo, 1967:28).
There isn’t any information regarding the bathing places Seljuk Turks used at the region they lived
before the conquest of Anatolia. However, according to the written resources, nomad Turks used tent
baths called “cerge” and Anatolian Seljuk Sultan I. Alaeddin Keykubat used to go to military expeditions
with a tent bath called “Hamam-i Seferi (Bath of Expedition)” (Turan, 1965:254). In some resources, it is
mentioned that in addition to private baths such as palace, mansion, caravanserai and Islamic monastery
baths, there were public baths at major Islamic-Ottoman social complexes. The Seljuk bath (Ülgen,
1948:354-355) in Nigar in the north of Kirman is one of these baths and has a similar plan scheme to the
Turkish baths in Anatolia in terms of the setup of the heating place (Önge, 1995:9; Önge, 1988:403-428).
Therefore a relationship between the baths of Central Asia and Anatolia is thought to exist (Erat,
1997:27).
With the Turks beginning to settle in Anatolia in crowds, upon the victory of Malazgirt, Ancient
baths like the other structures in the cities of Central Anatolia were also begun to be repaired and
adapted in such a way that they would enable bathing convenient to the hygiene requirements of Islam. In
this context, it is thought that the under-floor-heating system at the baths is an influence of the Ancient
baths. However, the principle of bathing at the Turkish baths with the water carried with the clay water
pipes inside the walls is the main point that separates the Turkish baths from the Ancient baths. This
difference is the result of the hygiene concept Islam brings forth. These people with a long-established
culture, headed towards the construction of various architectural structures by blending the customs
rooted in Central Asia and local cultures of Anatolia.
It was Turks who built the most of the baths in the cities they lived due to both religious and
traditional reasons. In a city the baths come after the mosques in the town planning system of Turks
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(Ünver, 1942:245). In the century XII, namely just after the conquest of Anatolia by the Seljuks, a new
bath scheme was born around a place with a central dome with axial iwan and with the arrangement of
corner-private room heating volume (Önge, 1995:9). In other words, the bath architecture in Anatolia
created an authentic architectural style in terms of setup.
Baths have been an indispensable part of the life for the Anatolian Turks. In addition to its
hygienic function, they had an important place in the life of Turkish society in terms of social issues. For
example, the trainee soldiers were sent off from the baths, the Janissaries organized their revolts here,
the nubile were seen, the bride and broom were advised before their wedding ceremony here, the women
after childbirth and babies, children to be circumcised and the firemen all bathed here and the baths were
closed for the offerings. Again, the baths attracted the attention of Turkish artists besides the foreign
travelers, writers and artists and they inspired them (And, 1979:55-77).
GENERAL CHARACTERISTICS OF THE TURKISH BATHS
Turkish baths have been constructed in smaller sizes than Roman baths and despite their plain
external appearance they had impressive internal architecture. Usually they have been constructed as
revenue-generating foundation property. The foundation baths were dedicated to a structure such as a
mosque or a madrassa and the revenue generated was spent for the maintenance of the structure in
question and the attendants. However since these baths which were run by the trustees were rented for
long terms (300 years), most of the baths were passed into the personal ownership (Haskan, 1995:7-9).
The baths were made of stone and
brick. Although the changing room / showcase
were made of wood at some small neighborhood
baths, other parts were made of stone.
Alternative wall technique -stone braided or
stone brick mixture- was used at the external
walls. At the upper parts of the fronts, the
porcupine cornices made of brick attract the
attention. The roofs are covered with tile and
lead. Despite the plain appearance of the
external fronts, the internal light pockets, the
height spaciousness and spatial integrity are in
the forefront (Photo 1).
Photo 1- Manisa Dilsikar Turkish Bath. External
appearance.
It is possible to examine the Turkish baths under two groups as “private baths” and “public baths”
in terms of the population they serve for. The private baths which serve for fewer number of people were
built in small sizes independently or inside a palace, mansion, caravanserai or inside an Islamic
monastery. The hot rooms of these baths had one or two- cells and they had no other places such as a
warm room or toilets etc. Alanya Ickale Turkish Bath (12th century) is an example for this (Önge,
1995:166). An example for the independently built Turkish baths is Iznik Ismail Bey Turkish Bath (15th
century) (Eyice, 1957:7-8). Public baths/ downtown baths were the baths that served for a great number
of people and they were mostly constructed as a part of an Islamic-Ottoman social complex. While certain
hours of the day were reserved for the women and men at single baths, the double baths served both for
women and men at different places at the same time. At double baths, except for special occasions, the
men section is larger in spatial terms, more spectacular and symmetrical and the women section is more
randomly planned (Kuban, 2007:160). Generally the entrance of the men section opens out to a main
road or an arena and the entrance of the other opens out to a side road. An example to the single bath is
Istanbul Beyazıt Turkish Bath (16th century) (Eyice, 1955:849-855) and example for the double bath is
Istanbul Gedik Pasha Turkish Bath (second half of 15th century) (Glück, 1921:72).
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SECTION DISTRIBUTION AT TURKISH BATHS AND THEIR FUNCTIONS
At Turkish baths, in addition to changing room / showcase, the hall, warm room and hot room
sections, there are also installation sections such as water reservoir, grate room and stoke hole. The
order created with the consecutive functional volumes called as changing room/showcase, warm room
and hot room (In Roman architecture their equivalences: apoditerium, tepidarium and caldarium) (Kuban,
2007:160-161). forms the whole main function scheme of the bath plans. However at some baths, there is
a place called “kecelik (felt section)” (Gürçay, 1967:29). This place is rectangular-planned and the upper
surface of the place is covered with squinch and it is connected with the hot part of the bath; because
during the production, the felt is boiled and beaten with hot water. Konya Sahip Ata Turkish Bath (125859) (Önge, 1995:166) Edirne Mihalgazi (Erken, 1973:403-420), and Tire Tahtakale Turkish Baths (the
first half of 15th century) (Çakmak, 2002:46-51) are examples.
The
section
called
changing
room/showcase is the largest section in terms
of its size and the entrance of the bath directly
opens out to the changing room with the big
dome. As it can be referred from its name, this
place is a preparation part where people coming
to the bath change and rest. The changing
room/showcase generally has the largest dome
and compared to the other parts, it is less
decorative.
Depending on the size of the
building, the single or two-storey changing
rooms surrounded with traverse, enrich the
place of the domed-changing room with archedporticos. Along the wall corners, there are
platforms suitable for rest and at major baths the
wooden platforms that can be two-storey
generally surround two or three corners (Photo
2).
Photo 2- The changing room of the bath (From
H. Ürer, p.116).
The changing room has also an importance in social means. Here is the place where people lay
and rest, talk, drink beverages such as tea, coffee, sorbet, water etc. before and after they bath on the
platforms/benches. On most of these, there is a marble embroidered tea/coffee furnace or a deep niche
used as a towel drying furnace. Also a marble fountain pool in the middle of the place attracts the
attention. The niches, located at the walls of the changing rooms of the baths and useful for putting the
clothes and the stuff, have begun to be seen since 15-16th centuries (Önge, 1995). Istanbul Tahtakale
Turkish Bath (second half of the 15th century) (Glück, 1921), Afyon Gedik Ahmet Pasha Turkish Bath
(second half of the 15th century) (Ayverdi, 1973:19), Tire Sultan Turkish Bath (15-16th century) (Çakmak,
2002) are the examples which have one or several niches at the changing places.
At the early examples of Turkish baths, the upper cover of the changing places is either squinch
or wooden roof. Of these, Kayseri Sultan Turkish Bath (1205) is covered with squinch; Konya Sahip Ata
th
th
Turkish Bath (1258-59) is covered with wooden roof. Since 14 especially since 15 century, the
changing rooms with square-panned have begun to be covered with domes but the wooden roof custom
has also been sustained (Önge, 1995). Istanbul Bayezid Turkish Bath (1507) (Aru, 1949:70) can be
given as an example to the baths covered with domes. At this place as the throughput element from the
bearing walls to the dome tromp, pendant and Turkish triangle were used. In the middle of the changing
room dome, there generally used to be a lantern which helped the lightning and ventilation functions.
While the lighting was provided at the changing rooms with the porthole windows or with the day
th
th
lantern at the upper cover due to privacy at the early examples belonging to 12 and 13 centuries,
th
beginning from the 15 century they have begun to open up windows on the walls. Thus, as of 16th
century, two piece windows in two or three rows can be seen (Önge, 1978:135).
14
th
In some of the examples of Anatolian Seljuk baths belonging to the 13 century, as it can be seen
at Divriği Bekir Cavus Turkish Bath (13.yy.) (Önge, 1995:166), in order to be protected from the climatic
conditions a closed entrance place was built in front of the entrance of the changing room. However as of
16th century, with aesthetic concerns, porticos covered with domes or squinches were constructed.
Istanbul Haseki Sultan Turkish Bath (1556-57) (Kuran, 1986:91) is an example for this.
Hall; there are such places as bathroom and toilet at this section which was designed as a
passage between the changing room and warm room. The size of the hall which was located in most of
th
the Anatolian Seljuk baths began to become smaller, after it disappeared in the 16 century the passage
was directly from the changing room to the warm room. At the baths which did not have halls, in order to
allow steam outlet and to prevent the changing room from getting moisturized, a veiled/hooded stove was
located at the upper side of the door between the changing room and warm room (Kuran, 1986). A similar
application can also be seen at Ulukısla Öküz Mehmet Pasha Turkish Bath (1615-1616) (Gültekin,
2001:134).
Warm room, as it can be understood
from its name, this place is heated but its
temperature is not that high. In other words, it is
a resting place for the entrance to hot room by
accustoming the body. Along the walls there are
marble platforms and the walls and the floor of
the place are covered with marble (Photo 3). At
the baths which do not have halls, the bathroom
and the toilet are in this section.
Photo 3- A view from the warm room of the bath.
At the baths belonging to the periods of Anatolian Seljuk and Beyliks, the square-planned warm
room the upper surface of which was covered with a dome was large in size. The reason for this was not
only that it was used as the changing place at cold weathers in winter but also that the bath customs were
carried out here. However, at the baths of Ottoman period the warm room was smaller in size and it had a
rectangular plan and the upper surface of the room was covered with squinch.
Photo 4- A view from the hot room of the bath.
Hot room, it was the hottest place of the bath
and the bathing function was carried out here
(Photo 4). Hot room was composed of private,
square-planned, dome-covered, small bathing
cells called “halvet” and rectangular-planned
squinch-covered iwans including 0.20 m high
platforms which were the general bathing
places. There are hot and cold water taps on the
walls of the halvets and iwans and at the lower
parts of these there are stone or marble basins
of bath in order to accumulate water. The hot
room is adjacent to the water reservoir and it
has a window opening out to the reservoir.
Through this window, the water level can be
controlled and also it was enabled that the hot
water steam came in. In the middle of the hot
15
rooms with central plan, there used to be a
polygonal such as hexagonal or octagonal etc.
navel stone covered with marble used to sweat,
rub with coarse bath-glove and to rest and at the
upper part of this, a dome could be seen through
the elephant-eye windows of which the light
comes (Photo 5). All the tiles were marble and
the walls were tiled with marble to a certain
height.
Photo 5- Upper cover belonging to the hot
room.
Next to the warm room, the hot room, which attracts the attention with its plan and ornaments on
the throughput elements to the dome, determines the bath typology (Eyice, 1960:99-120). S. Eyice
groups the baths as follows by taking their plan types of the hot rooms into consideration:
1.
2.
3.
4.
5.
6.
Crosswise four-iwan and corner-cell type
Star-like hot room type
Halvet-cell type surrounding a square hot room
Hot room type with multiple domes
Horizontal hot room type with a dome in the middle and double halvets
The type with equivalent cold, hot and halvet rooms.
The most applied type is the crosswise four-iwan and corner-cell type. Beginning from the period
of Anatolian Seljuk, different examples to this scheme can be seen in different regions and periods. This
type is composed of four iwans which are located symmetrically according to the perpendicular axises in
a central place with a dome and halvet cells in the corners.
This plan which is called as crosswise
four-iwan and corner-cell type has different
arrangements with one, two or three iwans. At
the examples of this scheme belonging to the
th
th
12 and 13 centuries, the iwans which opened
out to the domed-place in the middle were
generally covered with sharp or gable squinch.
th
Following the 14 century, in addition to these, it
can be seen that mirror squinch, monastery
squinch and dome cover system were also
applied (Eyice, 1960:99-120). The halvets in the
corners are square or square-like rectangular
and their upper surfaces were covered with
domes. The entrances located in the corners of
the halvets opened to the central place. As an
example, Divrigi Bekir Cavush Turkish Bath,
Selcuk Isa Bey Turkish Bath and Ulukısla Oküz
Mehmet Pasha Turkish Bath can be given
(Figure 1).
Figure 1- Ulukısla Öküz Mehmet Pasha Turkish
Bath. Plan
16
Star-like hot room type which is said to have been influenced by the Ancient architecture was
applied in different ways as of the period of Anatolian Seljuk. The iwan-like sofas were lined around the
central place (Önge, 1995:410). Kayseri Koluk Turkish Bath, Manisa Sultan Turkish Bath and Istanbul
Tophane Kılıc Ali Pasha Turkish Bath are examples to this group.
In the halvet-cell type surrounding a square hot room, the halvet cells which line along the one,
two or three sides, open out to the hot room covered with a dome (Eyice,1960:112). This plan, which was
begun to be seen as of the 14th century, was applied until the end of the 19th century (Çakmak,
2002:19). Examples can be Bursa Gircık Turkish Bath and Yeshil Turkish Bath.
In the hot-room type with multiple domes, the hot room was composed of domed- places which
were the same in size and were separated with arches (Eyice, 1960). Istanbul Haseki Turkish Bath which
was demolished, the women section of the Yenisehir Cifte Turkish Bath and Iznik Buyuk Turkish Bath are
among the rare examples of this type.
In the horizontal hot room type with a dome in the middle and double halvets, there are two altarlike niches on the walls between the halvet doors. There are also examples to this plan type which were
organized in different ways. As for the examples; the women section of the Bursa Nalıncılar Turkish Bath,
Sengul Turkish Bath and Yahudiler Turkish Bath.
The plan type with equivalent cold, hot and halvet rooms can be seen more at private baths. All
the sections have the same size and they are all connected to one another. Kayseri Sultan Turkish Bath,
Iznik Ismail Bey Turkish Bath and Amasya Kızlar Sarayı Turkish Bath are examples.
INSTALLATION SYSTEM
1-Water Installation and Heating System
The water coming from various sources reached the bath underground by means of the terra-cotta
pipes which had one narrow end and could be fit together. These pipes were called as kunk / merbah /
pohrenk. The water, which was brought to the bath thanks to a distribution system called maksem /
maslak, designed in the form of a perforated stone chest and located inside a niche on the wall of the cold
water reservoir, was sent to such sections as the water reservoir, the pool in the changing room, the
bathroom in the warm room and the toilet (Önge, 1981:213-223). The drain water in the bath was
disposed via the drain water pipes underground and the inclined channels in the floor.
The water reservoir is a place generally
built adjacent to the hot room and the upper
surface is covered with a gable or a sharp arch.
The water is heated with a copper boiler in the
middle section of the floor of the water reservoir
(Figure 2). At some baths the hot and cold water
reservoirs are separated from one another. By
means of a window opened at one of the iwans
or halvet cells at the hot room to the water
reservoir, the water level can be controlled and
the necessary interventions for the repair can be
made.
Figure 2- Grate room and heating system at
Turkish bath (From T. Taşçıoğlu, p.77).
.
17
Grate room is the center which heats both the water and volumes of the bath and the entrance is
through an external separate door. This section is at a lower level than the entrance level. The grate room
outlet on the front of the water reservoir facing the woodhouse is generally located inside a large blind
arch and there is a chimney above this. Here the fire made with woods heats the copper boiler which is
located inside a pocket in the middle section of the water reservoir and the water. The fume of the fire
heats the bath by circulating in the channels called cehennemlik (stoke hole) under the floor of the warm
and hot rooms (Figure 3). The chimneys located inside the walls are called as tuteklik (smoke-hood) and
they not only enable that the walls are heated but also they let the smoke out (Kuban, 1986;160).
However nowadays, since it laboring to heat the water and the bath by making a fire with the woods, the
central heating system is preferred instead of this.
Figure 3-Ulukısla Öküz Mehmet Pasha Turkish Bath. Stoke Hole Plan.
2- Lighting System
During the times when there was no electricity, the candles, oil lamps and gasoline lamps were
used in the early hours of the day and at nights. The niches on the walls, which began to be seen after
th
15 century, were probably the places where the lighting elements were placed.
During the day the light coming through the upper cover was used for the lighting. Since the upper
surface of the changing room was covered with a timber roof, a hexagonal or octagonal glass window
was placed in the middle of this and a lighting lantern with a pyramidal cone was used. Konya Sahip Ata
Turkish Bath (13th century) is an example to this. When the changing room was covered with squinch,
th
the lights on the squinch were used for lighting. Kayseri Huand Hatun Turkish Bath (13 century) can be
given as an example. In the baths the changing rooms of which are covered domes, the octagonal or
dodecagon stone lanterns with feet and columnars in the corners stand out. The feet and columnars in
the corners of the lanterns are connected to one another with arches and above them a small dome
th
raises. This feature can also be seen in Manisa Hafsa Sultan Turkish Bath (16 century). In order to
provide more light for the changing rooms of the baths, the windows were begun to be opened on the
th
embroidery dome frames as of the 15 century (Önge, 1995:135).
The other places except for the changing
room are covered with squinch and they do have
lights which have circle or hexagonal shapes
and narrow outward. These lights have been in
the decorative form of hexagonal, star, cusped
badge and they were closed with lamp glass
called elephant eye (Photo 6) (Önge, 1995).
Photo 6- Throughput element to the dome and
lights.
18
DECORATIVE ELEMENTS
Due to the fact that the Turkish baths were self-enclosed all the decorative elements were
th
interiors. The Ottoman Architecture, which developed a remarkable muqarnas decoration in the 14 and
th
15 centuries, made the richest applications of this style in baths (Kuban, 2002:160-161). The
decorations on the dome and throughput elements of the dome, squinches, wall surfaces, basin stones of
the baths and the fountain pool of the changing room can be grouped under 4 and as follows (Önge,
1988:416-420):
1.
2.
3.
4.
Stone or marble
Print on plaster
Ceramics
Hand-drawn painting
Of these, stone and marble are generally used at the entrances, on the floor, for the basin of the
bath, mirrors and pool. For example, at Konya-Meram Hasbeyoglu Turkish Bath, on the entrance arch the
palmet and rumi motifs, in the corners of the arches ornaments made of geometric passages draw the
attention. Even though the use of marble on the floors is common, in some examples there are also
geometric and botanic decorations formed with colorful marble pieces. Bursa Nasuh Pasha Turkish Bath
is an example for this. The decorative elements on the bath basins, mirror stones and pools which reflect
th
the elegancy and beauty of Turkish stone carving began to be important as of the 15 century. The bath
basins of Bursa Nasuh Pasha Turkish Bath which were embellished with rich muqarnas can be an
example.
The most common decorative element used at the baths is plaster. The molding and muqarnas
made of plaster can be seen on the walls, arches, domes and squinches. The ornaments applied on the
plaster on the walls have been used since the period of Anatolian Seljuk. The decorative band made of
th
palmet and rumi motifs on the walls of Beysehir Esrefoglu Turkish Bath (end of the 13 century) is worthy
of attention.
Ceramics decoration was used less than plaster. Ceramics pieces which were in the forms of
octagonal star and cross were found on the walls of the hot room at Alanya Alara Castle Turkish Bath
th
(beginning of the 13 century. This tradition continued during the periods of Beyliks and Ottoman. The
th
example is Istanbul Cinili Turkish Bath (16 century).
As of the Anatolian Seljuk period, decorative examples which were made with paint on the plaster
could be seen. There are panels ornamented with red and black hand-drawn motifs on the walls of
th
Alanya Alara Castle Turkish Bath (beginning of the 13 century) (Önge, 1995:166).
CONCLUSION
In order to obey the hygiene requirements of the Islam and due to the bathing culture the bath
architecture gained importance. The Turkish word “Hamam” means to heat in Arabic and hot in Hebrew.
In modern Turkish the word is used to mean the place bathed and the bathroom. Islam requires that the
bathing should be done with running water instead of stagnant water. This situation not only affects the
structural function but also creates a similarity between the baths of Muslims and the Ancient Period.
However, the Turks built the baths in an order and plain way by avoiding the redundant
decorations in terms of both the bathing style and the architectural aesthetics. With the idea that the
bathing should be done with running water, the bathing pools and bath sinks used at the Roman baths
th
were preferred. In this context, in the 8 century a number of baths in Syria by the sultans of Emevi were
constructed. Between the years 711 and 715, Kusayr-Amra Bath which was built inside a palace complex
reminds of a Roman bath with its entrance covered with gable squinch, warm room with cross squinch
and with its domed hot room (İslam Ansiklopedisi, 1997:402-425).
19
Turks moving from Central Asia to Anatolia, built baths according to their hygine concept in
religion and traditions. However, there isn’t sufficient information regarding these baths (İslam
Ansiklopedisi, 1997:402-425). During the construction phase in the Islamic cities, the baths were also
built besides the mosques, caravanserais, covered bazaars and imarets. Baths were the indispensable
parts of the large scale architectural facilities such as Islamic-Ottoman social complexes. While such
facilities were being constructed, first of all the baths were constructed so that the workers to work at
these facilities would be able to bath and other structures were constructed around this formation.
During the historical process, it was Ottomans who cared about the baths most. This situation can
be understood from the number of the works of art that reached our day. This situation probably results
from the fact that the baths provided good amount of revenue as a foundation structure and they served
to those visiting the social complexes. Turkish baths are made of such sections as the changing room,
hall, warm room, halvet cells, cold and hot water reservoirs and grate room. most of the Turkish baths
have a plain external appearance and they do not stand out like the other structures due to the fact that
they have been made of rubble stone. However their interior setup is extremely rich and the places are
large and spacious.
In due course, some of the baths were closed down due to the insufficient number of visitors and
revenue. Therefore, while Turkish baths are losing their importance in our country, they become more
and more popular in other countries such as Germany and Austria as an alternative medicine, treatment
method and in terms of touristic competition (Taşçıoğlu, 1998:108). The baths which sustain their
authentic use in our country have a documental and cultural value since they reflect the culture of a
certain period. The original use of these structures by protecting the authentic status of them should be
encouraged and they should be kept alive with different functions in terms of social texture. In this
context, protection of Turkish baths and their transfer to the future generation by means of proper
restoration are important issues that should be considered as soon as possible. To transfer the Turkish
baths, the inheritances of our past and cannot be replaced with the new ones after they are demolished,
by means of documentation to the future generations is a liability for us.
REFERENCES
1. AND, M., “Türk Hamamının Kültürümüzde ve Sanatımızda Yeri ve Önemi”, Ulusal Kültür,
Issue:5, Ankara, 1979.
2. ARU, K. A., Türk Hamamları Etüdü, Istanbul, 1949.
3. AYVERDİ, E. H., Osmanlı Mimarisinde Fatih Devri, Istanbul, 1973.
4. ÇAKMAK, C., Tire Hamamları, Ankara, 2002.
5. ERKEN, S., “Edirne Hamamları”, Vakıflar Dergisi, Issue:10, Ankara, 1973.
6. EYİCE, S., İznik’te Büyük Hamam ve Osmanlı Devri Hamamları Hakkında Bir Deneme, Tarih
Dergisi, Issue:11, Istanbul, 1960.
7. EYİCE, S., “İznik’de İsmail Bey Hamamı”, Bilgi Dergisi, Issue:10/120, Istanbul, 1957.
8. EYİCE, S., “Türk Hamamları ve Bayazıt Hamamı”, Türk Yurdu Dergisi, Issue: 241, Istanbul,
1955.
9. GLÜCK, H., Die Baeder Konstantinopels, Wien, 1921,.
10. GÜLTEKİN, E., Ulukışla ve Öküz Mehmet Paşa Menzil Külliyesi, Ankara, 2001.
11. GÜRÇAY, H., “Keçe ve Keçecilik”, Türk Etnografya Dergisi, Issue: 9, Istanbul, 1967.
12. HASKAN, M. N., İstanbul Hamamları, Istanbul, 1995.
13. KUBAN, D., “Hamamlar” maddesi, Osmanlı Mimarisi, Istanbul, 2007.
14. KURAN, A., Mimar Sinan, Istanbul, 1986.
15. ÖNGE, Y., Anadolu’da XII.-XIII. Yüzyıl Türk Hamamları, Ankara, 1995.
16. ÖNGE, Y., “Eski Türk Hamamlarında Su Tesisatı İle İlgili Bazı Detaylar”, I. Uluslararası Türk
İslam Bilim ve Teknoloji Tarihi Kongresi, Issue:5, Istanbul, 1981.
17. ÖNGE, Y., “Eski Türk Hamamlarında Aydınlatma”, Vakıflar Dergisi, Issue:12, Ankara, 1978.
18. ÖNGE, Y., “Anadolu Türk Hamamları Hakkında Genel Bilgiler ve Mimar Sinan’ın İnşa Ettiği
Hamamlar”, Mimarbaşı Koca Sinan Yaşadığı Çağ ve Eserleri, Issue.1, Istanbul, 1988.
19. TAŞÇIOĞLU, T., Türk Hamamı, Istanbul, 1998.
20
LOCAL-ORIENTED IDENTITIES IN KYRGYZSTAN
Halim Nezihoglu
International Ataturk Alatoo University, Department of International Relations
Contemporary Kyrgyz political and cultural quest for a new identity is rotating around different
directions that can be regarded as sources or basic motives for a new identity. Some of the alternative
identity directions have nationwide or supranational basis, and some of them are local-oriented. In this
article, ‘Tengrism’ and tribalism as local-oriented identities will be analyzed; and whether they can be
bases for a viable and sustainable identity model for the country or not will be discussed.
After the independence, Kyrgyzstan, unlike some Baltic republics, chose a soft transition pathway
and did not reject the legacies of the Soviet period; the Kyrgyz ruling elite marginalized nationalist
movements; and an assertive nationalist rhetoric or policy could not find a place in Kyrgyz mass politics
(Abdelal, 2002: 459, 460). For example, in the initial years after the independence, the idea of Kyrgyzstan
as the Switzerland of Asia represented a moderate and an inoffensive discourse that reflected the search
for a peaceful national identity and neutrality in a small and multiethnic country surrounded by greater
powers. A sensitive balance has been sought between diverse constituencies inside and outside the
country. Kyrgyzstan has become a bridge between the countries and civilizations of different regions of
the world (Huskey, 2003: 115, 130).
Soviet system had allowed folkloric performances belonging to different ethnic groups. As long as
national or ethnic feelings were manifested in folkloric (not political) context, they were not regarded as
dangerous by the communist elite in Moscow. Such an allowance would be even useful as it would
provide a certain degree of satisfaction and so reduce any potential nationalist pressure and tension.
After the independence, national traditions and symbols of the past or folkloric rituals (those of not
dangerous) either continued in the same way or were ritualized in a new way and for a new purpose.
However, these rituals provided an important base and became valuable materials for the revival of
national identity after the independence.
Since the independence, a sensitive balance between an emphasis on ethno-national Kyrgyz
identity and an inclusionary Kyrgyzstani identity within a post-soviet framework; that is, without rejecting
enduring legacies of the Soviet period has been pursued. However, there is no a clear route for a viable
and well-established national identity model which would include alternative tendencies in the society and
satisfy the requirements of new trends in the world. Thus, alternative routes in the search for a viable and
sustainable national identity model in Kyrgyzstan and their probable outcomes should be analyzed by the
scholars. This work will be a small contribution to such a search and discussion.
TENGRISM
Tengrism is mentioned as one of the alternative local-oriented identity models for the Kyrgyz
nation. Dastan Sarygulov, one of the former Secretaries of State (2005), offered ‘Tengrism’, an ancient
th
Turkic religion dating to the 4 century BC, as a new national ideology to fill the ideological void in
Kyrgyzstan. He established ‘Tengir Ordo Association for the Preservation of the National Heritage’, a civic
group that seeks to promote the values and traditions of the Tengrian period in modern Kyrgyzstan.
According to Sarygulov, Tengrism, as the original religion of the Kyrgyz, fosters an anti-capitalist lifestyle
and is a response to the challenges of globalization (Marat, 2005). Indeed, the process of Islamization did
not totally hinder the preservation of certain elements of Shamanism pertaining both to the thought and
practice of Central Asian peoples. Certain customs that came from Shamanism are believed to be Islamic
by those ordinary Muslims who do not have a deep and bookish knowledge on Islam (Basilov, 1992: 5).
Tengrism as a movement can be seen as the reinvigoration of Shamanism, the pre-islamic religion of
Turkic and Mongol ethno-national peoples in Central Asia. It is reproduced nowadays as a combination of
th
th
eclectic references inspired by different spiritual and religious traditions, 19 and 20 -century
ethnographic inventions, and some modern considerations such as environmental concern. Its followers
21
hope that it should play a major role in the nation-building process and in the search for a new national
identity and official ideology (Laruelle, 2007: 203-212).
In the pre-Islamic period, the Kyrgyz, like the other Central Asian Turkic-originated ethno-national
groups, had a traditional belief, Shamanism, in which they believed in the divine forces of the nature, cult
of ancestors, and one Sky-God (Nazarov, 2006: 2). The nature plays an intermediate role between God
and people (Sarygulov, 2001: 19). In accordance with this belief, sun, moon, stars, mountains, rivers,
trees, water, fire, iron etc. in the nature have some hidden forces. They called the sky as Tengir and high
mountains like Tien-Shan as Tengir-Too; and believed them to be holy. They believed that the divine
forces of the nature can help them remove evil souls, know about future, and cure their illnesses. Some of
the elements of this belief system endured among the people even after they were converted to Islam.
Sarygulov claimed that the Kyrgyz nation has been able to continue its national identity throughout its
long history owing to Tengrism (Nazarov, 2006: 3-17).
Tengrism, on the other side in a critical perspective, can be viewed as a project for the deIslamization of the society which seeks an identity as suffering from an identity crisis, and against any
potential for radical Islam or pan-Islamism. Its followers believe in the need for an ethnic religion, one
rooted in the traditions and history of the people. Tengrism presents Islam as a foreign faith to local
populations in the region (Laruelle, 2007: 213-214). The popularity of Tengrism among some of the
intellectual elite can be explained by the legacy of Soviet atheism; that is, these intellectuals, looking for a
national faith, have difficulties in committing to a Muslim or Christian identity, and are more easily able to
make sense of a so-called religion that requires neither regular rituals nor theological background. It can
thus be considered as the Turkic version of Russian neo-paganism, which is already well-established in
intellectual circles in Russia. To whatever degree or extent, it is a hope for those, who suffer from an
identity crisis after the fall of communism and the collapse of the Union and who do not want to identify
themselves with Islam, to reconnect with the pre-Islamic past: ‘nomadism, yurts, cattle breeding, the
contact with nature’, and all those elements that form part of the Kyrgyz national imaginative world
(Laruelle, 2006: 3,4).
A national ideology depending on Tengrism does not seem to be acceptable by the large
segments of the Kyrgyz society. Compared with the expanding role of Islam in the society, Tengrism, at
grassroots level, has remained as an inconsiderable idea, promoted by a marginal elite group. Tengrism,
which does not depend on the approval of most of the society, is not able to inspire a viable national
identity model which would contribute to social cohesion and national unity.
TRIBALISM
Throughout Central Asian history, kinship-based groupings, tribal structures, and clan politics
predominated over traditional societies of Central Asia. The most important organizational units have
been the tribe, clan and the family. In the absence of formal state power, tribes, clans, and local social
networks formed the nucleus of social and political organizations before Soviet power could really take
hold in the region. This traditional nature of the society endured during the Soviet modernization,
notwithstanding in the Soviet framework (Sanglibaev, 2008: 73; Khegai, 2004: 8-10). Soviet framework
made tribalism lose its power as a base for political entities. However, it continued in terms of favoritism at
local or national level. In addition, Soviet system strengthened ethno-national unity of certain titular
nationalities by the creation of their ethno-national republics.
Here, tribalism as a source of communal identity should also be analyzed. Tribalism does not
seem to be so strong in Kyrgyzstan as to pose a challenge against the unity of the Kyrgyz nation.
Tribalism in Kyrgyzstan is not likely to lead to a tribal conflict among different tribes of the ethnic Kyrgyz,
as it is in some African countries. Its impact is generally seen on cadre policy or recruitment and
mobilization in bureaucratic or governmental posts, though in a gradual declining manner. The informal
ties and tribal networks ‘reduce the high transaction costs of making deals’ in Kyrgyzstan where
impersonal institutions were weak, and stable expectations were hard to form after the independence.
Tribes served as an alternative to formal institutions and official bureaucracies. As traditional and religious
22
institutions were suppressed by Sovietization, the ordinary people began to feel themselves alone and
threatened in dealing with formality and alien institutions, which they did not fully comprehend. They
preferred to deal with these forces through someone with whom they are familiar. Tribal network and clan
clientelism have been a shelter and umbrella for solidarity in order to escape from loneliness and
alienation for poor and powerless people. If some of the members of a tribe rise to higher levels of
government or bureaucracy, they try to foster the well-being of their tribe and provide political, social and
economic opportunities to the members, and in return count on their loyalty and respect to maintain their
status.
In Kyrgyz politics today, tribes or clan-based informal networks can be regarded as actors,
rationally pursuing their narrow interests. The weakly institutionalized state is an arena within which these
informal social networks compete with one another or agree on the division of the resources among
themselves. Clan-based networks can play a key role in mobilization, political representation, and
advancement
of
interests
of
clan
members
(Collins,
2002:
142-148;
Imanaliev:
http://ipp.kg/en/analysis/598/). They can play an important role in appointments and policy-making; and
the aksakals (chiefs) can play an important role in local politics (Cummings and Norgaard, 2003: 33).
However, their role should not be exaggerated; and it cannot be argued that every politician in Kyrgyzstan
is strongly attached to a tribal allegiance.
The Soviet administration territorialized the tribal allegiance of Kyrgyz people; and members of
tribes were gathered together in the same kolhoz and in a single administrative-territorial unit. Soviet
modernization designed to eliminate tribes ironically made them stronger. In accordance with ‘trust in
local cadre’ policy of Brezhnev era, clan-based networks penetrated the state structure and played a role
in the distribution of resources. When a clan member was appointed to an important position within the
party apparatus, he brought in his relatives under himself. So, clan networks exploited state institutions
for their advantage. This tradition continued after the independence. Clans, as informal identity networks
and strong bases for cooperation and solidarity, have played a very central role in the course of transition
in post-Soviet Central Asia. Especially during transition periods from a colonial empire to a weaklyinstitutionalized independent state with an uncertain future, clans fill the gap and form a network of
solidarity for a secure future, and provide an access to power and resources. Clan elites or clan elders,
supported by loyal non-elite clan members, in return assist them in finding jobs, solving problems in
bureaucracy, education, and several other areas, and provide them with protection (Collins, 2004: 224251).
The solidarity groups and informal networks, for the most part, are based on common tribal
identity on one hand and on the other on ties to common administrative-territorial units, greatest of which
in the case of Kyrgyzstan are North and South (Temirkoulov, 2004: 94, 95). Soviet administrative oblast
system at domestic level transformed pre-existing tribal and local identities into regional ones. So,
regionalism was fostered and strengthened by the Soviet system (Luong, 2000: 8-17). It is sometimes
exaggerated and manipulated by politicians, but there is an apparent cultural and political divide between
north and south at societal level (ICG Report, 2004: 17, 18).
‘A Kyrgyz, when presenting himself to another (Kyrgyz), had to clarify his relationship to a
lineage. This meant he had to present the names of some forefathers, his tribe and clan affiliation, and
perhaps his ancestors’ area of residence.’ (Hvoslef, 2001: 87). Northern and southern Kyrgyz relate
themselves to distinct tribal lineages. “Kyrgyz in the northern half of the republic are considered
descendants of Tagai and thus the tribes of Otuz Uul, while southerners are largely considered
descendants of the tribal group Ichilik with some relation to Adagine and Mungush.” (Luong, 2004: 75).
Moreover, during the Soviet period, while the North was much more influenced by sovietization, traditional
values pervaded more visibly the South. Compared with the Southerners, the Northern elite were more
urbanized and secularized (Khanin, 2004: 216). The native ruling elite were predominantly from the more
sovietized region, that is, the North during the Soviet era. According to Jones-Luong, uncertain future of
the post-Soviet period led to a ‘strengthening of regional political divisions’. Southern Kyrgyz, perceiving
an unfair monopolization of central government offices by northern elites, pursued an uncompromising
policy with the central government during the period of Akaev (Luong, 1997: 293-298). After the March
23
th
24 Revolution, the southern elite won a dominant position in central government. After the April 7
Revolution, a more balanced configuration has emerged.
th
Regionalism is reinforced by the remnants of tribal or communal loyalties. Almost every politician
has roots in a particular rayon or oblast and expects support from their relatives or fellow colleagues. As
each deputy in the Jogorku Kenesh (national Parliament) is elected directly from his/her electoral districts,
the strongest clan in a region is likely to send its deputy candidate to the parliament (Abazov, 2003: 50,
51). This system was stronger especially after the independence. Jypar Jeksheev, for instance, stated
before 1997 that:
‘It is difficult to unite the Kyrgyz politically, because the different political parties, and their
supporters, are connected to certain regions of the country. ‘The Republican Peoples party’, for
example, is connected to the region Talas and ‘Asaba to Osjskaja and Djalalabadskaja Oblast'.
The Kyrgyz tend not to vote according to party programs, but rather according to the tribe or clan
of the party leader. That means, if your relatives come from Talas you will normally vote for The
Republican Peoples Party. This tendency is mainly due to the fact that an individual during history
has received help and access to scarce positions in exchange for political support. People believe
that supporting a member of own tribe/clan may secure the future for an individual and his family.
Qualifications are increasingly important, but still secondarily. Until this day the membership in the
right tribe or clan has been more important.’ (Hvoslef, 1997: 103)
Thus, tribalism, though losing its power in recent years in favor of a solidified Kyrgyz national
identity, is an important attribute of politics in Kyrgyzstan and a challenge for nation-building.
Fragmentation along regional and tribal lines might be regarded as a hindrance in the way of national
consolidation and in the creation of a strong national consciousness and cohesion (Kuchukeeva and
O’Loughlin, 2003: 566, 567). Especially, North-South division posed a serious challenge against the
nation-building process in the country in the past (Eschment, 2005: 422, 423). Tribalism leads to fractions
in the society and prevents national unity; and so it is an obstacle in modern nation-building and statebuilding process of Kyrgyzstan, which should be based on national cohesion, democracy, rule of law and
meritocracy (Öraz, 2006: 91, 93). It is also likely to hinder the formulation of a national foreign policy
which depends on the consideration of broad-based national interest rather than narrowly pursued
individual or tribal interests. Local, particularistic, exclusionary, one-sided, sectional, and clannish
identities rather than an all-embracing and inclusionary national identity cannot be a proper basis for a
viable national identity model for Kyrgyzstan, which is situated in a multidimensional historical and
geographical legacy. An all-inclusive vision which has reference to the region-wide human, historical and
geographical realities is needed for a pluralist democracy and a sustainable stability, rather than a
narrow-minded, ethnocentric, and exclusive conception of nationalism emphasizing differences rather
than commonalities. Such an inclusionary vision and concurrent policies depending on integrative
dynamics, equal citizenship, a shared civic culture, cultural tolerance, and impersonal rule of law would
foster peaceful coexistence and social solidarity at domestic/national level, and friendly relations and
regional cooperation at regional/international level.
REFERENCES
1. Abazov, Rafis. “The Political Culture of Central Asia: A Case of Kyrgyzstan”, Political Culture
Case Studies, March 2003, Conflict Studies Research Center.
2. Abdelal, Rawi. “Memories of Nations and States: Institutional History and National Identity in
Post-Soviet Eurasia”, Nationalities Papers, vol.30, no.3, 2002.
3. Basilov, Vladimir N. “Islamic Shamanism Among Central Asian Peoples”, Diogenes, no.158,
Summer 1992.
4. Collins, Kathleen. “The Logic of Clan Politics: Evidence From the Central Asian Trajectories”
World Politics, no.56, January 2004.
5. Collins, “Clans, Pacts, and Politics in Central Asia”, Journal of Democracy, vol.13, no.3, July
2002.
24
6. Cummings, Sally and Ole Norgaard, “State of the State in Kyrgyzstan”, Demstar Research
Report, University of Aarhus, no.13, March 2003.
7. Eschment, Beate. “Kyrgyzstan Under New Leadership”, SWP Comments, German Institute for
International and Security Affairs, no.46, October 2005.
8. Huskey, Eugene. “National Identity from Scratch: Defining Kyrgyzstan’s Role in World Affairs”,
Journal of Communist Studies and Transition Politics, vol.19, no.3, 2003.
9. Hvoslef, Erlend H. “The Social Use of Personal Names Among the Kyrgyz”, Contemporary South
Asia, vol.20, no.1, 2001.
10. Hvoslef, “Tribalism and Modernity in Kirgizia”, in Muhammed Sabour and Knut Vikor (eds.),
Ethnic Encounter and Cultural Change, (London: C. Hurst&Co., 1997).
11. ICG Report – Political Transition in Kyrgyzstan: Problems and Prospects, Central Asia Report No:
81, 11 August 2004, Osh/Brussels.
12. Imanaliev, Muratbek. “Informal Institutes as ‘Rules of a Political Game’ in Kyrgyzstan”, Institute
For Public Policy, http://ipp.kg/en/analysis/598/
13. Khanin, Vladimir. “Political Clans and Political Conflicts in Contemporary Kyrgyzstan”, in Yaacov
Ro’i (ed.), Democracy and Pluralism in Muslim Eurasia, (London: Frank Cass, 2004).
14. Khegai, Janna. “The Role of Clans in the Post-Independence State-Building in Central Asia”,
Uppsala ECPR Workshops – Workshop 18, Comparing Transformations: The Institutional
Paradigm, 13-18 April, 2004.
15. Kuchukeeva, Altinay and John O’Loughlin, “Civic Engagement and Democratic Consolidation in
Kyrgyzstan”, Eurasian Geography and Economics, vol.44, no.8, 2003.
16. Laruelle, Marlene. “Religious Revival, Nationalism and the ‘Invention of Tradition’: Political
Tengrism in Central Asia and Tatarstan”, Central Asian Survey, vol.26, no.2, June 2007.
17. Laruelle, “Tengrism: In Search for Central Asia’s Spiritual Roots”, Central Asia-Caucasus Analyst,
vol.8, no.6, 22 March 2006.
18. Luong, Pauline Jones. “Sorces of Institutional Continuity: The Soviet Legacy in Central Asia”,
Prepared for the delivery at the Annual Meeting of the American Political Science Association,
Washington D.C., August 31-September 2, 2000.
19. Luong, Institutional Change and Political Continuity in Post-Soviet Central Asia: Power,
Perceptions, and Pacts, (UK: Cambridge University Press, 2004).
20. Luong, “Ethno-Politics and Institutional Design: Explaining the Establishment of Electoral
Systems in Post-Soviet Central Asia” (Ph.D. diss., Harvard University, 1997).
21. Marat, Erica. “High-Ranking Kyrgyz Official Proposes New National Ideology”, Eurasia Daily
Monitor,
by
the
Jamestown
Foundation,
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no.226,
December
2005,
http://www.jamestown.org/single/?no_cache=1&tx_ttnews[tt_news]=31177 .
22. Nazarov, Alisher. Kırgızistan’daki Tengircilik Anlayışının Felsefi Temeli, Unpublished Master
Thesis, Ankara University, 2006.
23. Öraz, Seçil. “Tribal Connections within the Political Processes: The Case of Kyrgyzstan”, OAKA,
vol.1, no.2, 2006.
24. Sarygulov, Dastan. Ulutun Unutkan Urpaktar, Bishkek, 2001.
25. Sanglibaev, Abutalip A. “Ethnic Clan Politics in the Post-Soviet Space”, Russian Politics and Law,
vol.46, no.6, November-December 2008.
26. Temirkoulov, Azamat. “Tribalism, Social Conflict, and the State-Building in the Kyrgyz Republic”
Forum, Berliner Osteuropa Info, 21-2004.
25
STRUGGLE FOR DEMOCRACY IN ARMENIA IN 1990s
Dr. Seyit Ali Avcu
Kırıkkale Üniversitesi
İktisadi İdari Bilimler Fakültesi
Siyaset Bilimi ve Kamu Yönetimi
email: [email protected]
INTRODUCTION:
Armenia is a third wave democratization country. Only in Armenia among the Trancaucasian
states did the democratically elected president succeeded in withstanding increasingly insistent pressure
from the opposition to resign. Both external and internal factors have played crucial roles in
democratization of Armenia. Although main external actor was the collapse of Soviet Union, European
Union and CSCE helped political openings in Soviet Union. In addition, the Armenian in diaspora who live
in the democratic countries like the US and France affected Armenian democracy.
Armenia illustrates in stark form the close but problematic relationship between democracy and
national identity. Nationalism both promoted and distorted the development of democracy because it
pushed other issues off the political agenda, and strengthened the power of the presidency at the
expense of the parliament and political parties.
Spare the effects of Russian meddling, and thanks to its stability-oriented leadership and all
opposition that has eschewed violence, Armenia has been far more stable than its neighbors. The country
has avoided coups or secessionist campaigns or wars by national minorities, while generally
safeguarding basic human rights and political pluralism. Parliament was elected In 1995 and Levon
Ter-Petrosyan has been president since 1991. There are many political parties and groups, representing
a broad spectrum of opinion, which they have been able to voice in press. In this paper, I analyze the
prospect of Armenian democracy by looking following factors: demography, history, economy,
international environment, leadership, political and legal structure, and civil society.
1- DEMOGRAPHY:
Demography is both favorable and obstacle for democratization in Armenia. While size,
topography and place of country are obstacle, ethnic combination, literacy and education are favorable.
Armenian Diaspora is both favorable and obstacle to Armenian democracy. Armenia is the smallest
member of the Commonwealth of Independent States (CIS), bordering east and south Azerbaijan,
Georgia, Iran and Turkey. Slightly larger than Maryland, Armenian total area is 29,800. Armenia does not
have access to sea. Because of small size and lack of natural resources, Armenia is not a self-sufficient
country economically and militarily. Geological turmoil continues in the form of devastating earthquakes,
which have plagued Armenia in December 1988.
Topography and climate has negative effect on communication and transportation which are very
important for democracy. Despite these problems, however, the country’s air, rail, and highway networks
serve the nation’s needs adequately. According to Soviet statistics of the late 1980s, 95% of Armenian
homes had radios or televisions. Under blockade conditions substantially fewer Armenians have had
regular access to broadcast information (Curtis, 56). For example, because of energy limitation, only 17%
of population could watch TV in July 1995 elections.
According to July 1995 estimation, population is 3,557,284, and population growth rate is 0,94%.
Net immigration rate is -6,68 migrant/1000 population. Many Armenians especially young people left their
homeland because of extremely difficult living conditions. Armenia is the most ethnically homogeneous of
the former Soviet republics, and the proportion of native speakers among the population of Armenia was
the highest of all the Soviet republics. 1989 Ethnic divisions: Armenian 93%, Azeri 3%, Russian 2%, other
26
(mostly Yezidi Kurds) 2% . As of the end of 1994, most Azeries had immigrated from Armenia. Because
of no minority problem and strong national identity, to build consensus is much easier than other
Trancaucausian nations. Education is compulsory through secondary school. Literacy estimated at 100%.
Age 15 and over can read and write.
Armenians who live outside mainland are both positive and negative effect on Armenian
democracy. There are an estimated 1.4 million Armenia living outside the USSR (with at least 450.000 in
the USA.) The Armenian Diaspora maintains its coherence through the church, political parties (despite
their mutual hostilities), charitable organizations, and network of newspapers. With the reemergence of an
independent Armenia, diaspora Armenians have established industries, a technical university, exchange
programs, and medical clinics in Armenia. Several prominent diaspora Armenians have served in the
Armenian government (Curtis 36).
Armenia-Diaspora relations are deteriorating because most Diasporans belong the Dashnak that
was banned by the Armenian Government. “ Directly or indirectly the government are urging Diasporans
to say Diasporans have no right to interfere in Armenia’s internal politics but do have the duty to support
Armenia morally and materially without questioning it, just because it is Armenia.”(Marashlian)
2-HISTORICAL BACKGROUND
History is extremely unfavorable for Armenian democracy. Armenia has not only no democratic
tradition but also has no state tradition. In addition, Armenian nationalism was built upon historical
hostility toward Turkey. “Armenians have deep and ancient roots as a people, but lacked a state of their
own from 1375 to 1918”( Rutland). When Armenians conquered by Memluk Turks in 1375, they began
immigrating to points west, notably Cyprus, Marseilles, Cairo, Venice, and even Holland. They became a
diaspora nation, with half their number living outside their traditional homeland, scattered across the
middle east and beyond, with an identity not tied exclusively to territory. In fifteenth century, Armenia
became part of Ottoman Empire. In sixteenth century The Persians dominated the area of modern
Armenia. From the fifteenth century until the early twentieth century, most Armenians were ruled by the
Ottoman Turks through the millet system, which recognized ecclesiastical authority of the Armenian
Apostolic Church over the Armenian people (Rutland).
The Armenian themselves changed dramatically in the mid-nineteen century. An intellectual
awakening influenced by Western and Russian ideas, a new interest in Armenia history, and an increase
in social interaction created a sense of secular nationality among many Armenians. Instead of conceiving
themselves solely as a religious community, Armenians -especially the urban middle class- began to feel
closer kinship with Christian Europe and greater alienation from the Muslim people among whom they
lived. (Curtis 13) By the last decade of the nineteenth century, moderate nationalist intellectuals had
pushed aside by younger, more radical socialists. Armenian revolutionary parties, founded in the early
1890s, send their cadre to organize in Turkey.
1878 “ Armenian Questions” emerged at Congress of Berlin: disposition of Armenia became
ongoing European issue. The Armenian Republic was established in 1918 by Sevres Peace Treaty
dictated by the victorious Allies, but never ratified because of the collapse of Ottoman Empire. The
republic was crushed by the Bolsheviks two years later. In 1923, “the Armenian Question” was officially
abandoned by the Allies in the Treaty Lausanne. The Armenians became an embarrassment to the West
because so many promises were unfulfilled (Snider, May 29).
During the rule of Stalin, Armenia was industrialized and educated under strictly prescribed
conditions, and nationalism was harshly suppressed. The years of industrialization had promoted an
upward social mobility through which peasants became workers; workers became foremen or managers;
and managers became party and state officials. After Stalin’s death, Moscow allowed greater expression
of national feeling, but the corruption endemic in communist rule continued until the very end in
1991(Curtis, 18). Armenia declared its independence and adopted the official name Republic of Armenia
on 23 August 1990, on 21 December 1991 (Alma-Ata Summit) and it joined the CIS. (Fuller, Jan 1993)
27
3-THE TRANSITION TO DEMOCRACY
External Factors: Democratization in the late 1980s in Eastern Europe and *in Soviet Union was
the result of changes in Soviet policy. The withdrawal of Soviet power permitted democratization in
Eastern Europe first. With the loosening of Soviet control, it seemed likely that democracy would be
reestablished in the movements toward democracy also existed in other republics. Thus, democratization
in Armenia was a result of the most dramatic snowballing that occurred in Eastern Europe and in the
Soviet Union.
Internal factors: Armenia was in the transition zone with per capita GNP $2,290.As Huntington
argued, in Soviet Union, democratization is not determined simply by economic development. Politics and
external forces, however, held back Armenian movement toward democracy until the end of the 1980s. (
Huntington, 85)
Nationalism and War: Armenia shows the close connection between democratization. and the
resurge of nationalism. It is no accident that of all the Soviet republics it was Armenia, where nationalist
feelings were strongest, that saw the emergence of and most widespread mass movement for
democratization. The fate of Karabakh and ensuing confrontation with Azerbaijan was the dominant factor
determining the behavior of all social groups and political activities in Armenia, from dissidents and
intellectuals to the established communist elite. (Rutland)
The Armenian case provides an important illustration of the close yet contradictory relationship
between nationalism and democracy. To need to unify and protect the Armenia nation was driving force
that persuaded diverse social groups within Armenia to sink their differences and cooperate against the
common foe. However, this consensus came at a huge prices: years of economic blockade and armed
struggle. There is a great danger that the strains arising from the conflict with Armenia will undermine the
fragile consensus that launched Armenian democracy. (Rutland)
Theoretical explanation: According to Huntington, replacement, transformation and
transplacement characterized the transitions from one-party system to democracy through 1989.
Democratization in Armenia approximated the transplacement model. Transplacement occurred when
democratization resulted largely from joint action by government and by opposition groups.
The one-party system was created in Armenia after joining the Soviet Union. In this system, the
Communist Party effectively monopolized power, access to power was through the party organization,
and the party legitimated its rule through ideology. The distinctive characteristic of one party systems was
the close interweaving of party and state. This created two sets of problems, institutional and ideological,
in the transition to democracy. The separation of party from state was the biggest challenge of a Leninist
party in process of democratization. (Huntington. 117)
Armenia solved this problem very skillfully by learning some lessons from Eastern Europe: On 7
November 1990 parliament passed a decree banning political activities in state organs, and on 17 April
1991 it nationalized many of the properties of the CPA. Ter-Petrosyan initial reaction to the August coup
was highly cautious. However, after the coup’s collapse the CPA was banned and its remaining assets
nationalized. The CPA legalized once again in March 1992, and reemerged with a new leadership and
low-key political presence. (Rutland) After democratization the CPA party is in no better position than any
other political group to reinstate an authoritarian system. (Rutland)
In the Soviet Union communist ideology provided the ideological legitimacy for multinational
states. When the ideology were rejected, the basis for the state would disappear and each nationality
could legitimately claim its own state. To legitimize opposition to the party, it was necessary to established
some other identity for the state As I will discuss later Karabakh conflict lies in this context.
28
Transition to democracy ( 1987- 1991):
The popular movement to free Karabakh from Azerbaijani rule was the locomotive of the
democratization: the cause around which the Armenian public rallied for an assault on the institutions of
the communist state. Democratization in Armenia followed a distinctive course. It began in the outlying
region of Karabakh and then spread rapidly to Erevan.The Armenians interpreted the arrival of glastnost
and perestroika as meaning that their claims for self- determination for Karabakh could finally be
realized. The petition drive was organized in 1987, by an informal group which called itself the Karabakh
Committee.
Opposition activists also mobilized support around the ecology issue, such as the threat posed by
the Erevan nuclear plant and the pollution from the Nairit chemical works. On 18 1987, these activities
bore fruit in the first massive demonstration of 500 000 in Erevan. The demonstrations that occurred as
an anomic groups created carnival-like atmosphere which broke down traditional barriers of town vs.
country and men vs. women. For example, during the period of the mass demonstrations, men and
women strangers conversed freely on the street, something normally taboo in patriarchal Armenia.
(Rutland)
Sporadic conflicts broke out in areas of mixed population around the Armenian Azerbaijan border,
causing a stream of refugees in both directions: The riot in the city of Sumgait stimulated more
demonstrations in Erevan, and control over the city streets slipped away from CPSU and police officials
into the hands of the Karabakh Committee. 13 July 1988 NKAO Soviet formally voted to secede from
Azerbaijan-a decision which was rejected by the USSR Supreme Soviet Presidium on 18 July. A general
strike began in Armenia on 18 November 1988, calling for implementation of unification with Karabakh. A
military curfew was imposed in Erevan on 25 November, and as armed clashes spiraled out of control,
the Soviet Army imposed military rule across the whole republic on 5 December. A devastating
earthquake destroyed northern 10 Armenia, killing 17 000, destroying 17% of the housing stuck, and
leaving 530 000 homeless. Moscow took advantage of the chaos following the earthquake to crack down.
The leaders of Karabakh Committee were arrested. On January 1989 the USSR Supreme Soviet
Presidium removed NKAO from administration by Azerbaijan and placed it under control of newly-created
Committee for Special Administration of NKAO.
1989 elections: On 26 March, 1989, elections for a national congress in the Soviet Union
produced the defeat of several senior Communist party leaders and increasingly assertive national
parliament (Huntington, 23) Unfortunately, in Armenia the elections differed little from their predecessors
in the pre-perestroika era. The human tragedy of the earthquake, and the ensuing political crackdown,
meant that the CPA was able to maintain tight control over the election process. Martial law was still effect
and the Karabakh Committee leaders were still in jail. A survey of Erevan residents showed that only 6%
considered the 1989 elections democratic, and 30% partly democratic. The only important change
compared with previous elections was that most seats now had multiple candidates. Turnout were lower
than anywhere else in the USSR-a mere 72%. (Rutland)
After the elections Armenian Supreme Soviet presidium made a number of important symbolic
concessions to the nationalist. On 31 May the leaders of the Karabakh Committee were freed. The
released leaders formed the APM, which was legally registered on 24 Julie. Only at this point, with the
dissident leaders released from prison, does one see a dialogue between the regime and opposition.
Although the CPA had lost much public support because of its collusion with Moscow, relations between
the regime and the opposition were newer as hostile as in neighboring Azerbaijan. On 27 August 1989
there were by elections for five seats in the Armenian parliament. APM candidates swept the board,
Ter-Petrosyan gaining 72%with support. These by elections showed that the pendulum of power in
Erevan had swung decisively from the CPA to the APM, who called a steady stream of mass meetings to
keep up the pressure. CPA started to cooperate actively with the APM leaders.
In August 1989, Azerbaijan irregulars began an intermittent road and rail blockade of Armenia,
with devastating effect on Armenia’s weakened. On 28 November the USSR Supreme Soviet abolished
29
the Committee for Special Administration of NKAO and returned to NKAO to Azerbaijani rule. The
Armenian Supreme Soviet issued a decree on 1 December proclaiming the unification of Karabakh and
Armenia.
In this state of near-war the APM virtually took over the running of the Armenian republic from the
CPA: helping refugees, recruiting fighters. The sheer exigencies of trying, to organize da4 life in
Armenia’s desperate circumstances forced the APM to drop its confrontational stance and cooperate with
the local communist authorities. On 16 February four APM leaders were added to the Presidium of the
Supreme Soviet.
The 1990 elections to the Armenian Supreme Soviet:There were several modifications to the old
electoral law for these elections. Candidates could now be nominated by work collectives, social
organizations or residents’ meetings. In Armenia one third of the candidates were nominated by residents’
meetings- a higher proportion than in any other Soviet republic save Estonia. APM’s 73% candidates
were CPA members. In the first round on 20 May voter turnout was only 60%. There were many
complaints about the conduct of the elections, from ballot stuffing to the multiple voting. According to one
survey of Erevan Residents, only 25% expected the elections to be more democratic than in 1989.The
CPA and APM very similar in many respects. Both found that their organizational machines were losing
strength and coherence. Neither the CPA nor the APM presented a clear program, preferring general
statements about the need to build a consensus, to reconstruct the country, and to secure national
independence.
One can identify three separate process in these elections. First, there was a shift from CPA to
the legislatures the dominant institution of the political power. Second, the Erevan intellectuals at the
head of the APM won widespread support and consolidated their legitimate presence in the parliament.
Third, many CPA leaders managed to preserve their position in the new political environment, switching
‘from being professional bureaucrats to amateur politicians’.(Rutland)
On 4 August parliament elected Ter-Petrosyan of the APM as its new Chairman. His government
itself disarmed the independent militias and restored order in Erevan. By this action Ter-Petrosyan
established himself as a firm and capable leader. Unlike Georgia , the paramilitary groups were not
allowed to get out of control. (Curtis 22)
th
Independence: On 25 August 1990 the parliament issued a declaration of sovereignty the 12
Soviet republic to do so- and rename the ASSR the Republic of Armenia. However, owing to the absence
of clearly defined parties or factions in the parliament, the selection of government ministers was a
protracted and contentious affair. Parliamentary life was an uneasy stand-off between the comrade
communists and gentleman democrats. Rifts started to appear in the ranks of the APM. The
administration which Ter-Petrosyan assembled was held together more by personal friendship and favors
than by any particular political philosophy. The APM still regarded itself as a broad social movement,
rather than as a political party. In August 1990 the ARF, a pro-independence socialist party who had
formed the government of Armenia in 19 18-20, started to operate as a legal political party. Fissures also
started to appear in the ranks of the CPA.. Outside Erevan, politics were subordinated to the increasingly
difficult struggle for survival. The parliament was held in low regard by the Armenian public, because of
the communist presence and because it was driven by personal factionalism.
Presidential elections were held on 16 October 1991. And Ter-Petrosyan managed to gather 83%
of the votes. The election was surrounded by controversy, with most losing candidates crying foul.
According to three US election observers the election was far from fair.
July 5, 1995 elections: On July 5. 1995, Armenia’s voters elected a new parliament, in the
country’s first parliamentary election since becoming independent, and also cast ballots in a referendum
on a new constitution. According to officially reported figures, turnout for the referendum was 55,6
percent; 68 percent of participating voters (and 37,8 percent of all eligible voters) voted for the
Constitution. Slightly fewer voters, 54 percent, cast ballots in the election.
30
National assembly has 190 legislators, of whom 150 were elected on a majoritarian system in
single- mandate constituencies. Thirteen parties/blocs competed for the remaining 40 seats, which were
allocated proportionally, based on party lists. The Republic block, led by Ter Petrosyan’s APM, won 160
seats.
Comment for Elections: According to CSCE report, the election was a multi-party,
multi-candidate contest, participating parties and candidates represented widely divergent points of view,
and had the opportunity to appeal to voters. Opposition parties frequently organized public rallies to make
their case and to criticize the government and Ter-Petrosyan, and did so the press as well. The ban of the
ARF was one factor in the OSCE Parliamentary Assembly observer delegation’s assessment of the
Armenia election and referendum as “ free, but nor fair.” The evaluation also cited many reports by
opposition candidates, and the pro-constitution position of the state-run mass media.CSCE,1).
4- ECONOMY:
Economy is unfavorable for democracy in Armenia. Country is mountainous, landlocked and
resource-poor, especially with respect to energy. Under the old Soviet central planning system, Armenia
had developed a more modern industrial sector, supplying machine building equipment, textiles, and
other manufactured goods to sister republics in exchange for raw materials and energy resources. The
Medzamor Atomic Power Station was closed after the devastating December 1988 earthquake for fear of
nuclear accident, making Armenia dependent on Outside sources for energy. Because of the
Nagorno-Karabahk conflict, Azerbaijan has blockaded Armenia, depriving the country of oil or gas
through Azerbaijani territory. During the war, Armenia remained a command rather than a free-market
economy to ensure that the military received adequate economic support. (Curtis xxix) In February 1992
price liberalization caused inflation to jump by 500-900 %.
Economic reform: Under this very adverse conditions, the Government of President
Ter-Petrosyan has pursued marked reforms, privatizing agriculture, housing, and small industry. The main
positive achievement was the February 1991 land reform. Within six month, 60% percent of farmland was
in private hands(Rutland). Armenia undetached its own currency, the dram, in November 1993, and has
actively sought foreign investment. In November 1994 Ter-Petrosyan won parliament’s approval for an
economic program, drawn up In conjunction with the IMF, that emphasized further price liberalization, tax
reform, deficit reductions, privatization and phasing Out Subsidies on goods, including bread prices.
After two years of misery, during which its gross domestic product fell by 67%, Armenia last year
was the only country in the Former Soviet Union to experience a positive growth rate. Output increased in
1994, with GNP rising by 5 percent, and up by 17 percent in the first half of 1995. Inflation has dropped
from 46% a month in the beginning of 1994 to less than 3% (Snider, June 8, 1995).Consequently ,
Erevan has decided to reopen Medzamor, despite the concerns of the international community and local
environmentalist. (CSCE 3)
5-FOREIGN RELATIONS
Russia: The victory of the Republic bloc will allow Ter-Petrosyan to continue his policy of
normalizing ties with neighboring states. Historically, tiny, Christian Armenia-bordering Muslim Azerbaijan,
Turkey and Iran-has cleaved to Christian Russia, which has seen Armenia as its strategic ally in the
region. When the USSR collapsed and the (CIS) came into being, Armenia was one of the original
signatories of the May 1992 Collective Security Treaty. Armenia and Russia Jointly control Armenia’s
borders, and in March 1995, reached agreement maintaining a Russian military base for 25 years in
Gyumri, near the northwestern border with Turkey. There are some 14,000 Russian soldiers in Armenia,
which pays half of the expenses for the bases. (CSCE 4) This makes Armenia very dependent to Russia.
Turkey: Turkey has thus far refused to establish diplomatic relations with Armenia. With the ARF
virtually excluded from parliament, Ter-Petrosyan will have a freer hand in seeking normal relations with
Ankara, without preconditions. Main obstacle in Turkey-Armenia relationship is Armenian massacre claim
31
in 1915. To this day, the Turkish government contends that the Armenian population engaged in violent
revolution during the time of World War 1. Those who died perished as the result of a relocation policy,
not from a preconceived massacre, the Turkish authorities insist. (Snider may 29)
Nagorno-Karabakh Conflict: In military terms, Nagorno-Karabakh Conflict was settled, at least
temporarily, by the summer of 1993. Armenian forces won a stunning victory, taking control of all of
Karabakh and then going on to occupy more land outside the contested territory, estimated by
Azerbaijan’s government at 20 percent of the country (CSCE, 4). In diplomatic terms, efforts by the
CSCE’s Minsk Group during 1993 and 1994 to prepare the ground for a peace conference. Though the
cease-fire has largely held, the parties in the Minsk Group consultations have stuck to old positions, with
Azerbaijan insisting territorial integrity and Karabakh demanding the right of self- determination.
Meanwhile, Karabakh, de facto long out of Azerbaijan’s control, has been trying to establish its
credentials and credibility as an independent state entity, holding presidential and parliamentary
elections, Nevertheless, no member of the international community has recognized Karabakh.(CSCE 4)
The USA: The US and the countries of the European Union have aided independent Armenia in
several ways. Humanitarian aid, most of it from the US, played a large role between 1991 and 1994 in
Armenia’s survival through the winters of the blockade. Armenia successively pursued aid from the
European Bank for reconstruction and development, the IMF and the World Bank. Two categories of
assistance, humanitarian and technical, were offered through those lenders. An effective lobbying effort
have combined to make it the second-largest per-capita recipient of United States foreign aid, behind
Israel, with $126 million in 1995” (Levine)
6-COMMITTED LEADERSHIP:
Structures and institutions, especially political ones, are shaped by the actions and options of
political leaders. The more constraining and unfavorable the structural circumstances, the more skillful,
innovative, courageous, and democratically committed political leadership must be for democracy to
survive. (Diamond, 16) Political leadership in Armenian democratization is favorable. Ter-Petrosyan, who
is untainted by a communist past, showed accommodating, shrewd, and resourceful political leadership in
democratic transition. But the banning of the ARE brought strong suspicion whether he will show same
skill in consolidation of democracy or not.
Ten-Patrician responded to the twin threats of political chaos and military defeat at the hands of
Azerbaijan by accumulating extraordinary executive powers. Ter-Petrosyan was able to continue his
pragmatic approach to domestic policy. privatizing the economy whenever possible, and continue his
moderate, sometimes conciliatory, tone on the Karabakh issue.( Curtis xxx)
Having for all intents and put-poses swept the opposition from the field, Ter-Petrosyan is clearly
the country’s most powerful politician, and has virtually full freedom of maneuver. The passage of the
constitution has strengthened his presidential prerogatives, he can count on a supportive parliament-even
if differences appear among those parties that united in the Republic block-and he can expect to exert
significant influence on the Judicial branch. Ter-Petrosyan now has every opportunity to deliver on his
agenda, as the September 1996 presidential election approaches.(CSCE 18)
7-SOCIAL STRUCTURE:
Even though Armenia has a very homogeneous population, its population of 3.6 million is deeply
divided between those whose priorities are national economic reconstruction and those favoring national
reconstruction via the liberation of historical lands and unification with Armenian minorities in Karabakh.(
Huttenbach, 234)
In addition to the Karabakh conflict, wage, price and social welfare conditions have caused
substantial social unrest since independence. Accordingly, in 1993 prices rose to an average of 130
32
percent of wages, which the government indexed through that year. In the first post-Soviet years, and
especially in 1993 plant closing and the energy crisis caused unemployment to more than double. By the
end of the 1993, the decrease in production, shortages of food and fuel, and hyperinflation had reduced
the living standard of an estimated 90 % of Armenians to below the official poverty line. (Curtis 51) “In
Armenia, the bulk of the population lives from the money sent by relatives working abroad, mostly in
Russia, on Humanitarian aid, or on income from small-scale farming”. (Sneider June 8)
Internal security was problematic in the transitional years. Armenia suffered from a kind of
anarchy (of which political assassinations are symptomatic) that does not allow for effective decision
making. Government agencies are not coordinated. (Huttenbach 236) The distraction of the Karabakh
crisis combined with security lapses to stimulate a rapid rise in crime in the early 1990s. The political
situation was also complicated by charges of abuse of power exchanged by high government officials in
relation to security problems. (Curtis xxxii)
Religion: Religion has not been a driving forces in modern Armenian democracy in the same way
it has in, say Poland- despite the fact that the Armenians have the oldest independent church in
Christendom. The Armenian church was an important vehicle for the preservation of national identity over
the centuries, but was not a strong advocate of an independent Armenian nation state. Armenian society
today is fairly secular, and it was the intelligentsia, as the bearer of the Cultural heritage and advocate of
humanistic values, that emerged as the dominant social force in the nationalist movement. (Rutland)
8-POLITICAL AND GOVERNMENTAL STRUCTURE:
Political Institutions: Institutionalized systems and institutionalized democracies are less volatile
and more enduring. Democracies that have more coherent and effective political institutions will be more
likely to perform well politically in maintaining not only political order but also rule of law, thus ensuring
civil liberties, checking the abuse of power, and providing meaningful representation, competition, choice,
and accountability(Because of Soviet legacy, Armenia has political institutions. The problem is these
institutions lost trust among citizenry, because of the fake democracy during the seven decade. Because
of parliament’s institutional weakness, oppositions frequently have organized massive public rallies
demanding the president’s resignation. (Curtis 62)
9-CONSTITUTIONAL STRUCTURE:
The political system which emerged in 1992 was one of presidential rule along French lines. After
years of wrangling between President Ter-Petrosyan and opposition parties four years over competing
constitutional drafts, Armenia’s new constitution creates a strong presidency. Supporters of the draft
argued that wide-ranging presidential powers were either necessary or no greater than those in other
countries; opponents maintained the constitution gives the President to much power over the legislative
and judicial branches of government.
Presidential system in Armenia exhibits several characteristic problems. Concentration of power
in the executive branch is particularly dangerous for fragile democracies, in which the separation of
powers and checks and balances between branches of government are not well established. Another
problem is the exalted status of the presidency in relation to weak and heavily manipulated legislative and
judicial branches. But because of cynicism among citizenry toward institutions and the need of
fundamental reform to restore state and country, I think the Presidential system is appropriate for Armenia
for a while.
The Constitution empowers the president to appoint and dismiss the prime minister and members
of the government; he can also disperse the National Assembly and call special elections. The president
exercises general management of foreign policy, and is commander in chief of the armed forces.
Moreover, he appoints the president and members of the constitutional court, and can issue decrees. The
president cannot be elected more than two consecutive fiveyear terms; (s)he must be a citizen of Armenia
and must have resided in the country for the preceding ten years.(CSCE 8)
33
Political Parties: During the communist regime, in Armenia only the CPA was allowed in the
political arena. Political parties the most important mediating institutions between the citizenry and the
state, indispensable not only for forming government but also for constituting effective opposition.(
Diamond, 34)
Historically, fragmentation into large number of parties that come and go has been associated
with democratic instability and breakdown. There are over 40 registered political parties in Armenia, but
by election day, 13 parties/blocs had emerged and survived the election.
Republic Block: The block representing the ruling party included the five party but was led by the
Armenian Pan-National Movement (APM). Essentially President Ter-Petrosyan’s party. the APM grew out
of the Karabakh Committee, which arose in 1987, calling for the unification of Karabakh with Armenia.
The leaders of the Karabakh Committee, including Ter-Petrosyan, subsequently became the political elite
of independent Armenia.
ARE Founded in 1890 the ARF (also called Dashnak) was the ruling party in the Republic of
Armenia in 1918-20; forbidden under the communist regimes, the ARF built a strong support network in
the Armenian diaspora. (Curtis 61) Dashnak, which based in Beirut, Lebanon, sponsors grass-roots
activities ranging from children’s sports to political lobbying In the 1970’s and 1980’s, however Dashnak
became notorious for its part in the assassinations of 41 Turkish diplomats. (Levine)
Having declared itself an action-oriented party, the ARF allocated a large sum of money to
Karabakh, gaining a monopoly on participation in Karabakh defense. The world is not same now as it was
at the beginning of the 20th century. On the one hand, ARF leaders remain faithful to their traditional
socialist and nationalist ideology. On the other hand they talk about human tights and market reforms.
These concepts are in contrast to revolution and socialism, the two dominating principles of Dashnak
ideology. The party leaders did not take into consideration that a myth usually disintegrates when
encountered by reality. When it returned to the homeland, the ARF rooted intolerance and the image of
the enemy within the internal political life of Armenia. The press was quick to accept the terms national
and anti-national as units of measure in the public life of the republic. The wording and style of stories
was reminiscent of the 1930s. The role of the Dashnak press in the prevailing unhealthy sentiments and
the split of the society to opposing groups can not be denied. Normal form of internal political struggle
almost yielded to armed means. The Armenian authorities are also committed to the same style.
(Minasian daily news report from Armenia, FEB 23, 1995)
In January 1992 the ARF who had gained control of the regional parliament in NKAO, declared
the province an independent republic and started to pursue a more aggressive military strategy without
approval from Erevan.
Political Life: Relations between the government and the opposition have nevertheless been
extremely tense. A key bone of contention has been the Karabakh conflict, which played a crucial role in
galvanizing Armenia’s national and liberal movement. Opposition parties have criticized the President,
who came to prominence and power as a leader of the Karabakh Committee, for refusing to recognize the
Republic of Nagorno-Karabakh, which declared independence in January 1992. Ter-Petrosyan has
argued that such a step would put Armenia and Azerbaijan formal state of war. (CSCE, 5)
Another source of discord is the President’s policy of normalizing relations with Turkey without
preconditions-, the more nationalist opposition, especially the ARF demand Turkish acknowledgment of
responsibility for 1915 Armenian Genocide. Other opposition parties part company with ARF on this point,
but have united with the ARF around several issues. More broadly, they have accused Ter-Petrosyan of
concentrating power, to the detriment of the legislative branch and judicial branches. (CSCE, 5 )
Of all the opposition parties and organizations, the ARF has been the most problematic. After the
ARFs return to Armenia in 1991, relations between the party and Ter-Petrosyan deteriorated. The general
34
tenor of government-opposition relations deteriorated between 1992 and 1994, exacerbated by a series
of unsolved assassinations. In 1994, however, the atmosphere worsened noticeably, with the opposition
staging increasingly truculent rallies. while the press was subjected to intimidation.
The deterioration of relations between the authorities and the ARF culminated one week later. in
a December 28, 1994, televised address by the President. He accused the ARF leadership of harboring
since 1992 a secret organization (DRO) that engaged in assassinations, drug running, terrorism, and
espionage, and was planning to destabilize the country by committing more murders. Ter-Petrosyan
ordered the temporary suspension of ARF activities, Including ARF newspapers, journals and cultural
organizations. Over 20 ARF members arrested , although the ARF faction in parliament remained in
operation. Armenia’s Ministry of justice then asked the Supreme Court to ban the ARF; on January 13,
the Court did so for six months, citing violations of law on political parties: non-citizens cannot be
members of any political organization in Armenia, nor can a party’s leadership be located outside the
country( CSCE 6).
Legitimacy and Performance: Democratic legitimacy is shaped by the performance of the
democratic regime, both economically and politically. The more successful democracies have generally
experienced relatively steady economic growth, which in turn has benefited their legitimacy. (Diamond,
11) In terms of substantive legitimacy; government is expected two things-, economic growth and
recognize to independence of Karabakh. If the economic growth continue, legitimacy of government will
continue.
After the transition, elected leaders of government face several other characteristic challenges of
statecraft: to stabilize and restructure the economy to facilitate sustainable economic growth over the long
run: to control high rates of crime, violence, and lawlessnes(Diamond, 54). Many of these challenges
require not just state reform but also state building. A democratic order presumes, first, order: unless
fragile new democracies such as Russia can impose the authority of the state-with its monopoly on the
use of legitimate force-over heavily armed private mafias, gangs, and militias, democracy is not possible.(
Diamond, 55)
10-CIVIL SOCIETY:
During the Soviet regime, the all civil society institutions were destroyed. Civil society can be
thought of as “the realm of organized social life that is voluntary, self-generating, self-supporting,
autonomous from the state, and bound by a legal order or set of shared rules.” (Diamond, 27) After
transition, civil society contributes in diverse and reinforcing ways to deepening, consolidating, and
maintaining democracy. To maintain democracy, Armenia has to establish civil society institutions
immidiately
Political Culture: Political culture is extremely unfavorable for Armenian democracy. As Diamond
stated several values and believes are crucial for stable and effective democracy: beliefs in the legitimacy
of democracy; tolerance for opposing parties, beliefs, and preferences; a willingness to compromise with
political opponents and, underlying this, pragmatism and flexibility; trust in the political environment, and
cooperation, particularly among political competitors; moderation in political positions; civility of political
discourse; and political efficacy and participation, based on principles of political equality but tempered by
the presence of subject role and parochial role. (Diamond 19) Armenians have been adopted participant
role; to make them subject-participant the government has to increase living standards.
However in the aftermath of Communist oppression in the former Soviet Union, the dominant
political moods is one of cynicism, indiscipline, defiance, and resistance to state authority and typically
toward parties as well.
In Armenia the ability to win in elections was less important than the ability to control the streets,
to organize relief work, and to run a military campaign. The communists’ strength enable them to
dominate in 1989 elections, and to come out with majority of deputies in the 1990 elections, but
35
parliament became an increasingly irrelevant institution. (Rutland )Voters were apathetic, and skeptical
whether the elections would be able to resolve any of the pressing issues facing Armenia. The limitations
of the elections meant that street politics (meeting democracy) continued to prevail, and political life
flowed around, rather than through the parliament. The failure of the electoral process to produce strong
political parties reflected the both the exigencies of Armenia’s situation and a popular suspicion of
ideologically driven politics. There was also a certain fear that a leader with a strong party behind him
might be tempted to rule with an “iron hand’, to try to impose order out of the chaos.
CONCLUSION
After independence, Armenia was a weak state whose legal system was severely challenged by
the activities of regional and family clans, criminal gangs with diverse operations, widespread corruption,
and occasional assassinations of political figures. In the absence of secure rule of law, the stress of war
and material privation, uncertainty about future, and popular suspicion about the legitimacy of the ruling
elite threatened the stability of the new republic.
The results of the July 5 voting have conferred wide powers upon the executive, who, on the
other hand, will not be able to point to parliamentary recalcitrance or gridlock should the implementation
of his program run into difficulties. Ter-Petrosyan has already embarked on structural changes in the
government, cutting some ministries and agencies and renaming others. In his first address to the new
parliament, he singled out other spheres requiring urgent legislative regulation: regional and local
self-government, and reform of the judicial system, which would effectively remake all three branches of
government.
Besides the accomplishments stated above, the future of an Armenian democracy is clouded by
limited natural resources and the prospect that the military struggle to unite the Armenians of Azerbaijan’s
Nagorno-Karabakh Autonomous Region with the Republic of Armenia will be long one. In addition,
Armenia does not have good relations with its neighbor, particularly Turkey which has somewhat stable
democracy and market economy. On the country Armenia is very dependable on Russia which is in a
very complicated and unstable situation in terms of democracy. Despite Armenian government’s
shortcomings in promoting democratic pluralism and respecting human rights, the stability of country
seems more important for further prospects of democracy,
BIBLIOGRAPHY:
1. -Curtis, Glenn E., Armenia, Azerbaijan, and Georgia, Washington, DC: Library of Congress
2. -Diamond, Larry., Linz, Juan J., Lipset, Seymour Martin, Politics in Devoloping Countries, Colorado:
Rienner, 1995.
3. -Fuller, Elizabeth. “Trancaucasia: Ethnic Strife Threatens Democratization.” RFE/RL Research I Jan.
1993.
4. -------“Armenian Constitutional Debate”, RFE/RL Research Rel2t,,27 May, 1994.
5. -Huntington, Samuel P., The Third Wave, Not-man: Un. Of Oklahoma Press, 1991.
6. -Huttenbach, Henry R., “ in Post Soviet Caucausa, Crossroads of Empires” The Successor States to
the USSR, Ed. John W Blaney, Washington, DC: Congressional Quarterly, Inc., 1994.
7. -Levine, Steve. “Though Armenian Leaders Make Allies in West Squirm.” New York Times, 27 Nov.
1995.
8. Marashlian, Leven., “Democracy in Armenia and Dialogue in the Diaspora” unpublished.
9. -Minasian, Gevorp, “ARF: Myth or Reality” Daily News Report From Armenia 23 Feb. 1995.
10. Report on Armenia’s Parliamentary Election and Constitutional Referendum, July 5, 1995,
Commission on Security and Cooperation in Europe, August, 1995.
11. -Rutland, Peter. “Democracy and Nationalism in Armenia.” Europe-Asia Studies, 1994
12. -Sneider, Daniel. “Democracy Teeters in Three ex-Soviet States” Christian Science Monitor , 30 May,
1995, 6:1
13. Iran, Turkey, Pick Up Trade in the War-Torn Caucaus”, Christian Science Monitor, 8 June, 1995, 7:1
14. Armenians: Nationalist Vision Draws Diasporas’ , Christian Science Monitor, 29 May,1991, 10:1
36
COERCION VS. COOPERATION IN THE INTERNATIONAL RELATIONS
Veton Latifi, PhD
Lecturer at the South East European University
e-mail address: [email protected]
[email protected]
tel: ++ 389 70 258 909 and ++ 389 44 356 210
address: st.”Ilindenska” nn
Campus Bldg. 201/01-01
1200 Tetovo, Macedonia
ABSTRACT
The problem of the relationship between coercion and cooperation exists at all levels of
international relations. The paper surveys the general theory of the relationship between sustained
cooperation and coercion at the international level. It is difficult to distinguish clearly between cooperative
(to avoid confrontation by means of mutual understanding and compromise) and coercive (to enforce the
rules and decisions of international institutions) behavior, as many have discovered. The distinction
presumably is one between the addition and the dispossession of value. One difficulty, however, is
whether cooperation and conflict should be defined in terms of the objectives of actors, the perceptions of
targets, or the final outcomes. The paper explores relationship between the deterrence and compellence
strategies in the system of the international relations, illustrating how they often produce results counter to
those intended.
Keywords: coercion, cooperation, international relations, international regimes, coercive diplomacy.
1. INTRODUCTION
Over the past two decades the changes in the international political scene have been enormous.
The end of the Cold War, the debates over the existence of a new world order and the fight against
th
terrorism following the terrorist attacks of September 11 2011 have led to dramatic changes of the
international system. The theory of international relations outlined and is shown to have two dimensions:
one coercive; and one accommodative. The former dimension means to enforce the rules and decisions
of international institutions; and the later to avoid confrontation by means of mutual understanding and
compromise.
The international system seems to be continually expanding. The national and international
decisions and choices cover a much broader range of subjects following the impact of the globalization
wave across the world. There is the increased complexity of society and the economy. There are now
increased organizational demands in terms of meeting the ordinary everyday needs of citizens.
Interdependence implies that people, businesses and organizations rely on each other (and their rivals) in
different places for ideas, goods and services.
According to the theory of realism in the international relations, the anarchical nature of the
international system – where there exists no higher, hegemonic global authority – results in a global
condition where all states are ‘structurally insecure – their existence suffused with risk’ (Morgan 2007: 17)
and consequently the provision of the security of the state, commonly known as national security, is the
primary purpose of the government of any state.
Regardless the fact that following the fact impact of the globalization and recent changes to the
international system that the states are not anymore the primary actors on the international stage, the
behavior of states is the key factor in determining whether populations exist in peace or in conflict.
37
Whether acting alone or in forms of cooperation with other countries, it is clear that states constitute the
most coherent, efficient and legitimate concentrations of identity, loyalty and power.
Despite the political relocation of much of international relations it is obviously that power,
coercion, authority or influences remain central to international relations as a means to resolve
disagreements about values. Such actions can involve physical acts of violence or attempts to influence
the mind of an opponent.
2. THE TENSION INHERENT IN THE JOINT PURSUIT OF COERCION AND COOPERATION IN
INTERNATIONAL RELATIONS
According to classical realist theory, security regimes will survive as long as the interests of the
members correspond. When interests diverge in a serious manner, alliances, balances of power and
other such collective security arrangements disintegrate and change (Walt 1997: 163).
Experience has proven internationalism to be realistic when assuming far-reaching international
cooperation to be feasible. What needs to be demonstrated is that war tends to disappear as a result.
Authors in the field of international cooperation have less to say on this point. Some in fact make it clear
that they do not assume a straightforward negative relation between cooperation and conflict. Keohane
and Nye thus admonish us in Power and Interdependence ‘to be cautious about the prospect that rising
interdependence is creating a brave new world of cooperation to replace the bad old world of international
conflict’ (Keohane and Nye 1977:10).
Zacher, Argues that states are becoming enmeshed in a ‘network of interdependencies and
regulatory/collaborative arrangements from which exit is generally not a feasible option’. He goes on to
emphasize that ‘there will continue to be a great deal of conflict in the world’ albeit in a different setting
(Zacher 1992:61).
The least one can say about the literature on international cooperation is that the precise way in
which cooperation may make war unlikely is not always spelled out.
From another hand, again in terms of the study of international relations, the legitimate monopoly
of coercion means that states can make war. States are charged with a number of functions such as
internal order, defense, and the provision of infrastructure such as roads, economic redistribution, etc.
Both, the theories and practices of the international relations identify three problematic features
when one takes into the consideration in detail regarding the relationship of the coercion and cooperation:
•
•
•
the assumption of an effective international opinion in support of international norms and
institutions;
the assumption that all international cooperation tends to inhibit war; and
the tension inherent in the joint pursuit of coercion and cooperation.
Cooperation, just as war causation, can be viewed from two perspectives: as a process and as a
structure.
A cooperative act - the making of an agreement, the setting up of an institution, a meeting at the
summit - can be seen as a link in an action-reaction chain, and it can be regarded as a contribution to
cooperative structure-building. The issue in the former case is how the sending of cooperative signals
affects the likelihood of war. The issue in the latter case is how the existence of a cooperative structure
affects the likelihood of war.
In the older international relations literature, the former thought is exemplified by Charles
Osgood’s concept of ‘Graduated Reciprocation in Tension Reduction’ (Frei, 1980) and the latter by Karl
Deutsch’s theory about the formation of security communities (Deutsch et al. 1957). Both thoughts are
38
central to the question of the relationship between cooperation and coercion. Four links between
cooperation and the avoidance of war are thus defined:
•
•
•
•
by promoting ‘mutual understanding’ between the contenders;
by encouraging accommodative rather than coercive bargaining;
by producing a state of ‘détente’ in the sense of peaceful coexistence between fundamental
adversaries; and
by establishing a relationship of ‘complex interdependence’ between contenders whose adversity
is becoming less fundamental (Goldmann, 1994:138).
The credibility of coercion involves an important strategic choice between the costs of compliance
and non-compliance, or rather the deliberate and purposive use of overt threats to influence the strategic
choice of another. According to Lawrence Freedman, strategic coercion is based on two main objectives:
(1) to study the forms of punishment needed to reverse or stop the action of the adversary; and (2) to
assess the responsiveness of the coerced to the coercer’s threat, or the different ways in which the target
constructs its views of reality. Both objectives, in his view, require a deeper understanding and
appreciation of the strategic dynamics of coercion (Freedman, 1998).
A strategy of coercion is dictated by a goal of exploitation. To the extent that the colony is
exploited at the expense of the inhabitants the colonizer must rely upon his superior power to preserve
control. Such a strategy requires a minimal material commitment, can lead to an immediate “payoff,” but
is less likely to result in a stable political connection (Lebow, 2007: 31). The rather Machiavellian moral to
be learned from this dilemma is that rule based on coercion must never be allowed to be questioned to
the extent that a serious threat to domination develops.
The problem of the relationship between cooperation and coercion exists at all levels of social
relations. Organizations - political parties, associations of employers and employees - may come to
confront each other in conflicts of interest resulting from the structure of the system to which they belong.
The issue in all such cases is whether cooperation helps to avert major conflict in spite of the fact that
underlying conflicts of interest cannot be fully resolved.
It is difficult to distinguish clearly between cooperative and coercive behavior, as many have
discovered. The distinction presumably is one between the addition and the dispossession of value. One
difficulty, however, is whether cooperation and conflict should be defined in terms of the intentions of
actors, the perceptions of targets, or the final outcomes. Another is the tendency of interaction to be
characterized by a mixture of value-addition and value-deprivation.
Apart from this there is the issue of whether cooperation should be defined as joint or
collaborative action or more broadly as non-conflictive interaction (Nygren, 1980) and whether conflict
should be defined in terms of interests, objectives, behavior, attitudes, or a combination of these.
3. COERCIVE DIPLOMACY
Although coercion by violent means is a relatively rare phenomenon in the international system
given the number of actors in it, the number of violent conflicts with an environmental or resource
dimension is rising.
Coercion involves the study of threats and demands that encourage the adversary to either
reverse its action or stop what it has been doing. Unlike deterrence, which stresses the prevention of an
attack or the use of threats by state A to dissuade its enemy, state B, from attacking, coercion consists of
the use of threats by state A, or the coercer (e.g. state hegemon, NATO, UN), to reverse an act of
aggression by state B. To coerce a state, then, means to employ a range of diplomatic and military
options. These may include economic/ trade sanctions, blockades, embargoes, and precision air-strikes.
39
The essence of coercion is outlined in Figure 1 according to Kjell Goldmann (1994: 44). Causal
assumptions such as those indicated in the figure would seem to be essential features of a theory of
internationalism. Coercive internationalism takes the incompatibilities between states for granted. The
object of coercive internationalism is to make governments abstain from escalation and war regardless of
the extent to which their interests collide.
The main method is to strengthen the impact of law and law-like rules in international politics: to
set up rules circumscribing lawful conflictive action, to codify customary norms to this effect, and to
increase the propensity of governments to comply with the rules even when compliance goes against
their self-interest.
Figure 1: Causal assumptions regarding the essence of coercion
Source: Goldmann (1994: 44)
National self-interest, as a matter of fact, is a factor promoting the strengthening of international
law in the theory of coercive internationalism outlined here: states have an interest in reducing the
freedom of action of other states and are willing to pay the cost of reducing their own. Fear of
undermining existing norms, by the same token, is a reason for compliance in specific situations. Still it is
not convincing to suggest that national interest suffices to bring about the strict and effective normative
regulation of connective action among independent states. This is why according to Goldmann the theory
of internationalism must be taken to include two further thoughts about the strengthening of international
law. One is the belief in world opinion as a pressure group for effective constraints. The other is the
assumption that international organization facilitates the strengthening of international law and other
international norms (Goldmann, 1994:45).
Coercion is a situation that involves crisis escalation and de-escalation. The most prominent
cases in this regard are the Cuban Missile Crisis, the Vietnam War, the Gulf War, the Kosovo and Iraq
War.
Whilst it is often difficult to assess the degree of success in these cases, in part because of the
high human and economic costs associated with military coercion, it is widely agreed that the Kosovo
War was a successful case of coercive diplomacy.
An essential task of coercive diplomacy is to dissuade the enemy to continue to do what it is
doing. Coercive diplomacy is derived from Thomas Schelling’s concept of ‘compellance’. Compellance
40
involves the use of military capabilities or punishment to force the enemy to comply with the coercer’s
demands. By favouring the benefits that come with the actual display of force, compellance is intended to
deny the coerced state either the available opportunities or time to counter the tactics of the coercer.
Compellance is about foregoing the costs of inducements associated with coercive diplomacy.
Alexander George’s theory of coercive diplomacy stresses the need for inducements and
punishments to convince the enemy that the costs of non-compliance will outweigh the costs of
compliance. Compared to George’s theory, Freedman’s concept of strategic coercion stresses the range
of options available to the target. In this case, the target’s responsiveness, in Freedman’s view, depends
on the balance of control and consent.
4. WHY DOES COOPERATION OCCUR IN INTERNATIONAL RELATIONS?
The literature on international integration, interdependence, and other forms of advanced
international cooperation is mainly concerned with explaining how and why cooperation comes about and
is sustained?
In politics, people come together to cooperate towards common and collective goals – common
goals being goals that all can share and collective goals being those that can only be achieved if parties
work together. At the domestic level political communities work in cooperation to provide common public
services. The state and its institutions work together to meet the common needs of the population.
Many states do cooperate because they share interests, ideals, norms, values and belief
systems. A cooperative relationship demands that there be some level of trust between two or more
parties. Not only are international institutions predicated on these shared understandings, but
international institutions also offer an arena through which parties can witness the behavior of other
states.
Nevertheless, cooperation can occur outside of international institutions with a large proportion of
cooperation between states occurring through bi-lateral relationships that are not dictated by institutions.
However it remains that international institutions facilitate the greatest amount of cooperation.
Cooperation ‘requires that the actions of separate individuals or institutions – which are not in preexistent harmony – be brought into conformity with one another through a process of policy coordination’
(Keohane, 1984: 51).
That means that cooperation requires each party of the relationship to change their behavior in
relation to the behavior of other parties. Importantly, it also distinguishes cooperation from harmony.
States may cooperate to prevail in military and political conflict. Rich states may cooperate to keep
themselves rich and poor states poor.
‘International cooperation does not necessarily depend on altruism, idealism, personal honor,
common purposes, internalized norms, or a shared belief in a set of values embedded in a culture’
(Keohane, 1988: 380).
Liberals argue that cooperation and interdependence produce grounds for stable, trusting
relationships between states. Once created and imbued with powers, international institutions then affect
their constituent member states. While both realists and liberals accept the anarchical state of the
international system, there are core differences in their interpretation of cooperation.
Institutions presuppose common interests or the existence of a community with common values
and can become the custodians of their norms and procedures (Kratochwil, 1989, 64). Once in place,
institutions have the potential to construct more common interests and identities and strengthen the
bonds of community. The real question is why and how a prior inclination to cooperate develops. The
41
different fate of institutions in West and Eastern Europe nicely illustrates the importance of the above
observation.
According to Christian Reus-Smit, “all political power is deeply embedded in webs of social
exchange and mutual constitution—the sort that escapes from the short-term vagaries of coercion and
bribery to assume a structural, taken- forgranted form—ultimately rests on legitimacy.” (Finnemore and
Troope, 2001: 743).
5. COERCION, COOPERATION AND INTERNATIONAL REGIMES: BEYOND KEOHANE’S THEORY
Resolving contemporary international problems requires collaboration and coordination among
sovereign nation-states. Scholars of international relations have developed the theories and analytical
methods that help explore the possibilities and mechanisms of international cooperation under a different
type of systems.
Reviewing the four prominent methodological approaches -the power approach, the gametheoretic approach, the functional approach, and the cognitive approach, the article of Robert Keohane
After Hegemony: Cooperation and Discord in the World Political Economy, explores the institutional
foundations for the evolution and maintenance of cooperation among nations.
Keohane’s main suggestion seems to be that international cooperation is valuable but difficult to
organize - in international economic and political relations we cannot rely on the market to work. He
summarizes on the start that intergovernmental operation takes place when the policies actually followed
by one government are regarded by its partners as facilitating realization of their own objectives, as the
result of a process of policy coordination.
Harmony and cooperation are not usually distinguished from one another so clearly. But Keohane
is categorical that cooperation must be distinguished from harmony, because as he says cooperation and
harmony are by no means identical and ought not to be confused with one another. More clear contrast:
harmony is apolitical and cooperation is highly political.
Keohane doesn’t view cooperation atomistically as a set of discrete, isolated acts, but rather
seeks to understand patterns of cooperation in the world political economy. He prefers the focus on
particular actions as the units of analysis- as a way to study cooperation and discord.
Cooperation should be viewed as a situation where actor policies would hinder the attainment of
the goals of others but through a coordination process policies are adjusted so as to obtain cooperation
rather than discord if polices were not adjusted. The behavior patterns there are altered via coordination
to achieve cooperation
Though frequently used, the concept of cooperation is widely misunderstood. In his pioneering
work Keohane sees cooperation occurring "when the policies followed by one government are regarded
by its partners as facilitating realization of their own objectives, as the result of a process of policy
coordination" (Keohane, 1994).
There is a clear distinction between harmony, discord, and cooperation. Harmony is a situation in
which actors' policies (pursued in their own self-interests without regard to others) automatically facilitate
the attainment of others' objectives. By his own admission, harmony can exist only in an idealized, unreal
world, where no one's actions damage anyone else.
In contrast, cooperation occurs when actors adjust their behavior to the actual or anticipated
preferences of others, through a process of policy coordination. With this argument Keohane
differentiates among cooperation, harmony and discord. If actors refuse to adjust their policies to each
others' objectives, the result is discord. That means that, discord should be treated as a situation in which
42
governments regard each others' policies as hindering the attainment of their goals, and hold each other
responsible for these constraints. Conflict ensues when one actor attempts but fails to convince the other
to change its policies. Unlike in harmony, where there is no conflict, cooperation "does not imply an
absence of conflict. On the contrary, it is typically mixed with conflict and reflects partially successful
efforts to overcome conflict, real or potential." (Ibid.)
The concept of international regimes not only enables us to describe patterns of cooperation, but
it also helps to account for both cooperation and discord. International regimes should not interpret as
elements of a new international order ‘beyond the nation state’. They are comprehended chiefly as
arrangements motivated by self-interest: as components of systems in which sovereignty remains a
constitutive principle.
To understand international cooperation, it is necessary to comprehend how institutions and rules
not only reflect, but also affect, the facts of world politics.
Institutions can increase cooperation even when no coercive power exists. Institutions may
increase iteration that is the number of interactions among units. This further encourages cooperation,
because the more actors are able to observe each other, the more they are able to assess the willingness
of the other to comply with cooperative agreements. In these ways, institutions are able to encourage
cooperation under anarchy, which may be considered as a Koehane’s answer to the point of his
traditional opponent Waltz when the latter says that: “in anarchy there is no automatic harmony” and for
which point Keohane says that it tell nothing definitive about the prospectus for cooperation.
Institutions for Keohane are recognized patterns of practice around which expectations converge
--- and these practice affect state behavior allowing for cooperation – further international regimes are
arrangements for policy coordination created by the fact of interdependence – they are made up of rules,
norms, principles, and decision-making procedures. (Ibid.)
Keohane argues that regimes exist and they can affect the likelihood of even "egoistic" nations to
cooperate. An international regime is "sets of implicit and explicit principles, norms, rules, and decisionmaking procedures around which actors’ expectations converge in a given area of international relations."
Obviously the concept of international regime is complex. Complexity came from the definition in
terms of four distinct components: principles, norms, rules and decision-making procedures. It is tempting
to select one of these levels of specifity- particularly principles and norms or rules and procedures-as the
defining characteristic of regimes. But, according to Keohane, such an approach creates a false
dichotomy between principles on the one hand and rules and procedures on the other.
6. CONCLUSION
International relations encompass the study of coercion and cooperation and international
institutions are one of the most important mechanisms through which coercion and cooperation occur.
The international institutions have become important actors in international relations in their own
right, transcending the sum of their parts. One only needs to look around today to see international
institutions at work. The North Atlantic Treaty Organization (NATO) provides for regional security.
Institutions like is the European Union (EU) helps bring regions together. International institutions help
govern our life. The World Trade Organization (WTO) helps govern our trade and economic cooperation.
Institutions like the Council of Europe and Organization for Security and Cooperation in Europe (OSCE)
promote democracy and human rights. Most of these institutions in fact have multiple functions that are
strategic, political, economic, etc. Together, all of these institutions and many thousands other
international organizations create a web of cooperation and collaboration that forms the foundation of
international relations.
43
REFERENCES
1. Finnemore, M. & Troope S. (2001) “Alternatives to ‘Legalization’:Richer Views of Law and
Polities.” International Organization 55 (3): 743–58.
2. Freedman, L. (1998) Strategic Coercion: Concepts and Cases. Oxford: Oxford University Press.
3. Frei, D. (1980) Evolving a Conceptual Framework of Inter-Systems Relations. New York:
UNITAR.
nd
4. George, A. & Simons, L. (1994) The Limits of Coercive Diplomacy. 2 ed, Boulder: CO,
Westview Press.
5. Goldmann, K. (1994) The Logic of Internationalism. London: Routledge.
6. Grieco, J. M. (1988), “Anarchy and the Limits of Cooperation: A Realist Critique of the Newest
Liberal Institutionalism”, International Organization 42: 485–507.
7. Griffiths, M., O'Callaghan, T. & Roach, S. (2008) International Relations: The Key Concepts. New
York: Routledge.
8. Keohane, R. O. (1984) After Hegemony: Cooperation and Discord in the World Political
Economy. Princeton, NJ: Princeton University Press.
9. Keohane, R. O. (1988) “International Institutions: Two Approaches”, International Studies
Quarterly 32: 379–96.
10. Keohane, R. O. and Nye, J. S. (1974) “Transgovernmental Relations and International
Organizations”, World Politics 27: 39–62.
11. Kratochwil, F. V. (1989) Rules, norms and decisions: On the conditions of practical and legal
reasoning in international relations and domestic affairs. Cambridge: Cambridge University Press.
12. Lebow, R. (2007) Coercion,Cooperation, and Ethics in International Relations. New York:
Routledge.
13. Leng, R. J., & Walker, S. G. (1982) “Comparing two studies of crisis bargaining: Confrontation,
coercion, and reciprocity”. Journal of Conflict Resolution, 26, 571–591.
14. Morgan, P. (2007) “Security in International Politics: Traditional Approaches”, A. Collins (ed.),
Contemporary Security Studies, Oxford: Oxford University Press.
15. Nygren, B. (1980) “The development of cooperation between the Soviet Union and three Western
Great Powers, 1950–75”, Cooperation and Conflict 15, 3:117–40.
16. Pape R. (1996) Bombing to Win: Air Power and Coercion in War, Ithaca, NY: Cornell University
Press.
17. Political Community and the North Atlantic Area (Princeton, NJ, 1957)
18. Rhodes, E., 1989. Rational deterrence and irrational responses: The logic of nuclear coercion.
New York: Columbia University Press.
19. Richardson, J. L. (994) Crisis diplomacy: The great powers since the mid-nineteenth century.
New York: Cambridge University Press.
20. Salmon, T. C., & Imber, M. (2008) Issues in International Relations, Second edition. New York:
Routledge.
21. Walt, S.M. (1997) “Why Alliances Endure or Collapse”, Survival, 39 (1): 156–79.
22. Zacher, M.W. (1992) “The decaying pillars of the Westphalian temple: implications for
international order and governance”, in J.N.Rosenau and E.O.Czempiel (eds) Governance
without Government: Order and Change in World Politics, Cambridge: Cambridge University
Press.
44
TÜRKİYE TÜRKÇESİNDE KÖK MESELESİ
Necmeddin AYDIN
Uluslar arası Atatürk Ala-Too Üniversitesi, Türk Dili Okutmanı
Türkçe (Türkiye Türkçesi) yapısına göre eklemeli (sondan eklemeli); kökenine göre ise Ural-Altay
dil birliğinin Altay koluna bağlı bir dildir. Türkiye Türkçesi yüz yıllardan beri devamlı gelişerek kendisini
sürekli yenilemiş, canlılığını ve devamlılığını günümüze kadar sürdürebilmiş büyük bir dildir.
Bilindiği gibi eklemeli diller, kelime köklerini sabit tutup birbirinden farklı görevleri bulunan yapım
ve çekim eklerini, değişmeyen sabit köklere ekleyen dillerdir. Türkiye Türkçesi de sondan eklemeli bir dil
olması hasebiyle yeni kelime türetimine elverişli tipik bir dil özelliği taşır. Güvercin+ler+in
yaş+a+y+ış+lar+ı+n+ı ince+le+y+in+iz, bul+a+bil+dik+ler+i+niz+i yaz+ın+ız örneğinde olduğu gibi.
Türkçenin bir başka yapı özelliği de, dildeki tüm değişme ve gelişmelerin kök ek birleşmesine
dayanıyor olmasıdır. Diğer sondan eklemeli dillerde olduğu gibi Türkçede de kök kelimelere eklerin belirli
kurallar çerçevesinde eklenmesiyle binlerce yeni kelime türetilmiş ve bunlar Türkçenin söz varlığını
oluşturmuştur.
Türkçede kelimelerin kök yapısına girmeden önce birkaç cümleyle Türkçede kelime yapısının
nasıl olduğuna kısaca değinelim:
Türkçe kelimelerin bir dış bir de iç yapıları vardır (Korkmaz, 2007:7-9). Kelimelerin dış yapıları
onları oluşturan ses yapıları, iç yapıları da şekil yapılarıdır. Bir kelimenin ses yapısı, kendisini oluşturan
seslerin birbiriyle ilişkisi açısından gösterdiği özelliktir. Kelimeler ses yapıları ile kulağa hitap ederek
duyulmayı sağlarlar. Kelimelerin ses yapıları, birtakım ses gruplarına dayanır. Bunlar ya tek bir sesten ya
da birden fazla sesin bir araya gelmesiyle oluşmuş ses gruplarıdır. Kelimeyi oluşturan ses grupları
arasında bir bütünlük, bir uyum vardır.
Türkçe kelimeler, kendilerini oluşturan ses toplulukları (grupları) açısından incelendiğinde, bunların
ya “o, o çocuk, o kızcağız” örneklerinde yer alan “o” zamiri veya sıfatı gibi tek bir sesten, ya “aç, iç, dağ,
dev, gök, alt, üst, yurt” kelimelerinde olduğu gibi birden fazla sesi içine alan tek bir ses topluluğundan
ya da “baş-lık, can-lı, ka-rın-ca, ke-le-bek, yal-nız-lık, ya-ban” gibi birden çok ses topluluklarından
oluştuğu görülmektedir.
Türkçede tek bir sesten oluşan kelime sayısı çok azdır. Buna karşılık bir kelimenin içinde yer alıp
da tek bir sese dayanan hece sayısı hiç de az değildir. Bu tür (heceler) ses birlikleri ünlülere dayanır. Yani
bir ünlü tek başına bir ses birliği, bir hece oluşturabilir: “a-na, a- lan, e-kin, e-lek, ı-lık, i-yi, o-muz, o-tuz,
ö-bek, u-cuz, ü-çüz” gibi. Bu örneklerde de görüldüğü üzere, Türkiye Türkçesinde tek sesli (tek heceli)
birlikler yalnız kelime başında ve ünlü ile başlayan sözlerde görülmektedir.
Ünsüzler ise, boğumlanma özellikleri bakımından, yalnız başlarına ses toplulukları yani heceler
oluşturamadıkları için, kelime içinde ünlü ve ünsüzlerin birleşmesinden oluşmuş ses toplulukları hâlinde
yer alırlar: “baş-lan-gıç, gö-rü-len, ko-lay-lık, yay-gın-laş-ma” gibi. Böylece, her kelime yalın veya
birbiriyle kaynaşmış seslere dayanan hecelerin oluşturduğu bir ses topluluğuna dönüşür.
Türkçe kelimelerin iç yapıları dediğimiz şekil yapılarının içerisinde ise anlamlı öğeler ile görevli
öğeler yer almaktadır. Kelimelerde yer alan anlamlı öğeler kökler, görevli öğeler ise eklerdir. Kökler,
kelime içinde anlamlı öğeler olarak yalnız başlarına da kullanılabilirler. Bu sebeple kökler dilin bağımsız
şekil birimlerini oluştururlar. Ekler ise, yalnız başlarına kullanılamazlar. Bu sebeple dilin bağımlı birimleridir.
Ancak ekler, köklerle birleşerek yukarıda da belirtildiği gibi yeni kelime türetip yeni bir kavramları
karşılayabilirler.
Bu yolla türetilen kelimenin son hali ile kendisinden türetilen kelime kökü, büyük önem
kazanmaktadır. Türetilen kelimenin hangi kelimeden ya da kaynağında, temelinde hangi kökün bulunduğu
45
daima büyük önem taşımaktadır. Çünkü yeni kelimenin tam manasıyla doğru olarak kavranabilmesi ve
anlaşılabilmesi ya da karşıladığı kavramın tam anlaşılabilmesi için kökünün doğru tespit edilmesi esastır.
Kökler aynı zamanda bizleri dilin kökenine, geçmişine de götürdüğünden ayrıca bir öneme sahiptir.
Öyleyse kök dediğimiz şey nedir? Nasıl bir öneme sahiptir? Kökün kelimenin bütünü içerisindeki
yeri nedir?
Kök, bir sözcüğün yapısında yer alan bütün ekler çıkarıldıktan sonra, daha küçük parçalara
ayrılamayan ve kelimenin temel anlamını taşıyan, sözcüğün en küçük parçasıdır. Buna göre kök, bir
kelimenin yapısında yer alan anlamlı en küçük dil birimi olarak da tanımlanabilir (Korkmaz, 2007:9). Yani
sözcükte bulunan tüm ekleri (çekim eklerini ve yapım eklerini) çıkardığımızda geriye kalan kısım o
sözcüğün köküdür. Kök olarak tespit edilen sözcük ile sözcüğün bütünü arasında mutlaka bir anlam ilgisi,
bağlantısı olmalıdır. Aksi takdirde bulunan kök ilgili sözcüğe ait değildir.
Örneğin “kumsallarda” sözcüğünde kök “kum”, “-sal” yapım eki, “-lar” ve “-da” ise çekim ekidir.
Aynı şekilde “yaşlılık” sözcüğünün kökü “yaş”, “-lı” ve “-lık” ekleri de yapım ekidir. Ekler çıkarıldığında
geride kök kalmaktadır.
“Okul” kelimesinin kökü, “oku- (okumak)” fiilidir. Fakat bu kelimede “ok” kısmı da bir anlam taşır.
Ama “okul” ile “ok” arasında bir ilgi, ilişki yoktur.
“Balıkçılar” sözcüğünün kökü “bal” değil “balık”tır. Çünkü “bal” ile “balıkçılar” sözcüğü arasında da
bir anlam ilişkisi bulunmamaktadır.
Türkçede kökler genelde tek heceden oluşmaktadır, ancak hece sayısı birden fazla olan kökler de
bulunmaktadır. Bu bağlamda Türkiye Türkçesindeki kökleri genel itibariyle şu üç grupta toplayabiliriz:
1. Tek heceli kökler: Türkiye Türkçesinde kökler, ister o ( < E T o l ) z a m i r i n d e görüldüğü
1
gibi nadiren de olsa tek bir sesten, ister birkaç sesin birleşmesinden oluşmuş olsun, genellikle tek
hecelidir: el, ev, iç, ok, ön, av, su, diş, baş, bel, bal, can, göz, söz, dost, aç-, at-, bil-, gel-, say-, tut-, kes–,
gör–, yak–, sev– vb. Zeynep Korkmaz’ın da belirttiği gibi bunların hece yapıları da sesler bakımından şu
şekilde sıralanmaktadır:
a)
b)
c)
d)
e)
f)
Ünlü (V): o,
ünlü+ünsüz (V+K) : al, at, el, ok. ot; aç-, al-, at-, ek- gibi;
ünsüz+ünlü (K+V): bu, su, şu; de-, ye-, yu- gibi;
ünsüz+ünlü+ünsüz (K+V+K): baş, bel, gök; bak-, tüt-, yut- gibi;
ünlü+ünsüz+ünsüz (V+K+K): alt, sırt, üst; art-, ört-, yırt- gibi;
ünsüz+ünlü+ünsüz+ünsüz (K+V+K+K): berk, borç, erk, kürk; çarp-, kalk-, kork-, kırp-, serpgibi.
2. İki heceli kökler: Türkiye Türkçesinde ana, ata, ayak, bağır, damga, deniz, elma, güven,
çiçek, ağaç, gölge, kadın, çocuk, çirkin, demir, temiz, hasta, şeker, kulak, vatan, işit–, oku–, yürü-, ağladiren-, getir-, ilet-, işit-, otur-, öğren- misallerinde de görüldüğü üzere iki heceli kökler bulunmakla birlikte
bunların sayısı tek heceli kökler kadar değildir.
3. Üç heceli kökler: Türkiye Türkçesinde üç ve daha fazla heceli kök sayısı oldukça az sayıda
bulunmaktadır. Örneğin pencere, kelebek, karınca, araba gibi kelimeler üç heceli kök yapısındadırlar.
Baskakov ve İmer, tek bir ünlüden oluşan kökün varlığını kabul etmezler. Atalay, Türkçeyi Sümerce ile
karşılaştırarak (Türkçede Ekler ve Kökler Üzerine Bir Deneme, s.9) ve Menges (The Turkic Languages and Peoples:
an Introduction toTurkic Studies, s. 158) ET u- " muktedir olmak, yeterli olmak" ve ö- “anlamak, bilmek" gibi
örneklere dayanarak, eğer bir kelime tek bir ünlüden oluşmuşsa, tek sesli bir kökün bulunabileceğine işaret
etmektedir, görüşünü savunurlar. Bu konudaki açıklamalar için İmer, Türkiye Türkçesinde Kökler, s.32 / 1’ e bakınız
1
46
Türkiye Türkçesindeki köklerin genelde tek heceli olduğunu belirtmiştik. Ancak yukarıda
görüldüğü gibi birden fazla heceli kökler de bulunmaktadır. Fakat bunların sayısı çok azdır. Birden çok
heceli kökler dilin eski dönemlerine götürüldüklerinde getir- ( < kel-tür-), güven (<güv+e-n), ilet- (<il+e-t-),
otur-(<ol-tur-) örneklerinde görüldüğü gibi tek heceli şekillere indirgenebilirler. Böyle birden fazla heceli
kelimelerin kök yapıları zamanla ya unutulmuş ya da değişikliğe uğramış olduğundan, bunları bugün tek
heceli yalın köklere indirgemek mümkün değildir (Korkmaz, 2007:10). Çünkü, bunlar yalın biçimleriyle
artık kullanımdan kalkmış ve kaybolmuştur. Bu nedenle bunlar da birden fazla heceli yapılarıyla birer kök
kelime olarak kabul edilmektedir.
Türkçede bağ ( < ba-g ) , göz ( < kö-z), koy-(< ko-d-) gör- ( < kö-r-), yan- ( < ya-n-), yak- (ya-k - )
gibi tek heceden oluşmuş, az sayıda türetme sonucu oluşan kalıplaşmış kökler bulunsa da, bu türlü
2
kalıplaşmış köklerin çoğu iki hecelidir. Ki bazı dil bilimciler bunları “türemiş kök” diye adlandırmaktadır.
Bu nitelikteki kaynaşmış köklerin ses yapıları da birbirinden farklı özellikler taşımaktadır. Örneğin “ana,
ata, oku-” kökleri ünlü+ünsüz+ünlü yapısında iken “ayak, ilet-, otur-” kökleri ünlü+ünsüz+ünlü+ünsüz;
“yürü-” ünsüz+ünlü+ünsüz+ünlü; “bağır-, getir-, güven-, diren-” gibi kökler ünsüz+ ünlü+
ünsüz+ünlü+ünsüz; “gündüz, yıldız” gibi kökler ise ünsüz+ünlü+ünsüz+ünsüz+ ünlü+ ünsüz ses
yapılarındadır.
Türkçe kök kelimelerdeki bu tür ses yapılarının, Z. Korkmazın da belirttiği gibi Türkçenin seslendirme üslûbu ile ilgili bir sistem özelliğinden kaynaklandığı kanaatindeyiz. Türkçedeki bu özelliğin de bu
açıdan ayrıca ele alınarak araştırılması gerektiği düşüncesindeyiz.
Genel itibariyle Türkçede kökleri, sözcük türü ya da anlamları (Korkmaz, 2007:12-14) bakımından
“İsim (Ad) Kökleri” ve “Fiil (Eylem) Kökleri” diye iki ana grupta toplayabiliriz. Bu iki ana gruba oluşumları
sebebiyle üçüncü olarak “yansıma kökleri” de dahil edebiliriz.
Türkiye Türkçesinde oluşumlarından dolayı farklılık arz eden bir kök yapısı daha var ki onu da
“sesteş (eşsesli) kökler” adı altında ele alabiliriz.
1. İsim (Ad) Kökleri
Varlıkları, kavramları, niteliği, ilgiyi veya duyguları karşılayan isim (ad) soylu sözcüklerdir. Başka
bir ifadeyle evrende var olan canlı cansız bütün varlık ve nesnelerle, zihinde var olan soyut kavramları,
bunların nitelik ve özelliklerini çok yönlü olarak karşılayan ve onlara ad olan sözlerdir. Örnek: ak, ara, aş,
baş, beş, bel, boy, dağ, dal, dip, diz, ev, göç, göl, göz, iç, in, kaş, kol, on, ön, tepe, yan, yön, yüz v.b.
İsim kökleri cümle içinde isim, zamir, zarf, sıfat, edat, bağlaç ve ünlem göreviyle kullanılabilir.İsim
kökleri dört çeşittir:
a) Varlık kökleri : Çöl, yol, sıra, ev, şeker, diş, çiçek, demir, yas, kin v.b.
b) Nitelik (sıfat) kökleri : İyi, güzel, kötü v.b.
c) Duygu kökleri : Ah, vah, tüh, ey v.b.
d) İlgi kökleri : Ben, sen, o, ile, için v.b.
Türkçede isim kökleri, “karınca, kelebek, araba” örneklerinde de görüldüğü üzere en fazla üç
heceden (ses birliğinden) oluşur.
“şeker” → şeker–mek, “çiçek” → çiçek–mek, “ağaç” → ağaç–mak örneklerinde olduğu
gibi isim (Ad) köklerine hiçbir şekilde “–mak, –mek” mastar ekini getiremeyiz, ekleyemeyiz.
İmer, Türkiye Türkçesinde Kökler adlı eserinde (s.17) bunları "Türemiş kökler" diye adlandırmıştır ki, bizce de
uygun bir terimdir. Yalnız türemiş kök ile gövde 'yi birbirine karıştırmamak gerekir. Çünkü, gövdeler kök+ek
öğelerine ayrılabildikleri hâlde, türemiş kökler ayrılamazlar. Türemiş kökler yalın kök niteliğinde olduklarından,
böyle bir ayırımda kök anlamsız kalır.
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2. Fiil Kökleri
Fiil kökleri hareketleri, işleri anlatan, hareket anlamı taşıyan kökler, sözcüklerdir. Başka bir
ifadeyle varlık, nesne ve kavramların zaman ve mekân içinde gerçekleştirdikleri hareketleri, yani onlardaki
oluş, kılış ve durumları karşılayan sözlerdir. Bir kelimenin kökünün fiil olup olmadığını anlamak için
kelimeye ya tüm çekim ve yapım ekleri atıldıktan sonra mastar eki getiririz ki eğer bu eki alıyorsa
kesinlikle fiildir. Ya da bir kelime kip ve şahıs eki alıyorsa yine bu kelime de fiil köklüdür deriz.
Örneğin aç-, al-, es-, eğ-, iç-, in-, ol-, üz–, ye-, bil-, böl-, çak-, dal-, del-, dür-, düş-, gel-, git-, kal-,
kok–, koş- yaz-, yar-, sus–, sev–, süz-, kaç–, ver-,çalış–, kork–, çürü–, işit–, ört–,say-,sön-, otur-, uyu-,
üşen-, yürü- vb.
Fiil köklerine, “sev–” → sev–mek, “dök–” → dök–mek, “vur–” → vur–mak
olduğu gibi isim köklerinin aksine “–mak, –mek” mastar ekini getirebiliriz.
örneklerinde de
Fiil köklerini isim (ad) kökleri gibi tek başına yazıp söyleyemeyiz. Mastar durumundaki fiil
köklerinin sonuna ya kısa çizgi (–) konulur ya da “–mak, –mek” mastar eki getirilir. Fiilin sonuna konan
kısa çizgi (–), “mak, mek” diye okunur.
Örneğin “yırt–” (okunuşu: “yırtmak”), “çürü–” (okunuşu: “çürümek”) gibi.
Fiil köklerini tek başına yazarsak, emir kipinin 2. tekil şahsıyla (kişisiyle) çekimlemiş oluruz.
Örneğin “sus” → “Sen sus.” anlamına gelir. “çık” → “Sen çık.” anlamına gelir.
Ad kökleri ile fiil kökleri arasındaki önemli nitelik farklarından biri de (Korkmaz, 2007:13): Ad
kökleri, dilin kendi başlarına var olan bağımsız durumdaki öğeleridir. Hareketleri karşılayan fiil kökleri ise,
bağımsız değildir. Gerçekleşmeleri nesnelere bağlı olan dil öğeleridir. Bunların nesnelere bağımlı olmaları
onları nesnelerin ortak öğeleri durumuna getirmiştir. Bu da bize, nesnelerin hareketlerinde bir ortaklığın
söz konusu olduğunu göstermektedir. Birçok nesne aynı hareketi yapabilir. Dolayısıyla, bir hareket kendi
kapsamı içine birçok varlık ve nesneyi alabilir. Bu nedenle nesnelerde somutluk, hareketlerde ise soyutluk
vardır. Yani, nesneler belirli, hareketler ise belirsizdir. Bu yüzden de hareketler kendilerini ancak
nesnelere bağlı olarak ortaya koyabilirler. Bu nitelik farkı dolayısıyla ad kökleri birer tek varlık, nesne veya
kavramı karşıladığı hâlde, fiil kökleri birçok varlık, nesne ve kavram arasında ortak hale gelen soyut
hareketleri karşılar. Fiil köklerinin somutlaşarak belirli bir harekete karşılık olabilmeleri için bir varlığa, bir
3
nesneye bağlanmaları gerekmektedir.
3. Yansıma Kökler
Doğadaki sesleri yansıtan isim (ad) soylu sözcüklerdir. Yansıma sözcükler, dildeki sesleri
kullanarak doğadaki sesleri taklit etmek amacıyla yapılmıştır. Yansıma kökler, ad soylu sözcükler olduğu
için “ad kökü” olarak kabul edilir. Örneğin “melemek” fiilindeki “me” yansıma kök olup ad köküdür,
“havlamak” fiilindeki “hav” yansıma kök olup ad köküdür, “vızıltı” sözcüğündeki “vız” yansıma kök olup ad
köküdür, “cızırtı” sözcüğündeki “cız” yansıma kök olup ad köküdür.
Yansıma köklerdeki hece ve ses sayısı dikkate alındığında ses yansımalı kelimelerin bir istisna
oluşturduklarını da belirtmek gerekir (Korkmaz, 2007:11). Çünkü bunlar doğadaki sesleri taklit yolu ile
oluştuklarından kökteki hece sayısı, taklit edilen sese bağlı olarak birden fazlaya da çıkabilir. Örneğin
gümbür - gümbürtü, gürül - gürültü, şakır - şakırtı, inil - inilti, gürül- gürültü - gürüldemek, fıkır fıkır fıkırdamak, fıs – fısıl - fısıltı – fısıldamak, şır – şırıltı – şırıldamak, çatır – çatırtı - çatırdamak, pat –
patlamak - patırdamak, çın - çınlama, hır – hırıltı - hırıldamak, şangır – şangırtı - şangırdamak, gıcır –
gıcırtı - gıcırdamak, fokur – fokur - fokurdamak, tü - tükürmek gibi.
Adlar ile fiiller arasındaki nitelik ayrılığını belirtmek için gramerin kök-ek ayrımında, ad kökleri sonuna (+), fiil
kökleri sonuna da (-) işareti konur.
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48
Bu sebepledir ki yansımaların yapıları incelenirken birincil kök, ikincil kök ve türev olarak farklı bir
yaklaşım sergilenir.
Yansıma kökler “–Ir, -Il” ekleriyle ikincil yansıma birimlerini oluşturur ki kimilerine göre bu ikincil
biçimler de köktür. Ancak bu ekler olmazsa bazı yansıma kelimelerde türeme olmaz. Bu da bu kelimelerin
kullanım darlığına sebebiyet verebilir. Örneğin; şır-ıl, şar-ıl, hor-ul, gür-ül; çat-ır, pat-ır gibi sözcükler
yansıma kökünden ikincil biçimler oluşturmuştur. Yine çın-la-, tıs-la-; fış-kır-, tü-kür-; hor-ul-da-, fır-ıl-daörneklerinde de görüldüğü gibi “-la, -da, -kır” gibi ekler yansıma köklerine ya direk (doğrudan) ya da
ikincil biçimlere bağlanarak yeni yapı meydana getiren eklerdir.
Sesteş (Eşsesli) Kökler
Yazılışları ve okunuşları aynı olmakla birlikte anlamları farklı olan köklerdir. Sesteş kökler arasında
en ufak bir anlam ilgisi yoktur. Aşağıdaki örneklerde de görüldüğü gibi isim ve fiil olan kelimelerin kökleri
aynı kök olmakla birlikte anlamları farklıdır. Bu şekilde eşsesliliğe dayanan sözler arasında hiçbir köken
yakınlığı yoktur. Çünkü bunlar yapı ve anlam bakımından birbirleriyle ilişkisiz olan sözlerdir.
kök
“gül” →
“kır” →
“kaz” →
“büyü” →
“kan” →
“taş” →
“var” →
art
boz
yaz
yüz
Ad
gül: “çiçek, bitki”
kır: “şehir dışında kalan boş ve geniş yer”
kaz: “suda ve karada yaşayan, uçabilen kuş türü”
büyü: “sihir”
kan: “damarlarımızdaki kırmızı sıvı”
taş: “sert, katı madde”
var: “mevcut, bulunan”
art "arka"
boz "boz renk"
yaz "yaz mevsimi"
yüz "çehre, yüz"
Fiil
gül–: “gülümsemek”
kır–: “parçalamak”
kaz–: “toprağı eşmek”
büyü–:“irileşmek, gelişmek”
kan–:“inanmak, aldanmak”
taş–: “sıvı maddelerin taşması”
var–: “ulaşmak, erişmek”
art- "artmak, çoğalmak"
boz-,
yaz- "yaymak, sermek, sıralamak"
yüz- "yüzmek"
Nesne ve hareketler arasındaki nitelik farkı dolayısıyla ad ve fiil köklerinin de birbirinden farklı
özellikleri bulunduğunu belirtmiştik. İşte bu nitelik farkı dolayısıyla, eş ses yapısındaki bir kök hem ad hem
de fiil kökü olamıyor. Gerçi bugün Türkiye Türkçesi’nde şekil olarak aralarında belirgin anlam ilgisi de
bulunan hem ad hem de fiil kökü durumunda eş sesli bazı sözler vardır: acı ( < açı-g) / acı-, ağrı / ağrı-,
arı / arı-, boya / boya-, damla / damla-, ekşi / ekşi-, göç / göç-, kuru / kuru-, sancı / sancı-, sası / sası-,
yama / yama-, eski / eski–, sıva / sıva– gibi. Ancak, bunların Eski Türkçe döneminden günümüze ve
Türkiye Türkçesine uzanan tarihî değişme ve gelişme süreçleri incelendiğinde, aslında bunların önce bir
fiil kök veya gövdesine dayandıkları görülür. Daha sonra fiil kök ve gövdelerinden birer ad türetilmiş ve ad
yapısındaki kelimelerin uğradığı ses değişmeleri ile ad türeten ekler de eriyip kaybolduğu için fiil kök veya
gövdesi ile ad kökü veya gövdesi aynı ses kalıbında birleşmiştir: Örneğin açı- / açı-g > acı; agrı- / agrı-g >
ağrı, boya- / boya-g > boya, ekşi- / ekşi-g > eksi, tat- / tat-ıg > tat "lezzet", toku- > doku- / toku-g > doku,
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sançı- / sanç-ıg > sancı gibi.
Sonuç olarak denebilir ki, anlamca koşut eş sesli iki kelime aynı zamanda hem ad hem de fiil kökü
olamaz. Bunlar ayrı iki kök olarak ele alınmalıdır. Öncelik de fiil kökündedir. Ad kökleri daha sonraki bir
aşamanın ürünü durumundadır. Bu gelişme, aşağıda üzerinde duracağımız güve-n- / güve-n, ina-n- > inan, tam+la- > damla- / damla gibi ad ve fiil gövdeleri için de söz konusudur.
Bu konuda Hatiboğlu'nun "Türkçenin Yapısı ve İkili Kökler" başlıklı yazısında yer alan ad köklerinin öncelikli
olduğu ve fiil köklerinin ad köklerinden çıktığı yolundaki görüş yanlıştır. Bu görüşün eleştirisi için Tekin'in,
"Türkçenin Yapısı ve Eşsesli İsim-Fiil Kökleri'' adlı yazısına (s.1-1 l) bk.
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49
Türkiye Türkçesi sondan eklemeli bir dil olmasından dolayı, ad ve fiil köklerine getirilen yapım
ekleriyle kurulan yeni anlamdaki kelimeler, ad ve fiil gövdelerini oluşturmaktadır. Örneğin ay+lık, baş+ak,
göz+cü, tat+lı, tat+sız, al-ıntı, bak-ıcı, sev-inç birer ad gövdesi; ac+ık-, boş+a-, göğ+er-, öz+le-, bak-ıt-,
işle-t-, kız-dır-, sin-dir- fiilleri de birer fiil gövdesidir.
İş, iş+çi, iş+çi+lik, iş+li, iş+siz, iş+le-, iş+le-k, iş+le-m, iş+le-v, iş+le-y-iş, iş+le-t-, iş+le-t-me, iş+le-t5
me+ci örneklerinde görüldüğü üzere, gövdeler aynı köke farklı yapım ekleri getirilerek bir kelime ailesi
oluşturacak biçimde de türetilebilir. Kelime gövdeleri, böyle değişik nitelik ve görevde yapım ekleriyle
kurulmuş olduklarından köklerden daha kapsamlı dil birimleridir. Hatta bu gövdeler gör-üş-tür-ül-mek,
iş+le-t-me+ci+lik, yak+ın+lık örneklerindeki gibi belirli birleşme kuralları çerçevesinde üst üste getirilmiş
yapım ekleri de alabilirler. Yukarıda da geçtiği gibi bu gövdelerin bir kısmı kök olarak kabul edildiğinden
birden fazla heceli kök yapıları da doğmuştur.
Sonuç olarak Türkçede temelde isim ve fiil köklerinin tek heceli ve altı şekilli (V, V+K, K+V, K+V+K,
V+K+K, K+V+K+K) olduğu görülmektedir. Aynı zamanda çokça örneğini de gördüğümüz birden fazla
heceli esasında gövde olduğunu da öne çıkardığımız köklerin varlığından da söz edebiliriz.
Ad ve eylem köklerinin dışında yansıma kökler olarak ayrı bir başlıkta incelediğimiz kökler hem ad
hem de eylem oluşumuna müsait köklerdir. Türkçede yansıma kökten yansıma ad, yansıma kökten
6
yansıma eylem türeten ve salt işi bu olan ekler mevcuttur. Bu sebeple canlı bir kök türü olduğuna
inandığımız yansımalar ayrı başlık olarak ele alınmıştır. Ayrıca ad köklerin bağımsız kullanım özelliği
olduğu ve aynı şekilde eylem köklerinin kullanıma girmesi için şekillenmesi gerektiği de özellikle
vurgulanmıştır.
FAYDALANILAN KAYNAKLAR
1. Atalay, B.; Türk Dilinde Ekler ve Kökler Üzerine Bir Deneme, TDK, İstanbul, 1942.
2. Baskakov, N. A. ; “Türk Dillerinin Tarihi-Tipolojik Biçimbilgisi", M.,1979.
3. Hatiboğlu, V.; Türkçenin Yapısı ve İkili Kökler, Türk Dili, Ankara, 1970.
4. İmer, K.; Türkiye Türkçesinde Kökler, TDK Yayınları, Ankara, 1976.
5. Kononov, A.N.; Grammatika Sovremennogo Turetskogo Literaturnogo Yazıka (Çağdaş Türk
Edebî Dilinin Grameri), Moskova-Leningrad, 1956.
6. Korkmaz, Z.; Türkiye Türkçesi Grameri, Şekil Bilgisi (Giriş), TDK Yayınları, Ankara, 2007.
7. Menges, K. H.; The Turkic Languages and Peoples: an Introduction toTurkic Studies, 2nd,
revised edition, VSUA, Band 42, Wiesbaden, 1995.
8. Tekin, T.; Türkçenin Yapısı ve Eşsesli İsim-Fiil Kökleri", Türkoloji Eleştirileri, Ankara, 1997.
Kelime ailesi; aynı köke farklı türde yapım ekleri getirilerek oluşturulan yeni kelimelerin meydana getirdiği kelime
grubuna verilen addır. Bu konuda Z. Korkmaz’ın Türkiye Türkçesi Grameri, Şekilbilgisi, Ankara-2007, s.14’e bk.
6
Canlı kök; kendisinden yapım ekleri yardımıyla yeni kelimeler türetilebilen işlevsel köklerdir.
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50
MERKEZ BANKALARININ ALTIN PİYASASINDAKİ ROLÜ ÜZERİNE BİR DEĞERLENDİRME
Metin DUYAR
Yrd.Doç.Dr. , Nevşehir Üniversitesi, İ.İ.B.F. İktisat Bölümü.
ÖZET
İnsanlık tarihinin önemli bir bölümünde bilinen ve kullanılan altın, yüzyıllardır değer saklama aracı
olarak kullanılması yanında, üretim miktarının talebe göre sınırlı, arzı fiyat değişimlerine karşı hemen cevap
veremeyen, yerini dolduracak başka bir malzemenin bulunmaması nedeni ile kıymetli bir madendir. Dünya
para tarihinde önemli bir yere sahip olan altın, M.Ö. 600 yılından 21. yüzyıla kadar merkezi bir para birimi
olarak kullanılmıştır. 1870 – 1930 yılları arasında Altın Para Sistemi’nde başlı başına sistemin temelini
oluştururken, 1944 – 1973 yılları arasında Bretton Woods sisteminde de dolara karşılık saklama aracı olarak
işlem görmüştür.
Altın parasal role sahip bir emtia olarak da uzun yıllar boyunca merkez bankalarının rezervlerinde
tutulmuştur. Altın öncelikle kredi riski olmayan güvenli bir varlıktır. İkinci olarak ise altından ve diğer
enstrümanlardan elde edilen getiriler arasında negatif bir korelasyon söz konusu olup, merkez bankalarının
rezerv portföylerini altınla çeşitlendirmeleri portföyden doğacak kayıp riskini azaltmaktadır. Altın reel değerini
ve stabilitesini uzun vade de korumuştur.
Anahtar Kelimeler: Altın, Merkez Bankası, Altın Rezervleri, Ödünç İşlemleri, IMF, Risk.
ABSTRACT
An Evaluation of Role of Central Banks in Gold Market
Gold, which is known and used for a considerable time in human history, besides its usage as a store
of value, is a precious metal because its supply can not respond the changes in its demand, no other
material could be found to replace it and its limited production in comparison with its demand. Gold, which
has a strong position in history of global currency, is used as a comman curreny from 600 BC to 21th
century. Gold, between 1870 and 1930 functioned as the essence of monetary system and between 1944
and 1973 functioned as a reserv against dollar.
Gold is kept in central banks reserves for years as a commodity which has a curreny role. First of all,
gold is an asset which doesn't have a credit risk. Secondly, central banks reduce risks by adding gold into
their portfolios because there is a negative correlation between gold's and other assets' returns. Gold
protects its real value and stability over the long period.
Key Words: Gold, central banks, precious metal, risks.
1- Altının Önemi
Soy metallerin 1B grubunda yer alan Altın’ın özellikleri arasında, korozyon direnci, sülfürlenmeye ve
oksitlenmeye karşı direnç, iyonlaşma, diğer metallerle kolay alaşım yapabilme, yüksek elektrik ve ısı
iletkenliği sayılabilir. Parlak sarı, yoğun, havadan, sudan etkilenmeyen ve ticari değeri çok yüksek olan altın
yerkabuğunda ortalama olarak 0.0035 gr/ton bulunmaktadır. Altın madenlerinin günümüz şartlarında karlı
olarak işletilebilmesi için cevher içerisinde 1 gr/ton oranında altın cevheri bulunması gerekmektedir. Bu
nedenle işletilebilir bir altın yatağının yerkabuğu ortalamasının 300 katından daha fazla oranda altın içermesi
gerekliliği ortaya çıkmaktadır.
Kuzey Amerika, Urallar, Güney Afrika ve Avustralya’da bulunan altın madenlerinden başka,
dünyanın üçte ikisini oluşturan deniz ve okyanuslarda da çok önemli miktarda altın bulunmaktadır. Ancak
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bugüne kadar yapılan geniş araştırmalara rağmen deniz suyundan altın çıkartmak için ucuz bir yöntem
bulunamamıştır.
İnsanlık tarihinin önemli bir bölümünde bilinen ve kullanılan altın, yüzyıllardır değer saklama aracı
olarak kullanılması yanında, üretim miktarının talebe göre sınırlı, arzı fiyat değişimlerine karşı hemen cevap
veremeyen, yerini dolduracak başka bir malzemenin bulunmaması nedeni ile kıymetli bir madendir. Dünya
para tarihinde önemli bir yere sahip olan altın, M.Ö. 600 yılından 21. yüzyıla kadar merkezi bir para birimi
olarak kullanılmıştır. 1870 – 1930 yılları arasında Altın Para Sistemi’nde başlı başına sistemin temelini
oluştururken, 1944 – 1973 yılları arasında Bretton Woods sisteminde de dolara karşılık saklama aracı olarak
işlem görmüştür.
21. yüzyılda Avrupa, Amerika ve Asya’daki piyasalarda işlem gören ve bu piyasalar arasındaki saat
farkından dolayı yirmi dört saat kesintisiz işlem gören altın işlem hacminin yılda 300,000 tonu geçtiği tahmin
edilmekte olup, bu miktar dünya altın üretiminin yüz katı kadardır. Bu durum altını, 24 saat işlem görmesine
imkan sağlayan uluslararası bir emtia olma özelliğine kavuşturmaktadır.
Altın fiyatı çeşitli faktörlerden etkilenir: Jeopolitik ortam, ABD Dolarının diğer para birimleri
karşısındaki değeri, mücevher talebi başta olmak üzere altına gelen talep, Merkez Bankalarının altın
satışları ve alışları, dünyadaki ekonomik büyüme, diğer finansal piyasalar ve para arzı, petrol fiyatları, diğer
kıymetli madenlerin ve emtiaların fiyatları, madenlerden gerçekleştirilen altın üretimi ve altın üreticilerinin
hedging işlemleri,
gerginlikler ve bunun ekonomi üzerindeki etkileri, altının işlem gördüğü vadeli
piyasalardaki kısa ve uzun pozisyon miktarları, spekülatif amaçlı altın alım – satım işlemleri, altın madencilik
şirketlerinin altın çıkartma masrafları ve enflasyondur.
Fiyatının dalgalanabilir olmasına karşın altın, diğer mallara ve ara ürünlere karşı olan tarihi satın alma
gücü paritesine çok uzun sürelerde ulaşmaktadır. Zaman boyunca altın, etkili bir servet koruma aracı
olduğunu göstermiştir. Ekonomik ve sosyal dengesizlik zamanlarında diğer varlıklar değer yitirirken altın
güvenli bir emtia olarak kendini hep kanıtlamıştır.
2 - Merkez Bankalarının Altın Piyasasındaki Rolü
Altın parasal role de sahip bir emtia olarak uzun yıllar boyunca merkez bankalarının rezervlerinde
tutulmuştur. Altın öncelikle kredi riski olmayan güvenli bir varlık olması, ve yine altından ve diğer
enstrümanlardan elde edilen getiriler arasında negatif bir korelasyonun varlığı, merkez bankalarının rezerv
portföylerini altınla çeşitlendirmeleri portföyden sağlanacak getiri riskini azaltmaktadır. Altın reel değerini ve
stabilitesini uzun vade de korumuş bir emtiadır.
Merkez bankaları 100 yıldan fazla bir süredir büyük miktarda altın tutmaktadırlar ve gelecekte de
büyük altın stoklarını korumaları beklenmektedir. Merkez Bankaları halen yerüstü altın stoklarının yaklaşık %
20’sine sahiptirler. Geçtiğimiz on yılda değişen koşullara uyum sağlamak için rezerv portföylerinin yeniden
ayarlama sürecinin bazı merkez bankalarının tuttukları altın miktarında bir düşüşe yol açtığı bilinmektedir. Bu
sürecin gelecek birkaç yılda da devam edeceği söylenmektedir.
Merkez bankaları, 1880’lerden (klasik altın standartı döneminden) beri altın stoklarını artırmaya
başlamışlardır. Bilindiği gibi bu sistemde altın standardını uygulayan ülkeler için tedavüldeki paranın miktarı
ülkenin altın stoğuna bağlıdır ve kağıt para altına, sabit bir fiyattan dönüştürülmektedir. Bankacılık ve kredi
sisteminin gelişimi, tedavüldeki paranın altın stoğundan daha büyük olduğu anlamına gelmiş, ancak
herkesin konvertibiliteye yeterli güveni olduğundan bu opsiyonun fiilen uygulanma tehlikesi olmamıştır.
2.1 - Resmi Altın Stoklarındaki Artış
İki dünya savaşı arasındaki ekonomik milliyetçilik dönemi, resmi altın stoklarını arttırmıştır. Bu
döneme kadar altının çoğu, özel olarak tutulmakta, vatandaşlar arasında ve ticari alım satım işlemlerinde
sınırlar arasında para olarak dolaşmaktadır. 1’inci Dünya Savaşı öncesindeki uluslararası parasal sistemin
temeli olmuş olan altın, ekonomik bir silah olarak kullanılmaya başlanmıştır.
52
1934 yılında Başkan Roosevelt doları altın cinsinden devalüe etmiş (değerini düşürmüş), altın fiyatını
ons başına 20.67 ABD Dolarından 35 ABD Dolarına yükseltmiştir. Bu yeni resmi fiyat, başlangıçta altını aşırı
değerlemiş ve dünyada altın tutanların varlıklarını Amerika Birleşik Devletlerine satmalarına yol açmıştır.
ABD’nin resmi altın varlıkları 1925 yılında 6,000 tondan, II’inci Dünya Savaşı sonunda 18,000 tona
yükselmiş olup, ülke tüm resmi stoklarının % 65’ini altında tutmaya başlamıştır (Junz & Martell, 2006:12).
1960’lı yıllarda zirve seviyesinde, ABD’nin resmi altın stokları yaklaşık 38,000 tona ulaşmış ve
muhtemelen tüm yerüstü altın stoklarının % 50’sini kapsar olmuştur. Merkez bankalarının altın tutmasının
sebebi altının sabit resmi dolar fiyatı ve dolar konvertibilitesi dönemi boyunca ve halen uluslararası parasal
sistemin temeli olmuş olmasıdır. Altın varlıkları ile ulusal para arzları arasında (klasik altın standardında
olduğu gibi) doğrudan bir bağlantı olmamasına karşın, altın halen ilk “rezerv varlığı” kimliğini korumaktır.
Merkez bankaları dolar balanslarını resmi fiyattan altına dönüştürebilmektedirler. Böylelikle altın üye
ülkelerin paralarının doğrudan veya dolaylı olarak kendisine bağlı olduğu bir “çıpa” görevi görmektedir.
Ancak yavaş yavaş, stabil fiyatlarla uyumlu olandan daha fazla para yarattıkça, sabit resmi altın fiyatı yine
gerçek dışına çıkmış ve Birleşik Devletler, sistemin merkezi olarak deflasyon, devalüasyon veya sistemi terk
etme seçenekleri ile karşı karşıya kalmıştır. Ağustos 1971 tarihinde ABD bu sistemi terk etmiş, Başkan
Nixon “altın penceresi”ni kapatmıştır.
2.2 - Altının Amerika Birleşik Devletleri’nden Avrupa’ya Geçişi
Geçen yirmi yıl resmi altın rezervlerinin mülkiyetinde büyük bir değişime sahne olmuştur. Avrupa’nın
savaş sonrası toparlanması ve düşük değerlenmiş para birimleri Almanya, Fransa ve diğer Avrupa ülkeleri
için büyük ödeme fazlaları yaratmış ve Amerika Birleşik Devletleri için açıkları büyütmüş, bu açıklar kısmen
ABD’nin altın transferi yoluyla finanse edilmiştir. Böylelikle ABD’nin rezervleri 1950 yılında 20,000 tondan
1971 yılında 9,000 tona düşmüştür. 1971 yılında Başkan Nixon dolar balanslarının altına olan
konvertibilitesini askıya aldığından, dünya dalgalı döviz kuru rejimine geçmiş ve bu rejimde altının rolü,
sistemin merkezi olmak yerine bir rezerv varlığı olarak sınırlandırılmıştır. Bu durum dolara, kendisini sistemin
merkezine oturtma yolunu açmış ve buna bağlı olarak dünyanın büyük bir kısmı bir dolar standardına
geçmiştir. Gerçekten de 1978 yılında ABD’nin baskısı altında, ülkelerin paralarını altına endekslemelerini
önlemek için IMF’in maddeleri değiştirilmiştir.
2.3 - Merkez Bankalarının Altın Rezervleri
Merkez bankaları dış rezervlerinde altının rolünü yeniden değerlendirmeye başlamışlardır. Merkez
bankası bağımsızlığına doğru yöneliş ve merkez bankaları rezerv yöneticilerinin daha ticari tutumu, bazı
merkez bankalarının rezerv portföyleri üzerinden sağladıkları mevcut getirilere daha fazla önem verilmesine
yol açmıştır. Bu ortamda, fazlaca getirisi olmayan bir varlık olarak altın – ödünç piyasasında işlem yapmaya
istekli bazı merkez bankalarının altın ödünç vererek sağladıkları küçük bir getiri dışında – savunmasız
görünmeye başlamıştır. Bazı merkez bankaları altın rezervlerini düşürmeye karar vermişler ve 2005 ile 2007
yılları arasında resmi altın stoklarının toplamı yaklaşık % 10 düşüş kaydetmiştir. Merkez Bankaları
yerüstünde olduğu düşünülen tüm altının dörtte birini tutmakta olup, bu değer Eylül 2007 tarihi itibarıyla
33,000 ton civarına eşdeğer olmuştur.
53
Grafik 1: Merkez Bankaları’nın Altın Stokları
Kaynak : World Gold Council, December 2007
Merkez bankaları ellerindeki altın rezervlerini değerlendirme konusunda son yıllarda aktif
davranmaya başlamışlardır. Bu değerlendirme genellikle, altın rezervlerinin aracılara kiralanması şeklinde
olmaktadır. Merkez bankası ticari bankaya sahip olduğu altın rezervlerinden bir kısmını 3-6 aylık gibi kısa
sürelerle küçük bir faiz ilavesiyle ödünç verebilmektedir. Ticari bankalar ise, ödünç aldığı altınları % 1-3
arasında değişen faizlerle altın üreticisine vermekte altın üreticisi ödünç aldığı altınları ise, kapasitesini
artırmak veya yeni iş sahaları açmak amacıyla spot altın piyasasında satmaktadır. Borç olarak alınan bu
altınlar, vadesi geldiğinde üretilen altınlarla ödenmekte bu da altın üreten firmayı, yatırımlarını çok düşük bir
faiz maliyeti ile finanse etme imkanına kavuşurken, merkez bankaları da atıl duran altın stoklarını
değerlendirme imkanı bulmuş olmaktadır.
Global resmi sektör altın rezervlerinde on yıllık dönemler itibarı ile kaydedilen ortalama yıllık değişim
miktarı Tablo 1’de verilmiştir.
Tablo 1: Ortalama Yıllık Altın Rezerv Değişimi
Yıllar
Ortalama Yıllık Altın Rezervi Değişimi (ton)
1970 – 79
- 98
1980 – 89
+ 37
1990 – 99
- 312
2000 – 05 (T)
- 553
Kaynak: Gold Fields Mineral Services , 2007.
IMF 403.3 ton altın satma planı çerçevesinde (4 kasım 2009) Hindistan Merkez Bankası’na 200 ton
altın satmıştır. Bu alımla Hindistan Merkez Bankası’nın altın rezervinde altının oranı yüzde 4’ten yüzde 6’ya
çıkmıştır. Bu oran gelişmiş ülkelere kıyasla oldukça düşük, ancak Çin Merkez Bankası’nın rezervindeki altın
oranının 4 katına denk gelmektedir.
3 - Altınla İlgili Uluslararası Anlaşmalar
Altınla ilgili ilk uluslararası anlaşma IMF’in kuruluşunda Temmuz 1944 tarihinde yapılmıştır. Bu
anlaşmaya göre, IMF’ye üye tüm ülkelerin para birimlerinin nominal değerleri, altın cinsinden veya kendisi
altın cinsinden tanımlanan ABD Doları cinsinden belirlenmiştir. 1 ABD Doları 0.888671 gram altın değerinde
veya 1 ons altın 35 ABD Doları değerindedir. Bu anlaşma altın fiyatını, Başkan Roosevelt tarafından 1933
54
yılında tesis edildiği gibi onaylamıştır. Böylelikle altın, uluslararası anlaşma ile kurulan ilk uluslararası para
sisteminin temeli olmuştur.
IMF’nin kullanılabilir kaynaklarını ödünç vermesine izin vermek amacıyla üye ülkelerin IMF’ye olan
üye aidatlarının % 25’ini altınla ödemesi zorunlu kılınmıştır. Üye ülkeler altını sabit bir fiyattan (artı veya eksi
IMF tarafından belirlenen bir marj) almak ve satmak zorunda kalmış, altın nihai rezerv varlığı haline
gelmiştir. Bu zorunluluk ve IMF’nin üye sayısının artması Fon’un altın varlıklarının 1975 yılında 153 milyon
ons’a yükselmesine neden olmuştur.
1960’ların başında merkez bankaları altının fiyatını stabilize etmeye çalışmışlardır. Merkez bankaları
arasındaki bu centilmenlik anlaşması, Altın Havuzu olarak bilinmekte olup, altın fiyatını sonradan resmi altın
fiyatı olan 35 ABD Doları/ons’a yakın tutmak amacıyla yapılmıştır. Buna rağmen ABD Dolarına karşı yapılan
spekülatif saldırı, altın fiyatını 40 ABD Doları/ons’a yükseltmiş ve bu, İngiltere Merkez Bankası’nın tabiriyle;
Batı dünyasındaki tüm döviz ilişkilerinin yapısını tehdit eder hale gelmiştir. Bu sebeple, İngiltere Merkez
Bankası, ABD Merkez Bankası’nın da desteğiyle altın fiyatını daha uygun seviyelere düşürmek için büyük
miktarda altın satmıştır. Sonraki yıl spekülatif akının devam etmesi üzerine Ekim 1961’de Batı Avrupa
Merkez Bankaları, New York Merkez Bankası ile piyasayı stabilize etmek için işbirliğine gitmek üzere
anlaşmışlardır. Piyasa şartlarındaki bir değişikliğin ardından, koordinasyonlu bir altın satın alma dönemi
yaşanmıştır. Buna karşın Temmuz 1962’de patlak veren Küba’daki füze krizi, Londra piyasasından altına
rekor talebin gelmesine yol açmış, bu talep yine resmi satışlarla (Merkez bankalarının satışlarıyla)
karşılanmıştır. Burada başından sonuna kadar savunulan hedef, serbest piyasada altının fiyatındaki
gereksiz ve rahatsız edici dalgalanmalardan kaçınmak olmuştur. Bu deneyimden İngiltere Merkez
Bankası’nın çıkardığı sonuç; merkez bankalarının döviz piyasalarında olduğu gibi altında da bir arada
çalışıyor olmaları bilgisinin, mevcut uluslararası parasal yapıda kamu güvenini korumaya yardımcı olduğu
yönündedir (Panizzutti, 2001:23).
Altın Havuzu, merkez bankalarının piyasaya artık altın sağlayamayacaklarına, ancak kendi
aralarında (resmi fiyattan) işlem yapacaklarına dair anlaşmaya vardıkları 1968 yılında yürürlükten
kaldırılmıştır. Bu durum, iki kademeli bir sistemin kurulmasına yol açmıştır. Birincisi, fiyatın arz ve talebe
göre dalgalandığı özel işlemler, diğeri ise resmi fiyattan gerçekleşen resmi işlemlerdir. Bu durum, doların
altına karşı konvertibilitesinin askıya alındığı Ağustos 1971 tarihinin ardından, altın fiyatının serbestçe
hareket etmesine izin verilen 1973 yılının Kasım ayına kadar sürmüştür.
1978 yılında ise IMF, altını sistemin dışına çıkartma çabaları göstermiştir. IMF’nin anlaşma
maddelerini ikinci kez düzenlemesinin sebebi, altını uluslararası para sisteminden silmek olmuştur. Bu
girişimi, yeni bir uluslararası parasal sistemin kurulması çabalarının ve özellikle Avrupa ülkelerinin Amerika
Birleşik Devletleri’nin açığını altın cinsinden ödemesi ya da doları altın karşısında devalüe etmeye zorlama
çabalarının başarısızlığa uğraması izlemiştir. Bu düzenlemeler, üye ülkelerin para birimlerini altına
sabitlemesine engel olmuş ve üye ülkelerin altındaki işlemleri resmi fiyattan yürütmeleri şartını ortadan
kaldırmıştır. Altını sistem dışına çıkartma planının bir parçası olarak, Fon’a 153 milyon ons miktarındaki altın
stokunun 50 milyon ons’unu, kısmen piyasaya yapılan satışlar yoluyla, kısmen de kotalarıyla bağlantılı
olarak bir miktar altın verme yoluyla elinden çıkartma talimatı verilmiştir. Bu deneyim, altının uluslararası
toplulukta önceden olduğundan çok daha geniş bir şekilde yayılmasına yol açmış ve çoğu ülkede altın
piyasasına girmek için yeni bir ilgi yaratmıştır. Az sayıda ülke, kendilerine verilen altını satma yönünde bir
eğilim göstermiş ve çoğu durumda altın, ülkelerin hesaplarında kalmaya devam etmiştir. Tüm önlemler ve
enflasyonist baskılara rağmen altın, hemen hemen tüm ülke hazineleri ve merkez bankaları tarafından
rezerv aracı olarak kullanılmaya devam etmiştir.
26 Eylül 1999 tarihinde Merkez Bankaları Altın Anlaşması (Washington Anlaşması olarak da bilinir)
ilan edilmiştir. Bu anlaşma, merkez bankalarının koordinasyonsuz bir şekilde altın satışının altın piyasasını
dengesizleştirdiğine ve altın fiyatını keskin bir şekilde aşağıya çektiğine dair endişenin arttığı dönemi
izlemiştir.
Merkez bankaları yerüstünde olduğu düşünülen tüm altının dörtte birini tutmakta olup, faaliyetleri
altın piyasasını yakından ilgilendirmektedir. Bu ilginin büyük bir kısmı Batı Avrupa merkez bankaları üzerinde
toplanmıştır. Bu bankalardan çoğu, rezervlerinde büyük miktarda altın tutmaktadırlar. Bu bankalar arasında
55
göze çarpan bankaların bazıları (Hollanda, Belçika, Avusturya, İsviçre ve İngiltere) son zamanlarda altın
satmış ya da satma planlarını açıklamıştır. Aynı zamanda, borçlanılan altına karşı artan talep ile birkaç
merkez bankası ödünç verme, swap ve diğer altın türev enstrümanları kullanımlarını arttırmaya
başlamışlardır. Altın türev piyasasının çalışma sisteminden dolayı, altın ödünç verme işlemlerindeki artış,
normalde satılan altında artışa yol açmakta; ödünç vermedeki bu büyüme piyasaya arz edilen altın miktarına
ekleme yapılması anlamına gelmektedir.
Bu satışların altın piyasasındaki dengesizleştirici etkisinin yanı sıra, merkez bankasının niyetine bağlı
olarak altının fiyatındaki düşüş altın üreten ülkeleri kötü etkilemektedir. Bu ülkeler arasında önemli bir miktarı
“Ağır Borç Yükü Altındaki Fakir Ülkeler” olarak sınıflandırılanlar dahil birkaç gelişmekte olan ülke
bulunmaktadır.
Bu endişelere cevap olarak 15 Avrupa merkez bankası [11 Euro bölgesi ülkesinin merkez
bankalarına (Avusturya, İtalya, Fransa, Portekiz, Belçika, Lüksemburg, Almanya, İspanya, Finlandiya,
Hollanda, İrlanda Merkez Bankaları) ek olarak Avrupa Merkez Bankası ve İsveç, İsviçre ile İngiltere merkez
bankaları] 26 Eylül 1999 tarihinde anlaşma imzalamış olup, bu anlaşmada altının global parasal rezervlerin
önemli bir elemanı olarak kalmaya devam edeceğini belirtmişlerdir. Anlaşmaya imza koyan bankalar toplam
satışlarını yılda 400 ton civarında olmak üzere gelecek beş yıl boyunca toplam 2,000 ton ile sınırlandırmaya
karar vermişlerdir (Lassonde, 2001:31). Bankalar ödünç verme ve türev ürünleri kullanma faaliyetlerinin
gelecek beş yıl süresince artırılmayacağını ilan etmişlerdir.
Anlaşmaya imza koyan ülkeler global altın rezervlerinin % 45’ine sahiptirler. Buna ek olarak, ABD,
Japonya, Avustralya, IMF ve BIS (Uluslararası Takas Bankası) farklı zamanlarda altın satmayacaklarını
beyan etmişlerdir. Bunların da dahil edilmesiyle Anlaşma tarafından kapsanan altın rezervlerinin oranı
toplam rezervlerin % 85’ine çıkmaktadır.
26 Eylül 1999 tarihinde imzalanan Merkez Bankaları Altın Anlaşması kapsamında 1999 – 2009 yılları
arasında yapılan altın satışları Tablo 2’de yer almaktadır.
Tablo 2: Merkez Bankaları Altın Anlaşması 1999 – 2009 Altın Satışları
Ülkeler
1999-00
2000-01
2001-02
2002-03
2003-04
2004-09
Toplam
İngiltere
150
135
60
0
0
0
345
Hollanda 100
27
9
39
60
165
400
Avusturya 30
30
30
0
0
90
180
İsviçre
120
200
283
283
284
380
1,550
Almanya 0
12
11
6
6
12
47
Portekiz
0
0
0
90
35
200
325
Toplam
400
404
393
418
385
847
2,847
Kaynak: Dünya Altın Konseyi , 2006/Julian D. W. Phillips, Gold/Silver Forecaster - Global
Watch,2009.
3.1 - İkinci Merkez Bankaları Altın Anlaşması
8 Mart 2004 tarihinde imzalanan ve önceki anlaşmanın bir tür yenilenişi anlamını taşıyan bu
anlaşmaya imza koyan merkez bankaları; Avrupa Merkez Bankası’nın yanı sıra İtalya, İspanya, Portekiz,
Yunanistan, Lüksemburg, Fransa, Belçika, İrlanda, Hollanda, Almanya, Avusturya, Finlandiya, İsviçre ve
İsveç Merkez Bankalarıdır.
Anlaşmaya göre, altın global parasal rezervlerin önemli bir elemanı olarak kalmaya devam edecek,
kararlaştırılan ve kararlaştırılacak altın satışları beş yıllık bir dönem boyunca planlanmış bir programa göre
önceki anlaşmanın sona eriş tarihi olan 27 Eylül 2004 tarihinden başlamak üzere yapılacaktır. Yıllık altın
satışları 500 tonu ve bu dönem boyunca toplam altın satışları ise 2,500 tonu geçmeyecektir. Bu dönem
boyunca anlaşmaya imza koyan merkez bankaları, altın ödünç işlemlerinin toplam miktarının ve vadeli altın
işlemleri ile opsiyonları kullanımlarının toplam miktarının, önceki anlaşmanın imza tarihinde geçerli olan
56
miktarları geçmeyeceğine karar vermişlerdir. Bu anlaşma beş yıl sonra yeniden gözden geçirilecektir. 2004 2009 dönemi için belirlenen rakamlar tablo 3’de verilmiştir.
Tablo 3: Merkez Bankalarının Altın Satış Anlaşmaları 2004-2009
2004-2009
Dönem Satış
E.C.B.
Almanya
Fransa
Hollanda
Portekiz
İsviçre
Avusturya
İsveç
İspanya
Belçika
235
12
600
165
200
380
90
60
0
0
1 çeyrek
2 çeyrek
3 çeyrek
Satış
47
5.4
115
55
54.8
130
15
15
30
30
Satış
57
5.3
134.8
67.5
44.9
0
13.7
10
62.5
0
Satış
60
5
115.1
14
0
113
8.7
10.0
149.3
0
Belli olmayan
Toplam
Rusya
1730
497.2
0
395.7
0
4 çeyrek
Satış
42
55.6
23.3
54.2
4.0
0.5
26.95
475.7
206.8
0
22
34.8
Yunanistan
0
0
0
3.8
0.8
Genel Toplam
0
0
0
25.8
0
Kaynak: Julian D. W. Phillips, Gold/Silver Forecaster - Global Watch,2009, GoldForecaster.com
3 - Merkez Bankalarının Altın Bulundurma Nedenleri
Merkez Bankalarının altın bulundurma nedenlerinin başında ekonomik güvence gelmektedir.
Ekonomik güvence ve diğer başlıkları ayrıntılı olarak değerlendirecek olursak ise;
3.1 - Ekonomik Güvence
Altın, uzun vadede reel satın alma gücü bakımından değerini koruduğundan merkez bankalarının
rezervlerinin bir kısmını oluşturmaya özellikle elverişli olarak görülmektedir.
Rezervlerde tutulan, ABD Doları ya da Euro gibi, paraların değeri, bu paraları basan hükümetlerin
ekonomik politikalarına dayanmaktadır. Altın, kimsenin yükümlülüğü olmamasından ötürü kendine özgü bir
varlık olarak değerlendirilmek olup rezerv merkezi konumundaki ülkelerin politikalarındaki kusurlardan kötü
etkilenmemektedir. Altının statüsü rezerv paranın bulunduğu ülkedeki enflasyondan ötürü yıpranmamakta,
ödememe olasılığı bulunmamaktadır. Ödememe, çok olağanüstü şartlar altında oluşmasına karşın, geçmişte
kağıt para ile hükümet tahvilleri arasında yaşanmış ve örnekleri bulunmaktadır. Rezerv paraların döviz
piyasasındaki değerinde kaydedilen keskin bir düşüş de bir ödememe durumu anlamına gelmekte, bu
rezervleri tutan yabancı kurumlar için büyük zararlara yol açtığı bilinmektedir.
3.2 - Fiziki Güvenlik
Ülkeler, geçmişte kambiyo kontrolleri uygulayarak kendi ülkelerinin paralarının serbest transferini
kötü yönde etkilemişler veya, en kötü halde, diğer ülkeleri kendi paralarına ve tahvillerine girmekten alıkoyan
toplam varlık dondurma durumuna yol açabilmişlerdir. Ayrıca eğer dış rezervler tamamen finansal
enstrümanlar şeklinde veya rezerv merkezi konumundaki bir ülkenin para birimi cinsinden (dolar, yen gibi)
57
banka mevduatları şeklinde tutuluyorsa, bu tür durumlara karşı savunmasızdırlar. Rezerve uygun miktarda
alındığında, altın bu riske karşı çok daha az savunmasızdır. Altın Rezervleri ihtiyaç duyulduğunda
kullanılabilmekte, bu sebeple önemli bir likidite gücü taşımaktadır. Alan Greenspan, Kongre’ye 1999 yılında
şunları söylemiştir: “... altın halen dünyada nihai ödeme şeklini temsil etmektedir. Almanya’nın savaş
boyunca malzemeleri sadece altınla satın alabilmesi enteresandır. Uç noktada kağıt para kimse tarafından
kabul edilmez, altın her zaman kabul edilir ve nihai ödeme aracıdır; paradaki stabilitenin bir elemanı olarak
anlaşılır ve paranın nihai değeridir. Bu, tarihi açıdan her zaman hükümetlerin altın tutma sebebi olmuştur.”
3.3 - Beklenmedik İhtiyaçlar
Dünyadaki ekonomik gelişmeler tek tek ülkelerin planlarını bozabilirken, global şoklar da ulusal
parasal sistemin tüm temellerini değiştirebilmektedir. Acil durumlarda ülkeler likit kaynaklara ihtiyaç
duyabilmektedir ve altın likittir bir ödeme vasıtası olarak dünyanın her yerinde kabul görmekte ve
borçlanma için teminat olarak da önemli etkisi bulunmaktadır.
3.4 - Sigorta
Altın sahibi olmak bilinmeyen geleceğe karşı bir opsiyon sahibi olmaktır. Altın, bazı tahmin
edilemeyen, ancak oluştuğunda yüksek ölçüde zarar verici olaylara karşı bir çeşit sigorta sağlamaktadır. Bu
tür olaylar savaşı, enflasyonda beklenmedik bir artışı ve büyük bağımsız borçlanan kurumlar tarafından dış
borçların ödenmemesine yol açan genel bir krizi, ülke para biriminin değer kaybını ve ticarete getirilen
engelleri, veya bir ülkenin uluslararası tecritini kapsamaktadır. Altın, dünyanın bir çeşit parasal sistemden
diğerine geçmekte olduğu, 1970’lerdeki sabit kurlardan dalgalı kurlara geçiş veya sterlinin hakim para
olduğu dönemden doların hakim para olduğu döneme geçiş gibi dönemlerde, özellikle değerli olmak üzere
rezervlerde bulundurulmaktadır.
3.5 - Güven
Kamuoyu yoklamaları, sıradan vatandaşların ülkelerinin, yok edilemez bir varlık olarak altını,
rezervlerinde bulundurmasından güven duyduğunu belirtmektedir. Ulusal para tabii ki Altın Standardı
günlerinde olduğu gibi birebir bazda altın ile değiştirilebilir değildir. Ancak bununla birlikte, altının varlığı
günlük işlemler için kullanılan kağıt parçacıklarının altında yatan daha sağlam bir şey olduğunu
göstermektedir. Avrupa Merkez Bankası’nın 1999 yılı başında göreve başladığında merkezi dış rezervlerinin
% 15’ini altın formunda tutmayı seçmesi önemlidir. Eşit bir şekilde, IMF’nin Yönetim Kurulu son olarak altının
rolü hakkında yaptığı 1995 yılındaki tartışmada, altının kendi bilançosuna “temel bir güç” verdiğini
belirtmiştir.
3.6 - Çeşitlendirme
Bilindiği gibi herhangi bir varlık portföyünde tüm yumurtaları bir sepete yerleştirmek makul
görülmemektedir. Altın fiyatı dalgalanabilir, ancak rezervlerdeki paraların döviz kurları ve faiz oranları da
dalgalanır. Rezervin çeşitlendirilmesi stratejisi normal olarak tek bir varlığa dayalı rezervden elde edilecek
getiriden daha az volatil bir getiri elde edilmesini sağlayacaktır.
Altının bir portföye eklenmesi risk/ödül bakımından önemli faydalar sağlamakta olup, altın fiyatının
belli bir zaman diliminde ne olabileceğine bağlı değildir. Bu, altının getirisinin diğer finansal varlıklarla negatif
korelasyona sahip olma eğiliminden kaynaklanmaktadır. Bu özellik şüphesiz
merkez bankalarının
portföyüne altını dahil etmesinde önemli bir faktör olarak görülmektedir.
3.7 - Değer Deposu
Altının reel değerini kısa vadeli dönemlerde koruması genelde beklenmemektedir. Ancak on yıllar ve
hatta yüzyıllar boyunca altının reel olarak satın alma gücünü koruduğu görülmüştür. Rezervlerinde ne kadar
altın bulunduracağı ülkeler ve merkez bankalarının kendi bireysel şartlarının ışığında karar vermektedir.
Rezervlerde tutulan altın miktarının uluslararası ortalaması mevcut piyasa fiyatlarında yaklaşık % 9’dur.
58
Ancak, Avrupa Birliği’nde bu oran % 25’in üzerindedir ve ABD rezervlerinin % 60 civarını altında tutmaktadır.
Tablo: 4’de dünyada en fazla altın rezervine sahip ilk yirmi ülkenin Aralık 2009 tarihi itibarı ile altın rezervleri
gösterilmiştir.
Tablo 4: En yüksek Altın Rezervleri Olan Ülkeler
Ülkeler ve Kuruluşlar
Altın Rezervleri (ton)
Anlaşan 15 Avrupa ülkesi ve Yunanistan
15,420
ABD
8,139
IMF
3,217
Japonya
764
Hindistan
358
Venezüella
321
Bank for International Settlements
192
Toplam
28,411
Kaynak: Central Bank Gold Reserves: Strategies and Prospects, Philip Klapwijk, GFMS,2009.
3.8 - Gelir
Altın, bazen gelir kazandırmayan bir varlık olarak tarif edilse de bu durum geçerliliğini kaybedeli epey
zaman olmuştur. Merkez bankalarının sahip oldukları altının tamamını ödünç verme yolunda kullanmak
istemelerinin mümkün olmamasına karşın, altın ödünç piyasası altından makul getiriler elde edilmesine izin
verir ve ayrıca altın kar sağlamak için de alınıp satılabilmektedir. Altın tutmanın bir “fırsat maliyeti”
bulunmaktadır, ancak faiz oranlarının düşük olduğu zamanlarda oldukça azdır ve altının diğer avantajları da
bunun gibi maliyetleri kolaylıkla dengeleyebilmektedir. Grafik 2ve 3’de 1999 – 2009 yılları arası altın ödünç
oranları verilmiş olup; bu oranlar aylık, üç aylık, altı aylık ve on iki aylık dönemler itibarıyla farklı grafiklerde
belirtilmiştir.
Grafik 2: Altın Ödünç Oranları 1999-2009
Kaynak: Kitco kıymetli madenler web sitesi – www.kitco.com
59
Grafik 3: Altın Ödünç Oranları 2009
Kaynak: Kitco kıymetli madenler web sitesi – www.kitco.com,2009.
4 - ALTININ DOLAŞIMI
Nihai ödeme şekli olarak altın, nakit veya maddi teminat şeklinde kullanıldığında, karşı taraflar için
kabul edilebilir tek varlık olduğunu ispat etmiştir. Altın gerçekten de ihtiyaç durumunda merkez bankası
rezervinin dolaşımında (mobilizasyonunda) çok önemli ve stratejik bir rol oynamaktadır.
Merkez bankaları altın işlemlerinin çoğunu halkın gözünden uzak yürütmektedir ve bu sebeple alınan
kararların tamamını öğrenmek hayli zor veya imkansız olmaktadır (Olden. 2004:2). Bir gösterge olarak,
resmi sektör altın alış ve satış rakamlarında Gold Fields Mineral Services’in (GFMS) yayınlarındakilerle
Uluslararası Para Fonu’nun “Uluslararası Finansal İstatistiklerine” bildirilenler karşılaştırıldığında birincisi
ikincisinden değişmez bir biçimde daha büyüktür. Bunun bir sebebi, ülkelerin her zaman dış dünya ile olan
alım satım işlemlerinin bütün büyüklüğünü açığa vurmak istememeleri ve/veya merkez bankası yerine resmi
aracıları kullanmayı seçmeleridir. Ek olarak, bazı altın üreten ülkelerin merkez bankaları yerel üretim için
satış acentaları olarak davranmakta ve rezervlerinde her zaman bu altını içermemektedirler. Buna karşın,
işlemlerin detayları arada sırada kamuya da yansımaktadır.
Resmi altını hareket ettirmenin en açık yolu onu ödünç vermektir. Bazı merkez bankaları tamamen
altın ödünç vermeye muhalif kalırken, piyasaya büyük bir sayıda merkez bankası girdiğinden dolayı, ödünç
işlemi geçen yıllarda gittikçe artarak olağan hale gelmiştir. Altının diğer kullanımı politik ve ekonomik açıdan
acil durumlardadır. Örneğin; 1981 yılında İran rehine krizinde, İran tuttuğu Amerikan rehineleri serbest
bırakmak karşılığında ABD Doları almayı reddetmiştir. Böylelikle ABD, dolar yerine 50 ton altın transfer
etmiştir. Sonradan Hazine Müsteşarı Manuel Johnson Kongre’ye 1983 yılında verdiği ifadede şöyle demiştir:
“Hazine tabii ki ABD’nin altın stoklarına ulusal mirasımızın bir parçası olarak bakmakta ve ihtiyati bir varlık
olarak değerli saymaktadır.” ABD hükümeti eşzamanlı olarak New York Merkez Bankası’nda dondurulmuş
olan eşdeğer miktardaki İran altının sahipliğini üstlenmiş, böylelikle olayın ABD rezervlerine net bir maliyeti
olmamıştır.
Daha az dramatik olmakla beraber - daha sık karşılaşılan – altının resmi amaçla kullanımı dış
borçlanmada teminat olmasıdır. Örneğin, 1974 yılında İtalya, 1973 petrol fiyatı yükselişinden sonra ödemeler
dengesini desteklemek amacıyla Almanya Merkez Bankası’ndan 2 milyar ABD Dolar’lık borcunu, altının da
bu paketin bir parçası olmasıyla sağlamıştır.
60
1991 yılında döviz yetersizliği krizi ile darbe yiyen Hindistan, bu krizden kurtulmak için külçe altın
varlıklarına güvenmek zorunda kalmıştır. Öncelikle hükümet 20 ton altını İsviçre piyasasında swap
yapmış, (takas etmiş) daha sonra ise Japonya Merkez Bankası’ndan aldığı borcun teminatı olarak 46 ton
altını daha Londra’ya sevk etmiştir. Zamanın IMF yetkilisi şunları söylemiştir: “Hindistan’ı kurtarmaya
gelen merkez bankaları grubu tarafından hafta sonunda tartışmalar olmuş ve bu sponsor bankalar
tarafından sorulan ilk soru, Hindistan’ın altınını teminat olarak vermeye hazır olup olmadığı olmuştur
(Swanepoel, 2003:9).
1974 yılında Romanya’nın kendisine dış borç geri ödemelerini yapmasına izin veren IMF’ye, altın
teminat kullanımı olduğu rapor edilmiştir ve 1999 yılında benzer faaliyetlere dair raporlar yer almıştır.
Ayrıca, özel sektörün kamu sektörüne destek vermesi de yaşanmıştır. 1997 Asya krizinin bir yan
etkisi olarak bölgedeki birkaç ülke vatandaşlarının altın varlıklarını çekme planlarını açıklamış olup,
aralarında Malezya, Güney Kore ve Tayland da bulunmaktadır. Sadece Güney Kore önemli miktarda altın
çekmiş olup (yaklaşık 270 ton altın çekmiştir), her üç ülkenin de beyan ettikleri altının hükümet bonoları veya
yerel para birimi karşılığında teslim edilmesinde yerli vatandaşlarının yurtseverliğine güvenmiştir. Toplanan
altın ya doğrudan rezervlere yatırılarak kredibiliteyi artırmada, ya da dolar karşılığında satılarak dış borcun
geri ödenmesinde veya zayıflayan para birimlerini desteklemek için yapılacak müdahalelerde kullanılmıştır.
5 - Resmi Altın Rezervlerinin Yarını
Son yıllarda, madenlerden yeni çıkartılan altının tamamı mücevher imalatına, endüstriyel kullanıma
ve bireysel yatırıma gitmiş olup, resmi sektör tarafından tutulan olmamıştır. Resmi sektör daha çok
madencilik sektöründen yeni arzları çekmek yerine piyasaya altın arz etme konumunda olmuştur. Gelecekte
resmi altın varlıklarının en azından birkaç yıl daha fiziki (mutlak) olarak düşeceği ve altının merkez
bankalarının rezerv varlıklarındaki oranı ile toplam altın stokları içerisindeki oranının ise daha keskin bir
şekilde düşmeye devam edeceği uzmanlarca öngörülmektedir.
Bununla beraber, bu bölümde anlatılan nedenlerden ötürü merkez bankaları altının rezervleri
içerisinde önemli bir eleman olarak kalmasını beklemektedirler. Merkez bankalarının çoğunluğu altın
varlıklarının mevcut seviyesinden hoşnutturlar. Bu durum göz önünde tutulursa, merkez bankalarının
piyasaya getirmeye hazır oldukları büyük bir resmi altın kitlesinin bulunduğu endişesi ortadan kaybolmuştur.
Merkez bankaları altın rezervleri açısından bir değerlendirme yapıldığında aşağıdaki gibi üç gruba
ayrılabilir:
•
•
•
Rezervlerinden altın satışına gitmesi beklenmeyen ülkeler,
Rezervlerinden altın satışı yapması mümkün olmayan ülkeler,
Altın rezervleri konusunda niyeti belli olmayan ülkeler.
Merkez bankalarından satışa gitmesi beklenmeyenler arasında Washington Anlaşmasına imza
koyan 15 ülke ve Yunanistan, Amerika, IMF, Japonya, Hindistan, Venezüella ve BIS yer almakta ve bunların
toplam altın rezervleri 2006 yılı Mart ayı itibarıyla 28,411 tona ulaşmaktadır.
Diğer yandan 15 Avrupa Merkez Bankasının vardığı anlaşma uyarınca altın satışları devam etmekte
olup Mart 2006 tarihi itibarıyla bu programa göre halen satılacak 1,395 tonluk altın rezervi bulunmaktadır.
Rezervlerinden altın satışına gitmesi beklenmeyen ülkeler ve kuruluşların altın rezervlerinin toplamı
olarak bulunan 28,411 tonluk rakam toplam resmi altın rezervlerinin de % 87 si gibi büyük bir kısmını
oluşturmaktadır.
Altın rezervlerinden altın satışına gitme niyetleri olmayan ülkelerin rezervlerindeki altın miktarının
toplamı 1,830 ton olup 116 tonluk altın rezervine sahip olan Türkiye de bu grubun içerisinde yer almaktadır.
Bununla ilgili ayrıntılı bilgi Tablo 5’den de görülebilmektedir.
61
Tablo 5: Diğer Ülke Rezervleri
Ülkeler
Altın Rezervleri (ton)
Avustralya
80
Lübnan
395
Kuveyt
79
Filipinler
225
Suudi Arabistan
143
Güney Afrika
184
Tayvan
410
Tayland
74
Türkiye
116
Singapur
124
Toplam
1,830
Kaynak: Kitco kıymetli madenler web sitesi – www.kitco.com ,2009.
Rezervlerinde altın bulundurmakla beraber altın satışlarına gidip gitmeme konusundaki niyetleri belli
olmayan ülkelerin altın rezervlerinin toplamı 2,259 ton olup, bununla ilgili ayrıntılı bilgi Tablo 6’da
görülebilmektedir.
Tablo 6: Altın Satışında Niyeti Belli Olmayan Ülkeler
Ülkeler
Altın Rezervleri (ton) Ülkeler
Altın Rezervleri (ton
Çin
395
Polonya
103
Rusya
389
Endonezya
97
Cezayir
174
Mısır
76
Libya
144
Pakistan
65
Romanya
105
Diğerleri
711
Toplam
2,259
Kaynak: Kitco kıymetli madenler web sitesi – www.kitco.com, 2009.
Böylece yukarıda anlatılanlara dayanarak gelecekte resmi altın varlıklarından yapılacak potansiyel
satışların topluca bir değerlendirmesi yapılırsa Tablo 7’deki sonuca ulaşmak mümkündür:
Tablo 7: Ülkelerin Rezerv Satış Niyetleri
Rezervlerinden
altın
satışına
gitme
28,411 ton
beklenmeyenler
Rezervlerinden altın satışına gitmesi beklenmeyen
1,830 ton
Alt-toplam
30,241 ton
Altın satışı konusunda niyeti belli olmayanlar
2,259 ton
Toplam
32,500 ton
Kaynak: Kitco kıymetli madenler web sitesi – www.kitco.com, 2009.
7 - Sonuç
Altın parasal role sahip bir emtia olarak da uzun yıllar boyunca merkez bankalarının rezervlerinde
tutulmuştur. Altın öncelikle kredi riski olmayan güvenli bir varlıktır. İkinci olarak ise altından ve diğer
enstrümanlardan elde edilen getiriler arasında negatif bir korelasyon söz konusu olup, merkez bankalarının
rezerv portföylerini altınla çeşitlendirmeleri portföyden doğacak kayıp riskini azaltmaktadır. Altın reel değerini
ve stabilitesini uzun vade de korumuştur.
62
Merkez bankalarının altın satışlarının devam edeceği, ancak satışların hacminin düşeceği
öngörülmektedir. Özellikle büyük doğalgaz / petrol üreticisi ülkelerin merkez bankalarının altın rezervlerini
artırabileceği tahmin edilmektedir. Çin’in de, para birimi Yuan’ın konvertibl olması halinde altın rezervlerini
artırma yoluna gitmesi beklenmektedir. Merkez bankaları altın satışı anlaşmasının üçüncü kez de
yenilenmesi ve yeni anlaşmada yıllık satışların miktarının değişmesi beklenmektedir.
Global ABD Doları rezervlerindeki büyük artış, ABD Doları’nın zayıflama olasılığı ve altın fiyatlarında
yaşanan son yükseliş anlaşmayı imzalayan Avrupa ülkeleri içerisinde ve dışarısında merkez bankalarının
altına karşı tutumunda olumlu bir etki yaratması beklenmekte, merkez bankaları arasında altına karşı
olumsuz düşüncenin azalacağı düşünülmektedir. Gelecek birkaç yıl içerisinde altın ödünç oranlarının aşırı
düşük seviyelerden biraz yükselmesi beklenmektedir. Arz yönünde merkez bankaları altın ödünç oranlarında
yaşanan her anlamlı yükselişte ödünç piyasasına girmeye hazır görünmekte, altın piyasasında spekülatif
pozisyonların net uzun pozisyon kalması beklenmektedir. Talep tarafında ise üreticilerin forward piyasalarda
gerçekleştirdikleri altın satışlarını geri alma faaliyetlerinin (ters hedging işlemlerinin) sürmesi beklenmekte,
ancak geri alımların hızının azalması tahmin edilmektedir.
Kaynakça
1. Timothy Gren, (Nov. 1999), Central Bank Gold Reserves: An historical perspective since 1845,
2. Giacomo Panizzutti, (2001), The Longer-term Prospects for Official Gold Reserves, Head of Foreign
Exchange and Gold, Bank for International Settlements, LBMA Precious Metals Conference, İstanbul
3. Graham Young, (2003),The Role of Bank of England in Gold Market, Bank of England, LBMA recious
Metals Conference, Lisbon
4. Rhona O’Connell,(2006) What sets the precious metals apart from other commodities?.
5. Helen B. Junz, Terrence F. Martell,(2006) Capital Adequacy Rules For Commodities and Gold: New
Market Constraint?, Research Study 16,
6. Timothy Gren, (23, November 1999),Central Bank Gold Reserves: An historical perspective since 1845,
World Gold Council Research Study.
7. Giacomo Panizzutti, (2001),The Longer-term Prospects for Official Gold Reserves, LBMA Precious
Metals Conference İstanbul, Head of Foreign Exchange and Gold, BIS
8. Paul Burton, Editor, (2001), World Gold,The Price Challenge for the Gold Industry, LBMA Precious
Metals Conference, İstanbul ,
9. Sir John Harvey-Jones (2001), Troubleshooting the Precious Metals Industry, LBMA Precious Metals
Conference, İstanbul .
10. Pierre Lassonde (2001), President & Co-Chief Executive Officer Mergers and Acquisitions versus
Exploration and Organic Growth, LBMA Precious Metals Conference, Franco-Nevada Mining
Corporation Limited. İstanbul.
11. Bernard Swanepoel (2003), Managing Director, Harmony Gold ,Risk Assesment in Mining, LBMA
Precious Metals Conference Lisbon,
12. Graham Young, (2003) The Role of Bank of England in Gold Market, LBMA Precious Metals
Conference, Bank of England , Lisbon.
13. Philip Olden, 2004, Managing Director, Marketing and Jewellery, WGC, Growing the Jewellery Market,
LBMA Precious Metals Conference .
14. (December 2005) Central Bank Gold Reserves: Strategies and Prospects, Euromoney 4th Annual Gold
Investment Summit, London,
15. Philip Klapwijk, Williamson, John (1977), Executive Chairman, Gold Fields Mineral Services , The
Failure of World Monetary System (1971-1974) , Thomas Nelson and Sons Ltd,
16. Julian D. W. Phillips, (2009), Gold/Silver Forecaster - Global Watch, , GoldForecaster.com
17. Philip Klapwijk, (2009), GFMS, Central Bank Gold Reserves: Strategies and Prospects,.
18. Kitco kıymetli madenler web sitesi – www.kitco.com, 2009.
19. Dünya Altın Konseyi , 2006/Julian D. W. Phillips, Gold/Silver Forecaster - Global Watch,2009.
20. World Gold Council, December 2007
63
PHILLIPS CURVES IN THE SAARC REGION: PANEL DATA ANALYSIS (1990-2008)
Khalid Zaman, Dr. Iqtidar Ali Shah, Dr. Muhammad Mushtaq Khan & Dr. Waseem Ikram,
Department of Management Sciences, COMSATS Institute of Information Technology, Abbottabad,
Pakistan
ABSTRACT
This paper uses panel data analysis for the period of 1990-2008 to examine the relationship between
the unemployment rate and inflation rate in the SAARC countries including Bangladesh, Bhutan, India,
Maldives, Nepal, Pakistan and Srilanka. The trade-off relationship between unemployment and wageinflation rate in the United Kingdom was pointed out by William Phillips in 1958. His popular hypothesis
“Phillips Curve” remains an important foundation for macroeconomics. In this paper three different panel data
methods i.e. pooled least square, fixed effects and random effects have been used to test the validity of the
“Phillips Curve” in the SAARC region. Specification tests (F-test and Hausman test) indicate that the random
effect model could be considered as the best model to examine the relationship between unemployment and
inflation. The paper finds that there is no significant relationship between the inflation rates and
unemployment rates in the SAARC countries. In short, empirical findings did not support the existence of a
Phillips Curve in the region. This study opens new dimensions for policy planners, government agencies,
NGO’s and other donor agencies working in the SAARC region.
Keywords: Inflation, Unemployment, Panel Data Analysis, SAARC Region
1. INTRODUCTION
An important theory in the macroeconomics literature known as “Phillips Curve” was suggested by A.
W. Phillips in 1958. The theory conjectures a systematic relationship between changes in the wage rate and
changes in the level of unemployment. Although some criticisms have been voiced regarding the basic
assumptions of this hypothesis. However, the Phillips Curve remains one of the most important foundations
in macroeconomics. It has been half a century since Phillips propounded his idea and the subject of “Phillips
Curve” has captivated the minds of many researchers and engendered numerous academic inquiries. Paul
Samuelson and Robert Solow were among the first researchers who supported the Phillips hypothesis.
Samuelson and Solow (1970) examined the relationship between the two macroeconomics variables and
found an inverse relationship between unemployment and inflation rates in the USA. Furthermore, Solow
(1970) and Gordon (1971) confirmed the existence of a negative trade-off relationship between
unemployment and inflation using U.S. macroeconomic data. These empirical findings have been known as
the “Solow-Gordon affirmation” of the Phillips Curve. Hansen and Pancs (2001) examined the existence of
the Phillips Curve in Lativa. They found that there is a significant correlation between the unemployment rate
and the actual inflation rates. Furuoka (2007) examined the long-run & trade-off relationship and also causal
relationship between the unemployment rate and the inflation rate in Malaysia over the period of 1975-2004.
He empirically supported the existence of the Phillips curve in the case of Malaysia. Islam et al. (2003)
examined the hypothesis of Philips Curve through US economic data from 1950 to 1999. They found the
weak long-run cointegrating relationship and long-run causality between unemployment and inflations. On
the other hand, Hart (2003) tested the Phillips hypothesis by employing the hourly wage earning. He
concluded that during inter-war period (1926-66) in Britain, the Phillips Curve is not supported by data.
Friedman (1968) and Phelps (1967) openly criticized the hypothesis. According to them there is no
trade-off relationship between unemployment and inflation. Furthermore, Lucas (1976) strongly opposed the
proposition of the existence of the Phillips curve. He argued that there could have existed a trade-off
relationship between unemployment and inflation if the workers did not expect that the policy makers would
try to create an artificial situation, where high-inflation is pared with low unemployment. Otherwise, the
64
workers would foresee the high inflation in the future and would demand wage increase from their
employers. In this case, there could be coexistence of high unemployment and high inflation rate which is
known as the “Lucas critique”.
A recent methodological innovation in assessing the Phillips Curve has been the use of panel data
analysis to analyze a “Common Phillips Curve” in different countries. Dinardo and Moore (1999) used panel
data analysis to find out the existence of “Common Phillips Curve” in nine member countries of the OECD.
Their findings confirmed the existence of the “Common Phillips Curve in the nine OECD countries. In
addition, Turner and Seghezza (1999) also employed the panel data method in twenty-one OECD countries
over the period from the early 1970s to 1997. Their findings also confirmed the existence of the “Common
Phillips Curve” among the twenty-one chosen member countries of OECD. Arratibel et al. (2002) analyzed
New Keynesian Phillips curve with forward-looking expectations by using panel data. They found that the
unemployment rates have significant relationship with non-tradable inflation rates. By contrast, Masso and
Staehr (2005) used the dynamic panel data method and failed to identify a significant relationship between
unemployment rate and inflation rates. Furuoka and Munir (2009) examined the trade off between inflation
rate and unemployment rates in the selected ASEAN countries. They concluded that there is no significant
relationship between the variables in these countries.
The objective of this paper is to find out that existence of Phillips Curve in the SAARC countries using
panel data from 1990 to 2008. The more specific objectives are:
i.
To estimate whether there is a relationship between inflation and unemployment in the
specific context of SAARC countries.
ii.
To estimate whether inflation rate and unemployment rate is apparently influenced by country
specific effects / shocks, time specific shocks or both?
This paper is organized in five sections. Section 2 shows a brief overview of inflation and
unemployment rates in SAARC countries. Section 3 provides data source and methodological framework.
The empirical results are presented in Section 4, while the final section concludes the study.
2. OVERVIEW OF INFLATION AND UNEMPLOYMENT RATE IN SAARC REGION
2.1. Inflation Rate: The SAARC member countries have maintained a low inflation rate during 1990
and 2008. Although inflation has increased during 2005 and 2008 but still low compared to other developing
countries. Calculated in terms of percentage change in Consumer Price Index (CPI), inflation rate in
Bangladesh has increased from 6.13 percent in 1990 to 7.1 percent in 2008, while in Bhutan it has
decreased from 10.0 percent in 1990 to 5.3 percent in 2008. In India, Maldives, and Nepal the rate of
inflation has decreased slightly during the analysis period. In Pakistan the rate of inflation has increased from
6.0 percent in 1990 to 8.1 percent in 2008. But in period 2005 and 2006 inflation rate in Pakistan has
declined from 9.3 percent to 7.9 percent respectively. (Economic Survey of Pakistan, 2009-10 and SHRDC,
2008) Figure 1 gives the details of inflation of each member country of SAARC.
Figure 1: Inflation Rate in SAARC Countries (1990-2008)
65
IFRBHU
IFRBA N
IFRIND
20
12
10
14
12
16
8
10
12
6
8
8
4
6
4
2
4
0
0
02
04
06
08
10
12
14
16
2
02
18
04
06
08
10
12
14
16
02
18
04
06
IFRNEP
IFRMA L
20
10
12
14
16
18
14
16
18
IFRPA K
36
25
08
14
12
32
15
10
28
10
8
24
5
6
20
0
4
16
-5
02
04
06
08
10
12
14
16
18
14
16
18
2
02
04
06
08
10
12
14
16
18
02
04
06
08
10
12
IFRSRI
24
20
16
12
8
4
02
04
06
08
10
12
Source: SHRDC (2008)
2.2. Unemployment Rate: In the SAARC region the level of poverty is high and disparities of
income, health and education are increasing. Despite high economic growth above the population growth
rate, unemployment is rising. Unemployment rate in Bangladesh has increased from 1.9 percent in 1990 to
4.1 percent in 2008. In Bhutan, rate of unemployment has increased from 1.9 percent in 1990 to 3.3 percent
in 2008. Maldives and Pakistan has increased from 0.87 percent and 6.3 percent in 1990 to 15.4 percent and
6.5 percent in 2008 respectively. While, in India, Nepal and Srilanka the unemployment rate is significantly
decreased during the said period. (Economic Survey of Pakistan, 2009-10 and SHRDC, 2008). Figure 2
gives the details of unemployment of each member country of SAARC.
66
Figure 2: Unemployment Rate in SAARC Countries (1990-2008)
UNBHU
UNBAN
UNIND
5.0
5.0
9
4.5
4.5
8
4.0
4.0
7
3.5
3.5
6
3.0
3.0
5
2.5
2.5
4
2.0
2.0
1.5
1.5
1.0
02
04
06
08
10
12
14
16
3
2
02
18
04
06
08
10
12
14
16
18
02
04
06
UNNEP
UNMAL
16
9
12
7
08
10
12
14
16
18
14
16
18
UNPAK
9
8
8
6
8
7
5
6
4
4
3
5
2
0
4
1
02
04
06
08
10
12
14
16
18
12
14
16
18
02
04
06
08
10
12
14
16
18
02
04
06
08
10
12
UNSRI
16
15
14
13
12
11
10
9
8
7
02
04
06
08
10
Source: SHRDC (2008)
3. DATA SOURCES AND METHODOLOGICAL FRAMEWORK
The data set for SAARC countries is collected from International Financial Statistics (IFS, 2008),
World Bank (WB, 2008), SAARC Human Resource Development Centre (SHRDC, 2008) and Asian
Development Bank (ADB, 2009).
A panel least square technique is used for analysis. The fixed effect model and random effect model
are used to calculate the country specific and time specific effects respectively.
3.1. Panel Econometric Model
There is lack of panel data model to explain the relationship between inflation rate and
unemployment. In this paper the following three separate methods: Pooled Ordinary Least Squares
(Common Constant Method), Fixed Effect [(i.e., the Least Squares Dummy Variables (LSDV)] and Dynamic
Model, which are used to test the relationship between inflation and unemployment in SAARC countries
during 1990-2008.
67
The common constant method (Pooled OLS method) of estimation present results under the principal
assumption that there are no differences among the data matrices of the cross-sectional dimension (N). In
other words, the model estimates a common constant method implies that there are no differences between
the estimated cross-sections and it is useful under the hypothesis that the data set is a priori homogenous.
However, this case is quite restrictive; therefore, the inclusion of fixed and random effects in the method of
estimation (see, Asteriou & Stephen, 2007).
The model used to test the relationship between inflation and unemployment is as follows.
IFR = f log [UN, IFR (-1)]
The general representation of the equation mentioned above is as follows.
IFRi t = C + β1tUN it + β 2t IFRi t −1 + ε t
(1)
Where:
IFRt = Inflation rate;
C= intercept;
UNt = Unemployment Rate
t = 1, 2…19 periods;
i = 1, 2…7 countries;
ε t = error term;
β1 = coefficient of unemployment;
β 2 = coefficient of inflation rate at first lag;
In the fixed effects method the constant is treated as group specific. This means that the model
allows for different constants for each group. The fixed effects estimator is also known as the least-squares
dummy variables (LSDV) estimator because in order to allow for different constants for each group, it
includes a dummy variable for each group.
Consider the following model below:
y it = ( β 0 + λi ) + β1 x1it + β 2 x 2it + β 3 x3it + ξ it
(2)
Where, λ now part of constant-but varies by individual.
To incorporate country specific effects, a fixed effects model could take a form:
IFRit = α it + β 1URit + β 2 IFRit −1 + u it
Where
αi
(3)
is a country effect
An alternative method of estimating a model is the random effects model. The difference between the
fixed effects and the random effects method is that the latter handles the constants for each section not as
fixed, but as random parameters. Hence the variability of the constant for each section comes from the fact
that:
a i = a + vi
(4)
68
Where,
vi is a zero mean standard random variable
The random effects model therefore takes the following form:
Yit = (a + vi ) + β1 X 1it + β 2 X 2it + ..... + β kit + u it
(5)
Yit = a + β1 X it + β 2 X 2it + .... + β kit + (vi + u it )
The random effects model has two advantages: it has fewer parameters to estimate compared to the
fixed effects method and allows for additional explanatory variables that have equal value for all observations
within a group (i.e., it allows to use dummies).
To incorporate both country and time effects, random effect model could take the form:
IFRit = α 0 + α i + θ t + β 1URit + β 2 IFRit −1 + u it
(6)
3.2. F-Test for Model Specification (Pooled OLS VS Fixed Effects)
Before assessing the validity of the fixed effects method, we need to apply tests to check whether
fixed effects i.e., different constants for each group, should indeed be included against the simple common
constant OLS method. The null hypothesis is that all the constants are the same (homogeneity) and that
therefore the common constant method is applicable:
H 0 : a1 = a 2 = ...a N
(7)
The F-statistic is:
F=
2
2
RFE
− RCC
/( N − 1)
2
(1 − RFE ) /( NT − N − K )
Where
(8)
2
2
coefficient of determination of the fixed effects is model and RCC is the coefficient of
RFE
determination of the common constant method. If F-statistical is bigger than the F-critical then we reject the
null hypothesis.
3.2.1
F-Test (Pooled OLS VS Random Effects)
The F-statistic is:
F=
2
2
RRE
− RCC
/( N − 1)
2
(1 − RRE ) /( NT − N − K )
Where
(9)
2
2
coefficient of determination of the fixed effects is model and RCC is the coefficient of
RFE
determination of the common effect method. If F-statistical is bigger than the F-critical then we reject the null
hypothesis.
3.2.2
F-Test (Fixed Effects VS Random Effects)
The F-statistic is:
69
F=
2
2
− RFE
RRE
/( N − 1)
2
(1 − RRE ) /( NT − N − K )
(10)
2
2
Where R FE coefficient of determination of the fixed effects is model and R RE is the coefficient of
determination of the random effect method. If F-statistical is bigger than the F-critical then we reject the null
hypothesis.
3.3. Hausman Test for Model Specification (Fixed Effects VS Random Effects)
The Hausman test is formulated to assist in making a choice between the fixed effects and random
effects approaches. Hausman (1978) adapted a test based on the idea that under the hypothesis of no
correlation, both OLS and GLS are consistent but OLS is inefficient, while under the alternative OLS is
consistent but GLS is not. More specifically, Hausman assumed that there are two estimators
the parameter vector
β
β€0
and β€1 of
and he added two hypothesis-testing procedures. Under null hypothesis, both
estimators are consistent but
β€0
is inefficient, and under alternative hypothesis,
β€1
is consistent and
efficient, but β€1 is inconsistent.
For the panel data, the appropriate choice between the fixed effects and the random effects methods
investigates whether the regressors are correlated with the individual effect. The advantage of the use of the
fixed effects estimator is that it is consistent even when the estimators are correlated with the individual
effects. The Hausman test uses the following test statistic:
(k )
H = ( β€FE − β€RE )′[Var ( β€FE ) − Var ( β€RE )]−1 ( β€FE − β€RE )......x 2
(11)
If the value of the statistic is large, then the difference between the estimates is significant, so we
reject the null hypothesis that the random effects model is consistent and we use the fixed effects estimators.
In contrast, a small value of the Hausman statistic implies that the random effects are more appropriate.
The random effect model could be written as:
IFRit = α + ni + β 1URit + β 2 IFRit −1 + u it
Where
(12)
ni is group specific random element
This paper uses a panel cointegration method to examine the long-run relationship between
unemployment rate and inflation rate in the selected SAARC countries. For this purpose three different panel
unit roots tests [(i.e. Levin-Lin- Chu (LLC) test, Im-Pesaran-Shin (IPS) test and Maddala-Wu (MW) test)] have
been used.
3.4. Panel Unit Root Tests
Panel unit root tests could be considered as an extension of the univariate unit root test. The LLC test
is based on the pooled panel data as follows (Levin & Lin, 1992);
∆y it = ρy it −1 + α 0 + σ t + σ i + θ t + ε it
Where
ρ,α 0 ,σ
are coefficients,
(13)
αi
is individual specific effect,
70
θt
is time specific effect.
According to Levin, Lin & Chu (2002), the LLC test could be conducted by the following steps. In
step1, subtract the cross-section average from data;
N
y = 1 / N ∑ y it
(14)
i =1
In step 2, apply an ADF test to each individual series and normalize the disturbance. The ADF model
could be expressed as;
Pi
∆y it = ρ i y it −1 + ∑ δ ij ∆y i ,t − j + α i + ε it
(15)
j =1
Maddala and Wu (1999) argue that this is equivalent to performing two auxiliary regressions of
∆y it
and y i ,t −1 on the remaining variable n equation (3). Let the residuals from these two regression be e€i ,t and
V€i ,t −1 respectively. The, regress e€i ,t on V€i ,t −1 .
e€i ,t = ρ iV€i ,t −1 + ε it
(16)
Levin & Lin (1992) suggest the following normalization to control the Heteroskedasticity in error.
1
(e€i ,t − ρ€i − V€i ,t −1 ) 2
∑
T − Pi − 1 t = p + 2
σ€2 ei =
e€i ,t
~
e=
σ€ei
v~i ,t −1
v~i ,t −1 =
σ€ei
In the next step, the LLC test statistic could be obtained from the following regression;
~
ei ,t = ρv~i ,t −1 + ε~i ,t
The t-statistic for testing
tδ =
o~ = 0 is given by
δ€
STD (δ€)
Where
N
δ€ =
T
∑ ∑ v€
i =1 t = 2 + p
e€
t −1 it
N
∑ ∑ v€
i =1 t = 2 + p
2
it −1
The paper also employs the IPS test which is based on the mean value of individual ADF statistics or
t-bar (Im, Pesaran and Shin, 2003). The IPS test provides separate estimation for each i section, allowing
71
different specifications of the parametric values, the residual variance and the lag lengths. Their model is
given by:
n
∆Yi ,t = α i + ρ i Yi ,t −1 + ∑ φ k ∆Yi ,t − k + δ i t + u it
(17)
k =1
While now the null hypothesis and the alternative hypothesis are formulated as:
H 0 : ρi = 0
H A : ρi < 0
for at least one i
Thus, the null hypothesis of this test is that all series are non-stationary process under the alternative
that fraction of the series in the panel are assumed to be stationary. IPS also suggested a group mean
Lagrange multiplier test for testing panel unit roots.
Maddala & Wu (1999) attempted to improve to the same degree the drawbacks of all previous tests
by proposing a model that could also be estimates with unbalanced panels. Basically, Maddala and Wu are
in line with the assumptions that a heterogeneous alternative is preferable, but they disagree with the use of
the average ADF statistics by arguing that it is not the most effective way of evaluating stationary.
3.5. Panel Cointegration Tests
Finally, this paper employs Pedroni’s (1999, 2004) panel-co integration method in order to examine
the long-run relationship between unemployment and inflation. If the independent and dependent variables
are co-integrated or have a long-run relationship, the residual eit will be integrated of order zero, denoted
I(0). Pedroni uses two types of panel cointegration tests. The first is the “panel statistic” that is equivalent to a
unit root statistic against the homogenous alternative; the second is the “group mean statistic” that is
analogous to the panel unit root test against the heterogeneous alternative. Pedroni (2004) argues that the
“panel statistic” can be constructed by taking the ratio of the sum of the numerators and the sum of the
denominators of the analogous conventional time series statistics. The “group mean statistic” can be
constructed by first computing the ratio corresponding to the conventional time series statistics, and then
computing the standardized sum of the entire ratio over the N dimension of the panel. This paper uses two
panel co-integration tests as suggested by Pedroni (1999, 2004), namely the “panel ADF statistic” and
“group mean ADF statistic”. The two versions of the ADF statistics could be defined as:
N
2
Z t = (~
s NT
∑
Panel
i =1
2
N
i ,t −1
t =1
) −1 / 2 ∑
i =1
T
∑ e€
t =1
i ,t −1
N
T
T
i =1
t =1
t =1
∆e€I ,T
N −1 / 2 Z T = N −1 / 2 ∑ (∑ s€i e€i2,t −1 ) −1 / 2 ∑ e€i ,t −1 ∆e€i ,t
Group Mean
Where
T
∑ e€
(18)
(19)
s NT is the contemporaneous panel
e€i ,t represents the residuals from the ADF estimation, ~
variance estimator, and
s€i is the standard contemporaneous variance of the residuals from the ADF
regression. The asymptotic distribution of panel and group mean statistics can be expressed in:
K N ,T − µ N
v
⇒ N (0,1)
72
µ m ADF regression is the
mean term and v is the variance adjustment term. Pedroni provides Monte Carlo estimates of µ and v
Where K N ,T is the appropriately standardized form for each of statistics,
(Pedroni, 1999)].
These statistics are based on the estimated residuals from the following regression:
ln( P ) i ,t = v i + ϑi ln(G ) i ,t + δ i ln( I ) i ,t + ξ i ,t
Where
ξ it = η i ξ i (t −1) + µ it
hypothesis tested is whether
are the estimated residuals from the panel regression. The null
η i unity
is. The finite sample distribution for the test statistics have been
tabulated in Pedroni (2004) using Monte Carlo simulations, if the test statistic exceeds the critical values in
Pedroni (2004), the null hypothesis of no cointegration is rejected, implying the variables are cointegrated.
4. RESULTS AND DISCUSSION
4.1. Panel Econometric Results
The results are given in Table 1; appear to be very good in terms of the usual diagnostic statistics.
2
The value of R adjusted for pooled OLS indicates that 81.9% variation in dependent variable has been
explained by variations in independent variables. F-value is higher than its critical value suggesting a good
overall significance of the estimated model. Therefore, fitness of the model is acceptable empirically.
Fixed effects model captures all effects which are specific to particular individual countries which do
not vary over time. The findings of fixed effects method are given in Table 1 above. Adjusted R-square has
quite high value showing strong relationship between the variables. Incorporating for country effects causes
R-square to increase to 87.0%. Random effect model captures both country and time effects. Incorporating
for both country effects and time effects leads to R-square up to 89.4%.
Table 1: Pooled Least Square, Fixed Effect and Random Effect of Selected SAARC Countries
Dependent Variable: IFR it
Variables
Pooled OLS
Fixed Effect
Random Effect
1.149119
(1.556)
0.921749*
(23.617)
-0.061996
(-0.663)
6.660334
(6.140)*
0.440862
(5.438)*
-0.173028
(-1.547)
1.178490
(1.568)
0.924306
(24.030)*
-0.072796
(-0.790)
R-squared
0.822536
0.896449
0.917382
Adjusted R-squared
0.819650
0.870561
0.894575
F-statistic
285.0485
34.62823
294.7782
Prob.(F-statistic)
0.000000
0.000000
0.000000
C
IFR it −1
UN it
Diagnostic Tests
73
4.2. F-Test for Model Specification
To compare the pooled OLS model with the fixed effect and random effect model, the results in Table
2, seems to indicate that the fixed effect analysis is better than the pooled OLS model. Similarly, Random
effect model is better than the fixed effect model; therefore, we can conclude that the inflation rate in the five
selected SAARC countries is apparently influenced by both country and time effects.
Table 2: F-Test for Model Specification
Pooled OLS Vs. Fixed Effects
Pooled OLS
Effects
13.84*
21.75*
Vs.
Random
Fixed Effects Vs. Random
Effects
8.71*
Comparing the fixed effects model with the random effects model, the Hausman Test indicates that
the random effects model is a better choice for the analysis, as shown the value of H = 53.63* which
indicates significance at the 0.01 level. As the random effects model shows, unemployment is strongly
influenced by both the country specific shocks and the time specific effects over the period. The empirical
findings show that unemployment rate is insignificant relationship with dependent variable. This fact seems
to indicate hat the there is no trade-off relationships between the unemployment rate and the inflation rate in
these SAARC countries. In short, there is no “common” Phillips curve in the region.
The results of the panel unit root tests are presented in Table 3. We begin by testing whether UR and
IFR contain a panel unit root, using the panel unit root tests proposed by Levin, Lin, Chu Test (2002), Im,
Pesaran & Shin (2003) and Maddala & Wu (1999). The results are divided into three panels. Panel A
consists of results from the Levin, Lin, Chu Test (2002); Panel B consists of the results from the Im, Pesaran
& Shin (2003) test and panel C consists of results from the Maddala and Wu (1999) test. For each of these
tests, *, ** and *** indicates the statistical significance at 1 percent; 5 percent and 10 percent respectively.
Table 3: Panel Unit Root Test
Levels
Individual Effects
Individual Effects
and
Linear
Trends
First Differences
Individual Effects Individual Effects
and
Linear
Trends
Panel A: Levin, Lin, Chu Test (2002)
IFR
-3.333*
-3.349*
UN
-2.455*
-1.595***
Panel B: Im, Pesaran, Shin Test (2003)
-10.394*
-9.783*
-5.338*
-8.985*
IFR
-2.772*
UN
-1.342***
Panel C: Maddala and Wu (1999)
-2.350*
-0.005
-9.605*
-7.694*
-6.041*
-6.876*
30.457*
26.255*
24.284**
14.631
indicates significance at the 0.01 level.
Indicates significance at the 0.05 level.
Indicates significance at the 0.10 level.
96.045*
75.546*
60.848*
62.808*
IFR
UN
*
**
***
The results from all three tests, with or without linear trends; suggest that UR and IFR does not
contain a panel unit root. There is strong evidence of a stationary process for both inflation rate and
unemployment rate at levels. This means that the both variables could be considered as integrated of order
zero, i.e., I (0). Thus, this paper could not apply panel cointegration methods to examine the long-run
relationship between the UN and IFR.
74
The main contribution of this paper is to add some values to the existing literature in the use of panel
data analysis. This paper aims to contribute methodologically to the literature in the specific context of
SAARC region.
5. CONCLUSION
This paper uses three different panel data methods i.e., Pooled OLS, Fixed Effects Model and
Random Effects Model to examine the relationship between the unemployment rate and inflation rate
(Phillips Curve) in seven selected SAARC countries (i.e., Bangladesh, Bhutan, India, Maldives, Nepal,
Pakistan and Srilanka). Specification tests i.e., F-test and Hausman test, both indicates that the random
effect model could be considered as the best model to examine the relationship between them.
The random effect model shows that there is no significant relationship between inflation rates and
unemployment rates, however, expected inflation rate significant at 0.01 levels. Therefore, it is concluded
that there is no such trade-off exists between the both variables. Empirically, the current paper did not
support the existence of a Phillips curve in the SAARC region. Furthermore, the panel unit root tests show
that both inflation and unemployment rates are integrated of order zero, therefore, the paper could not use
panel cointegration methods to examine the long-run relationship between them. Future research may
incorporate with other variables such as output gaps, to examine the “Common Phillips Curve" in the region.
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76
THE INFLUENCE OF CORPORATE ATTRIBUTES ON EXTENT OF DISCLOSURE: EVIDENCE FROM
INDIAN COMPANIES
Dr. Poonam Mahajan, Lecturer, Department of
Business Management, Guru Nanak Dev
University, Regional Campus
Gurdaspur (India)
[email protected]
+91-94634-21921
Dr. Subhash Chander, Professor of Accounting
and Strategic Management, Department of
Commerce & Business Management, Guru
Nanak Dev University, Amritsar (India)
[email protected]
+91-98140-01493
Abstract
This study empirically examines the association of corporate disclosure with corporate attributes,
such as size of a firm, its profitability, leverage, listing category, shareholding pattern, age, audit firm size,
nature of an industry and residential status of a company It is based on a sample of 277 companies
drawn from BT-500 companies (Nov. 2004 issue) on the basis of market capitalisation. The annual
reports for the financial year 2005-06 are the major source of data collection. Pearson correlation product
moment matrix was used to check the multicolleanarity between independent variables. Univariate and
Backward stepwise multiple regression analysis revealed that significant association exists between
corporate attributes namely size of a firm, its residential status, audit firm size and nature of an industry
and disclosure level. However, no significant association was found between disclosure score and
profitability of a firm, it listing category, leverage, shareholding pattern and age of a company.
Keywords: Corporate disclosure, Financial Reporting, Corporate attributes, Content Analysis
JEL Classification: M41.
1. Introduction
This study empirically examines the association of corporate disclosure with corporate attributes,
such as size of a firm, its profitability, leverage, listing category, shareholding pattern, age, audit firm size,
nature of an industry and residential status of a company.
Corporate Disclosure which is also known as Financial Reporting, Corporate Reporting and
Disclosure means conveying relevant, reliable, adequate, material financial and non-financial information
by an entity to various users. It has gained significance during recent years and become an area of
concern for researchers, academicians and regulators of various developed (Depoers, 2000; Gelb and
Zerowin, 2000; Robb, Single and Zarzeski, 2001; Bujaki and McConomy, 2002 and Chavent et al., 2005)
and developing nations (Ahmed, 2005; Ghazali and Wheetman, 2006; Hossain and Taylor, 2006; Barako,
2007; Lopes and Rodrigues, 2007; Wang et al. 2008; Hossain & Hammami, 2009).
The financial reporting behaviour of publicly listed companies is of primary importance to
international portfolio investors and creditors (Craig and Diga, 1998:248). The information disclosure in
itself can be a strategic tool, which enhances a company’s ability to raise capital at the lowest cost
possible (Healy & Palepu 1993; Lev 1992). Empirical evidence suggests that increased information
disclosure reduces a firm’s cost of capital (Barako, 2007; 113-14) by reducing information asymmetry
(Jensen & Meckling 1976) and thus a higher stock price ((for a given level of earnings) Botoson,
2000:60).
The challenges faced in the corporate disclosure are now greater than ever (Hutton, 2004:8). The
globalisation of Indian economy and subsequent entry of Foreign Institutional Investors (FIIs) demand for
more disciplined financial reporting (Mathew, 1999:373). Globalisation of capital markets has been
accompanied by calls for globalisation of financial reporting (Healy and Palepu, 2000: 42). Greater
transparency and better disclosure keep corporate stakeholders better informed about the way company
is being managed. It may be viewed as a special protection instrument that investors and creditors (banks
77
in particular) have at their disposal to protect their interest (Farina, 2005:6; Litan, 2005:8) and for a stable
and efficient capital market (Financial Accounting Standards Board, 1984; Xiao, 1999:349; Chen, Chen
and Su, 2001:2, Patel and Dallas, 2002: 5).
Besides investors, financial disclosure is significant from the point of view of large number of
other potential users. These include in addition to present and future investors, employees, suppliers,
creditors, management, customers, financial analysts, advisors, brokers, underwriters, stock exchange
authorities, legislators, financial press, reporting agencies, labour unions, trade associations, business,
researchers, academicians and above all the public at large.
Disclosure in the Indian corporate sector has gained increasing significance during the last two
decades after introduction of economic and financial reforms, allowing the foreign institutional investors to
enter the Indian capital market and efforts by the regulatory authorities to bring Indian corporate sector in
line with standards of International business community. Thus, globalised Indian economy demands for
globalised financial reporting structure.
2. Theoretical Background
Various theories support the reasons for a company to disclose information to the public at large.
The major objective of disclosure is to bridge the information gap between shareholders (principal) and
managers (agent) by providing the former with the relevant, timely and useful information for investment
decision-making. The other objective is to mitigate the level of insider trading or reduce rumours and
minimise the scandals in the capital market.
The agency theory gives explanation with reasons as to why information disclosure is made by
the managers (see e.g. Firth, 1979; Chow & Wong-Boren, 1987; Cooke 1989, 1991, 1992; Hossain et al.,
1994). Managers in the knowledge that shareholders will seek to control their behaviour through bonding
and monitoring activities may have an incentive to try and convince shareholders that they are acting
optimally and disclosure may be a means of achieving this. Theory predicts that agency costs will vary
with different corporate characteristics such as; size (although some authors, such as Ball & Foster, 1982;
question this), leverage and listing status. The political costs also influence the financial information
disclosure. The companies which are politically visible and subject to high political costs may employ
financial information to avoid these risks and may also execute accounting changes to reduce such risks
or even costs (Holthausen and Leftwich, 1983).
A company might follow the signalling theory to explain the financial information policy of a firm.
The existence of information asymmetry between the firm and investors may produce the problem of
adverse selection (Akerlof, 1970:493; cited by Inchausti, 1997:52). The firms may use financial
information to indicate underlying reality and to influence external users in their decision-making
(Inchausti, 1997:52). It may be argued that only good firms will use this instrument because if later on the
signals were found to be incorrect the market would punish the firms (Morris, 1987:48; cited by Inchausti,
1997:52).
The proprietary cost theory explains that the managers may withhold information for the fear of
competitive disadvantage. Disclosure cost or proprietary cost including preparing and disseminating
information as well as competitive disadvantage is important in making decision regarding information
disclosure. ‘In effect a proprietary cost introduces noise into the model by extending the range of possible
interpretations of withheld information which is actually favourable’ (Verrecchia 1983:182). The
proprietary costs decrease with the increase in the size of a firm. Thus, it is optimal to produce more
information to avoid traders reacting negatively to the withholding of information.
78
2.1 Review of Literature
Corporate disclosure is an important area of financial reporting and several studies have
examined the association between corporate characteristics and disclosure in the annual reports in the
past. A snapshot of the empirical studies reviewed for the present study has been presented in table 1.
Table 1 Empirical Studies on the Determinants of Corporate Attributes
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
31
Cerf
(1961)
1960
527
USA
Singhvi
(1968)
19631965
45
India
34
Singhvi and
Desai
(1971)
1965
155
USA
34
Buzby
(1974)
19701971
88
USA
39
Buzby
(1975)
Barrett
(1975)
1970 1971
19631972
88
USA
103
USA, UK,
France,
Germany,
Sweden,
Japan, and
Netherlands
38
Stanga
(1976)
1972 1973
80
USA
79
Singh and
Gupta
(1977)
1976
28
(22=private,
06= public)
32
17
Independent
variables
Statistical
techniques
used
Significant
explanatory
variables
Size, Listing
Status, and
profitability
Size, rate of
return, earnings
margin, audit
firm, type of
management,
number of
stockholders
Size, number of
shareholders,
listing status,
size of auditing
firm, rate of
return and
earnings margin
No variables
identified
Regression
Analysis
Size,
Listing Status
Univariate
Size,
management,
number of
stockholders
Univariate
&
Multivariate.
Size of a firm,
Listing status
Mean and ttest
Size, listing
status
No variables
identified
Univariate
No adequate
disclosure by
small and
medium sized
firms in
sample.
Size
Size, industry
Univariate
&
Multivariate
Descriptive
Statistics
Age, earning
margin, rate of
return, size of a
79
Descriptive
Statistics
Disclosure
improved
throughout
years of study.
Wide variances
exist between
disclosure
levels of USA,
UK from other
five nations.
INDUSTRY
Disclosure
level of public
companies is
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
India
Singh and
Bhargava
(1978)
Firth
(1979)
McNally et
al. (1982)
1977
Firth
(1984)
Lal
(1985)
1976
1976
1979
1965 &
1975
40
(Public)
India
140
UK
103
New Zealand
35
180
UK
180
India
48
Independent
variables
company,
number of
shareholders,
audit firm size
and ownership
pattern.
Organisational
pattern, nature of
industry.
Size, listing
status, audit firm
Size of a firm,
rate of return,
growth, audit firm
size, and
industry
Stock market risk
48
41
50
Size of a
company,
earning margin,
nature of
industry,
association with
business house.
80
Statistical
techniques
used
Significant
explanatory
variables
more.
Age, number of
shareholders,
and ownership
pattern.
Descriptive
Statistics
Nature of
Industry.
Univariate
Size, listing
status
Size
Univariate
Linear
regression
Linear
regression
No significant
relation
Disclosure
level improved
in 1975 over
1965.
A
positive
association
was
found
between size
of company (as
measured by
assets),
earnings
margin
and
nature
of
industry
and
association
with
large
industrial
house
and
extent
of
disclosure.
However, the
‘size
of
company’
possessed
a
better
association
with the extent
of
disclosure
than the other
three variables.
Author
Period
of
study
Sample
size/Country
of the study
Garg
(1986)
1979
51
India
Chow and
Wong-Boren
(1987)
Cooke
(1989)
1982
52
Mexico
24
1985
90
Sweden
224
Cooke
(1989)
1985
90
Sweden
146
Tai et al.
(1990)
Cooke
(1991)
1987
76
Hong Kong
48
Japan
11
Chander
(1992)
19811985
50 (Public
& Private
sector each)
India
92 (public),
98
(private)
Size, profitability,
age of a
company, and
nature of
industry
Cooke
(1992)
Cooke
(1993)
Malone et
al. (1993)
1988
35
Japan
48
Japan
125
USA
165
Size, listing
status, industry
Listing status
Multivariate
Stepwise
regression
model
Listing status,
leverage, size
Ahmed and
Nicholls
(1994)
1988
63
Bangladesh
94
Size, listing
status, leverage,
profitability, audit
firm
Size, leverage,
audit firm,
multinationalty,
qualification of
the chief
accountant
Univariate
&
Multivariate
Multinationality,
accountant’s
qualification,
size
1988
1988
1986
No. of
disclosure
items in
the
disclosure
index
Not
specified
106
195
129
81
Independent
variables
Statistical
techniques
used
Significant
explanatory
variables
No variables
identified
Descriptive
Statistics
Size, leverage,
proportion of
assets in place
Listing status,
parent company
relationship,
size, number of
shareholders
Listing status,
parent company
relationship,
size, nature of
industry
Size, industry,
audit firm
Size, listing
status, industry
Multivariate
(linear
regression)
Multivariate,
three
regression
models
Extent of
statutory
disclosure is
more than
voluntary
disclosure
Size
Listing status,
size
Univariate
and Stepwise
Multivariate
regression.
Univariate
Listing status
Univariate
&
Multivariate.
Multivariate
Size, listing
status.
Univariate
Size
Disclosure
level of both
the sector
giants
improved in
1985 over
1981. Size,
Profitability
(only in one
year)
Size, listing
status, industry
Listing status
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
78
Hossain et
al. (1994)
1991
67
Malaysia
Wallace et
al. (1994)
1991
50
Spain
16
Hossain et
al. (1995)
1991
55
New
Zealand
95
Meek et al.
(1995)
1994
85
Raffournier
(1995)
1991
116 (US)
64 (UK)
16(France)
12
(Germany)
18
(Netherlands)
161
Switzerland
Wallace and
Nasser
(1995)
1991
80
Hong Kong
142
Ahmed
(1996)
1988 &
1993
118
Bangladesh
150
Marston and
Robson
(1997)
Inchausti
(1997)
19831990
29
India
17
198991
138
Spain
50
30
82
Independent
variables
Statistical
techniques
used
Significant
explanatory
variables
Size, ownership
structure,
leverage, assets
in place, audit
firm, listing
status
Size, listing
status, leverage,
profitability, audit
firm, liquidity
Size, leverage,
assets in place,
audit firm, listing
status
Size, country
origin, industries,
leverage,
multinationality,
profitability,
listing status
Univariate
&
Multivariate
Size,
ownership
structure,
listing status
Multivariate
Size, listing
status, liquidity.
Multivariate
Size, leverage,
listing status
Linear
regression
Size, country,
listing status
Company size,
leverage,
profitability,
ownership
structure,
internationality,
auditor size,
industry type
Foreign
registered office,
profit margin,
earnings return,
liquidity ratio,
leverage, size,
outside
shareowners,
conglomerates,
audit firm
Size, leverage,
audit firm size,
multinational and
qualification of
accountants.
Size, change in
time
Univariate
& Multiple
linear
regressions
Size,
internationality
Multivariate
Size,
Conglomerates
and profits.
Regression
(Logarithms
of odds
ratio)
Audit firm size
and
multinational.
Univariate
Size
Size, listing
status,
Multivariate
Size, auditing,
listing status,
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
Independent
variables
profitability,
leverage, audit
firm, industry,
dividend payout
Size, profitability
(ROE), risk
factors (the
percentage of
intangible assets,
and leverage
ratio), other
monitoring
factors (listing
status, big six
auditing firms,
industry)
Size, country of
origin and debtequity ratio
Statistical
techniques
used
and profitability
Patton and
Zelenka
(1997)
1993
50
Czech
Republic
66
Craig and
Diga
(1998)
1993
145
ASEAN
530
Kohli
(1998)
199091 and
199495
212
Size of a
company,
profitability, age,
nature of industry
and audit firm
size.
Step-wise
regression
OwusuAnsah
(1998)
1994
90
(41 for the
year 1990-91
and 60 for
the year
199495=Indian,
30=USA)
49
Zimbabwe
214
Size, ownership,
age, multinational
affiliation,
profitability, audit,
industry, liquidity
Multivariate
Chen and
Jaggi (2000)
1993,
1994
87
Hong Kong
142
OLS
regression
Depoers
(2000)
1995
102
France
65
Independent
non-executive
directors, family
control,
profitability,
leverage, size,
audit firm
Firm size, foreign
activity,
ownership
structure,
leverage, size of
auditing,
proprietary costs
related to
83
Significant
explanatory
variables
Univariate
& Multiple
linear
regressions
Type of
auditor,
number of
employees,
listing status,
profitability
(ROE).
Multivariate
Size, country of
origin and
debt-equity
ratio
Size, age, audit
firm size and
nature of
industry.
Multivariate
Size,
ownership,
age,
multinational
affiliation
profitability.
Independent
non-executive
directors
Foreign activity
and size
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
Gelb and
Zerowin
(2000)
19801993
82
USA
AIMR-FAF
disclosure
scores
Jaggi and
Low (2000)
1991
28
(from 28
countries)
90
Ho and
Wong
(2001)
1998
98
Hong Kong
20
Robb,
Single, and
Zarzeski
(2001)
1995
53
(Australia),
69 (Canada),
70 (USA).
67
Bujaki and
Mc Conomy
(2002)
1997
272
Canada
25
Chau and
Gray (2002)
1997
62
Hong Kong
Singapore
110
Ferguson et
al. (2002)
1995/96
142
Hong Kong
93
Independent
variables
competition,
labor pressure
Informativeness
of stock prices
Cultural, legal
and financial
variables (firm
size, leverage,
capital markets,
multinationality of
firms).
Independent
non-executive
directors, audit
committee,
dominant
personalities,
family + control
variables
Size of a
company,
Geographical
dispersion,
Cross-country
listing, industry
type, and country
of domicile.
Size, Financial
condition,
leverage, share
issue, unrelated
directors,
regulated
industries.
Ownership
structure, size,
leverage, audit
firm, profitability,
multinationality,
industry
Firm type, size,
leverage,
industry, listing
84
Statistical
techniques
used
Significant
explanatory
variables
Multiple
regression
model of
Collins,
Kothari,
Shanken
and Sloan
(1994)
Univariate
&
Multivariate
Stock prices
Multivariate
Audit
committee,
family
Unrelated
Regression
tests
Size of a
company,
Geographical
dispersion
Linear
regression
Unrelated
directors,
leverage.
Multivariate
Ownership
structure
Univariate
&
Multivariate
Firm type,
leverage (type
of disclosure)
Common law,
culture, and
leverage.
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
Haniffa and
Cooke
(2002)
1995
167
Malaysia
65
Archambault
and
Archambault
(2003)
1992,
1993
621
(From 33
countries)
85
Eng and
Mak (2003)
1995
158
Singapore
84
Cahan,
Rahman
and Perera
(2005)
Ahmed
(2005)
1998 or
1999
216
(From 17
Countries)
2002
Ahmed
(2005)
2002
Independent
variables
status
Corporate
governance,
cultural and firm
specific
Statistical
techniques
used
Significant
explanatory
variables
Linear
regression
Family
members
sitting on
board, nonexecutive
chairman
Cultural and
multinational
orientations,
social system,
firm size,
number of
industries,
foreign sales,
and listing on
foreign
exchanges.
Cultural, national,
corporate
financial and
operating
systems
(Block
ownership,
foreign exchange
listing, dividend
policies, auditor
choice, firm size,
foreign sales,
number of
industries, and
use of debt).
Ownership
structure, board
composition
Multivariate
Botosan’s
(1997)
index
Global
diversification
OLS
regression
100
(Non
financial
listed
companies)
India
12
Industry type
Descriptive
statistics
100
(Non
financial
listed
companies)
148
Company’s
trading category
Descriptive
statistics
85
OLS
regression
Lower
managerial
ownership,
government
ownership,
outside
directors, lower
debt
Global
diversification,
number of
analysts size
Level of
reporting
voluntary
information is
low but
variability in
disclosure is
wide among all
sectors in
industry.
Company’s
trading
category
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
Independent
variables
Statistical
techniques
used
Significant
explanatory
variables
Ahmed &
Karim
(2005)
2003
Bangladesh
188
Bangladesh
411
Size, profitability,
stock exchange
security category,
audit firm size
and its
international link
and multinational
subsidiary.
Multivariate
94
Bangladesh
160
Multivariate
2003
40
Saudi Arabia
20
Multivariate
Size of firm
Chavent et
al. (2005)
2001
100
France
14
Ghazali &
Weetman
(2006)
2001
87
Malaysia
53
Hossain and
Taylor
(2006)
1993
261
Bangladesh,
India, and
94
Size of a firm,
age, Industry
type, and
profitability.
Size of firm,
age, debt ratio,
ownership
dispersion, profit
margin, return on
equity, liquidity
ratio, industry
type, audit firm
size.
Provision
intensity, Size of
a company,
leverage,
profitability,
industry type,
market
expectation for
firm’s future
growth and
performance of a
company.
Ownership
structure, Board
structure,
Industry
Competitiveness,
size, profitability,
gearing ratio,
and financial
year-end.
Size,
profitability,
debt/equity ratio,
Size,
profitability,
stock
exchange
security
category, audit
firm size and
its international
link and
multinational
subsidiary.
Size of a firm.
Akhtaruddin
(2005)
1999
Alsaeed
(2005)
86
DIV
(Divisive
Cluster
Analysis)
Provision
intensity, Size,
leverage and
market
expectation for
firm’s future
growth.
Step-wise
Regression
Ownership
structure,
Board
structure, size,
and
profitability.
Multivariate
Size (total
assets),
subsidiary of a
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
Pakistan
Independent
variables
Statistical
techniques
used
presence of
debenture in
debt,
international link
of the audit firm,
industry type,
subsidiary of a
multinational
company.
Sehgal,
Bhalla and
Bhalla
(2006)
2005
75
India
52
Age, Profitability,
Size of a
company.
Barako
(2007)
19922001
43
Listed on
Nairobi Stock
Exchange
(NSE)
47
Corporate
governance traits
(board
composition,
board leadership
structure, board
size, and board
audit committee),
Ownership
structure
(Shareholders
concentration,
foreign
ownership, and
institutional
ownership), Firm
characteristics
(Firm size,
leverage,
external audit
firm, liquidity,
industry type).
87
Average
Score, ttest, Karl
Pearson
coefficient
of
correlation,
and Yule’s
coefficient
of
Association.
Pooled
ordinary
least
squares
with Panelcorrected
standard
errors
Significant
explanatory
variables
multinational
company
(Bangladesh),
Presence of
debenture in
debt, industry
type, Size
(total sales),
profitability
(ROA) (India)
and assets-inplace, size
(total assets),
presence of
debenture in
debt (Pakistan)
No significant
association.
Board
leadership
structure,
board audit
committee,
Shareholders
concentration,
foreign, and
institutional
ownership,
Firm size,
external audit
firm.
Author
Period
of
study
Sample
size/Country
of the study
No. of
disclosure
items in
the
disclosure
index
90
Mahajan
and
Chander
(2007)
2005
50
India
Lopes and
Rodrigues
(2007)
2005
Listed
companies in
Portuguese
54
Wang et al.
(2008)
2005
110
China
79
Hossain &
Hammami
(2009)
2008
25
Qatar
44
Independent
variables
Statistical
techniques
used
Significant
explanatory
variables
Age, size of a
firm, profitability,
leverage, listing
status,
shareholding
pattern, audit
firm size, and
residential status
of a firm.
Size, industry,
auditor type,
listing status,
multinationality,
capital (finance)
structure, and
corporate
governance.
State and foreign
ownership, firm
performance
(ROE), auditor
type, cost of
debt.
Age, size,
profitability,
complexity and
assets-in-place.
Multivariate
and
Stepwise
regression
Size of a firm,
its profitability,
and audit firm
size.
Multiple
regression
Size, auditor
type, listing
status, and
economic
sector
Multiple
regression
State and
foreign
ownership, firm
performance
(ROE) and
auditor type
Age, size,
complexity and
assets-inplace.
OLS
regression
Table 1 reveals that the studies related to annual report disclosure and its association with
corporate attributes have been carried out in various developed and developing countries. So, it appears
to be a burning issue in the present competitive business environment. Cerf (1961) brought about ignite
revolution in the field of reporting practices by explaining size and listing status of a company to be the
most important determinants of the corporate disclosure practices in the USA. Afterwards, several
corporate attributes were examined in annual report disclosure studies by taking into consideration the
research objectives. The characteristics most frequently studied are corporate size, its listing status,
leverage, profitability and size of an audit firm. Explanations for these firm characteristics include agency
costs, proprietary costs, political costs, corporate governance, monitoring, signalling, information
asymmetry, capital needs, litigation costs and an audit firm’s reputation.
3. Need and Objectives of the Study
During the last two decades corporate disclosure worldwide, especially, in case of India has
undergone a sea change. The focus of the corporate annual reports has been on the issues, such as,
Derivatives Accounting; Accounting for Leases; Extraordinary and Non Operating Income and Expenses;
Results from Discontinued Operations; Disclosure of Accounting Policies; Consolidation of Accounts;
Segment Reporting; Deferred Tax Accounting; International Transactions; Combinations, Joint Ventures
and Related Party Transactions; Corporate governance; Management Discussion and Analysis; EVA and
MVA; Intrnational Financial Reporting Standards; Valuation of Intangibles; XBRL- New language of
88
Business Reporting; Web Reporting; Investment in ADRs/GDRs and now IDRs; Knowledge Management
and Sustainability reporting and Environmental issues, etc.
The narrative review of prior studies also indicates that very few studies have been conducted in
India to examine the relationship of corporate disclosure and corporate and audit specific attributes (For
details, see Singhvi, 1968; Garg, 1985; Chander, 1992; Joshi and Abdulla, 1994; Marston & Robson,
1997; Kohli, 1998; Singh, 1999; Ahmed, 2005; Hossain and Taylor, 2006 and Mahajan & Chander, 2007).
Further, inconclusive evidence has been observed about the association between disclosure levels and
leverage of a firm, its profitability, size of audit firm, nature of industry, age of a firm, residential status of a
firm and its shareholding pattern. There is also variability across studies regarding an association
between disclosure levels and corporate size of a firm and its listing status. So, the need was felt to study
the relationship between these corporate specific variables and the extent of disclosure of the selected
companies in India.
Thus, the objective of the study is to examine the impact of various corporate attributes such as;
age, size, profitability, leverage, listing category, shareholding pattern, residential status of a firm, nature
of the industry and audit firm size on the extent of disclosure by the selected companies in India.
4. Data Base and Methodology
BT-500 private sector companies rated on the basis of their market capitalisation constitute the
universe of this study (BT-500 companies, Business-Today, Special issue-November 7, 2004).
The following filters were applied to select the sample:
I.
II.
III.
IV.
The companies belonging to the financial service sector were eliminated because of differences
in their reporting practices.
The companies whose annual reports were not available for the year 2005-06 were not
considered.
The companies not existing in PROWESS database of CMIE (Center for
Monitoring Indian
Economy) were eliminated.
The companies whose financial year ends other than on March 31 and December 31, 2006 were
eliminated.
Thus, as a result of these filters, a sample of 277 companies was selected and studied for the
year 2005-06 to analyse the impact of corporate- specific variables on the disclosure practices of
selected companies in India.
The annual reports of the selected companies for the year 2005-06 are the major source of data
collection. The data related to corporate and audit specific attributes for the financial year 2005-06 has
been taken from PROWESS database of CMIE (Center for monitoring Indian economy).
The quantum of disclosure in the annual reports of the selected private sector Indian companies
has been studied by framing an index of disclosure. The items of information for constructing an index of
disclosure was selected on the basis of the review of literature on corporate disclosure, criteria laid down
by ICAI for selecting the best presented published accounts, scanning the annual reports of the
companies which have been awarded by ICAI for their best presented published accounts for the year
2004-2005 and discussions with professionals and academicians.
A total of 87 items of information were included in the index of disclosure. The index of disclosure
comprises of both voluntary and mandatory items of information. A checklist of the same has been
provided in the appendix I. The unweighted disclosure score has been used for the present study.
Content Analysis was used to find the disclosure of items included in the index of disclosure and coded
as 1 if disclosed or 0 if not disclosed.
89
The company-wise disclosure, which is a dependant variable in this study, has been calculated
by dividing the total disclosure score obtained by a company during a particular year by the total possible
disclosure of items of information for that year. The disclosure score has been calculated in percentages
so as to make the disclosure of the companies comparable.
The Product moment correlation coefficient analysis, Univariate and Backward step-wise
regression analysis have been used to analyse the impact of corporate specific attributes on the extent of
disclosure of selected companies in India for the period of the study.
5. Hypotheses Development and Independent Variables
Based on evidences from the prior literature , the hypotheses related to the size of a firm, its
profitability, listing category, leverage, shareholding pattern, age, audit firm size and nature of industry
tested in this research are derived from an application of agency theory, political cost theory, capital need
theory and signalling theory.
5.1. Size of a Firm
The bigger companies have higher level of internal reporting (Cerf, 1961; Buzby, 1975 and
Owusu-Ansah, 1998), more resources and expertise (Ahmed & Nicholls, 1994 and Hossain & Adams,
1994) and competitive advantage (Raffournier, 1995) over small firms. So, they make more disclosure to
minimise agency costs, information asymmetry (Jensen & Meckling 1976), political costs (Firth, 1979;
Watts and Zimmerman, 1990) and to meet capital funds requirements (Cerf, 1961). Several measures of
size are available in the literature. The total sales, total assets and market capitalisation are used as
7
surrogates of size of a firm in this study . Thus, the theoretical and empirical evidences (given in table 1)
support the positive association of size of a firm with disclosure. The first hypothesis is:
H1: The size of a company as measured by total assets or total sales or total market
capitalisation has a positive impact on its disclosure score.
5.2.
Profitability of a Firm
Agency theory suggests that managers of very profitable firms use external information in order to
obtain personal advantages. Therefore, they disclose detailed information in order to support the
continuance of their positions and compensation arrangements (Inchausti, 1997). The signalling theory
implies that owners are interested in giving good news to the market in order to avoid the under valuation
of their shares. Wallace and Naser (1995) argue that a profitable company is more likely to signal its good
performance to the market by disclosing more information in its annual report. Political process theory
argues that firms with huge profits will be interested in disclosing more information in order to justify the
level of profits. Researchers have used a number of measures to determine the association between
profitability and disclosure levels. The return on assets, returns on sales, return on net worth and return
8
on capital employed have been used as a determinant of profitability and its association with the level of
disclosure in the present study. The hypothesis tested is:
7 Total Sales
Total Assets
Market Capitalisation
2 ROA
ROCE
RONW
ROS
=
Total sales;
=
Fixed Assets net of Depreciation + Total Current Assets; and
=
Market Capitalisation as on March 31, 2006.
= PBIAT(NNRT)/(Total Assets-current liabilities); Where PBIAT (NNRT)= Profit
before
Interest but after tax, net of non- recurring transactions
=
PAT (NNRT)/Capital Employed; where PAT (NNRT)= Profit after
Tax, net of
non-recurring transactions;
=
PAT (NNRT)/Net Worth; and
=
PAT/Net Sales; where net sales= total sales net of returns.
90
H2: The profitability of a company as measured by ROA or ROS or ROCE or RONW has a
positive impact on its disclosure score.
5.3. Leverage of a Firm
The general agency relationship can also be applied to the relationship between managers and debt
providers. Debt providers may be concerned about possible wealth transfers to shareholders, i.e.
managers are likely to favour the interests of shareholders to the detriments of the providers of debt
(Francis & Wilson, 1988). Ahmed (1996) suggests that the agency costs of debt are higher for companies
with more debt in their capital structure and an increased level of disclosure may reduce these costs. The
increased disclosure may not necessarily be part of a contractual agreement. Wallace et al. (1994) opine
that a company with a higher gearing level has a greater obligation to satisfy the needs of its long-term
creditors for information and therefore may provide more information in its annual reports than a lower
geared company. There is a value in considering leverage in this study. Therefore, the following
hypothesis is tested in this study:
9
H3: The leverage of a company has a positive impact on its disclosure score.
5.4. Audit Firm Size
This hypothesis is based on the theory of agency cost and audit firm’s reputation. This argument
states that companies audited by big-six audit firms have substantial agency costs. They try to reduce
them by contracting with these auditing firms. Auditing is argued to be a way of reducing agency costs
(Jensen & Meckling, 1976; Watts & Zimmerman, 1983) and the companies that have high agency costs
tend to contract high quality auditing companies. Chalmers and Godfrey (2004) argue that high profile
auditing companies are more likely to demand high levels of disclosure to maintain their reputation and to
avoid reputation costs. Dumontier and Raffournier (1998) observe that the auditors want their clients to
comply with complex accounting standards for the sake of their reputation and in their own interest. They
may use the information disclosed by their clients as a signal about their own quality (Inchausti, 1997).
Thus, there is a positive relationship between agency costs and the disclosure decision (Inchausti, 1997).
Therefore, the following hypothesis has been tested:
H4: The audit firm size
10
of a company has a positive impact on its disclosure score.
5.5. Age of a Firm
The extent of a company’s mandatory disclosure may be influenced by its age (stage of
development and growth; Owusu-Ansah, 1998). The scope for disclosure broadens with the age of a firm.
It helps in understanding variations among disclosure practices of different firms in same industry.
Akhtaruddin (2005) took this variable as a critical factor in determining the level of disclosure. The author
argued that the old companies disclose more information to maintain their reputation, image and integrity.
Thus, it is expected to have positive association with disclosure score. The hypothesis tested is:
H5: The age of a company
11
has a positive impact on its disclosure score.
5.6. Residential Status of a Firm
Leverage= The total Debt to total Equity ratio.
Audit firm size = 500 audit firms of BT-500 companies were divided into large (Big-six: Price Waterhouse; A. F. Ferguson; S. B.
Bilimoria; S. R. Batliboi; Delloitte, Haskins and Sells and B. S. R. & Co.) and small firms (other than above Big-six). It has been used as a
dummy variable. The companies being audited by Big-six audit firms were assigned a score of 1 and others 0.
11 The age of a firm is computed from the year of its incorporation till March 31, 2006.
9
10
91
Subsidiaries of multinational corporations operating in developing countries are expected to
disclose more information and observe higher standards of reporting for a number of reasons. Firstly,
they have to comply with the regulations of not only their host country but also the parent company where
substantially higher standards of reporting and accounting are maintained. Secondly, they are usually
equipped with more advanced accounting software tools, efficient audit staff, competent and efficient
management and staff and thus have the potential to disclose more information without any incremental
processing costs. Thirdly, they are under scrutiny of various political and pressure groups within the host
country that view them as a source of economic exploitation and agents of imperialist power (Ahmed and
Nicholls, 1994). Hence, they have an incentive to disclose more information in order to avert any pressure
for excessive control for exploitation.
Wallace (1987) and Ahmed and Nicholls (1994) used multinational company influence as an
explanatory variable in developing their models and the latter found it to be the most significant variable
explaining disclosure levels. Therefore, the following hypothesis has been tested in this study:
H6: The residential status of a company
5.7.
12
Listing Category of a firm
The listing category of a firm also influences the disclosure level of a firm. The relationship
between a company’s listing category and disclosure practices is based on agency cost and the signalling
arguments (Lopes and Rodrigues, 2007). Every Indian company listed on a stock exchange has to
comply with its listing agreement. The companies whose shares are actively traded have always been
scrutinised sharply by the market as a whole and investors in particular. Thus, to reduce agency, political
and monitoring costs, more disclosure is being demanded from A category firms than others.
The next hypothesis tested is:
H7: The listing category of a firm
5.8.
13
Shareholding Pattern
This variable has been selected on the ground that the extent of disclosure may differ among
firms in response to the proportion of shareholders interest in equity shareholding structure. Shareholding
pattern here means the percentage of common shares held by promoters. Fama and Jensen (1983)
theorised that a widely held concentration of ownership causes conflict of interest between the principal
(shareholders) and the agent (management). Chau and Gray (2002) also support the same idea for Hong
Kong and Singapore companies that the firms having high percentage of shareholders interest in their
shareholding pattern are under more pressure to disclose the information. Thus, the monitoring and
agency costs increase. Thus, more disclosure of information is expected to alleviate the potential for
higher agency costs (Fama and Jensen, 1983). The chance of agency conflict reduces with the
widespread of shares in the hands of promoters. Thus, a negative relationship is expected. Therefore, the
following hypothesis is tested:
H8: The promoter’s interest in the shareholding pattern of a company has a negative impact on
its disclosure score.
12 All the Companies divided into two groups i.e. multinational companies and domestic companies. A company associated with foreign
business house is taken as a foreign company otherwise a domestic company. The influence of residential status is operationalised by
means of dummy variable with 1 for multinational companies and 0 for domestic companies.
13 The companies trading on stock exchanges in India are categorised as A, B1, B2, S and T. The impact of listing category of a firm has
been examined by introducing dummy variable, with 1 if firm falls under A category and 0 otherwise.
92
5.9.
Nature of Industry
The prior research justifies this relationship using political cost theory or signalling theory. Watts
and Zimmerman (1986) suggested that the industry membership probably affects the political vulnerability
of a firm. Inchausti (1997 argues that adverse selection theory also suggests that if a firm within an
industry does not follow industry-wide disclosure practices, then the market may interpret that the firm is
hiding bad news. This argument follows directly from signalling theory as discussed above. Thus, the
tested hypothesis is:
H9: The nature of an industry
14
to which a company belongs affects its disclosure.
6. RESULTS AND DISCUSSIONS
Before running regression analysis, it was essential to assess the validity of the regression
equation which is to be applied to find out the impact of various corporate-specific attributes on the
disclosure practices of selected Indian private sector companies.
6.1. Assessing the Validity of the Model
It was instructive to check the existence of multicollinearity among the explanatory independent
variables before proceeding to the results of regression analysis. Multicollinearity or collinearity is the
situation where two or more independent variables are highly correlated and can have damaging effects
on the results of multiple regressions. The suggested rule of thumb is that, if the pair-wise or zero-order
correlation coefficient between two regressors is high say, in excess of 0.8, then multicollinearity is a
serious problem (Gujarati, 2006:359). The solution is to drop that variable and thereafter run regression
analysis with rest of the variables. Another way to check the multicollinearity is to compute the average
VIF (Variance inflation factor). As a rule of thumb, if the average VIF of a variable exceeds 1 which will
happen if correlation coefficient exceeds 0.80, then that variable is said to be highly collinear (Gujarati,
2006: 362).
6.1.1.Correlation Analysis
It was essential to check the distribution of independent and dependent variables. Certain
descriptives like skewness and kurtosis were calculated to test the normality of the data. The disclosure
score is found to be within range of skewness (-.8 to. 8) and kurtosis (-3 to 3) but the size of a firm
measured in all explanatory variables is found to be not normal. Thus, natural log transformation has
been done to make it normal (see, for e.g. Raffournier, 1995; Patton & Zelenka, 1997; Owusu-Ansah,
1998).
The Pearson product moment correlation (r) was computed to examine the correlation between
the dependent and independent variables and with the dependent variables. A correlation matrix of all the
values of r for the explanatory variables along with dependent variables was constructed and is shown in
table 2.
14 The companies have been categorised on the basis of industry classification done by BT-500 companies (Business today, November, 7,
2004). For convenience, certain industries namely Media and Telecommunication, Capital goods and Engineering and Construction
industries have been combined. The sample of 277 companies was divided into to 13 industries as follows:
1=Agri Input; 2=Automotive; 3=Capital Goods, Industrial and Engineering Products and Engineering & Construction; 4=Consumer
Products, Consumer Electronics and Consumer Durables. 5= Chemicals; 6= Foods & FMCGs; 7= Media, Entertainment, Publishing and
Telecommunication; 8= Petrochemicals, Plastics, Plastic Products and Polyester; 9= Life sciences & Pharmaceuticals; 10= Software, IT
and ITES; 11= Steel; 12= Textiles & Apparel; and 13= Tobacco.
The tobacco industry has been taken as dummy. The impact of other industries has been checked in comparison to this industry because
this industry has second highest mean disclosure score after the software industry.
93
Table 2 Pearson’s Product moment Correlation Matrices
Disclosure
score
Log
of
Assets
Log of
Sales
Log of
Market
capitalisatio
n
ROA
Disclosur Log
Log Log
e score Asset Sale Mkt
s
s
Cap
1
.467*
RO
A
RO
S
ROC
E
RON
W
Age Shareholdin Leverag
g
e
Pattern
1
.446*
.836*
1
.595*
.793*
.729*
.219*
-.042
1
.177* .308
1
*
ROS
-.088
-.113 -.30*
.077 1
.033
ROCE
.136**
-.048 .190* .278 .927 .038
1
*
*
RONW
.081
.006 .095 .109 .362 .053 .358*
1
*
Age
-.010
.14** .184* .200 .065 .026 .087 -.064
1
*
Shareholdin
-.126**
-.14** -.018
.12* .036 .12** .021
g Pattern
.049
*
.024
Leverage
.021
.12** .172*
-.008 .734**
.051 .017 .014
.12*
*
Note: *, **, significant at 1%, 5%, respectively.
1
-.007
1
The results of correlation as shown in table 2 reveal that the problem of high value of r appears to
be in the case of measures of size and profitability. It was found in the case of log of assets and log of
sales (.836), log of assets and log of market capitalisation (.793) and ROA and ROCE (.927) significant at
1% level. The problem of multicollinearity exists among these explanatory variables. Rests of the
variables do not have any problem of multicollinearity among them.
Thus, it is better to drop one of the variables to cope up with this problem. Hence, it was decided
to drop log of assets as it is highly correlated with other measures of the size of a firm. The measure of
15
profitability i.e. ROCE has been dropped from the analysis .
6.2. Regression Analysis
Regression analysis has been run in two parts. The first part deals with the application of
Univariate regression analysis and afterwards backward step-wise regression analysis was run.
15
See, the results of Univariate regression analysis, pp. 20.
94
6.2.1. Univariate Regression Analysis
The Univariate regression analysis is run in order to see the impact of each of individual
independent variable on the dependent variable. Table 3 explains the results of Univariate regression
analysis.
Table 3 Univariate Regression Results
Independent Variables
Constant
Beta
Log of Assets
29.305
2.856
Log of Sales
33.579
2.287
Log of Market capitalisation
25.197
3.360
ROA
46.805
.139
ROS
48.529
-.010
ROCE
47.347
.046
RONW
48.268
.010
Age
48.529
-.003
Listing Category
46.427
5.626
Residential Status
48.693
-1.499
Shareholding Pattern
50.922
-.050
Leverage
48.372
.082
Audit firm size
46.751
3.722
1^
48.542
-2.484
2
48.870
-3.583
3
48.462
-.296
4
48.390
.499
5
48.545
-4.435
6
48.435
-.295
7
48.409
.109
8
48.612
-5.393
9
48.231
1.143
10
47.555
7.234
11
48.435
-.294
12
48.512
-1.385
Note: *, **, *** significant at 1%, 5%, 10% respectively.
t-value
8.753*
8.268*
12.225*
3.723*
-1.466
2.271**
1.355
-.158
6.216*
-1.261
-2.102**
.343
4.127*
-1.180
-2.61**
-.229
.245
-1.165
-.153
.060
-2.196**
.914
5.326*
-.153
-.758
R
2
.218
.199
.355
.048
.008
.018
.007
.000
.123
.006
.016
.000
.058
.005
.024
.000
.000
.009
.000
.000
.017
.003
.093
.000
.002
Adj. R
.215
.196
.352
.045
.004
.015
.003
-.004
.120
.002
.012
-.003
.055
.001
.021
-.003
-.003
.006
-.004
-.004
.014
-.001
.090
-.004
-.002
2
F
76.62*
68.37*
149.5*
13.86*
2.151
5.16**
1.836
.025
38.64**
1.589
4.42**
.117
17.02*
1.393
6.79**
.053
.060
2.61
.023
.004
4.82**
.835
28.36*
.023
.575
^1=Agri Input; 2=Automotive; 3=Capital Goods, and Industrial and Engineering Products and
Engineering & Construction; 4=Chemicals; 5= Consumer Products, Consumer Electronics, Consumer
Durables; 6= Foods & FMCGs; 7= Media, Entertainment, Publishing and Telecommunication; 8=
Petrochemicals, Plastics, Plastic Products, Polyester; 9= Life sciences & Pharmaceuticals; 10= Software,
IT, and ITES; 11= Steel; 12= Textiles & Apparel; 13= Tobacco (Dummy).
The results of table 3 reveals that the size of a firm as measured in the terms of three
explanatory variables namely assets, or sales, or market capitalisation is found to be significant at 1%
level. All have positive association with the disclosure score of selected companies in India. It implies
hereby that the large size companies have more disclosure and is evidenced by literature. The values of
2
adjusted R in case of assets (.215) and sales (.196) are considerably lower than that in the case of
market capitalisation (.355). The F value (149.5) is also significant at 1% level of significance. Thus, size
of a company as measured by market capitalisation explains better variations in disclosure score of the
companies.
The profitability of a firm is found to have positive and significant association with disclosure
score when measured in the terms of ROA and ROCE. It is positively associated in the terms of ROCE.
But a negative association has been found in the case of profitability of a firm measured in the terms of
95
ROS. Hence, no conclusive result could be found out. Such result has been advocated by the literature
also. However, profitability of a company as measured by ROA has a positive and significant effect on
2
disclosure score. The value of adjusted R of ROA (.045) is more than ROCE (.015) with F value (13.857)
significant at 1% level implying hereby that ROA is a better predicator of variations in the disclosure
practices of firms. It means that the more profitable firms disclose more information and vice-versa.
The results of table 3 show that the audit firm size and listing category of a firm are found to have
positive association with the disclosure scores at 1% level of significance. The shareholding pattern of a
firm is found to have negative association with disclosure score at 1% level of significance. Rest of the
variables namely age of a firm, its residential status and leverage could not explain significant variations
in the disclosure score individually for the period of the study.
The nature of industry influences the disclosure level of selected companies in India. Except
petrochemicals, automotive and software industry, others could not significantly influence the disclosure
score individually. The software industry has more extent of disclosure while automotive industry and
petrochemicals industry has less extent of disclosure as compared to tobacco industry. But these sectors
significantly influence the variations in the disclosure score.
6.2.2. Backward Step-wise Regression Analysis
The regression equation run to see the impact of various corporate specific attributes on the
disclosure score can be framed as follows:
Y = β0 +β1X1 +β2 X2 +β3 X3 +β4 X4 +β5 X5 +β6 X6 +β7 X7 + β8 X8 + β9-21X9-21+ ε
Where Y
X1
X2
X3
X4
X5
X6
X7
X8
X9-21
β
ε
=
=
=
=
=
=
=
=
=
=
=
=
Company-wise disclosure score;
Size of a firm (log of market capitalisation);
Profitability of a firm (ROA);
Leverage of a firm;
Audit firm size of a firm;
Age of a firm;
Residential status of a firm;
Listing category of a firm;
Shareholding Pattern;
16
Industry type ;
Slopes of the independent variables while β0 is a constant or the
value of Y when all values of X are zero;
εt ~ (0, N).
First of all, multivariate regression was run by taking into consideration all independent variables
hypothesised to have association with the disclosure score. It could not reveal any conclusive result.
Afterwards backward stepwise regression analysis was run. It appears to be the preferred method of
exploratory analysis where the analysis begins with a full or saturated model and variables are eliminated
from the model in an iterative process. The fit of the model is tested after the elimination of each variable
to ensure that the model still adequately fits the data. The analysis is complete when no more variables
could be eliminated from the model.
Table 4 shows that thirteen cross-sectional regression equations have been framed for the final
analysis. The result of the multivariate regression analysis (first regression equation) shows the value of
2
R (.506). It explains that 50.6% variation in model is explained by all independent variables jointly. The
2
adjusted R (.467) states that 46.7% variation in disclosure score is explained by variations in
16 9=Agri Input; 10=Automotive; 11=Capital Goods, and Industrial and Engineering Products and Engineering & Construction; 12=Chemicals; 13= Consumer
Products, Consumer Electronics, Consumer Durables; 14= Foods & FMCGs; 15= Media, Entertainment, Publishing and Telecommunication; 16=
Petrochemicals, Plastics, Plastic Products, Polyester; 17= Life sciences & Pharmaceuticals; 18= Software, IT, and ITES; 19= Steel; 20= Textiles & Apparel; 21=
Tobacco (Dummy).
96
independent variables. The size of a company (positive at 1 % level of significance), audit firm size
(positive at 1 % level of significance) and residential status of a firm (negative at 1 % level of significance)
influence the disclosure score. Rest of the variables could not significantly influence the disclosure score.
The value of F (12.970) is significant at 1% level shows the fitness of the model. Afterwards, variables
were removed one by one to see the impact of independent variables on disclosure score to get the bestfit model.
Table 4 Backward Stepwise Regression Results
Note: *, **, *** significant at 1%, 5% & 10% respectively.
^1=Agri Input; 2=Automotive; 3=Capital Goods, and Industrial and Engineering Products and
Engineering & Construction; 4=Chemicals; 5= Consumer Products, Consumer Electronics, Consumer
Durables; 6= Foods & FMCGs; 7= Media, Entertainment, Publishing and Telecommunication; 8=
Petrochemicals, Plastics, Plastic Products, Polyester; 9= Life sciences & Pharmaceuticals; 10= Software,
IT, and ITES; 11= Steel; 12= Textiles & Apparel; 13= Tobacco (Dummy).
Following the statement by Gujarati (2006; p.260) the regression equation 13 has been chosen
for the final analysis. The selected regression equation in table 5.6 approximates the value for adjusted
R2 (0.473) explains hereby that 47.3 % variations in disclosure score are explained by attributes namely
size of a company, industry type, audit firm size, leverage and residential status of a firm.
97
The size and audit firm size of a firm is significant (positive at 1% level of significance), residential
status of a firm (negative at 1% level of significance), leverage (positive though insignificant) and nature
of industry (software, IT and ITES industry -positive at 1% level of significance, automotive industrynegative at 1% level of significance, petrochemicals and textile industry-negative though insignificant).
The value of F (31.638) is significant at 1% level indicates that the model is best-fit model.
The regression results based on cross-sectional annual data largely verified the hypothesis that
the large size firms with profits, being audited by big-six audit firms, having more debt content in their
capital structure, associated with domestic business groups and belonging to software and automotive
industry have more extent of disclosure.
6.3. Autocorrelation
Additionally, to test the assumption of independent errors (autocorrelation), the Durbin-Watson
statistic was used. The value of this statistic between 1.5 and 2 is considered as better and for this data
the value is 1.793 as shown in table 4 which is within these limits. Hence, the assumption has almost
been accomplished. In sum, the diagnostics indicate the model to be valid and reliable.
7. Testing the Hypotheses and Concluding Remarks
The hypotheses developed for the present study have been tested and results have been shown in table
5. On the basis of the results of the present study, it can be concluded that the size of a firm, its
residential status, audit firm size and nature of industry significantly influence disclosure practices of the
selected Indian companies and are in predicted direction.
Table 5 Testing the Hypotheses
Hypotheses
Regression
Significance
Analysis
level/
Association with
Disclosure
Score
Size of a firm Univariate
1% (Accepted)
(Market
and
(positive
Capitalisation) backward
association)
(H1)
stepwise
regression
Theoretical
background
Literature Evidence
Agency
cost, political
cost
and
reputation
cost
Developed nations (Cerf, 1961;
Singhvi & Desai, 1971; Buzby,
1975; Belkaoui & Kahl, 1978;
Firth, 1979; Courtis, 1979; Cooke,
1989a, 1989b, 1992; Malone et
al., 1993; Wallace et al., 1994;
Meek et al., 1995; Inchausti,
1997;
Robb,
Single,
and
Zarzeski, 2001 and Barako,
2007), in developing Countries
(NICs) (Singhvi, 1968; Singh &
Gupta, 1977; McNally et al.,
1982; Chow & Wong-Boren,
1987; Tai et al., 1990; Chander,
1992; Ahmed & Nicholls, 1994;
Wallace et al., 1994; Hossain et
al. 1994, 1995; Raffournier, 1995;
Wallace and Naser, 1995;
Inchausti, 1997; Marston &
Robson, 1997; Craig and Diga,
1998; Owusu-Ansah, 1998; Kohli,
1998; Depoers, 2000; Ahmed,
and Karim, 2005; Akhtaruddin,
98
Profitability of
a firm (ROA)
(H2)
Univariate
Regression
Analysis
1%
(Accepted)
(positive
association)
Signalling
Theory
Leverage of a
firm
(Debt
Equity Ratio)
(H3)
Univariate
Regression
Analysis
Rejected
(positive
association)
Audit firm size
(Big-six audit
firms)
(H4)
Univariate
and
backward
stepwise
regression
1% (Accepted)
(positive
association)
Agency
Cost, capital
need
hypothesis
and
reputation
cost
Auditor’s
Reputation
Cost
and
signalling
cost
Age of a firm
(H5)
Univariate
Regression
Analysis
Rejected
(negative
insignificant
association)
life
cycle
hypothesis
Residential
Status of a
firm (Foreign
vs. Domestic)
(H6)
Univariate
Regression
Analysis
(negative
insignificant
association)
Information
needs
of
investors
Backward
stepwise
regression
Listing
Category
(A category)
(H7)
Univariate
Regression
Analysis
1%
(Rejected)
1% (Accepted)
(positive
association)
Agency cost
and
signalling
theory
99
2005; Alsaeed, 2005; Chavent et
al. 2005; Ghazali & Weetman,
2006; Hossain & Taylor, 2006;
Barako,
2007;
Mahajan
&
Chander, 2007 & Lopes and
Rodrigues, 2007; Hossain and
Hammami, 2009).
Cerf, 1961; Singhvi, 1968;
Singhvi and Desai, 1971; Singh
and Gupta, 1977; McNally et al.,
1982; Lau, 1992; Malone et al.,
1993; Wallace, Mora and Naser,
1994; Raffournier, 1995; and
Owusu-Ansah, 1998; Chen and
Jaggi, 2000; Chau, and Gray,
2002;
Akhtaruddin,
2005;
Alsaeed, 2005; Chavent et al.,
2005 and Sehgal, Bhalla and
Bhalla, 2006.
Malone et al., 1993; Hossain et
al., 1995; Craig and Diga, 1998;
Jaggi & Low, 2000; Bujaki &
McConomy, 2002; Ferguson et
al., 2002 and Chavent et al.,
2005.
McNally et al., 1982, Tai et al.,
1990, Ahmed, 1996; Inchausti,
1997; Patton and Zelenka, 1997;
Kohli, 1998; Ahmed and Karim,
2005; Mahajan and Chander,
2007; Barako, 2007 and Lopes
and Rodrigues, 2007; Wang et al.
(2008).
Chander, 1992; Akhtaruddin,
2005; Alsaeed, 2005; Sehgal,
Bhalla,
and
Bhalla,
2006;
Mahajan and Chander, 2007,
Hossain and Hammami, 2009.
Lal, 1985; Cooke, 1989a, 1989b;
Meek et al., 1995; Wallace and
Naser, 1995; Robb, Single, and
Zarzeski, 2001; Chau and Gray,
2002; Mahajan & Chander, 2007;
and Lopes & Rodrigues, 2007.
Ahmed and Nicholls, 1994;
Raffournier, 1995; Ahmed, 1996;
Craig and Diga, 1998; OwusuAnsah, 1998; Depoers, 2000;
Ahmed and Karim, 2005; Hossain
and Taylor, 2006.
Ahmed and Nicholls, 1994;
Raffournier, 1995; Ahmed, 1996;
Craig and Diga, 1998; OwusuAnsah, 1998; Depoers, 2000;
Shareholding
pattern
(promoter’s
share)
(H8)
Nature
of
Industry
(H9)
Univariate
Regression
Analysis
5% (Accepted)
(negative
association)
Agency cost
Univariate
and
backward
stepwise
regression
1% (Accepted)
Software, IT &
ITES (positive), &
Automotive
industry(negative)
Political cost
and
Signalling
theory
Ahmed and Karim, 2005 and
Hossain and Taylor, 2006
Singhvi, 1968; Singh and Gupta,
1977; Owusu-Ansah, 1998; Chau
and Gray, 2002; Eng and Mark,
2003 and Ghazali & Wheetman,
2006
Stanga,
1976;
Singh
and
Bhargava, 1978; Belkaoui & Kahl,
1978; McNally et al., 1982;
Wallace, 1987; Cooke, 1992;
Wallace et al., 1994; Kohli, 1998;
Archambault and Archambault,
2003; Ahmed, 2005 and Hossain
and Taylor, 2006
APPENDIX I
INDEX OF DISCLOSURE
FINANCIAL INFORMATION
CONTEMPORARY ACCOUNTING ISSUES
Highlights of the year
Accounting Policies (Standards)
Summarized Historical Data (5yrs or more)
Human Resource Accounting
Social Accounting (Social balance Sheet and Social
Description of capital expenditure
Profit/Loss Account)
Description of Non-Operating income & Expenditure Brand Valuation
Profitability Ratios
Current-Cost Adjusted Financial Statements
Efficiency Ratios
Intangible Assets Score sheet
Liquidity Ratios
Economic Value Added Statement (EVA)
Profit/Sales Forecasts
Value Reporting
Bonus Record (details about Bonus, right issues)
Value Added Statement
Dividend per share (DPS)
Enterprise Value
Earning per share (EPS)
Reporting on Environment, Health and Safety
Segment Reporting
Compliance with US & Other Countries GAAP
Cash Flow Statement
TECHNOLOGY & MODERNIZATION
Financial operations (Capital raised, financial
requirements/planning etc.)
Quality assurance/control
Related party transactions
Research & Development activities
Reconciliation of Indian & US GAAP financial
statements
Modernization & Technological Development
Events occurring after Balance Sheet date
Prior Period adjustments
MARKETING INFORMATION
Distribution of Revenues
Description about products
Statutory obligations
Market share of products
Foreign Currency Transactions
Major Customers
Details of Investments
Customer Redressal
Appropriation of Profits
List of Suppliers
Pricing Policy
GENERAL INFORMATION
Index/Contents
HUMAN RESOURCE (HR) INFORMATION
Responsibility statement of Board of Directors
Training and Development
Knowledge management/ Intellectual Property
Industrial Relation Scenario
Management Discussion & Analysis
Employee Welfare Scheme
Risk management report
Employee Stock Option Plans (ESOP)
Corporate Governance report
Pension & Retirement plans
Joint Ventures
Particulars of key managerial personnel
100
Awards & Recognition
Subsidiaries
a) Consolidated accounts
b) Statement u/s 212
c) Other information
Value Creation
Infrastructure
Government policies & Business environment
Future Expansion programmes
Information about overseas operations
SHAREHOLDERS INFORMATION
Shareholding pattern
FAQ
Steps to improve Investor Services
Information about SEBI/ Stock regulations
Credit Rating
ADR's & GDR's offerings
Information about Listed securities (Listed/Delisted)
Stock market data related to shares listed in India &
abroad
Share price chart
Information about complaints & Grievances
redressal centers
Post balance Sheet activities
Application of Information Technology in
processes/operations
Information about Dematerialization of securities
Internal control systems
Information regarding social concerns
Information about Industrial and Economic Scenario
SWOT analysis of company
Narrative history of company
Corporate Restructuring
Description of different businesses
Charts, diagrams and photographs
Code of Business Conduct & Ethics
Mission/Objective statement
Organization Structure
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ПЕРИОДЫ СТАНОВЛЕНИЯ ДВУЯЗЫЧНОЙ ЛЕКСИКОГРАФИИ
Л.В. Алимпиева
Международный Университет Ататюрк-Алатоо
История развития двуязычной лексикографии как науки имеет давние традиции. Как отмечает
В.П. Берков: «словарная работа – видимо, древнейший вид лингвистической деятельности человека»
[Берков В.П. 2004; 3].
Первым известным двуязычным словарем признаны Шумерские таблицы, которые были
написаны примерно в 2300 году до нашей эры. Это были списки шумерских слов с их переводом на
аккадский язык. Образованные люди в древности понимали важность сохранения и передачи
информации для следующих поколений. Благодаря их стараниям значения многих слов, толкования
фраз, сложные для понимания, дошедшие до нас из глубины минувших эпох в словарях, помогают
современным филологам и читателям изучать и понимать старинные манускрипты, знакомиться с
историей народов.
В.Г. Гак выделял следующие функции общей лексикографии: 1) дословарный период –
объяснение малопонятных слов (в Древней Руси с 13 по 16 вв.), 2) ранний словарный период –
изучение литературного языка (в России с 16 по 17 вв.), 3) период развитой лексикографии,
связанный с развитием национальных литературных языков (в России с 17 по 19 вв.), 4) период сбора
и обработки данных для лингвистических исследований в области лексикологии, словообразования,
стилистики, истории языков (c 19 по 20 век) [См.: Гак В. Г. ].
Целью статьи является выделение периодов становления русской двуязычной лексикографии
на фоне развития общей лексикографии. Под русской двуязычной лексикографией нами понимается
создание именно русско-иноязычных и иноязычно-русских словарей.
Рассматривая русскую двуязычную лексикографию в исторической ретроспективе, можно
выделить четыре периода в ее становлении. Первый период становления русской двуязычной
лексикографии назовем периодом становления «элементарной» лексикографии. Этот период
охватывает 15 – 17 века.
Первые сведения о двуязычных (русско-иноязычных и иноязычно-русских) словарях отнесены
к 15 – началу 16 веков, когда на Руси появились двуязычные и трёхъязычные словари (русскоиностранные и иностранно-русские: славяно-латинские, славяно-греко-латинские, славяно-польсколатинские и др.), характеризующиеся минимальной лексикографической информацией и примитивной
системой кодификации лексических единиц. Большое распространение в этот период получили
словари-разговорники,
помогающие
пользователям
строить
простые
предложения
для
первоначальной коммуникации, например, «Речь тонкословия греческого». Данные виды
древнерусских словарей, словники и состав слов которых варьировались, были известны в
многочисленных редакциях и списках. С появлением книгопечатания двуязычные словари стали
более доступны для пользователей. Так, в конце 15 века, в 1596 году в г. Вильно вышел первый
печатный словарь Лаврентия Зизания Тустановского, который назывался «Лексис, сиречь речения
вкратце собранны и из словенского языка на просты русский диялект истолкованы» и содержал в
словнике 1061 слово.
В конце 16 – начале 17 веков перечисленные выше направления двуязычной лексикографии
продолжают свое развитие. Увеличение объема словников словарей вызвало необходимость более
удобного для пользования распределения слов, их все чаще авторы словарей стали располагать
согласно алфавитному порядку. Вследствие этого возникли следующие новые наименования
словарей – «азбуковники» и «алфавиты иностранных речей».
Двуязычные словари появились в результате практической необходимости в связи с
дальнейшим развитием экономических, культурных и политических связей между Русью и
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различными ближними и дальними государствами. Они являются ценнейшими источниками наших
знаний по древнерусскому языку и культуре. В 17–18 веках появились многочисленные русскоиноязычные и иноязычно-русские словари (переводные словари древних и новых языков, например,
греческого, латинского, арабского, польского, немецкого, итальянского и др.). Широко известны были
рукописные лексиконы греческого и латинского языков Епифания Славинецкого. В 1704 в Москве был
издан «Лексикон треязычный, сиречь речений славенских, еллиногреческих и латинских сокровище»
Ф. П. Поликарпова-Орлова.
Вторым периодом развития русской двуязычной лексикографии является период становления
«организованной» лексикографии. Другими словами, в этот период двуязычная лексикография
становится объектом государственной политики. Особенно это касается эпохи Петра I, когда словари
стали составляться по его прямому указанию. В эпоху Петра I особенно широкое распространение
получили рукописные словари иностранных слов. Молодая Россия нуждалась в грамотных людях,
способных постичь западную науку, а это было возможно только при наличии хороших руссконациональных словарей.
В 1772 г. в свет вышел первый двуязычный англо-русский словарь в качестве приложения к
грамматике английского языка, составленной П.И. Ждановым. Словарь был построен по
тематическому принципу: он содержал 3 тысячи слов, которые были распределены по 79 темам.
Затем П.И. Ждановым в 1784 г. был издан новый англо-русский словарь со словником 30 тысяч слов.
В этом словаре автор использовал алфавитный принцип расположения слов.
Третий период, как представляется, следует назвать периодом «упорядоченной» практической
лексикографии. Этот этап в двуязычной лексикогарфии начался в период становления Советской
власти и продолжился плоть до распада советского государства. Именно на этом этапе государство в
лице коммунистической партии взяло курс на широкомасштабную борьбу с неграмотностью на
окраинах нового государства рабочих и крестьян, в том числе, большое внимание уделялось
обучению русскому языку нерусских. Для этой цели было организовано Государственное
издательство иностранных и национальных словарей (Создано постановлением СНК РСФСР от
8.10.1930, с 1963 г. – издательство «Русский язык»), которое руководило разработкой руссконациональных и национально-русских словарей. Именно в этот период были созданы практически все
русско-национальные словари, которые вошли в золотой фонд двуязычной лексикографии.
Четвертый период двуязычной лексикографии назван нами периодом «теоретической»
лексикографии, который на наш взгляд еще не получил должного развития. Если сравнить теорию
лексикографии, связанную с составлением одноязычных лингвистических словарей с теорией
двуязычной лексикографии, то следует отметить, что последняя в этом отношении сильно отстает.
Двуязычная лексикография долгое время носила практический характер. Вопросы теории
составления двуязычных и многоязычных словарей рассматривались большей частью в рамках
статей в сборниках по проблемам переводческой деятельности, а также в предисловиях к крупным
переводным словарям.
Начиная со второй половины прошлого столетия, теория лексикографии получает статус
самостоятельной языковой научной дисциплины. До этого времени русская двуязычная
лексикография, восходя к древним традициям филологической деятельности, не имела своей теории.
Практическая лексикография накопила довольно большой опыт лексикографического описания языка,
который с середины прошлого века обобщался и систематизировался, что привело к формированию
теории лексикографии.
Л.В. Щерба в предисловии к Большому русско-французскому словарю в далеком 1936 г. писал:
«Я считаю крайне неправильным то пренебрежительное отношение наших квалифицированных
лингвистов к словарной работе, благодаря которому почти никто из них никогда ею не занимался (в
старые времена это за гроши делали случайные любители, не имевшие решительно никакой
специальной подготовки) и благодаря которому она получила такое нелепое название «составление»
106
словарей. И действительно, наши лингвисты, а тем более наши «составители» словарей
просмотрели, что работа эта должна иметь научный характер и никак не состоять в механическом
сопоставлении каких-то готовых элементов».
Предисловие Л.В. Щербы к Большому русско-французскому словарю всегда считалось
обобщением основных теоретических принципов составления двуязычных словарей. Первым
исследованием в области теоретической лексикографии является работа Л.В. Щербы «Опыт общей
теории лексикографии» [Щерба Л.В. 1958]. Это научное издание поставило перед практическими
лексикографами задачу теоретического осмысления и обобщения проблем кодификации лексических
единиц в словарях различных типов. Первую научную типологию словарей предложил также Л.В.
Щерба. Благодаря трудам Л.В. Щербы и его серъезному научному подходу к словарному делу,
лексикография в настоящее время приобрела статус самостоятельной научной
дисциплины,
имеющую предмет изучения, свои научные принципы, собственную теоретическую проблематику.
Появление теоретической двуязычной лексикографии сопровождалось выходом в свет
теоретических обобщающих работ Л.В. Щербы “Опыт общей теории лексикографии” [Щерба Л.В.,
1974], В.В. Виноградова “Лексикология и лексикография” [Виноградов В.В., 1977], а также в работах
зарубежных ученых. Например, проблемы теории двуязычной лексикографии нашли отражение в
следующих работах: Х. Касарес “Введение в современную лексикографию” [Касарес Х., 1958], F.W.
Householder and Sol Saporta «Problems in Lexicography» [Householder F.W. and Saporta S., 1967],
Piotrowski Tadeusz «Problems in bilingual lexicography» [Piotrowski T. 1994] и др.
Значительный вклад в теорию двуязычной лекскиграфии внес В.П. Берков своими работами,
которые стали первыми монографическими изданиями этого направления [См. список литературы].
Для теории лексикографии характерны: а) представление о лексике как о системе, стремление
отразить в строении словаря лексико-семантическую структуру языка в целом и семантическую
структуру отдельного слова (выделение значений слов по их связям с др. словами в тексте и внутри
семантических полей); б) диалектический взгляд на значение слова, учет подвижного характера связи
означающего и означаемого в словесном знаке (стремление отмечать оттенки и переходы в
значениях слов, их употребления в речи, различные промежуточные явления); в) признание тесной
связи лексики с грамматикой и др. сторонами языка [См.: Гак В.Г.].
Несмотря на наличие перечисленных работ, становление теоретической двуязычной
лексикографии как самостоятельной отрасли общей лексикографии сегодня как в зарубежной, так и в
российской лингвистике находится в начале своего пути. Подтверждением этому являются споры
лингвистов и лексикографов о статусе лексикографии. Так, например, на международной
лексикографической конференции в Англии в 1983 году известный немецкий лингвист Герберт Эрнст
Виеганд в докладе «Структура и содержание теории лексикографии» (“On the structure and contents of
a general Theory of Lexicography”), утверждал, что лексикография никогда не была, не является и,
скорее всего, не станет наукой [Wiegand H.E. 1983, 13]. В то же время Герберт Эрнст Виеганд
признавал за современной лексикографией теоретический статус, называя ее мета-лексикографией
(meta–lexicography).
В русском языкознании вопрос о том, является ли лексикография наукой, искусством,
отраслью лингвистики или прикладной отраслью не стоит на повестке дня. Сегодня эти подходы не
противопоставляются, а воспринимаются современными лексикографами как разные аспекты
лексикографической деятельности. Принято считать, что теоретическое обобщение всего богатства,
накопленного практической лексикографией, делается, прежде всего, в лингвистических,
лексикологических терминах и в этом смысле лексикография, безусловно, является важнейшей
отраслью языкознания.
Лексикография наиболее тесно связана с лексикологией, многие проблемы которой получают
в лексикографии специфическое преломление. Лексикография играет важную социальную функцию,
107
поскольку словари фиксируют в синхронном срезе совокупность знаний общества кодифицируемой
эпохи.
Являясь целесообразно организованным знанием, дающим целостное представление о
вопросах, связанных с созданием произведений словарного типа, теория лексикографии в настоящее
время включает в себя: рассмотрение объема, содержания и структуры понятия лексикографии;
учение о жанрах и типах словарей; учение об элементах и параметрах; учение об основах
лексикографического конструирования и возможности компьютеризации; учение о привычных
словарных материалах; учение о планировании и организации словарной работы; выработку и
формирование правил лексикографирования [Морковкин В.В. 1987].
Таким образом, рассматривая становление русской двуязычной лексикографии в исторической
ретроспективе, можно выделить, опираясь на данные о словарях, четыре периода: «элементарной»
«организованной» «упорядоченной» и «теоретической» лексикографий. Первые три периода следует
объединить в группу под условным названием «практической» лексикографии. Четвертый
«теоретический» период русской двуязычной лексикографии находится в начале своего пути.
Литература
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
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БЕРКОВ В.П. Вопросы двуязычной лексикографии, Словник. – Л.: ЛГУ, 1973. – 191 с.
БЕРКОВ В.П. Слово в двуязычном словаре. – Таллинн, 1977. – 191 с.
БЕРКОВ В.П. Двуязычная лексикография: Учебник. – 2-е изд., перераб. и доп. – М.:
«Издательство Астрель»: «Издательство АСТ»: «Транзит книга», 2004. – 236, [4] с.
ГАК В. Г.
Словарная статья «Лексикография». БСЭ. Доступно в: http://bse.scilib.com/article069402.html
КАСАРЕС Х. Введение в современную лексикографию. – М.: Изд-во иностр. лит., 1958. –
354 с.
МОРКОВКИН В.В. Об объеме и содержании понятия «теоретическая лексикография» //
Вопросы языкознания. – М., 1987. № 6. – С. 33 – 42.
ОЖЕГОВ С.И. О трех типах толковых словарей современного русского языка // С.И.
Ожегов. Лексикология. Лексикография. Культура речи: Учебное пособие для вузов. – М.:
Высш. шк., 1974. – С. 158 – 182.
ТАБАНАКОВА
В.Д.,
Теоретическая
лексикография.
Доступно
в:
http:
//frgf.utmn.ru/last/No5/text3.htm
ЩЕРБА Л.В. Опыт общей теории лексикографии // Избранные работы по русскому языку. –
М.: Аспект Пресс, 2007. – С. 212 – 251.
ЩЕРБА Л.В. О трояком аспекте языковых явлений и об эксперименте //Языковая система
и речевая деятельность. – Л.: ЛГУ, 1974. – С. 31 – 34.
PIOTROWSKI TADEUSZ. Problems in bilingual lexicography. Wrocław, 1994. P. 236.
WIEGAND H.E. On the structure and contents of a general Theory of Lexicography”1983, [in]:
http://projettut.apinc.org/PART_1/article2.pdf
WELKER
H.A.
An
overview
of
Wiegand’s
metalexicographic
works,
[in]
http://www.let.unb.br/hawelker/Wiegand.pdf
HOUSEHOLDER
F.W. and SOL
SAPORTA, «Problems in Lexicography»,
[in]http://www.anthro.ucsd.edu/~jhaviland/LanguageCulture/READINGS/
ConklinFolkTaxonomies.pdf
108
ЭВОЛЮЦИЯ ДЕНЕЖНО-КРЕДИТНОЙ ПОЛИТИКИ
Атабаев Нурлан Узгенович
[email protected]
Алымкулова Наргиза Бакытовна
Отделение «Финансы и Кредит»
Введение
В XVIII веке Адам Смит считал, что экономика будет управлять собой сама, без
вмешательства государства, если ее будет направлять «невидимая рука» личной выгоды. В такой
системе государству отводилась роль «ночного сторожа». С тех пор многое изменилось, жизнь
внесла свои коррективы, и сегодня не только политики, но и большинство экономистов считают,
что государство должно быть активным участником хозяйственной деятельности.
Существует три основных способа государственного воздействия на экономику:
1) прямое вмешательство (например, путем рационирования товаров, регулирования цен и
доходов);
2) фискальная политика;
3) денежно-кредитная политика.
Опыт показал, что ни одной стране мира, пытавшейся проводить политику прямого
вмешательства государства, не удалось добиться долгосрочных успехов. Поэтому в условиях
рыночной экономики государственное регулирование осуществляется посредством фискальной и
денежно-кредитной политики.
Денежно-кредитная политика представляет собой одно из направлений государственной
политики регулирования экономики (Моисеев, 2008:128). Объектами регулирования выступают
спрос и предложение на денежном рынке, изменяющиеся в результате действий денежных
властей, частных банков и небанковских организаций. Проводником денежно- кредитной политики
государства является центральный банк, или банк банков. Он наделен монопольным правом
денежной эмиссии, регулирования денежного обращения, кредита и валютного курса. Нередко
центральный банк выступает агентом правительства при обслуживании государственного бюджета
и надзорным органом банковской системы.
Сегодня денежно-кредитная политика (монетарная политика) – это принципиальный путь, с
помощью которого правительство влияет на макроэкономику. Для выполнения или применения
денежно-кредитной политики монетарные власти используют монетарные инструменты
(краткосрочную процентную ставку или монетарную базу) для достижения желаемых целей таких
как низкий уровень инфляции и реальный ВВП близкий к потенциальному. В течение веков
монетарная политика эволюционировала наряду с развитием денежной экономики.
Происхождение
Ранними предшественниками монетарной политики являются те монархи, правительство,
которые использовали монеты, полученные путем расплавки благородных металлов, смешивая
его с более дешевыми, тем самым изменив вес и качество монет (Hicks, 1969). Данная практика, а
именно уменьшение существенной стоимости монеты с помощью увеличения содержания
основного металла была распространена в поздней эпохе Римской империи, но достигла своей
совершенности в средних веках в западной Европе. Так например, Суссман (Sussman) описывал
как Французские монархи в XV в. использовали данную практику (debasement) как источник
финансирования Столетней Войны с англичанами в форме налогов. Debasement , на самом деле
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является формой фискальной политики, нежели монетарной (Sussman, 1993:789-808). Но позже
оно положило основание и дало развитие монетарной политике используя фиатные деньги.
Согласно исследованиям ученных, фиатные или бумажные деньги получили свое развитие
от ранних операций первых коммерческих банков в Италии, где преследовалась цель экономии
драгоценных металлов в монетах. Стоит отметить, что данное развитие также получило место
благодаря ювелирам (goldsmiths), которые печатал складские квитанции как очевидность,
свидетельство хранения клиентами золотых монет и слитков (Menger, 1992:238-258). В конце
концов, эти сертификаты циркулировали как средство обращения. Однажды ювелиры (goldsmiths)
открыли, что не все требования выкупаются в одно время, то есть появляется возможность
пускать в обращение требования с большей стоимостью, чем резервы монет из благородных
металлов. Это привело к образованию фиатных денег, но подкрепленных частично монетами из
благородных металлов, и образованию банковской системы, основанной на частичном
резервировании банками части привлеченных денежных ресурсов. Ювелиры (Goldsmiths) и
первые коммерческие банкиры набрались опыта держать резервы для мер предосторожности,
достаточные для покрытия спроса выкупа при нормальном курсе бизнеса.
Правительства начали выпускать бумажные деньги в Европе только в XVIII в. Самым
первым примером служит выпуск шведских векселей (банкнот) для финансирования затрат на
Семилетнюю Войну. Пика своего развития фиатные деньги достигли во время Американской
Революционной Войны, когда Конгресс выпустил континентали для финансирования военных
расходов. Это были простые векселя, конвертируемые на монеты из благородного металла, но
обещание не было выполнено. Векселя были выпущены в большом количестве. Однако
эмиссионная ставка и средняя ставка инфляции 65% в год не были решены и были недалеки от
максимальной ставки прибыли даже при монопольной эмиссии фиатных денег центральным
банком в XXв. А во время Французской революции чрезмерный выпуск бумажных денег,
ассигнаций, первоначально основанные на стоимости конфискованных церковью земель, привели
к гиперинфляции.
Классическая монетарная политика
Происхождение современной монетарной политики берет исток из классического золотого
стандарта(1880-1914гг.), где золотой стандарт берет свое начало с раннего биметаллического
стандарта.
Биметаллический стандарт, или биметаллизм, представляет собой денежную систему, где
совместно обращаются золотые и серебряные монеты, между которыми установлен
фиксированный курс обмена (Моисеев, 2008:83).
Главной задачей центрального банка в эпоху классического золотого стандарта являлось
поддержание неизменного паритета между национальной валютой и золотом (Goodfriend, 1988:85124). Для сохранения паритет нуждался в соответствующем объеме резервных активов монетарном золоте. Внешнее макроэкономическое равновесие в условиях золотого стандарта
сохранялось, если центральный банк не приобретал и не терял быстрыми темпами золотые
резервы, то есть центральный банк стремился исключить резкие колебания в платежном балансе.
Основными инструментами, с помощью которых регулировался платежный баланс, были учетная
ставка центрального банка и интервенции на рынке золота. С развитием финансовых рынков
монетарная политика начала претерпевать некоторые изменения. Денежные власти, постоянно
теряющие резервы золота из-за дефицита платежного баланса, нередко попадали в ситуации,
когда они были не в состоянии выполнить свои обязательства по обмену банкнот. В случае потери
золота они были вынуждены сокращать объем внутренних активов, тем самым повышая
процентные ставки и вызывая приток капитала из-за рубежа. В случае избытка золотых резервов у
центральных банков возникает желание приобрести внутренние активы, что приводит к оттоку
капитала за рубеж.
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После Первой мировой войны практика продажи внутренних активов в случае дефицита
платежного баланса и покупки внутренних активов при его избытке благодаря Дж. Кейнсу получила
название «правил игры золотого стандарта» (rules of the game). Они увеличивали эффективность
автоматического механизма выравнивания платежного баланса. Но согласно историческим
исследованиям экономистов известно, что правила игры золотого стандарта нередко нарушались
вплоть до 1914 года (Ананьин и др., 1998). На практике, на самом деле, бремя восстановления
равновесия платежных балансов всех стран мира ложилось на страны с дефицитом платежного
баланса. Тем самым, аккумулируя золото, страны с избытком платежного баланса усугубляли
проблему координации международной экономической политики, лежащую в основе системы
золотого стандарта. Страны с дефицитом, сталкивались в конкурентной борьбе за ограниченное
предложение золота, проводили чрезмерно жесткую денежно-кредитную политику, которая мало
способствовала накоплению резервов. Как пишет С.Р.Моисеев: «В действительности, страны
обычно стерилизовали движение золота (такая процедура получила название «захват золота»,
gold device)». Центральные банки продавали внутренние активы в период расширения
предложения иностранных резервов и покупали внутренние активы, когда предложение
иностранных резервов сокращалось. Что приводило к тому, что стерилизация движения золота
искусственно изменяла цену на него в периоды дефицита платежного баланса. Но стоит заметить,
что нарушение «правил игры» никогда не приводило к коллапсу системы. Денежные власти
пользовались безмерным доверием общества, и несоблюдение правил игры рассматривалось как
временная мера, призванная сгладить колебания процентных ставок или поддержать
экономическую деятельность.
Денежно-кредитная политика стран золотого блока была всецело ориентирована на банк
Англии (Goodfriend,1988:85-124). Манипулируя своей учетной ставкой, он мог привлекать в страну
такой объем золота, какой потребуется. Так отслеживая обеспеченность денежного предложения
золотыми резервами в 1890-1913 гг. Великобритания не испытывала нетто-оттока капитала
(Моисеев, 2008:109). Это объяснялось тем, что Лондон выступал центром мировой торговли
золотом, товарами и финансовыми активами. К 1913 г. примерно 80% международных расчетов
проводились в фунтах стерлингов, в нем же была доминирована большая часть мировых
финансовых активов. Фактически, на самом деле, фунт стерлингов являлся полноценной заменой
официальному резервному активу- золоту, что позволяло Великобритании покрывать дефицит
платежного баланса за счет национальной валюты. Центральные банки остальных стран золотого
стандарта изменяли свои учетные ставки вслед за Банком Англии для того, чтобы не допустить
возникновения дифференциала процентных ставок и последующего за ним перетока капитала.
Тем самым следует вывод, что финансовый и деловой цикл в мире синхронизировались с циклом
в Великобритании. Исключениями являлись Франция и Германия, которые обладали денежнокредитной и экономической свободой, что позволяло им изменять учетные ставки в соответствии с
внутренними интересами, так же как и влиять на страны. Cоединенные Штаты в отсутствии
института центрального банка совсем не имели базовой процентной ставки, которую можно было
бы использовать как инструмент денежно-кредитной политики. 1914 г. стал годом наивысшего
расцвета и заката классической системы золотого стандарта. В августе 1914 г. началась Первая
мировая война, разделившая пополам страны золотого блока. Бегство инвесторов в фунт
стерлингов, вызванное военным конфликтом, привело к появлению платежного дисбаланса.
Великобритании ничего не оставалось делать, как ввести предельно жесткий валютный контроль
в форме отсрочки внутренних и международных платежей. Экспорт золота был ограничен, а его
импорт напрямую шел в резервы Банка Англии. Почти все европейские страны золотого блока
последовали за Великобританией и ввели аналогичные меры в 1914-1915 гг. Соединенные Штаты
вступили в войну позже остальных стран, в связи, с чем ограничение конвертируемости по
доллару было введено только в 1917г., но в 1914г. Нью-Йоркские банки временно наложили
неофициальное эмбарго на экспорт желтого металла (Goodfriend, 1988:85-124). В результате
повсеместного ограничения конвертируемости стал переход на плавающие валютные курсы.
После завершения Первой мировой войны международное сообщество предприняло попытку
вернуться к прежней стабильности. К 1928 году международная валютная система обрела
стабильность, но, к сожалению, просуществовала всего несколько лет, до начала Великой
депрессии.
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Завершение золотой эпохи небезосновательно совпало с Великой депрессией. Депрессия
началась в странах мировой периферии - низкие цены на сырьевой экспорт и сложности
обслуживания внешних долгов привели к непреодолимым трудностям платежного баланса в
развивающихся странах, включая Аргентину, Австралию и Мексику. Главной причиной и толчком,
приведших к возникновению Великой депрессии, стал финансовый кризис в США (Friedman, Milton
and Schwartz, 1963). Необходимо отметить, что на протяжении всего периода золотого стандарта
США являлись постоянным источником нестабильности, создававшим угрозу кризиса всей
международной валютной системы. Так до 1913г. в стране отсутствовал децентрализованный
характер, вследствие чего финансовые кризисы в Нью-Йорке были не редкостью. Большую часть
золотой эпохи США импортировала капитал и золото, несмотря на то, что уже в начале XXв.
американская экономика имела значительный размер. Потоки желтого металла текли из Банка
Англии в США. Финансовая нестабильность в США создавало угрозу денежной системе Лондона,
так как большинство инвесторов инвестировало в Новый Свет. Паника и кризисы в США вели к
колебаниям процентной ставки на рынках Великобритании, что отражалось на всем мире. Во
второй половине 1920-х гг. ФРС США удерживала процентную ставку на низком уровне, что не
столько стимулировало экономическую активность, сколько подпитывало бум на нью-йоркской
фондовой бирже. Так бум на фондовом рынке в 1928 и 1929гг. поставил ФРС перед дилеммой.
Федеральный резерв хотел повысить учетную ставку, чтобы ослабить бум, но не сделал этого,
опасаясь повышения процентных ставок по кредитам для предприятий и частных лиц. Наконец в
августе 1929 г. Федеральный резерв поднял учетную ставку, однако было уже, слишком, поздно:
перегрев фондового рынка привел к негативным последствиям, и действия ФРС только усилили
крах фондового рынка и экономики. Слабость экономики, как назвали М.Фридман и Анна Шварц
«эпидемией страха», приведшую к массовому изъятию денег с банковских счетов и
полномасштабной панике. К марту 1933 г. более трети коммерческих банков США оказались
банкротами. Таким образом, США продержались до апреля 1933г., когда внутренний и зарубежный
спрос на золото поставил американскую банковскую систему на грань коллапса. С 1929 по 1934г.
курс доллара упал на 41% (Friedman, Milton and Schwartz, 1963). Так последствия кризиса золотого
стандарта сделали общемировую депрессию «Великой». Сохраняя золотой стандарт, страны были
не способны бороться с депрессией с помощью мер денежно-кредитной и налогово-бюджетной
политики. Вследствие мирового экономического кризиса были ликвидированы все формы золотого
монометаллизма и утвердилась система неразменных на золото и не обеспеченных золотом
кредитных и бумажных денег.
К началу Второй мировой войны ни в одной стране, кроме США, банкноты не
обменивались на золото, а в США обмен долларов на золотые слитки производился только
официальным органам иностранных государств (Сенчагов, 2008). Так с середины 30-х годов XX в.
в мире начинают функционировать денежные системы, основанные на обороте неразменных
кредитных денежных знаков. После Второй мировой войны в мире сложилась так называемая
Бреттон - Вудская система, которая юридически была оформлена в 1944 г. на валютнофинансовой конференции ООН в г. Бреттон-Вудсе (США).
Бреттон – Вудская система
Так Бреттон-Вудская валютная система представляет собой систему межгосударственного
золотодевизного стандарта - по существу, золото- долларового стандарта. В результате, в 50-60-е
годы она способствовала расширению международного торгового оборота, а также росту
промышленного производства (Bordo, 1993). В последствии, в 70-е годы в связи с ослаблением
позиций США на внешнем рынке в результате сокращения золотых запасов страны мировая
денежная система, основанная на использовании доллара как эталона ценности всех денежных
единиц, потерпела крах. С 1 августа 1971 г. Был прекращен обмен доллара на золото, отменена
официально долларовая цена золота, роль резервных валют стали выполнять марка ФРГ и
японская Йена, а также СДР (SDR- Special Drawing Rights) и ЭКЮ.
С крушением Бреттон-Вудской валютной системы в начале
предпринимались попытки обосновать необходимость восстановления.
112
70-х
годов
снова
На смену Бреттон-Вудской денежной системе пришла Ямайская денежная система, оформленная
Соглашением стран- членов МФВ в Кингстоне (о. Ямайка) в 1976г.
Необходимо подчеркнуть, что в период Бреттон-Вудской системы в законах о центральном
банке конечной целью значилась «внутренняя и внешняя стабильность национальной денежной
единицы»: низкая инфляция и фиксированный валютный курс. С переходом на плавающие
обменные курсы валют обязательство по поддержанию фиксированного паритета автоматически
исчезло, и конечной целью стала ценовая стабильность (Моисеев, 2008:135). На практике
стабильность цен означает не столько нулевое, сколько небольшое положительное значение
прироста индекса цен в течение длительного периода времени.
Деятельность центрального банка
В соответствии с поставленной целью традиционно центральный банк выполняет четыре
основные функции:
•
•
•
•
осуществляет монопольную эмиссию банкнот
является банком банков
является банкиром правительства
Жукова, 1998
)
проводит денежно- кредитное регулирование (
Цели денежно-кредитной политики можно сгруппировать так:
Операционные (инструментальные) цели:
- Резервные агрегаты (резервы и монетарная база)
- Процентные ставки (краткосрочные, такие как процентная ставка по межбанковским кредитам)
(Мишкин, 2006:500)
Промежуточные целевые ориентиры:
- денежные агрегаты (M1, M2, M3)
- процентная ставка (краткосрочная и долгосрочная)
- курс национальной валюты
Конечные (стратегические) цели:
- экономический рост
- полная занятость
- стабильность цен
- устойчивый платежный баланс
-инфляционное таргетирование (Новая Зеландия 1991г.)
Особенности денежно-кредитной политики в переходной экономике
С конца 80-х - начала 90-х годов страны Восточной Европы и республики бывшего СССР
прошли длинный путь реформирования своих экономик (Дробышевский, Козловская, Левченко,
Понамаренко, Трунин,
Четвериков,
2003). Страны испытывали
макроэкономическую
дестабилизацию, одним из инструментов решения данной проблемы, то есть инструментом
стабилизации является денежно-кредитная политика
113
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
Болгария
Беларусь
Венгрия
Казахстан
Латвия
Польша
Россия
Словакия
Словения
Чехия
Кыргызстан
Таблица1.1.Эволюция режимов денежно-кредитной политики в странах с переходной экономикой.
Источник: [9. c.25-27;]
- таргетирование денежной массы
- таргетирование инфляции
- управляемо плавающий валютный курс
-фиксированный обменный курс
После распада Советского Союза Кыргызстан, как и другие страны с приобретением
независимости начал строить путь к рыночной экономике. Исторически кыргызский народ является
кочевым народом, народом который быстро приспосабливается ко всему новому, адаптируется к
новшествам. Это качество явилось основополагающей причиной выбора либеральной модели
экономических реформ. В основе которой лежат кардинальные реформы, отличительной чертой
которой являются первенство демократических реформ, масштабность и натиск экономических
преобразований. Данная модель в качестве критерия
преобразовательных процессов
предусматривает формирование частного сектора экономики, который предположительно и
должен в перспективе обеспечить устойчивый экономический рост и повышение благосостояния
страны (Мусаева, 2008:980). Распад Советского Союза как государственно-политической системы,
безусловно, болезненно затронул экономику каждой республики бывшего Советского Союза. Так и
экономика Кыргызской Республики находилась в глубоком кризисе, так как она была зависима от
общесоюзной советской экономики. Прежде всего, республика не располагала многими ресурсами,
которые приходилось постоянно завозить такие ресурсы, как: нефтепродукты, металл, лес,
продукты химии, машины, оборудование и др. В то же время государственный бюджет республики
получал дотации из общесоюзного бюджета в размере от 8 до 14%, вместе с тем были разорваны
хозяйственные связи с другими республиками. Все это, как внешние, так и внутренние факторы,
явились причиной глубочайшего кризиса республики в постсоветский период. Либерализация цен
привела к гиперинфляции, так в 1993г.-1466,0 %. В результате денежная валюта Советского
Союза потеряла свое значение, как средство накопления, так и как средство платежа. Проценты по
кредитам поднялись до 400%. Кризис охватил всю денежно-финансовую систему страны
(КТУМ,2003:155).
Этапы становления банковской системы в Кыргызстане
С момента распада Советского Союза Банковская система Кыргызстана прошла три этапа
реформирования. Первый этап охватывает период 1991-1995гг., в течение которого были
образованы Национальный банк и коммерческие банки, сформировавшие двухуровневую
банковскую систему. Второй этап относится к 1996-1997гг., когда проводились мероприятия по
реструктуризации банков в рамках программы Fin SAC по структурной перестройке финансового
сектора. Третий этап, начавшийся с конца 1998 г. и продолжавшийся до середины 2001 г.,
114
характеризуется снижением устойчивости банков на фоне резкого ухудшения внешних факторов
(КТУМ,2003:161).
Первый этап характеризуется высокой инфляцией и дисбалансами в экономике, а также
характеризуется активными реформами и закладыванием основ законодательной, нормативной,
институциональной базы современной банковской системы. Принятие первых законов таких как «О
Национальном банке Кыргызской Республики» и « О банках и банковской деятельности» сыграли
одну из важнейших ролей в процессе перехода на рыночные отношения. С самого начала реформ
процентные ставки были либерализованы, была введена полная конвертируемость национальной
валюты на плавающей основе. В дальнейшем это было закреплено принятием Закона об
операциях с иностранной валютой в марте 1995 г. обязательств по VIII статье соглашения МВФ
(КТУМ,2003:165).
Во втором этапе существовало четыре крупнейших банка, образованных на основе
бывших государственных банков СССР. Эти банки по состоянию на начало 1995 г. были
неплатежеспособными. В 1997 г. для вывода банковской системы из данной ситуации
Национальным банком Кыргызской Республики были приняты радикальные меры. Так при
содействии Всемирного банка была разработана программа структурной перестройки финансовой
системы республики.
В результате реализации программы FinSAC помогла полностью
реорганизовать коммерческие банки, а те, что не смогли выжить, были ликвидированы. Это также
касалось крупнейших банков – Агропромбанка и Кыргыэлбанка.
С 1996 г. было полностью прекращено льготное централизованное кредитование
экономики через банки. В 1997г. была продолжена ориентация на меры, направленные на
дальнейшее снижение инфляции, уровень которой в 1997 г. снизился до 14,7%, создание условий
для долгосрочного инвестирования и развития рынка капитала, совершенствование банковской и
платежной системы. В этот период деятельность Национального банка и коммерческих банков
основывается на (новых) законах « О национальном банке Кыргызской Республики» и « О банках и
банковской деятельности», принятых парламентом страны в июле 1997 г. В данный же период
Национальным банком были разработаны новые принципы учета и отчетности в соответствии с
международными стандартами. Другими словами, все банки перешли на признанные в
международной банковской практике стандарты бухгалтерского учета и отчетности. Данные
системные изменения отчетности помогли реально отражать финансовое состояние банков. В
свою очередь, был создан механизм регулярного банковского отчета коммерческих банков,
который позволяет получать от банков необходимую информацию для осуществления внешнего
надзора в соответствии со стандартами, принятыми в мировой банковской практике (КТУМ,
2003:167). Многие коммерческие банки стали проводить ежегодный аудит по международным
стандартам
авторитетными
аудиторскими
компаниями,
что
свидетельствовало
о
профессиональном росте банков.
На третьем этапе в связи с российским кризисом 1998 г. устойчивость коммерческих
банков резко ухудшилась. Главной причиной, конечно же, явилось эхо российского кризиса, его
последствия, девальвация валют стран торговых партнеров, а также обострением проблем,
накопленных внутрибанковской системой
вследствие неэффективной кредитной политики
отдельных коммерческих банков, неэффективной процентной политики, неадекватного
мониторинга кредитов, низкого качества управления и нарушения в деятельности банков. Для
предотвращения и решения возникших проблем были проведены работы по оздоровлению
банковской системы, в частности преследовались цели по реструктуризации финансовой и
банковской системы, а также была создана система по страхованию депозитов.
С 1998 Национальный банк Кыргызской Республики прекратил прямое кредитование
Правительства Кыргызской Республики, в связи, с чем основным источником внутреннего
финансирования дефицита бюджета будут средства от продажи государственных казначейских
115
векселей, перестал проводить валютный аукцион, начал осуществление валютных операций на
межбанковском рынке.
Непосредственно перед началом обмена денег и в его процессе был принят ряд указов,
направленных на поддержку национальной валюты, включая указы об изменениях платежной
системы и валютного регулирования. Столкнувшись с проблемой ограниченных запасов
иностранной валюты на момент введения национальной валюты, правительство решило ввести
свободно плавающий обменный курс, организовать межбанковский рынок и направлять
иностранную валюту коммерческим банкам через регулярные валютные аукционы, проводимые
Национальным банком. Одновременно с этим были сняты все существовавшие ограничения на
операции с иностранной валютой, как по текущим счетам, так и по счетам движения капитала.
Согласно действующему законодательству, целью деятельности Национального банка
является достижение стабильности цен в краткосрочном периоде и долгосрочном - экономический
рост, посредством проведения соответствующей денежно-кредитной политики. Стабильность цен
является одним из условий устойчивого экономического развития. Это положение получило
признание у экономистов и легло в основу деятельности центральных банков. Разработка
денежно-кредитной политики Национального банка Кыргызской Республики осуществляется в
рамках общей экономической политики государства. Стабильность цен может быть обеспечена
различными способами или с помощью различных режимов денежно-кредитной политики. Выбор
режима денежно-кредитной политики представляется сложной проблемой, не получившей
однозначного теоретического решения. В настоящее экономическая наука рассматривает
следующие основные режимы денежно-кредитной политики: таргетирование предложения денег,
таргетирование курса валюты и таргетирование инфляции. В переходной экономики
осуществление денежно-кредитной политики связано с существованием множественности целей,
что предполагает использование промежуточного режима.
НБКР использует широкие деньги, как промежуточная цель и монетарную базу, как
операционная цель. Достижение целей денежных агрегатов осуществляется на ежеквартальной
основе, в то время как операционные цели - избыточные резервы банковской системы на
еженедельной основе.
Заключение
В развитой экономической системе первичными целями денежно- кредитной политики
являются рост экономики и снижение уровня безработицы. В то время как в переходной экономике
первичной целью является поддержание ценовой и финансовой стабильности для осуществления
более быстрого перехода к рыночной экономике с наименьшими потерями.
Национальный банк Кыргызской Республики на протяжении 18 лет, а именно с момента
становления, не менял свои цели как долгосрочные, так и краткосрочные. В первую очередь это
связано с группой факторов, влияющих на политику Национального банка. Данная группа
представлена следующими факторами:
•
•
•
•
•
•
Долларизация
Слабая банковская система
Низкий уровень Международных резервов
Недоверие населения к банковской системе
Политические и экономические дестабилизации
Высокий уровень инфляции, причиной которой являются внешние шоки.
Библиография
116
1. Hicks, John, R. (1969). A Theory of Economic History. Oxford: Clarendon Press.
2. Sussman, Nathan (1993). “Debasement, Royal Reviews and inflation in France During the
Second Stage of the Hundred Years War”. Journal of Economic History
3. Menger, Karl (1992). “On the Origins of Money”. Economic Journal 2, 238-258.
4. Дж.Мусаева.Теория и практика экономики переходного периода:Б.Илим:2008
5. Экономика Кыргызкой Республики: Учеб.пособие.Б.: КТУМ,2003,с.155-170.
6. Harry Snoek and Ron van Rooden. IMF Working Paper. Monetary Policy and Progress with
Stabilization.
7.
Общая теория денег и кредита: Учебник / Под ред. Е.Ф. Жукова. — М.: Банки и биржи, ЮНИТИ, 1998.
8. С.Мишкин. Экономическая теория денег, банковского дела и финансовых рынков: Вильямс,
2006.
9. С.Дробышевский, А.Козловская, Д.Левченко, С. Понамаренко, П. Трунин, С. Четвериков.
Сравнительный анализ денежно-кредитной политики в переходных экономиках:М:2003
10. С.Р.Моисеев.Денежно-кредитная политика: теория и практика.М.:Экономистъ,2008.
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Conference Series on Public Policy, 19, 85-124.
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аспекте / О. И. Ананьин и др. М.: ВШЭ, 1998.
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117
COUNCIL ON COMPETITIVENESS – A STARTING POINT FOR INCREASING COMPETITIVENESS
OF KYRGYZSTAN
Bedelbai Mamadiev (PhD candidate) & Ahmet Sahin (PhD candidate)
International Ataturk-Alatoo University
“National prosperity is created, not inherited.”Porter M.
1. INTRODUCTION
Competitiveness is one of the famous and attractive topics of research in academia. One may
understand it as an ability to struggle but there exists no unique definition accepted globally.
Competitiveness is an extremely complex issue that has to be researched in details. This paper presents
main theoretical approaches on the competitiveness, gives successful and unsuccessful examples of
initiating a competitiveness program in other countries, and offers a starting point for increasing the
competitiveness of Kyrgyzstan.
2. COMPETITIVENESS AND THEORETICAL BACKGROUND
Azoev and Chelenkov (2000:47-49) classify competitiveness into four different but interdependent
groups:
•
•
•
•
competitiveness of a product: ability of a product to fulfill requirements of consumers against
similar products (product’s quality, price, etc.),
competitiveness of a company: company’s ability to use its resources effectively in a competitive
market (production process, distribution channels, finance, marketing, etc.),
competitiveness of an industry: presence of technical, economical and organizational
opportunities for producing and distributing a competitive product (a group of highly competitive
companies in the same industry pulling other industries by forming infrastructure, technical and
commercial co-operations within and out of the same industry ),
competitiveness of economy (country): superior state and social institutions, political-legal
organizations that regulate all aspects of a society; ability of a state to maintain a dynamic and
sustainable economic development, consequently, life standard not below the world standard
together with producing high quality goods which supported by technology, science, production
techniques, marketing and other opportunities (competitive society with competitive advantages
in different activities).
World Economic Forum (WEF) defines country’s competitiveness as “the set of institutions, policies,
and factors that determine the level of productivity of a country.” Moreover, WEF points out the importance of
the productivity to the competitiveness of the country as it determines the level of income (the higher
productivity is, the higher income is) and rates of return of investments. Also, importance of well functioning
institutions is underlined for sustainable competitiveness, and institutions were appointed as the first pillar of
the Global Competitiveness Report (GCR).
According to the Institute for Strategy and Competitiveness of the Harvard University, country’s
competitiveness is rooted in products and services that are produced in it, in other words, productivity. What
is more, country’s competitiveness is claimed to be an inevitable part of national prosperity. Its
macroeconomic (macroeconomic policies, stable political and legal institutions) and microeconomic
(sophistication of company operations and strategies, quality of the microeconomic business environment in
which companies compete) aspects were presented (Institute for strategy and competitiveness of the
Harvard University).
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Porter, a leading scholar on competitiveness, compares different definitions of the “country’s
competitiveness” and finds no common definition that is applicable to all countries. However, he offers a
single and reasonable concept for country’s competitiveness – productivity. He supports his idea as follows.
All countries try to increase life standards of their citizens; it depends on productivity which is the main
determinant of long-term life standard and related to GDP per capita. Productivity is sourced by labor and
capital: determines level of wages and level of profit (effective use/productivity of capital). Finally, Porter
suggests concentrating on certain industries or segments of industry instead of considering the economy as
a whole. He calls it as developing clusters (Porter, 2005:211-213).
In conclusion, it may be stated that country’s competitiveness is an ability of a country to establish
and sustain productivity in certain industries or segments of industry to increase life standard of its citizens.
In addition, state’s role is to establish institutions for preparation of macroeconomic and microeconomic
infrastructure.
3. INITIATING COMPETITIVENESS PROGRAM
Different countries formed institutions for increasing own competitiveness by focusing on productivity
raise. There are both successful and unsuccessful examples. Japan, the United States, Ireland and Croatia
obtained successful results, whereas El Salvador, Guatemala, Nicaragua, Honduras and Costa Rica failed to
get positive results.
3.1. Japan
After World War II, Japan’s economy faced difficulties. In 1955 Cabinet decided to form The Japan
Productivity Center (JPC) in order to improve productivity, consequently, increase life standard of Japanese
people. It included people from labor, management and academics. Moreover, it had three guiding principles:
“expansion of employment; cooperation between labor and management; and fair distribution of the fruits of
productivity among labor, management, and consumers”. Since its foundation, JPC’s philosophy was
“maintaining and respecting the human element in economic activities”. JPC, non-profit and nongovernmental organization, contributed greatly to the development of Japan’s economy and the improvement
of people’s lives (Japan Productivity Center).
3.2. The United States
Due to recession in 1970s, the United States’ economy had problems. The Council on
Competitiveness was founded in 1986 by joining industrial, university and labor leaders, and headed by CEO
of Hewlet-Packard, Young. Main task of the Council on Competitiveness was to increase technology and
innovation position in the world and to raise market share of American industries. President Reagan’s
contribution to the establishment of the Council on Competitiveness should be highlighted. Nowadays, the
Council on Competitiveness goes on to develop “innovative public policy solutions” to increase “U.S.
productivity and leadership in world markets and to raise the standard of living for all Americans” (Council on
Competitiveness of the United States).
.
3.3. Ireland
Ireland’s economy had similar problems to Kyrgyzstan’s economy: country was poor and level of
unemployment was high. “To ensure continued growth of the economy… and the reduction of long-term
unemployment” the National Competitiveness Council (NCC) of Ireland was established in 1997. All 15
members of the NCC were from the private, public and labor sectors, and were appointed by the Prime
Minister. The head of the NCC was from the private sector, who used to be a Director General of the Irish
Management Institute, and there was no voting; instead, all decisions were taken upon consensus. Assistant
Ministers from key ministries took part as advisors but members.
119
The Council is obligated to examine and monitor the competitiveness of Irish business using
quantitative benchmarking and statistics. Results are published as two different reports: Annual
Competitiveness Report and Competitiveness Challenge Report (Ickis, 2006:341-342).
3.4. Croatia
Unemployment, wrong privatization, unproductive state enterprises and other problems forced
Croatia to form a mechanism “to encourage greater competitiveness and productivity for sustainable
development, and to promote the sustainable increase in living standards of all Croatians” in 2000. Croatia
was influenced by Irish experience and headed by a representative of the private sector but the members of
the Competitiveness Council included people from Government, unlike Irish Council. The rest members were
from private sector, labor and science and technology. The Council had three objectives: prepare
Competitiveness Report, Competitiveness Challenge Report and reports of subcommittees assigned for
specific competitiveness topics. Croatian Competitiveness Council was not closed when the ruling party was
changed, after election in 2003, because competitiveness issue was accepted as a national issue above
political games (Ickis, 2006:342-344).
3.5. El Salvador
Competitiveness program was started in 1996 with the support of the World Bank. $20 million loan
was used for improving business environment, technological training and information flow from the public.
There was no competitiveness council and the program was organized by the Ministry of Economy with “little
support or representation of the private sector”. Some success was achieved but the program was stalled
because a strong leadership was missing that could motivate other parties (Ickis, 2006:342).
3.6. Guatemala
Competitiveness program of Guatemala was initiated in 1998. The program was supported by the
World Bank (little donations until 2002, then a loan of $20 million). Guatemala spent the loan for improving
business environment and cluster development. Vice President and a representative of the private sector
shared the leadership of the program. Moreover, an excellent team was supplied by the Ministry of Economy.
Unfortunately, the change of the government ruined everything (Ickis, 2006:344-345).
3.7. Nicaragua
Competitiveness program of Nicaragua was initiated in 1998. Opinions of the private sector leaders
were asked for reduction of poverty, one of the main aims of the program, but they were not realized; as a
consequence, private sector lost enthusiasm. In 2002, the World Bank supported the program with $5 million
loan which was used for three directions: business environment, services for business development and
cluster development. The entire program was run by the Ministry of Economy but the president formed a
“Presidential Competitiveness Council (PCC)” whose administration was from both public and private
sectors. PCC could not supersede the competitiveness program (Ickis, 2006:345).
3.8. Honduras
The National Competitiveness Council of Honduras was established in 2002, and was organized by
the President. He involved the Foundation for Investment Promotion and Export Development and a private
institution that has a good reputation in the private sector. Public sector rested because the Vice President
was well known businessman. The World Bank provided with $34 million loan to support further. Still some
programs are being prepared on cluster development (Ickis, 2006:345).
3.9. Costa Rica
120
Competitiveness was an important national issue, that’s why, Professor Porter was invited. The
National Competitiveness Council of Costa Rica was formed in 2002. President of the country was very
active and interested in competitiveness issues. Also, he attracted new investments in technology. His
successors could not show the same performance, so the program slowed down. New Council consists of
eight government ministers and representatives of business chambers. Participation of the private sector is
limited. There are no cluster development studies and work is very general (Ickis, 2006:345-346).
Figure 1. GDP per capita for countries with successful competitiveness mechanisms (ers.usda.gov).
121
Figure 2. GDP per capita for countries with less successful competitiveness mechanisms (ers.usda.gov).
4. CONCLUSION
th
According to the World Competitiveness Index, Kyrgyzstan is in 120 place in the ranking. Different
mechanisms, successful and unsuccessful, for raising country’s competitiveness were presented in this
study. Necessary conclusions should be made for increasing competitiveness of Kyrgyzstan.
First, our country needs an environment where competitiveness is discussed – the Council on
Competitiveness of Kyrgyzstan (National Competitiveness Council of Kyrgyzstan). Its members should be
from the private, labor and science sectors, and the head of the Council should be a successful, respected
top manager with strong leadership skills. Government representatives (related ministries) should participate
as advisors, and must not try to affect or take the control of the meeting. Ministers may have busy schedules,
so involving vice ministers may yield better results.
Second, objectives of the Council should be determining competitive industries of Kyrgyzstan,
quantitative benchmarking with competitors, proposing changes for a better business environment, and
cluster development. Reports on those issues should be prepared periodically and be sent to the President
and the Prime Minister. Also, the Council should analyze Competitiveness Indices and derive required
results.
Third, the Competitiveness Council should have an independent structure and must be above
political interests. The change of the President, or the Prime Minister, or the Parliament must not slow down,
ruin or stop the work of the council. Also, it should be operated by consensus, not by voting.
REFERENCES
122
1. Azoev G.L., Chelenkov A.P. “Konkurentnye preimushestva firmy”, Novosti, Moscow, 2000. P.4749.
2. World Economic Forum. The Global Competitiveness Report 2010-2011. P.4.
3. Institute for strategy and competitiveness of the Harvard University http://www.isc.hbs.edu/econnatlcomp.htm last visit: 20.12.2010
4. Porter M., “On Competition”, Russian translation, Williams, Moscow, 2005. P.211-213.
5. Japan Productivity Center http://www.jpc-net.jp/eng/history/index.html last visit: 18.01.2011
6. Council on Competitiveness of the United States http://www.compete.org/about-us/ last visit:
10.01.2011
7. Ickis J.C., “Building a national competitiveness program”, Journal of Business Research,
59(2006)
8. ers.usda.gov
INNOVATIVE WAY OF DEVELOPMENT - IMPORTANT TERMS OF ECONOMY MODERNIZATION IN
THE CONDITIONS OF GLOBALIZATION
Kakhramon Shaakramov, Candidate of economics, Docent, Banking and Finance Academy of the
Republic of Uzbekistan, [email protected]
INTRODUCTION
Modernization of national economy in the conditions of globalization and integration. National
economy of Uzbek Republic having is owner way of renovaition. Innovative way of development important
terms of strengthening economy and its integration into world economy. The introduction of innovations
assists enhances the competitiveness of products. And foreign investments, especially, direct
investments play essential role in that. Regional integration ties also assist to the strengthening of
national economies and increasing production.
Globalization and integration, innovative strategy, global financial-economic crisis and
modernization of the branches of real sector, direct foreign investments and new technologies,
competitive products.
ANALYSIS
Analyzing the first lessons of global financial-economic crisis, in current conditions of globalization
and deepening of market reforms of the country with transaction economy they try to consider the
possible consequences of financial crisis for the economy of their countries. The economic policy of the
country is directed, first of all, to the searching own way of modernization of economies, considering
historical course of world crisis facts, they make conclusions about possibility of achievement of any
positive results only by drawing up bilateral and multipartite agreements, entering regional communities,
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using own approaches for transformation of national economies, liberalization of foreign economic
activity, stimulate transparency of economies; by every possible ways to enhance competitiveness of
production, more fully use potential capacity of the country, and on this base acceleration of creating
market relations in the country, that lead to further integration to the world economic community.
Undoubtedly, the results of realization of anti-crisis programs of development, forecast of the
features of post-crisis period need new reconsideration of economic measures of the countries,
especially, the countries with transitive economy. Being the member of any regional community, the
Central Asia countries have the possibility to correct foreign economic policy, trade and economic
relations, to deepen and widen branch-wise specialization of its economies directed to the rational using
of natural resources, to create common regional infrastructure – industrial, informational and
communicational, transport and others, to resolve jointly the issues of security, ecologic and other
regional problems. As a result, in the region comprehensively production partnership is developed;
national economies of the countries and its successful integration in the world community are
strengthened.
Significant role in the resolution of the tacks for overcoming crisis and providing dynamically
stable development of the economy is innovations, innovative activity, which can provide steady renewal
of technical and technological production, adoption and production of new competitive products, effective
entering of products and services to the world markets. This is required the reformation of all spheres of
social life and, first of all, its innovative modernization.
In the last quarter of 20 century mankind has entered into a new stage of its development, where,
first of all, informational technologies and computer-aided systems, industrial high technologies, being the
results of new achievements of leading science, innovative technologies, innovative systems and
innovative organization of various spheres of human activity play the significant role. The researches as
well as the analyses of present trends of economy development of leading west countries demonstrate
that the innovative economy is the economy based on the knowledge, innovations, on application of new
ideas, new machines, systems and technologies into the various spheres of human activity. Special role
is given to knowledge and innovations, and, first of all, scientific knowledge.
This implies that the satiety of innovative activity is the key condition of forming effective
innovative economy. Efficiency of innovative activity is rather determined by innovative infrastructure
which is the basis component of innovative economy and innovative potential of society.
Innovative infrastructure is totality of interactive complementary production and technical systems,
organizations, firms and appropriate organizational and control systems which are necessary and
sufficient for effective implementation of innovative activity and realization of innovations. Innovative
infrastructure predetermines the speed of country’s economy development and the growth of welfare of
population.
The experience of developed countries confirms that in the conditions of global competitiveness
in the world market inevitably the winner is who has developed infrastructure of creating and realization of
innovations, and who has more effective mechanism of innovative activity, and who successfully
participate in integration process. That is why for realization of market reforms and effective functioning of
country’s innovative economy the country should participate in integration process and create the
innovative infrastructure which should be fully well functional.
Creating such fundamentally new informational structure computer-aided, integrative
informational system, directed to the complex informational provision of innovative economy - on the
regional level of branches and enterprises will promote successful resolution of the most important
objective of country’s innovative economy: providing competiveness of the enterprises, branches, regions
and the country as a whole.
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Formation of innovative economy is substantially depended on creation of effective mechanism of
management of practical realization of complicate innovative projects. And it is impossible without
government support of innovative processes. Necessity of financial and legal support of science and
innovations, activation of innovative activity, transition into the new forms of resolving economic,
ecological and social problems of the regions, typical for innovative economy, strongly requires to develop
responsible policy against management and development of innovative activity in the region by local
authorities, to activate interaction between territorial bodies of corporative business and local authorities
on given issue. The main form of such interaction, on our opinion, should be scientific and technical
programs: governmental, financing from the budget, when priority national economic issues are resolved
on the base of scientific innovative potential of the territory and regional with shared sponsorship of the
state and the region.
RESULTS
For successful realization of territorial innovative policy on forming innovative economy the
complex of scientific, organizational and technical measures should be implemented, the key from which,
according to our opinion, are the following:
1. Development of conception of developing innovative activity and innovative infrastructure at the
territory with determination of long-term strategic aims and facilities for its achievement within the
framework of forming innovative economy.
2. Development of the program of innovative development of the region, which should be
addressed document indicating resources, executors, the period, and totality of measures directed to the
achievement of aims of innovative development of the territory.
3. Including the regulations of innovative development program of the region into the program of
its social and economic development.
4. Organization of practical activity of the local authorities on realization and enactment of
appropriate regulations on territorial level as well as organizational and informational provision of given
program.
Integrative processes and the experience of innovative way of development of developing
countries can be rather applied to the countries of Central Asia region, where it is related with the national
interests of the countries and is the objective and natural process directed to the achievements of stability
of social and economic development of the countries, strengthening of its industrial potential, competitive
production, entry to international trade levels what ensures the improvement of people well-being and
strengthening security of the countries.
Close cooperation of Central Asia countries in the framework of SCO, CIS and other foundations
helps realization of over-mentioned tacks and directions. As an example, at present SCO serves common
specified interests more widely than Central Asia region and opens new prospects of integrative relations
with participation of leading countries that satisfy completely requirements of globalization and
regionalism in the economic relations of Central Asia countries. As national economies of membercountries of the community are inseparably interrelated, and have a lot of common things, it is difficult to
imagine achievements of economic progress and development of foreign economic relations of its
countries without each other. That is why the cooperation of the countries of the region is predetermined
by the history and dictates the necessity of deepening of integrative relations.
The objective of innovative policy perfection during transaction to market relations and economic
and financial stability of each country of Central Asia region is the important condition for development of
integrative relations and for enhancement of national economies.
Analyzing consequences of the crisis, the place of Uzbekistan in the world community, the ways
of modernization and innovative development of the economy in the conditions of ongoing global financial
and economic crisis the President of the Republic of Uzbekistan accentuates the following:
125
“…today Uzbekistan is an integral part of the world community and global financial and economic market.
The striking evidence for this fact is as follows: our ever increasing ties with outside world; implementation
of the programs on development, modernization, technical and technological re-equipment of economic
sectors with an assistance of the leading developed countries; integration of Uzbekistan into international
trade; growth of imports and exports of goods and commodities…”
Participation of the country in realization of own model of economic development allows
Uzbekistan for the shirt period of time to achieve essential successes in all key spheres and branches.
For last two years the volume of implemented foreign investments increased more than 2,5 times. Despite
ongoing global financial-economic crisis the enhancement of economy is high. Particularly, in 2009 GDP
of the country increased by 8,1 percent, industrial production – by 9 percent, export of goods – by 2,4
percent. As a result, foreign trade turnover in 2009 has positive balance what is the most important
indicator of reliability of payment balance and stability of the economy of Uzbekistan as a whole.
During the independence unit weight of industry in GDP increased more than 2 times, that
testifies the forthcoming to the structure characterized for industrial countries. At the same time distinctive
feature of structural changes in the industry of Uzbekistan is outrunning growth in the branches with
highly technological level of industry, creating big added cost and increasing competitiveness of the
country in comparison with development of traditional raw branches. Such branches as chemical,
petrochemical industry and etc. continue to make major contribution to the development of industry.
Positive results significantly are achieved thank to stimulation of production of finished and
localized products, intensive technological modernization of enterprises in such branches as information
and communication technology, gas-and-oil industry, nonferrous-metals and ferrous industry, chemical
industry, pharmaceutical industry, light industry, ginning industry, fat-and-oil industry and constructional
material production industry. This process is related with transforming industry from raw industry to
finished product industry with big share of added cost.
One of the main factors of accelerating structural reforms is creating a favorable investment
climate in the country.
As a result, thanks to all sources of financing the investments worth 8,2 billion US dollars have
been channeled to the development of economy in 2009 and the volume of investments towards GDP
has accounted for 23,0 percent. In this, more 50 percent of all assimilated investments have been
channeled to modernization and technical re-equipment of production. Despite ongoing global crisis, in
2009 the volume of foreign investments into the country’s economy is increased, and a great share of it
make up direct investments (more 75%).
Today’s changes in the international financial sphere and the global financial-economic crisis
itself dictate the necessity of constant renewal and modernization of production, and require
concentration of all forces and resources of the country. Development of the Program for implementation
of the most important priority projects aimed at modernization, technical and technological renewal and
radical enhancement of competitiveness and rise of export potential of economy include about 690
investment projects in fuel and energy, chemical, oil and gas processing, metallurgy sectors, light and
textile industry, industry of construction materials and mechanical engineering, and other sectors of
economy.
As calculations demonstrate, the implementation of projects hereinabove will allow, thanks to
introducing innovative and energy-saving technologies, developing the production of new types of goods,
which are in demand in the world market, ensure manufacturing of additional products worth 10.4 billion
US dollars annually, increase exports to 6.5 billion dollars, as well as significantly increase the volumes of
GDP.
CONCLUSIONS
126
Researching issues of innovative development of the countries, modernization of national
economy and its integration into the world community we can make the following conclusions:
1. In the conditions of international relations globalization the regional integrative processes
influence in forming and development of national economy of the country, its transformation and
modernization.
2. Each country becomes the part of world and the global financial-economic market.
3. Industrial innovative development of national economies of the countries is implemented by
applying system innovative reforms in the country and government support.
4. Activation of investment activity is the important factor of accelerative innovative development
of the country with transition economy.
5. Applying of effective applied scientific-technical, engineering and technological development s
into the real sector of the economy, including modernization of the branches, technical and technological
renewal, leads to the further development of national economies.
6. Wide development of banking system, active participation of international banks and other
international financial institutes in economic reforms of Central Asia countries stimulates the development
of industrial forces of the region, enhancement of foreign economic relations and strengthening of
national economies of the countries.
REFERENCES:
1. Karimov, I. (2010) Our main aim – increasing the economic development and further prosperity of
nation. Tashkent: “Uzbekiston”.
2. Karimov, I. (2009) The global financial-economic crisis, ways and measures to overcome it in the
conditions of Uzbekistan. Tashkent: “Uzbekiston”.
3. Krasnikova, E. (2008) Economica perehodnogo perioda. Moskva.
4. Yancovskiy, K. (2006) Organizaciya investicionnoy
I innovacionnoy deiyatelnocti. Sankt
Peterburg.
5. Alimov, R. (2005) Central Asia: common interest. Tashkent: “Shark”.
6. (2002) State regulation of market economy. Manual – 2 ed. – Moscow: Delo.
7. Porter, M. (1998) On Competition. A Harvard Business Review Book.
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EXPECTATION LEVELS OF STUDENTS WHO WERE NOT ABLE TO WIN THE STUDENT
SELECTION EXAMINATION AND STUDY AT PRIVATE COURSES
H.Eray ÇELİK
Department of Statistics, Faculty of Science, Yüzüncü Yıl University, Van, Turkey,
Email: [email protected]
Veysel YILMAZ,
Department of Statistics, Faculty of Science and Literature, Eskişehir Osmangazi University,
Eskişehir, Turkey,
Suat PARİN,
Department of Sociology, Faculty of Literature, Yüzüncü Yıl University, Van, Turkey,
ABSTRACT
The aim of this study is to measure expectation levels of students who could not win in the first
time they enter SSE (Student Selection Examination) and investigate these results by Structural Equation
Modelling based on gender. Work group of the study is composed of 155 boy and 169 girl students in
different private courses at Eskişehir province. A survey composed of 18 items under 5 factors is applied
on these students. According to the statistical analysis results conducted through institutional model that
explains future expectation levels of students; the causative relationships between friend, family,
neighbour and personal evaluation latent variables are found to be significant. While girl students are
found to be shaping their expectations by the perception of family, it is the factor of fried that shape the
expectations of boy students.
Keywords: Student Selection Examination, Expectation Level, Gender, Structural Equation Modelling
128
1. INTRODUCTION
Thousands of students graduate from different high schools enter student selection exam every
year. In this exam which is a matter of concern both for the students and the individuals who live in this
society, the success of students depends on various factors. Youth of our country who start preparing
central exams from the early years of their primary and secondary school education, experiences a
process full of hurdles together with university entering exam which coincides with their teen-ages.
Central exams directly affect daily routine and life habits of not only the students but also their families.
Teen-age is a transition period in development. Physical, emotional and psycho-social changes in this
period affect the young deeply. Besides, teen-age is a risky period in terms of many psychological
disorders. Starting university and education problems affect their psychological development and health
negatively.
As teen age that starts with puberty in development process of individual, for psychology of
education is a development process in which individual matures physically and psychologically, he is
accepted by friend groups and obtained his independence. It takes an important place within the
development process of individual. The period of “puberty” which is the start of teen-age covers the end
of (end of primary school) primary stage of basic education. This period is generally the stage in which
children; gets rid of childish behaviours of early childhood by and by, learns to maintain the attitudes the
elders want them to behave, plays with peer-groups, share the sorrow and grief of others, obey the rules
of the society, accepts the values of the society, and develops a good attitude towards social order and
social institutions (Başaran, 2004). In this period; socio-economic stand of the family, parent attitudes,
cultural features of the society, upbringing of the parent, relationships between parents and such factors
are the factors that affect choosing the appropriate upbringing methods in order for a balanced and
healthy personality to develop in the individual and look to future more hopefully.
There are fewer studies that deal with only hopelessness levels of the student who failed in the
university entrance exam in Turkey and study at private courses. Bozdemir (2004), in his study entitled
“tendency to committing suicide in high school adolescents”, it is found out that 55 % of those students
are unhappy and hopeless. In the study conducted by Günay et.al. (2008), it is tried to determine the
state and permanent anxiety levels and effects of various factors on anxiety levels of students who are at
the final grade of their high school education in Kayseri province. Researchers who have interviewed 342
students found out that; anxiety levels of students who; think that their health state is bad, have bad
relationships with their friends and families, are hopeless concerning their own and that of their countries
future, are higher. Ekici (2005), have tried to determine the attitudes of students towards student selection
exam by using 258 students sampling from three different private courses in Ankara province. Balat and
Akman (2004), have observed differences in the psychological states of students based on their gender,
socio-economical state and the classes they study in. In the end of interviews they have carried out by
choosing 482 students randomly from 7 different high schools in Ankara, they have found out that there
are significant differences in the psychological states of students based on their gender, socio-economical
state and the classes they study in, and they stress that these problems of these students should be paid
utmost attention and diagnosing actions must be attributed importance. Özmen, et.al. (2008), in their
study conducted at Manisa to 1185 high school 1st grade students between 14-19 years of age have
found out that; adult students in city are hopeful about the future; but the number of hopeless are not to
be underestimatinly law and the students with law socio-economical stand are more hopeless than the
others. Tokuç et.al. (2009), have conducted a study to determine hopelessness and permanent anxiety
levels of students studying in Edirne and Hayrabolu Vocational Education Centre. The researchers have
tried to detect permanent anxiety state and hopelessness and determine their relationship with some
socio-demographic variables. Ören and Gençdoğan (2007), have studied depression levels of high school
students in terms of gender and class variables. This study is conducted on 5747 high school students
having education in 8 different schools in Erzurum province. While the authors have not find a difference
in depression levels of girl and boy students, in terms of grade levels, depression levels of 3rd grade
students are found to be considerably higher than 1st and 2nd grade students. Eskin, et.al. (2008), have
investigated the prevalence of stress and related factors in high school student adults. In the end of the
129
interviews they have conducted on 805 (367 girls, 438 boys) high school 1st grade students at Aydın
province, they have found out that; depression may be extensive within high school adults and law selfrespect, weak social support and lack of problem solving talent are risk factors in depression at adult age.
Researchers have determined failure in boys and law father education in girls as risk factors
differentiating based on gender.
In this study the point investigated is; the effects of family, friend and environment and causal
relationship between them that are thought to have effects on future expectations and hopes of high
school graduate students who fail in university entrance exam and study in private courses.
2. METHOD
The universe of this study is composed of all the high school graduate students studying at
private SSE (Student selection examination) preparation courses at Eskişehir province in 2009–2010
Education Periods. Sampling of this study is composed of 335 randomly chosen students from high
school graduate students studying at private SSE preparation courses at Eskişehir province in MarchApril months of 2009–2010 Education Period. Since 11 out of these students hadn’t completed the
survey, their results are ignored. Thus, the number of final sampling is composed of 324 students. Some
data concerning these students are given in Table 1.
Table 1. Socio-demographic data
Variable
Gender
Level
Boy
Girl
The number of exam entrance
2
3
4
Bad
Average
Good
Very good
Identification of economical stand
Frequency
155
169
324
235
76
13
7
141
161
15
%
47.80
52.20
100.00
72.50
23.50
4.00
2.20
43.50
49.70
4.60
In statistical researches, importance of measuring is that it forms the main standpoints of giving
objective decisions. A survey composed of 18 items identified under 5 factors is conducted on students
who carry on university exam preparatory education. These 5 factors are; family (Factor A), friend (Factor
B), neighbour (Factor C), personal evaluation (Factor D) and future (Factor E) respectively. Factors and
items are given in Table 2.
Table 2. Factors, Items, Average and Standard Deviation Values.
Factors / Items
Average
Factor A. Family
A1: My family and I enjoy together.
3.66
A2: My family helps to solve my problems.
3.74
A3: My family likes hearing my ideas.
3.94
A4: My family trusts me.
4.27
Factor B. Friend
B1: My friends are good to me.
4.48
B2: I am enjoying the company of my friends.
4.49
B3: My friends are great people.
4.14
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Standard Deviation
1.22
1.26
1.08
1.06
0.73
0.80
0.89
B4: My friends help me when I need them.
Factor C. Neighbour
C1: I like our neighbours.
C2: I wish our neighbours were different people.
Factor D. Personal Evaluation
D1: I am a good person.
D2: People around me love me.
D3: I love myself.
D4: There are various good things I do.
Factor E. Future
E1: I believe everything will be good in the future.
E2: I believe I will be an important person in the future.
E3: I believe I will get what I want in the future.
E4: I believe I will win university exam.
4.32
0.90
3.28
3.27
1.25
1.33
4.31
4.32
4.24
4.12
0.77
0.76
0.95
0.90
3.99
3.82
4.00
4.04
1.05
1.03
0.93
0.92
3. STATISTICAL EVALUATION
Structural Equation Modelling (SEM); is a statistical method of science used either in social,
behavioural and educational researches or in biology, marketing and medical researches (Bollen, 1989;
Kline, 2005). SEM is a comprehensive approach that is used in testing the models in which causal and
mutual relationships are observed and latent variables are present at the same time. SEM which has a
usage in various field of science provides a comprehensive method for testing and measuring significant
theories. SEM is the series of statistical methods that bring hypothesis test approach to multi-variable
analysis of structural model related to a subject. This structural model display the causal processes
observed on a great number of variables (Raykov and Marcoulides, 2006).
In the study, research model concerning the general sampling constituted by girl and boy
students and causal relationships between latent variables in the model are primarily taken into
consideration. Afterwards, by dividing general sampling into two as girl and boy students, research
modelling is re-analysed for these two sub-sampling group.
4. FINDINGS AND DISCUSSION
Results obtained by using ML approach in LISREL 8.72 software are given in Table 3-4 and
Figure 4. Concordance values given in Table 3 show that all three models analysed are significant
integrally.
Table 3. Concordance measures
Whole sampling
Girl Students
Boy Students
χ2
sd
χ 2 /sd
p
NNFI
CFI
RMSEA
262.06
229.07
167.36
128
128
128
2.05
1.79
1.31
p<0.001
p<0.001
P<0.05
0.96
0.95
0.96
0.97
0.96
0.91
0.057
0.069
0.045
2
Table 4. Standardised loads (SL), t and R values
Whole Sampling
Factors / items
(n= 324 )
SL
t
R2
Factor A
A1
0.77
14.95
0.59
A2
0.79
15.37
0.62
A3
0.76
14.83
0.58
A4
0.50
8.89
0.25
Factor B
B1
0.80
16.46
0.64
B2
0.84
17.74
0.71
131
Girl Students
(n = 169)
SY
t
R2
Boy Students
(n = 155 )
SY
t
R2
0.80
0.75
0.78
0.67
11.61
10.54
11.20
9.25
0.64
0.56
0.61
0.46
0.73
0.82
0.76
0.35
9.67
11.13
10.09
4.06
0.54
0.68
0.58
0.12
0.77
0.86
11.04
12.89
0.59
0.73
0.85
0.84
12.46
12.31
0.71
0.70
B3
B4
Factor C
C1
C2
Factor D
D1
D2
D3
D4
Factor E
E1
E2
E3
E4
Whole
Sampling
Girl Students
Boy Students
0.73
0.69
14.46
13.45
0.53
0.48
0.79
0.57
11.44
7.53
0.62
0.32
0.69
0.78
9.27
11.03
0.47
0.61
0.75
0.64
5.68
5.51
0.64
0.41
0.91
0.61
4.89
4.44
0.72
0.37
0.69
0.61
4.00
3.88
0.47
0.37
0.75
0.83
0.65
0.59
13.47
10.97
9.94
0.54
0.68
0.43
0.45
0.70
0.64
0.79
0.68
7.25
8.60
7.65
0.48
0.41
0.62
0.46
0.75
0.94
0.59
0.54
11.11
7.28
6.61
0.57
0.89
0.35
0.29
0.51
0.69
0.87
0.35
0.86
0.87
0.92
0.64
14.75
15.88
9.29
0.74
0.76
0.84
0.41
0.55
0.79
0.95
0.53
6.92
7.06
5.35
0.30
0.62
0.90
0.28
0.72
0.83
14.28
0.93
15.21
0.59
10.19
Structural Equations
D = 0.13 A + 0.56 B + 0.16C
E = 0.54 D
D = 0.37 A + 0.31B + 0.22C
E = 0.67 D
D = 0.04 A + 0.68 B + 0.05C
E = 0.46 D
R2
0.45
0.13
0.40
0.18
0.51
0.11
Figure 1. Structural Equation Modelling
Firstly, causal affect of Factor A, Factor B and Factor C on Factor D which is identified as the
personal evaluation of students is taken into consideration. After doing that, causal and internal effects of
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these factors on future expectation of students is investigated. This research model which is identified
institutionally is taken into consideration separately as general sampling, sampling composed of girl
students and sampling composed of boy students.
In general sampling, all causal relationships identified between latent variables are found to be
statistically significant. It is determined that Factor A, B and C explain mean latent variable Factor D, and
Factor D explains endogenous latent variable Factor E. Independent latent variables and mean latent
variables that are present in research modelling are detected to be adequate in explaining expectation
levels of students for the future.
Differently from the results obtained in general sampling concerning research model, in the
sampling group constituted by boy students, in which Factor D is only explained by Factor B, it is detected
that boy students’ perception of family and neighbourhood is insignificant on their own personal
evaluation according to them. Perception of family, friend and neighbour which is found to be significant
on personal evaluation in general sampling determines the expectation levels of students for the future
integrally while this situation is comprised only of friendship perception and evaluating oneself personally
in boy students.
Contrary to boy students, the results of research model belong to sampling group comprised of
girl students display concordance with statistical results of general sampling.
When research model results that are analysed for different samplings are compared, the direct
effect of family perception in girl students on their own evaluation (0.37) and its indirect effect on hope is
found to be (0.25) in the highest level. It is detected that girl students mostly shape their hope with their
perception of family within the framework of social norms. Differently from the results obtained concerning
girl students, perception of friend is found to be the most important factor explaining expectation levels
and personal evaluation in boy students.
This research clearly reveals that; in terms of self identification, evaluation (Factor D) and in the
process of shaping expectations for the future, factors such as Family (Factor A), Friend (Factor B) and
Neighbour (Factor C) have a dominant role on students who prepare for university entrance exam
concerning interfactoral relations. In terms of general sampling, it is found out that; Factor B, Factor C and
Factor A are respectively affecting latent mean variant (factor) which is perception of oneself and things
around students preparing for university entrance exam. This panorama shows us that, in students who
prepare for university entrance exam, it is clear that it is outer (friendship and environment) groups which
are more effective than the effect of family in strengthening positive perception of self evaluation and
acceptance in the area he/she portions. In adolescence period behavioural customs of students who
prepare for university entrance exam, it is observed that; together with family that bore a central role, peer
/ friend groups and neighbours start having an indicative role and the effect level of family is getting lesser
day by day. In the light of these findings, we conclude that this affects students’ perception of oneself,
one’s own potential and its perception by society as a whole and this cumulative perception affects the
expectation for the future.
In the sampling group composed only of boy students, the reason why friend groups are more
effective in their personal evaluations can best be explained by the fact that, boy students chose to have
most of their time with their close friend groups within their daily relationship density and duration. While
family and neighbours undergo a recessive character within social relationships of this period, friend
groups which students; find close to their spiritual and emotional world, have frequencies in common and
can realise themselves take a determinative position. Thus, in the expectations levels of boy students for
the future, friend groups and personal evaluations shaped by this comes to fore.
The reason why girl students display a different pattern from that of boy students in terms of self
evaluation and effects on expectation levels can in a way be explained by the fact that social life is
comprised of gender codes. Having similar age and social-economical features with boys, girls rely on
family in their personality design, self identification and evaluation. The reason for this is the relationships
133
of girls are limited with their peer groups. Most of their daily life is passed under the control of their family.
In this respect, a personality evaluation approved by their family have the highest determinative role.
While family is a source of trust in identifying themselves, it is also an institution that limits mobility in girl
students’ social life.
BIBLIOGRAPHY
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Psikologlar Derneği Yayınları, Ankara.
3. Bollen, K.A., (1989) Structural Equations with Latent Variables, Wiley, New York, 514 p.
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rehberlik/rehberlik/ergenlik_donemine_giris.doc (20.02.2009).
5. Ekici, G., (2005) An investigation of the attitudes of students’ toward the Student selection examination
(sse) through A number of variables, Hacettepe University The Journal of Education, 28, 82-90.
6. Ergene, T., & Yıldırım, İ., (2004) Depression among university entrance examination candidates,
Psikiyatri Psikoloji ve Psikofarmakoloji Dergisi, 12 (2), 91–100.
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Depression in High School Students, Turkish Journal of Psychiatry, 19(4), 382-389.
8. Günay, O., Öncel, Ü.N., Erdoğan, Ü., Güneri, E., Tendoğan, M., & Uğur, A., (2008) State and Trait
Anxiety Levels of the Last Class High School Students, Journal of Health Sciences, 17(2), 77-85.
9. Kline, B.R., (2005) Principles and practice of structural equation modeling, Second Edition, Mahwah,
NJ: Lawrence Erlbaum Associates, 238 p.
10. Ören N., & Gençdoğan B., (2007) The analysis of the depression levels of the lycee students
according to some variables, Kastamonu Eğitim Dergisi, 15(1), 85-92.
11. Özmen, D., Dündar, E.P., Çetinkaya, A.Ç., Taşkın, O., & Özmen, E., (2008) Hopelessness and
factors affecting hopelessness in high school students. Anatolian Journal of Psychiatry, 9, 8-15.
12. Raykov, T., & Marcoulides, G.A., (2006) A first course in structural equation modeling, The Guilford
Press, New York London, 385 p.
13. Tokuç, B., Evren, H.S.M., & Ekuklu, G., (2009) Hopelessness and Trait Anxiety Levels of Young
Workers Attending to Occupational Training Center in Hayrabolu and Edirne, TAF Prev Med Bull., 8(2):
155-160.
134
TEACHER RESPONSE TO AN EARLY LITERACY TEACHING INTERVENTION
Nkechi M. Christopher
University of Ibadan, Ibadan, Nigeria (Institutional affiliation)
Address: P O Box 14427, University of Ibadan Post Office, Ibadan, Nigeria
ABSTRACT
Literacy development is one of the most troublesome national issues in sub-Saharan African
countries. While over the years Nigeria has invested much in mass literacy with debatable success, early
English literacy has not received the deserved attention, with poor performance in national examinations
indicating that students find education in English difficult. With the belief that modern methods of teaching early
English literacy elsewhere would enable Nigerian pupils to acquire early literacy skills that will empower
them to cultivate reading habits, a pedagogic intervention was tried out in select primary schools in one of
Nigeria’s 36 states with tremendous success. This paper reports on the synthetic phonics pilot project
outcome, giving prominence to teachers’ response.
Key words:
bilingual education, early English literacy, synthetic phonics, teacher development,
teacher response,
INTRODUCTION
Taking teachers along in any intervention to improve learning is imperative for its success.
Teachers’ perception of the expediency of a professional development exercise or a new teaching
method or resource determines the extent they would incorporate new ideas or intervention into their
practice (Haager and Windmueller, 2001). Thus their response was sought in the evaluation of the
efficacy of a synthetic phonics teaching method piloted in some schools in Nigeria. A pilot pedagogic
intervention was carried out with a view to convince education managers to adopt an effective means of
curtailing the aspect of poor education achievement occasioned by poor development of basic literacy
skills among students at a critical age in lower primary.
135
Literacy development has been suffering setbacks over the years, and because of its different offshoots it is beginning to appear intractable. In every front, managers of the educational system are
confronted with enormous task – teacher quality and quantity, absence of books in homes and their
limited provision at school, high population of learners under the universal basic education programme,
etc. These among other limitations hinder effective teaching and learning, leading to many children going
through school without acquiring sufficient knowledge that would empower them to adjust to society
meaningfully. Appalling performance in national examinations at the conclusion of secondary education,
and school leavers’ inability to carry out simple literacy activities indicate that students are not being
adequately prepared in academic English or to capably learn English right from their primary school days.
Learners cannot hope to read effectively or perform other literacy-based tasks if they do not acquire in
time the skills for decoding sounds from, and encoding sounds into, letters. The extent they can read and
spell depends on the effectiveness of instruction on phonics and phonological awareness of the language
of literacy. The indication, however, is that teachers are not equipped to help young learners to develop
literacy skills, even in the absence of reading teachers.
Therefore, training teachers and equipping them with resources for early English literacy teaching
were seen as a veritable solution to the problem of teaching without learning taking place. A proprietary
early literacy teaching programme developed along the principle of synthetic (and analytic) phonics
method was tried out in one of the 36 states in Nigeria to find out its adaptability to the Nigerian
environment. Teachers’ experience with the package was considered crucial in this assessment,
especially since its adoption would require significant investment by government. Fortunately, from the
early stage of the six-month pilot the programme met with instant acceptation among pupils, teachers and
communities where the project schools are located.
It is important to state that the purpose of introducing early English literacy in primary one was not
to upstage mother tongue education in lower primary, but to exploit children’s linguistic acquisition device
to effectively engender early learning of the English language arts (as a subject). It is obvious that a child
can learn more than one language adequately. Contrary to misconceptions of most Nigerians who
discourage their children from learning a local language at an early age (and the drift to monolingual
education in English),
Research shows that after 4 to 7 years of quality bilingual instruction, students typically reach and
surpass native English speakers' academic performance in all subject areas. This phenomenon is
confusing because one would think that with two languages being learned, the student would require
more time to reach academic proficiency in both languages Kuamoo (2008).
Bilingual education fails because, as Wiley (2008) observes, “the mere existence of a policy does
not mean that it has been well planned or well implemented.” In Nigeria people malign bilingual education
as a failed policy, but the failure is that of implementation rather than bilingual education itself or mother
tongue education. Neither local languages nor English is well taught; causing many students to leave
school without being sufficiently proficient in any language. Further, Nigeria has been far removed from
developments in language teaching, continuing to put old wine in new bottles by teaching today’s children
with worn out methods that cannot sustain learners’ attention or meet the communication needs of the
present generation, many other disenabling factors besides. Consequently, gradually introducing
methods and approaches that have proven effective elsewhere should gravitate English language
teaching in Nigeria towards best practices.
Synthetic phonics is a relatively recent approach in the teaching of early literacy skills, and is
generally not being used in Nigerian public schools. In addition to a review of literature on bilingual
situation and teacher qualification, I outline how the synthetic phonics pilot project was executed and
briefly highlight project outcomes as background to a subsequent discussion on teachers’ response. I
conclude the paper by suggesting the way forward in this project and for teacher development generally
in Nigeria.
136
ESL TEACHERS IN BILINGUAL SITUATIONS
The goal of bilingual education in lower primary in Nigeria is to engender smooth transition from
learning in home language to learning in the English language. Children are expected to acquire sufficient
proficiency in English at lower primary in preparation for learning other subjects in English at upper
primary. This implies that “students who do not experience this language in their daily social
environments need ... to experience it in the classroom”, Brisk and Jefferies (2008) recommends of
minority students in American schools. Since majority of Nigerian children come from poor backgrounds,
they as minority children in American schools “have limited language proficiency and readiness skills to
be successful in school” (Kuamoo, 2008).
Moreover, as other African (Buthelezi, 2002), many Nigerian children have little or no preschool
experience with books, reading and writing in either in English (L2) or their first language (L1). Reading
books and normal household experience involving literacy activities expose young children to forms and
formats of literacy as well as complex meaning making. In addition, they get familiar with a language’s
phonemic and phonological system, letter shapes and names; and perceive that words consist of letters
and that prints bear meaning. The implication is that Nigerian children require more instructional
intervention than their L1 counterparts in developed countries to become sufficiently literate in English.
Therefore, writing about the importance of preschool classroom in pre-academic development of
preschoolers (in L1 environment), Adger, Hoyle & Dickinson (2004: 869) posit that “it is reasonable to
seek to provide high-quality professional development on early literacy to improve teachers’ abilities to
support young children’s language and literacy development”.
Most children in Nigeria public schools encounter and learn English only in the classroom (few
may bring substandard models), placing much burden on teachers, who however are unable to meet
students’ language learning needs due to limitations in training, among other teacher quality factors.
Ideally, teachers should be guided by knowledge acquired in linguistics, bilingualism and language
learning (Brisk and Jefferies 2008) in designing and teaching curriculum that compensates for inherent
difficulties in learning a second language (as against acquiring a language in a natural setting while
growing up) in an unnatural environment, and teach literacy skills in a print (and non-print) rich
environment. The school should model an ideal language and literacy community saturated with the
language being taught – local or English – to enable learners experience language and to grow into
language and literacy skills users rather than leave school still struggling to learn the language.
The expertise expected of the English/literacy teacher in a bilingual setting is threefold. According
to Mora (2008), bilingual schools should address learners’ needs in language, literacy, and content
learning; noting, however, that a teacher’s level of expertise supports or impedes implementation of well
designed curriculum even when theoretically coherent. Mora further avers that “effective bilingual
classroom teaching requires a high level of theoretical and technical knowledge of approaches, strategies
and techniques for designing appropriate curricula, planning a sequence of lessons, organizing the
classroom, utilizing and developing instructional materials, and grouping students for learning tasks”.
Thus, Vaughn and Coleman (2004: 25) conclude that “teachers skilled in the most effective methods of
instruction are central to improved outcomes for students”.
In line with the above thinking, Kuamoo (2008) sees teacher preparation as the most significant
variable for L2 learning. However, teachers’ prerequisite knowledge of general linguistics, English
linguistics and principles of progression from L1 to L2 in L2 teaching may be low and insufficient for
instruction in different language skills, such as contrastive analysis and phonics. Mora sums from
literature these specific skills required of a bilingual L2 teacher:
(a) primary-language (LI) proficiency,
(b) bilingual education programme structure and design,
(c) LI and English linguistics,
(d) bilingualism/L2 acquisition and L2 language pedagogy,
(e) biliteracy/L2 literacy pedagogy,
137
(f) L1/L2 academic content pedagogy, and
(g) LI culture and cross-cultural knowledge.
The ideal bilingual learning context described by Mora is considered should yield the desired
result and is therefore considered low risk in terms of using L2 in content teaching Clegs (2010: 4). In
addition to the above, Clegs argues that education in L2 works better if:
•
•
•
•
•
•
Teachers can use the language effectively for teaching
Learners can use it effectively for learning
Teachers can teach their subject to learners whose level of L2 ability is low
Appropriate learning materials are available
Language teachers are involved
Planning at the level of the school and the education authority is well-informed.
In addition, Clegs agrees with Mora that good levels of literacy and cognitive skills in L1 are also
advantageous in successful teaching in L2. But he regrets that while these conditions obtain in optional
content and language integrated learning (CLIL) situation they do not in a system-wide adoption of CLIL
as done by Nigeria. Nigeria has over four hundred languages and has adopted a bilingual education
policy, which it has however found difficult to implement – exhibiting ambivalence at the best.
THE PILOT PROJECT
RATIONALE FOR INTRODUCING SYNTHETIC PHONICS
Early literacy teaching in Nigeria is not distinguished from regular language teaching
programmes, since most learners start to learn the English language at school and rarely bring any
literacy skills to school; and additionally, there are no reading teachers. Literacy and language
development in Nigeria are two sides of a coin; especially in public schools attended by majority of
children. And because teachers have not been adequately equipped professionally to handle linguistic
and literacy development needs of learners, the education system and compulsory universal basic
education have not been of optimal benefits to its recipients in ways desired. Thus, early reading and
writing difficulties have become a nagging problem to education at all levels, and in fact the society as a
whole. As Haager and Windmueller (2001) have observed, those who acquire literacy skills can aspire
and attain greater heights in society whereas those who do not would most certainly be left further
behind. It is not surprising that today admission into Nigerian universities favour those that attended
private schools; most of their public school counterparts usually failling to meet requirements for
admission.
On the part of teachers, there is need to build on their pre-service training to empower them to
meet learning needs of pupils in contemporary society, and in a manner that can be sustained. Therefore,
the synthetic phonics programme piloted was being offered as a preferred method for teaching early
English literacy to Nigerian children. It was found very useful for appreciating phonemic and phonological
fundamentals of the English language for teachers and pupils alike. Moreover, the provision of resources
in addition to teacher development was imperative in Nigeria’s underserved environment.
METHODOLOGY
Effective teaching should lead to better achievement. Haager and Windmueller (2001) agree with
the assertion that change in teacher effort should have direct impact on student outcomes. To find out if
the method piloted for six months (January–June) would lead to better teaching and learning, the project
was preceded (November/December) and ended (June/July, the following year) with the administration of
Burt Reading test and Schnoel spelling test on pilot and control groups in primary one. The tests were
also administered on primary two pupils during pre-test, so as to be able to compare their performance
with the post-test performance of primary one pupils. After the pre-tests, a primary one and a head
teacher from each of seven participating schools (one private and six public) were invited to a two-day
(January) and a one-day follow-up (May) workshops on how to teach with the synthetic phonics package.
138
Teachers were given a free hand to teach as they deemed fit. To monitor the project, supervisory visits to
each school were scheduled for February and May, but which some supervisors did not do as expected.
To further assess progress, video footage of teaching was carried out on two separate occasions in each
school.
However, the major concern of this article is teacher response. As a further assessment of the
synthetic package, and its trial in Nigeria, a questionnaire was administered on teachers at the end of the
project period to elicit their own experience and opinion on the teachability of the package, the challenges
encountered and learning/teaching outcomes.
OUTCOMES
Despite challenges – such as a six-week teachers’ strike, limited time permitted by head teachers
for teaching the (intruding) programme and overcrowding of project classes due to invitation of outsiders
to the original classes, the difference between pre- and post-test achievements indicate that teaching the
synthetic phonics programme made significant impact on the project pupils’ reading and spelling abilities.
Children in the private school who were already spelling and reading beyond their age by the inception of
the project gained far more than those in public schools, who however performed better than their seniors
in primary two did when tested during the pre-test. The experimental groups’ perceptiveness of English
sounds and ability to relate them to their grapheme were superior to their seniors in public schools and
the control group in the private school.
As with pupils, there was variation in teacher effectiveness. There are indications that teachers
would have fared better if they were all visited by supervisors as scheduled, since some teachers
encountered problems that hindered the smooth running of the programme which could have been
resolved betimes. Those teachers that received mentoring support were more effective than those that
did not, affirming Haager and Windmueller (2001) recognition of the need for personalised support to
encourage teachers to carry on with interventions. However, all outcomes outlined by Berliner (2004: 209)
were evident in all the project schools at the end of the project period: “higher motivation to learn and
higher feelings of self efficacy, higher levels of achievement, and deeper rather than surface
understanding of the subject matter.” On the last attribute – deeper understanding of the subject matter –
more still needs to be done to get teachers to really appreciate that the programme is designed to get
pupils to actually (speak,) read and write fluently and accurately beyond words in the synthetic phonics
programme itself. On the other hand, of interest is that teachers requested feedback, to know if they were
doing it right and how to do it better using the resources. Besides, they were also willing to go beyond the
use of the resources to increase learning among their pupils. In all, the programme became popular
within and beyond the schools.
Consequently, some unintended/unanticipated outcomes occurred. Of particular note is the
induction of other teachers into the synthetic phonics programme during and, especially, at the end of the
pilot. Intrigued by the method and observable encouraging improvement among learners (and teachers),
other teachers supported the pilot teachers in team teaching. A year after the pilot, a head teacher had
involved most teachers in teaching the programme, and was trying to take it to neighbouring schools – all
without any support from any member of the project team. This is similar to Vaughn and Coleman (2004:
27) finding, who also cite Danielson (1999) work indicating that “novice teachers improved their teaching
practices through a mentor approach.” Further, this project unexpectedly brought about “collaboration
among teachers [which] seems to produce a greater willingness to take risks, learn from mistakes, and
share successful strategies” (Franke, Carpenter, Levi and Fennema, 2001: 654). In essence, training that
lead to modelling and mentoring can bring about a multiplier effect in teaching effectiveness and
improved student outcome, making monies invested in training worthwhile.
TEACHER RESPONSE
139
Response given to the questionnaire confirms observed teachers’ enthusiasm with using the
resources. Teachers were asked to comment on various aspects of the programme. And since it was
observed that team teaching is the practice in this particular state’s public schools (due to management of
available space by merging classes), the teacher questionnaire was administered on those that were
trained (14) as well as their team teaching colleagues not trained (13) to teach with the synthetic phonics
package. The information obtained is instructive.
Adequacy of training
To guide future projects, teachers were asked to say if the training was (a) “Adequate”, (b)
“Adequate but more training is required in ... (respondent’s suggestion)” or (c) “Not adequate.” Only one
teacher out of 27 teachers said the training was inadequate because he was yet to master some aspects.
It need be mentioned that the teacher only started teaching after the follow-up workshop that took place
four months after the main one, having encountered some hindrances after the first workshop, including
an accident. All other teachers felt the training was adequate, with some indicating that more training was
required on:
1. Getting pupils to spell correctly
2. Articulation of some sounds (phoneme/phonetics)
3. Demonstration and singing (those not trained)
Teaching with supplied resources
Eight teachers, including four of those not originally trained, rated the programme 100% easy to
apply; that is, teaching method and resources. On average the ease of use was 70%. It is not surprising
therefore, that the teachers taught 15 other subjects (altogether) using the resources, one of which
incidentally is a local language.
Challenges encountered
A discussion on the problems encountered by teachers could guide prospective project designers
and executors to avoid them entirely or ameliorate their impact. Two teachers in one of the schools said
they experienced no challenges teaching with the synthetic phonics programme during the project period.
The challenges encountered by others are summarised below:
Pupils – Some teachers were worried that pupils’ pronunciation was being affected by their L1;
and some that pupils were slow in learning. While the former is to be expected, the latter confirms the
assertion by Kuamoo (2008) that children from poor background have poor learning readiness skills.
Time – Teachers preferred a one-hour to a 30-minute period. Yet, either way, teachers wanted
more time to explore the resources, which however, could not be allowed since the programme was an
intrusion on official and established timetables. The private school merged periods and was able to record
tremendous progress teaching for only two hours a week, and for 16 weeks altogether.
Inadequacy of pupils’ material – The use of control groups was stultified due to inclusion of other
unplanned for pupils in the programme. (This was discouraged in the private school by a supervisor). It
seems that the head teachers could not appreciate the purpose of the project, that it was an experiment,
and following their hearts, included other pupils in primary one, as well as those from neighbour-schools
(in three cases). In one school enrolment increased so much that it created problem on accommodation.
Most importantly, however, is that the resources supplied were overwhelmed (and a teacher was shocked
out of his wits), such that over 80 children were eventually sharing 12 copies of a book originally supplied
for 24 pupils!
The import of insufficiency of resources is that since the programme is resource-based (children
needed to touch in some cases and overwrite in others), pupils’ limited access to charts and books
140
severely limited their contact with print – a necessity for literacy development – and would have impacted
on the extent that pupils could really learn.
Equipment/electricity – For some years the power situation in Nigeria has been appalling, such
that people generally plan for alternative means of powering machines. Because the programme came
with aural texts, teachers were supplied compact disc (CD) players and regular batteries. It was found out
later that the batteries could not power the players for more than a few minutes. The problem was
resolved by the supply of 12-volts batteries to be worked into the player mechanism, which took some
time to get to four locations outside the state capital. The 12-volts battery was a good power source, but
some teachers still had problem getting their batteries properly recharged when they ran down.
Teacher – The teachers became more aware of their shortcomings in the teaching of English and
literacy, especially in the proper pronunciation of English sounds. Some indicated that they still had
problems differentiating some sounds from letters and in articulating some of the sounds. Interestingly,
pupils were better listeners than their teachers and could say words and sounds they heard from the
players closer to their original renditions.
Curriculum/syllabus – It appears that teachers were not very conversant with teaching with the
generic teaching resources (e.g. flash cards) supplied. They however fared better after viewing, during
the follow-up workshop, how teachers elsewhere used them. Also, teachers appeared not to have been
exercising autonomy prior to the project and needed direction on how and when to teach what. Moreover,
it seems that not having earlier recognised on their own the need for the types of resources supplied as
well as literacy skills that they are designed to teach, some elements of the programme were novel to
them. Some teachers were yet to put all resources to use by the conclusion of the project.
Teachers’ suggestions
Teachers’ opinions were sought on how to ensure that the early English literacy teaching
package could be applied more successfully. Among many suggestions, these were constant across
respondents:
•
•
•
•
Extend programme to all schools
Provide adequate material to go round all pupils
Train more teachers (some say ALL teachers) and maintain continuous training
Include the synthetic programme in the school curriculum and provide a scheme of work/a
teaching syllabus, breaking the programme down into what is to be taught during each of
the school terms.
To summarise, the challenges identified above, notwithstanding, the schools continued to teach
the programme, extending it to other levels. It became so successful that other schools expressed their
eagerness to be enlisted. Moreover, education officials that visited the schools and saw teachers’ and
pupils’ performance are yearning to see the transformation extended to other schools.
The teachers were affirmative that they had benefited immensely from the programme which had
given them some access to the use of technology in teaching. The synthetic phonics package promotes
the use of multi-sensory, multimedia and multimodal approaches in teaching. Teachers’ response on
video and during supervisory visits indicates that the teachers could identify their inadequacies in
teaching English and literacy skills. They were pleased to learn on their own with some dignity songs,
words and sounds; and to present same to their pupils with understanding. They were rewarded by
positive feedback from their pupils who were able to perform tasks requested of them, unlike in the past.
The pilot has shown that teachers can gradually improve through in-service training, and that they can
serve as mentors to other teachers who learn by observation and coaching.
Nonetheless, the project managers and teachers are aware that there is a lot of room for
improvement. For example, although teachers and pupils were probably tackling sounds and words
141
beyond set goals of official school curriculum, they could go much further, for example, by the inclusion of
literature as an integral part of the primary one classroom. This will enable learners to apply what they are
learning in the synthetic phonics programme’s aural and print texts to other text environments, which will
ensure that learning is firmly registered in the cognition. Literature-based programme has been observed
to provide students from economically disadvantaged and limited English-speaking background ample
opportunities to hear and use English (Gambrell, Morrow, and Pennington, 2002).
CONCLUSION
If poorly trained teachers lack basic teaching materials learning will be severely impaired. With little
or no avenue for self-development and interaction with colleagues in conferences, Nigerian teachers are
largely unaware of developments in their fields. Vaughn and Coleman (2004: 36) have observed that
“because maintaining a well-informed teacher force is essential to improving outcomes for students,
designing effective professional development that enhances the knowledge and practice of teachers is
critical.”
The pilot intervention reported here has shown that teachers can make a difference in students’
outcome if empowered and resourced. Although only part of the training originally designed for teaching
with the synthetic phonics package was executed, teachers were limited in their pre-service training to
capably explore supplied resources optimally, pilot schools were only able to teach just few phonemes
with their keygraphemes and keywords, the project pupils outperformed their seniors in public schools
and the control group in the private school.
The programme was easy to implement in part because it allowed teachers to indulge in selfdevelopment (e.g. by using audio players to learn sounds and accompanying songs), but largely because
it is user-friendly. Therefore, teachers confidently experimented with the resources in teaching other
subjects. Ultimately, teachers were teaching with success synthetic (and analytic) phonics without
knowing what it is all about or the philosophy or principles behind such approach; indicating that in
situations of poor professional development and teacher quality, packaged teaching resources could be
effectively utilised for teaching and teacher development. The synthetic phonics programme has proved
an important means for teacher growth for the teachers trained at workshops and those mentored within
the pilot schools – providing an avenue for developing their phonological competence and literacy
teaching skills.
Further, where mentoring took place during supervisory visits on how to apply supplied resources
in teaching and on other related professional issues teachers performed better and student outcome was
higher. Therefore, steps are being taken to programme supervisory mentoring into the next phase of the
project; with the earlier trained teachers to provide much of the mentoring rather than university lecturers,
as was the case in the pilot reported. The confidence to use teachers as mentors derives from schools
independently mentoring other teachers to use the resources in a bid to extend the programme to other
pupils. This confirms Vaughn and Coleman (2004: 36) speculation that “teachers who are knowledgeable
about the use of an instructional practice can serve as mentors to their fellow teachers to ensure the
spread of the practice.”
Some deductions can be made from project experience for in-service teacher training in Nigeria
including:




Teaching teachers theories and principles may not yield expected result, considering limitations in
pre-service training
Pedagogic interventions should be easy to use and show instant observable results
Interventions should be nurtured to maturity. It is difficult to sustain one-shot training without
follow-up and ongoing, personalised support Haager and Windmueller (2001).
Money invested in teacher development will yield greater result if (a) an intervention is appealing
and can be passed on to other teacher, and (b) it is accompanied with easy to use resources.
Availability of resources made mentoring, modelling, coaching and transfer of knowledge tangible
142

Achievements of an intervention should be built upon to advance teaching skills and increase
learner benefits
In line with the last point, it is posited that the pilot teachers would be more receptive of new
literacy teaching skills, especially those that can build on what is already being acquired. It is therefore
expedient that
a. Teacher effectiveness should be increased through more training and mentoring in literacy and
language skills, taking care to introduce specific teaching skills in reading at any given time
b. Ample reading materials should be supplied for teaching reading
c. Learners should be taught to use library and to read storybooks, among other literacy practices
It should be borne in mind that literature and aural texts as well as other multimedia texts are
critical to developing a feel for a target language and learning it, for both teacher and learner.
Finally, the importance of literacy in personal and national development cannot be
overemphasised in the pursuit of sustainable development. Underdevelopment will persist where literacy
issues are not addressed to ease learning of content in school and engender literacy activities in society.
Much of Nigeria’s failure to develop at the same speed with other countries it started out with could be
traced to illiteracy, poor attention given to education by government and poor reading habits among the
people in the society. People lack access to information as well as capacity to contribute or influence civic
issues, especially those that have do with their rights as citizens, because popular participation can only
take root and be sustained through literacy.
REFERENCES
1. Adger, Carolyn Temple, Susan M. Hoyle, and David K. Dickinson. (2004). Locating Learning in
In-Service Education for Preschool Teachers, American Educational Research Journal, 41: 867–
900.
2. Berliner, David C. (2004). Describing the Behavior and Documenting the Accomplishments of
Expert Teachers, Bulletin of Science, Technology & Society, 24(3): 200–212.
3. Brisk María, Estela, and Julian Jefferies. (2008). Academic English, in Encyclopedia of Bilingual
Education, SAGE Publications <http://www.sage-ereference.com/bilingual/Article_n1.html>
(accessed 17 September 2009).
4. Buthelezi, Z. (2002). Researchers, Beware of your Assumptions! The Unique Case of South
African Education. Paper presented at the Multilanguage Literacy Symposium, Edinburgh,
Scotland.
<http://www.readingonline.org/international/inter_index.asp?HREF=edinburgh/buthelezi/index.ht
ml> (accessed 20 July 2009).
5. Clegs, John. (2010). Achieving Success in System-wide CLIL Programmes. A paper presented at
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IATEFL 44 conference held at Harrogate (UK) April 2010.
6. Editorial
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2009).
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Rate,
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<http://www.punchng.com/Articl.aspx?theartic=Art20090401024623> (accessed 29 June 2010).
7. Franke, M. L., Carpenter, T. P., Levi, L. & Fennema, E. (2001). Capturing Teachers’ Generative
Change: A Follow-Up Study of Professional Development in Mathematics, American Educational
Research Journal, 38: 653 –89.
8. Gambrell, L.B., L. M. Morrow, and Pennington, C. (2002). Early Childhood and Elementary
Literature-based Instruction: Current Perspectives and Special Issues, Reading Online, 5(6)
<http://www.readingonline.org/articles/art_index.asp?HREF=handbook/gambrell/index.html>
(accessed 20 July 2009).
9. Haager, D. & Windmueller, M P. (2001). Early Reading Intervention for English Language
Learners At-Risk for Learning Disabilities: Student and Teacher Outcomes in an Urban School,
Learning Disability Quarterly, 24(4): 235–50.
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10. Kuamoo, M. (2008). English, How Long to Learn, in Encyclopedia of Bilingual Education, SAGE
Publications
<http://www.sage-ereference.com/bilingual/Article_n102.html>
(accessed
17
September 2009).
11. Mora, Jill Kerper. 2008. ‘Teacher Qualifications’, in Encyclopedia of Bilingual Education, SAGE
Publications
<http://www.sage-ereference.com/bilingual/Article_n312.html
[accessed
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September 2009].
12. Vaughn, S. & Coleman, M. (2004). The Role of Mentoring in Promoting Use of Research-Based
Practices in Reading, Remedial and Special Education, 25(1): 25–38.
13. Wiley, T. G. (2008). Bilingual Education as Language Policy, in Encyclopedia of Bilingual
Education, SAGE Publications <http://www.sage-rereference.com/bilingual/Article_n34.html>
[accessed 17 September 2009].
ЧАСТНОЕ ВЫСШЕЕ ОБРАЗОВАНИЕ – АСПЕКТЫ ФИНАНСИРОВАНИЯ
Талант Асан уулу, аспирант, преподаватель, факультет Экономики и управленческих
знаний , отделение Менеджмент, Международный университет Ататурк-Алатоо, Бишкек,
Кыргызстан, [email protected]
Быстрый рост частного высшего образования в мире, в последние годы связан с
несколькими важными аспектами и проблемами. Во-первых, существует значительный сдвиг от
благотворительности к прибыльности в создании частных учебных заведений. Во-вторых, в
развивающихся странах системы высшего образования более приватизированы, чем в развитых
странах. В-третьих, во многих странах частные университеты составляют большую часть от
общего числа университетов, но на их долю приходится меньшее количество учащихся. Вчетвертых, частное высшее образование ухудшается из-за проблем связанных с оплатой за
обучение, автономией управления и академических программ, равенства и качества образования.
Самые наиболее важных явлений 21-го века, заключаются в том, что большинство стран
мира находятся под влиянием приватизация и глобализация. Волны приватизации и глобализации
настолько мощны, что только лишь несколько обществ могут стоять в стороне от них, и в каждом
обществе есть всего несколько секторов, которые могут оставаться нетронутым. Поистине эти
явления стали глобальными. Эти два явления тесно взаимосвязаны, и взаимно усиливают друг
друга.
Частное высшее образование не является новым явлением во многих странах. Она
существует уже несколько десятков, в некоторых странах сотен лет. Начнем с того, что высшее
образование во многих древних обществах создавались частными лицами и организациями, как
университеты и колледжи. Позже в процессе реализации общество поняло, что образование
приносит выгоду всему обществу. Таким образом, правительство вступило в сектор образования.
Частное образование начало сотрудничать с государственным сектором. Тем не менее, характер и
темпы роста частного образования в последние десятилетия сильно отличаются от того, какими
они были раньше. Частное высшее образование является одним из самых динамичных и быстро
растущих сегментов высшего образования на рубеже 21-го века.
144
СОВРЕМЕННЫЕ ВИДЫ ЧАСТНОГО ВЫСШЕГО ОБРАЗОВАНИЯ
Частное образование возникло и выросло главным образом благодаря бескорыстной
благотворительности с одной стороны и для поддержки распространения образования, с другой.
Учреждения создавались частными лицами,
религиозными и другими группами. Они
функционировали в рамках принятой государством правил и положений, хотя были полностью
финансируемые из частных источников. Их миссия была служить общественному благу. Несколько
известных учреждений в Северной Америке, Европе и во многих других развитых и
развивающихся стран относятся к этой категории. Страны Латинской Америки имели долгую
историю создания частных высших учебных заведений основанных главным
образом религиозными организациями.
Второй тип частных учреждений возник позже, с государственным финансированием.
Такие учреждения находятся под частным управлением, но финансируются государством.
Частные лица и организации вкладывали ресурсов для развития зданий и основной
инфраструктуры. А для их поддерживания в течение короткого периода использовались ресурсы
университета, в основном состоящие из оплаты за обучения студентами. Позже государство
начало предоставлять средства для удовлетворения почти всех потребностей учреждения. Число
таких финансируемых правительством частных учреждений высоко во многих странах. Так как они
получают значительную помощь от государства, они подчиняются государственным правилам и
положениям, и поэтому в значительной степени сродни государственных систем высшего
образования в нескольких отношениях. Их миссия как государственная, так и частная: с точки
зрения собственности они являются государственными корпорациями; их источник доходов в
основном общественный, но взимается некоторая плата за обучение, и
работают некоторые
механизмы распределения затрат. Нормы управления в основном академические, хотя и
используются принципы управления частным бизнесом. Обычно прибыль не характерна черта
этих двух типов частных учреждений.
Появление третьего типа частного учреждения, которое не полагаться на государственную
поддержку, равно как и на принцип благотворительности и меценатства, является относительно
новым явлением. Эти учреждения также, по сути, получают огромные скрытые субсидии от
государства в виде земли и материалов по льготным ценам и налоговые льготы. Однако, эти
субсидии редко принимаются во внимание и эти институты ведут себя так, как будто
государственная поддержка никогда не оказывалась. Скорость, с которой растут такие частные
учреждения, действительно, удивительна. Задачей этих учреждений является предоставление
продукта, и служить частным интересам студентов - потребителям, клиентам и владельцам
институтов. Они в основном нацелены на прибыль и источником доходов в основном является
плата за обучение. Они в наименьшей степени контролируются государством, и работают как
коммерческие фирмы, заимствуя нормы управления из бизнеса. Для таких организаций идея о
сообществе студентов на кампусе не является значимой. Социальная реформа не только не их
дело, они порой могут выступать против таких идей. Они могут относиться к «экстремальной
формой приватизации», или к «высоко приватизированная» натура. Такие университеты могут
восприниматься как «предпринимательские организации». Появление и быстрый рост таких
университетов можно найти в любом типе общества – развивающегося или развитого,
капиталистического или социалистического, большом или малом, с переходной экономикой и
другого. Даже те страны, где частное образование было не разрешено законом в течение
длительного времени (как например, Китай и Россия) должны были расслабиться свои законы.
Исключений очень мало, в то время как таких институтов много не только в США, но и в
возрастающем числе в Бразилии, Китае, Малайзии, Филиппинах, Украины, Индии и так далее.
Университет Феникса, Гамбургский университет являются одними из знаменитых представителей
таких коммерческих вузов. Этот вид учреждений ярко представляет явление коммерциализации
высшего образования.
145
Глобальные тенденции свидетельствуют о том, что частное высшее образование
основанное на благотворительности заменяется на получение прибыли и, как результат,
благотворительное частное образование становится почти исчезающим видов. Государственная
поддержка частного высшего образования больше не рассматривается как желательная форма
частного образования, в самом деле, это уже не рассматривается как частное образование. С
огромной долей государственных субсидий и применением правительственных норм и правил, они
на самом деле представляют собой форму псевдо-приватизации. В результате чего они искажают
распределение государственных ресурсов, и часто приводят к обнищанию и личному обогащению.
Ни государство готово поддерживать частные университеты, ни что более важно, частные
университеты добиваются государственной поддержки как, например, в Индии.
Еще одним важным видом приватизации высшего образования является финансовая
приватизация, то есть увеличился уровень совместного несения расходов или распределения
затрат в государственных учреждениях. В действительности, есть много других видов, форм и
размеров приватизации.
Таблица 1 показывает размеры частного высшего образования в разных странах.
Приведенные в таблице данные отражают три типа частного образования вместе, описанные
выше. Тем не менее, данные показывают, что существуют основные национальные различия в
системах образования. На основании уровня приватизированности, системы могут быть описаны
как «периферически частные», «дополнительно частные» и «преимущественно частные».
Таблица 1 Частное высшее образование в разных странах
Страна
Процентная Год
Процентная
Год
Год
Год
доля
доля
доля частных
доля
частных
поступившых
университетов
поступившых в
высших
в
частные
заведений от
университетот
учебных
высшие
общего числа
заведений
учебные
университетов
от общего
заведения от
числа
Преимущественно частное (Процентная доля частных высших учебных заведений от общего
числа≥50)
Чили
93,3
2000 71,0
2000 75,0
2000 58,9
2000
Малайзия
92,2
2000 39,1
2000 41,7
2000 7,5
2000
Бразилия
88,9
2003 70,8
2003 51,5
2003 56,7
2003
Япония
86,3
2000 77,1
2000 73,7
2000 73,3
2000
Грузия
84,8
2000 23,8
2000 Словения
81,9
2001 4,3
2001 Филиппины
81,0
1999 76,0
1999 Мексико
69,1
2002 33,1
2003 72,7
2002 41,8
2003
Таиланд
68,0
2001 19,0
2001 48,9
2001 16,8
2001
Польша
64,2
2001 29,6
2001 6,3
2000 3,5
2000
Португалия
64,2
2001 28,5
2001 37,0
2001 19,4
2001
Монголия
64,2
2003 26,0
2003 27,2
2003 8,3
2003
Эстония
60,0
2001 25,2
2001 США
59,4
2000 23,2
2000 74,6
2000 35,3
2000
Румыния
59,3
2001 28,9
2001 Венесуэла
56,6
2004 41,3
2005 54,2
2004 21,2
2005
Венгрия
54,4
2004 14,2
2004 Молдова
50,0
2001 22,6
2001 Средне частное (Процентная доля частных высших учебных заведений от общего числа 25≤50)
146
Аргентина
42,9
2000 25,7
Уругвай
42,9
2000 10,0
Латвия
39,4
2001 12,7
Китай
39,1
2002 8,9
Россия
37,1
2001 10,0
Кения
34,2
2000 9,1
Чешская Р.
33,3
2001 1,0
Германия
29,5
2003 3,7
Беларусь
26,3
2001 13,0
Преимущественно государственное (Процентная
числа <25)
Израиль
14,0
2004 11,0
Болгария
11,4
2000 11,3
Словацкая
10,0
2001 0,7
Р.
Хорватия
9,5
2001 1,4
2001 55,0
2005
2000 88,9
2000
2001 2002 0,6
2002
2001 2000 70,0
2000
2001 2003 24,8
2003
2001 доля частных высших учебных
14,4
2003
12,0
2002
19,3
2000
1,0
2003
заведений от общего
2004
2000
2001
0,0
9,8
-
2004
2000
-
0,0
11,1
-
2004
2000
-
2001
-
-
-
-
Источник: PROPHE (Программа исследование частного образования, университет штата Нью-Йорк,
Олбани) http://www.albany.edu/dept/eaps/prophe/data/PROPHEDataSummary.doc (Февраль 2005 )
В целых 18 из 31 стран, система высшее образование может быть описана как
"преимущественно частная ' с более чем 50 процентами частных учреждений. Однако только в
четырех странах, а именно, в Бразилии, Чили, Филиппинах и Японии, на частные учреждения
приходится более 50 процентов (они, по сути, выше 70 процентов) от общего числа учащихся. В то
время как в Словении в 2002 году 82 процента высших учебных заведений были частными, на них
приходилось лишь 4 процента всех учащихся. Все это выделяет некоторые серьезные
затруднения, связанные с частным высшим образованием. Есть еще очень мало таких стран, как
Германия, Греция, Канада и Австралия, где высшее образование, полностью или почти полностью
государственное и частных высших учебных заведений не существует. Таким образом,
распространение частного образования выше среди институтов не университетского уровня ,
нежели самих университетов.
В целом, интересно отметить, что высшая образовательная система в развивающихся
странах, в некоторой степени, более приватизирована, чем в развитых странах. На самом деле, во
многих развитых странах более чем две трети студентов обучаются в государственных
учреждениях; а в некоторых странах - более 90 процентов, а в других - более чем 95 процентов.
Даже в США, где более чем три четверти университетов являются частными, более чем три
четверти студентов учатся в государственных институтах. Рассеивает распространенное мнение:
"в то время как многие смотрят на впечатляющий частный сектор высшего образования Америки...
всего лишь 20 процентов студентов поступают в частные колледжы и университеты, а в
нескольких азиатских странах 80 процентов студентов учатся в частных учебных заведениях. "
Непропорционально большее количество студентов учатся в частных университетах на
Филиппинах, Индонезии, Бразилии, Чили, Перу и Иордании, например, чем, скажем, в наиболее
развитых странах.
Среди развитых стран только Корея, которая стала ОЭСР страной лишь недавно, и Япония
являются исключением. Большая часть студентов в Корее, Японияя и Тайване поступают в
частные ВУЗы. В какой-то степени, образоввание в Корее и Японии сильно отличается от
традиционного подхода где государство поддерживает образование, не говоря уже о важной роли
государства в обеспечении образования в таких Европейских странах как Германия, Швеция,
Швейцария, Италия и Великобритания, а также Соединенные Штаты и Канада. Темп роста
частных высших учебных заведений в некоторых странах настолько велик, что частное высшее
образование может доминировать высшее образование, если полностью не заменит
государственный сектор образования в ближайшем будущем. Их число уже значительно в
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нескольких странах - не только в Японии, Корее, Чили, на Филиппинах и в Бразилии, но и Индии,
где в таких штатах, как Андхра-Прадеш, Карнатака и Махараштра, более 70 процентов колледжей
принадлежат к третьему типу частных учреждений.
ПОЧЕМУ ЧАСТНОЕ ОБРАЗОВАНИЕ?
Рост частного высшего образования может быть объяснено с точки зрения либо
"избыточного спроса" или "дифференцированного спроса". Во многих странах, особенно
развивающихся странах, существует избыточный спрос на высшее образование, больше чем
государство предоставляет. Избыточный спрос удовлетворяется за счет частного сектора. Так как
существует огромный избыточный спрос, частный сектор также растет очень быстро, даже в таких
странах как Малайзия, где система высшего образования была в значительной степени
общественной. Кроме того, частное образование выросло в ответ на дифференцированный спрос
в некоторых развивающихся и многих развитых регионах мира. Государственная монополия на
предоставление высшего образования не может удовлетворить спрос на различные типы и
качества высшего образования. Спрос на, скажем, религиозное образование, или на образование
другого качество, чем государственное образование дает, как правило, удовлетворяет частный
сектор. Многие частные университеты основанные ранее на Западе, а также в Латинской Америке
спонсируются религиозными организациями и некоторые из них являются специализированными
учреждениями, например бизнес-школы.
В общем, частное высшее образование выгодно рассматривать с двух позиций:
(а) органы власти не имеют достаточных ресурсов для финансирования высшего образования и,
следовательно, важно стимулировать рост частного высшего образования; а также
(б) частное высшее образование, по природе и определению, более желательно, так как оно
способствует развитию конкуренции и тем самым повышает эффективность всей системы
высшего образования. Тех, кто верят в первую позицию (а) можно рассматривать как "прагматики"
или реалисты, а других преимущественно как неолибералов, хотя некоторые из них находятся за
пределами кругов неолиберальной политики. Прагматики утверждают, что частное образование
предоставляет возможность учиться в условиях ограниченности и дополняет государственное
финансирование. Неолибералы же утверждают, что частное высшее образование, по своей
природе, академически качественней, социально справедливей и финансово эффективней. Она
(система частного высшего образования) обеспечивает образование, которое отвечает
потребностям рынка труда, она обеспечивает здоровое моделирование на конкурсной основе, и
конкуренция
на рынке будет большим стимулом для удовлетворения потребностей всех
учащихся, более полно, чем в другом случае. Она повышает качество образования за счет более
эффективного распределения ресурсов, максимизируя результаты обучения сданными ресурсами.
Она предлагает свободу выбора для родителей и молодых людей, и это улучшает справедливость
в системе, поскольку она позволяет удовлетворять потребности богатых студентов - они ведь
платят за это, и государственные средства могут быть перенаправлены для обучения бедных
слоев населения
Хотя основные предположения двух течений мыслей разные, оба они единодушны в
одном: они однозначно выступают за частное высшее образование. Неолиберальная политика
бреттон-вудских институтов, а именно Всемирного банка и Международного валютного фонда, а
обеспечивают очень сильный толчок росту частного высшего образования в развивающихся
странах. Решая финансовые трудности с этими организациями, развитые страны умышленно или
неумышленно поощряют тенденции развития частного высшего образования в этих странах.
ЗАКЛЮЧЕНИЕ
Хотя частное образование не является новым явлением, характер нынешнего частного
образования очень отличается от прошлого. Характер и скорость роста непредвиденны.
Благотворительное частное высшее образование по большей части заменено коммерческим
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частным высшим образованием. Государственная поддержка частного высшего образования
больше не рассматривается как желательной формой частного образования; на самом деле, это
уже не считается частным образованием. В развивающихся странах с ограниченными ресурсами
государство не хочет поддерживать частные учреждения и, что более важно, новые частные
учреждения не хотят зависеть от государственной поддержки. в последнее время новый тип
коммерческого частного высшего образования вырос очень быстрыми темпами в развивающихся и
развитых стран.
Частное высшее образование поддерживает две точки зрения: (а) прагматики утверждают,
что государство не имеет достаточных ресурсов для финансирования высшего образования, и,
следовательно, надо стимулировать рост частного высшего образования; и (б) неолибералы
утверждают, что частное высшее образование, по характеру и определению, желательно, так как
оно создает конкуренцию и тем самым повышает эффективность всей системы высшего
образования. Кроме того, они утверждают, что частное высшее образование, по своей природе,
академически превосходное, социально справедливое и финансово выгодное. Хотя основные
предположения двух школ мысли разные, обе поддерживают частное высшее образование.
Неолиберальные принципы Бреттон-вудских учреждений, последние разработки, относящиеся к
ВТО и ГАТС в области высшего образования и интернационализация высшего образования, также
стимулируют рост частного высшего образования.
В частном высшем образовании существуют такие вопросы, как оплата за обучение,
автономия, равенство и качество образования. Частные высшие учебные заведения обычно
полностью зависят от оплаты за обучение, которые равны, если не выше, расходам. Это имеет
серьезные последствия для равенства, негативно воздействуя на доступ малоимущих слоев
общества к высшему образованию. Кроме того, необходимость формирования капитала и
получения прибыли также влиять на качество и текстуру академической доктрины, что приводит к
большим акцентом на рыночные и коммерческие курсы обучения и пренебрежения научного
исследования. Вопрос об автономии также занимает видное место в росте частного высшего
образования, и люди возражают усилия правительства контролировать и регулировать этот
вопрос.
Частное образование создает (а) неравенство между богатыми и малоимущими; (б)
географическое неравенство между сельскими и городскими районами, так как частный сектор
привлекают столичные и городские районы, а сельские районы остаются позади; (с) дисбаланс
между различными дисциплинами обучения в университетах и (г) дисбаланс в создании рабочей
силы, создавая несоответствие между спросом и предложением. Цена частного высшего
образования слишком суровое, а преимущество государственного высшего образования слишком
большое чтобы от него отказаться. Хотя многие это понимают, сила приватизации настолько
сильная, что немногие страны в состоянии противостоять ей. У разных государств разные подходы
к частному высшему образованию: некоторые правительства проводят политику поощрения
частного высшего образования, некоторые регулируют его рост, многие приняли политики
невмешательства, но очень мало из них были в состоянии принять политику, которая фактически
запретила бы рост частного высшего образования.
Многие государства приняли политику в пользу частного высшего образования по
принуждению, а не из-за твердой убежденности. На самом деле, правительства многих стран
находятся в запутанном состоянии. Они не в состоянии противостоять приватизации; и они не в
состоянии продолжать традиционную политику поддержки высшего образования государством. В
результате мы видим запутанную ситуацию: некоторые программные документы поддерживают
"приватизацию, но не коммерциализацию", некоторые " участие, но не приватизацию", а другие "не
участие частного, а партнерство государственного и частного". Подобным образом, некоторые
считают, что частное образование желательно, но не коммерческое частное образование; а
некоторые считают, что частные учреждения могут иметь "излишки", но не прибыль, а некоторые
не против прибыли, но против "непомерной" прибыли. Необходимо отметить, что существует не
так много различий в практике между этими несколькими формами, и даже если есть некоторые
149
различия, трудно будет иметь одну и содержать другие формы. Все неблаготворительные частные
пожертвования имеют пагубные последствия для роста благотворной системы высшего
образования, которая способствовала бы развитию гуманного общества.
Но системы быстро меняется. Это те эволюционные изменения - переход от филантропии
к прибыли - которые Веблен (1918) давно предсказывал как переход от академических к
предпринимательским университетам?
ЛИТЕРАТУРА
1. Altbach, Philip G. (ed.) (1999) Private Prometheus: Private Higher Education in the 21st
Century.Westport, USA and London: Greenwood Press.
2. Altbach, Philip G. (2002) Asia: Trends and Developments in Private Higher Education,
International Higher Education, 29 (Fall): 10–11.
3. Beteille, Andre (1995) Universities as Centres of Learning, Journal of Higher Education 18(3)
(Monsoon): 385–406.
4. Bok, Derek (2003) Universities in the Marketplace: The Commercialization of Higher Education.
Princeton, NJ: Princeton University Press.
5. CFS (Canadian Federation of Students) (2000) Private Universities: Privileged Education, Fact
Sheet 7(1) (December) Ottawa: CFS, National Office.
6. Clark, Burton R. (1995) Places of Inquiry: Research and Advanced Education in Modern
Universities. Berkeley: University of California Press.
7. Geiger, R. L. (1987) Private Sectors in Higher Education. Ann Arbor: University of Michigan
Press.
8. James, Estell (1993) Why Do Different Countries Choose a Different Public-Private Mix of
Educational Services, Journal of Human Resources 28(3) (Summer): 571–91.
9. Tilak, Jandhyala B. G. (1991) Privatization of Higher Education, Prospects (UNESCO) 21(2):
227–39.
10. Tilak, Jandhyala B. G. (1999) ‘Emerging Trends and Evolving Public Policies in India’, in Altbach
(ed.) pp. 113–36.
11. Tilak, Jandhyala B. G. (2004) Higher Education between the State and the Market. UNESCO
Forum Colloquium on Research and Higher Education Policy. Paris: UNESCO.
12. Umakoshi, Toru (2004) ‘Private Higher Education in Asia’, in P. G. Altbach and T. Umakoshi (eds)
Asian Universities: Historical Perspectives and Contemporary Challenges.
13. Baltimore, MD: Johns Hopkins University Press, pp. 33–49.
14. Veblen, Thomas (1918) Higher Learning in America [reprinted by Transaction Publishers, New
Brunswick, NJ, 1993].
15. Williams, Gareth (1996) The Many Faces of Privatization, Higher Education Management, 8(3):
39–57.
16. World Bank (2002) Constructing Knowledge Societies: New Challenges for Tertiary Education.
World Bank: Washington DC.
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ПРАВОВОЕ ЗАКРЕПЛЕНИЕ ПРАВ ДЕТЕЙ И ГАРАНТИИ ИХ ОСУЩЕСТВЛЕНИЯ
Дорог и труден был путь народов планеты к признанию прав ребенка как одной из величайших
общечеловеческих духовных ценностей. Стремление стран к международному сотрудничеству в
области защиты прав детей началось в начале XX века, после Первой мировой войны. Благополучие
детей и их права всегда вызывали пристальное внимание международного сообщества.
В рамках Лиги Наций была учреждена Международная ассоциация заботы о детях. Еще в 1924
году Лига Наций приняла Женевскую декларацию прав ребенка. В то время права детей
рассматривались в основном в контексте мер, которые необходимо было принять в отношении
рабства, детского труда, торговли детьми и проституции несовершеннолетних ((1) Орлов В.С.М., 1975. ). В 1959 году ООН провозглашена Декларация прав ребенка, в которой были
провозглашены социальные и правовые принципы, касающиеся защиты и благополучия детей. Она
стала мощной моральной основой для реализации ее требований.
Однако время и положение детей - будущего всего человечества - потребовало от мирового
сообщества принятия нового документа, в котором не просто декларировались права детей, но на
основе юридических норм фиксировались меры защиты этих прав. В период с 1979-го по 1989 год
Комиссия ООН по правам человека, в которой участвовали специалисты из многих стран мира,
подготовила текст Конвенции о правах ребенка.
По сравнению с Декларацией (1959 г.), где было 10 коротких, носящих декларативный
характер положений (принципов), Конвенция имеет 54 статьи, учитывающие практически все
моменты, связанные с жизнью и положением ребенка в обществе. Она не только конкретизирует, но
и развивает положения Декларации, возлагая на принявшие ее государства правовую
ответственность за действия в отношении детей. Страны, ратифицировавшие Конвенцию или
присоединившиеся к ней, должны пересмотреть свое национальное законодательство для
обеспечения его соответствия положениям Конвенции ООН. Тогда известный польский юрист,
профессор А. Лопатка выдвинул идею разработать Конвенцию ООН о правах ребенка и обязать
всех членов ООН ратифицировать ее, после чего законодательство каждой страны, касающееся
защиты прав детей, привести в соответствие с международными требованиями. Это подвинуло
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мировое сообщество к осознанию необходимости разработки нового документа, основанного на
более прочных юридических гарантиях и нормах. Потребовалось долгих 10 лет кропотливого труда,
и в результате группа специалистов из разных стран, в том числе и из бывшего СССР, подготовила
такой документ и вынесла его на утверждение ООН. «Конвенция о правах ребенка» была принята и
открыта для подписания, ратификации и присоединения резолюцией 44/25 Генеральной Ассамблеи
ООН от 20 ноября 1989 г. Вступила в силу 2 сентября 1990 г. Ратифицирована Верховным Советом
СССР 13 июля 1990 г. Вступила в силу для СССР 15 сентября 1990 г.
20 ноября 1989 года Генеральная Ассамблея ООН, наконец, приняла единогласно Конвенцию
о правах ребенка. Событие это настолько важное, что Конвенцию стали называть «великой хартией
вольностей для детей», «мировой конституцией прав ребенка» и т.п.
Конвенция о правах ребенка представляет собой международный стандарт, на который равняются
все цивилизованные государства. Установленные ею нормы раскрывают конкретно именно права ребенка, не просто как человека, а как молодого человека (до 18 лет). Она включает три новшества: а) введение
понятия «право участия» детей и право на информирование о правах детей; б) закрепление права детей,
пострадавших от жестокости и эксплуатации, на реабилитацию и обязанности правительств принимать шаги для
ликвидации традиционной практики, вредящей здоровью детей; в) закрепление прав, связанных с усыновлением (
удочерением) и отправлением правосудия в отношении несовершеннолетних. Конвенция опирается на новую
концепцию, в соответствии с которой охрана и защита прав ребенка- не благотворительность, а обязательная
составляющая государственной политики ((2) Капицин В.М.-М.: ЮРКНИГА.2003. –С.230.)
Конвенция о правах ребенка как юридический документ представляет собой международное
соглашение, имеющее обязательную силу для тех государств, которые к нему присоединились. Особенность же таких международных документов заключается в том, что они действуют не непосредственно, а посредством «внутреннего», национального права. Поэтому на практике Конвенция оказывается
скорее международно-признанной моральной основой действий взрослых по выполнению обязанностей
перед детьми. Конкретные же механизмы такой деятельности должны предусматриваться во внутреннем
законодательстве каждой страны. ((3) Джангарачева М.К., Винникова Т.- Б.,АО «Учкун».-1998.-115с.)
В некоторых странах есть специальные законы о правах ребенка (Финляндия, Куба и др.). У нас в
Кыргызстане закона о правах ребенка нет. Права ребенка в Кыргызской Республики, во-первых, отождествляются
с правами гражданина, изложенными во второй главе Конституции КР 2007 года, а во-вторых, рассредоточено
закреплены во множестве нормативно-правовых актов, основными из которых являются: Указ Президента КР от
14-апреля 2006г. VП №173 «О концепции развития государственной молодежной политики КР до 2010г.»;
Национальная программа «Кыргызстандын жаштары на 2006-2008г.»; Комплексная основа развития КР до 2010г.;
Закон КР от 26-феварля 2000г. №46 «Об основах государственной молодежной политики»; Постановление
Правительства КР от 8-декабря 1997г. №717. «О докладе по выполнении Конвенции о правах ребенка»;
Национальная программа «Права человека на период 2002-1010годы» / утв.Указом президента КР от 2000г. №1;
Положение о совете молодежи при Правительстве КР / утв. Постановлением Правительства КР и др.
Заметим, что во всех названных актах нашли отражение требования Конвенции ООН о правах ребенка,
она является их содержательной основой. Поэтому удобнее будет рассмотреть права ребенка на
основе одного документа — данной Конвенции.
Положения Конвенции о правах ребенка сводятся к четырем основным требованиям,
которые должны обеспечить права детей: выживание, развитие, защита и обеспечение
активного участия в жизни общества.
В этом акте заложены два основополагающих принципа. Первый — ребенок является
самостоятельным субъектом права. Поэтому, охватывая весь комплекс гражданских,
политических, экономических, социальных и культурных прав человека (а их около 30),
Конвенция одновременно признает, что осуществление одного права неотделимо от осуществления других.
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Второй — приоритетность интересов детей перед потребностями семьи, общества,
религии. Свобода, необходимая ребенку для развития своих интеллектуальных, моральных и
духовных способностей, требует не только здоровой и безопасной окружающей среды,
соответствующей медицинской помощи, обеспечения норм питания, одежды и жилища, но и предоставления всего этого в первоочередном, приоритетном порядке всегда, в благополучные и
трудные годы, в годы процветания и в годы депрессии, в годы войны и мира.
В Конвенции о правах ребенка перечисляются следующие личные (гражданские)
права детей: на жизнь, выживание и развитие (ст. 6); безотлагательную регистрацию после
рождения (ст. 7); имя с рождения (ст.7); приобретение гражданства(ст. 7); знание родителей и на их
заботу(ст. 7); поддержание отношений с родителями при разлучении с ними (ст. 9, 10); сохранение
своей индивидуальности, включая гражданство, имя и семейные связи (ст. 8); выражение своих
взглядов по всем вопросам, затрагивающим ребенка, если он уже в состоянии
сформулировать эти взгляды (ст. 12); на свободу от мучений, жестокости, нечеловеческого
обращения или наказания, сексуальной эксплуатации и совращения, похищения или контрабанды
детей, а также свободу от незаконного употребления наркотических средств и психотропных
веществ (ст. 19, 33, 34, 35, 37).
Ребенок имеет право: не быть приговоренным к смерти или ограниченным в свободе жить,
на соблюдение возрастного предела, до которого он не должен нести уголовную ответственность
(ст. 37); не быть лишенным свободы, на незамедлительный доступ к правовой и другой
соответствующей помощи (ст. 37); при обвинении или признании нарушившим уголовное
законодательство — на такое обращение, которое способствует развитию у него чувства
достоинства и значимости, укрепляет в нем уважение к правам человека и основным свободам
других (ст. 40); при не достижении 15-летнего возраста — не быть призванным на службу в
вооруженные силы и не принимать прямого участия в военных действиях (ст. 38); на защиту от
произвольного или незаконного вмешательства в личную, семейную жизнь ребенка,
неприкосновенность жилища или тайну корреспонденции и от незаконного посягательства на его
честь и репутацию (ст. 16).
В Конвенции особо подчеркнута ответственность родителей за реализацию личных
(гражданских) прав ребенка: «Для полного и гармоничного развития его личности необходимо
расти в семейном окружении, в семье как основной ячейке общества и естественной среде для
роста и благополучия...».
«Государства-участники, — гласит статья 5,— уважают ответственность, права и
обязанности родителей... должным образом управлять и руководить ребенком в соответствии с
развивающимися способностями...»
А в статье 18 отмечается, что оба родителя одинаково ответственны за воспитание
ребенка, что основная их обязанность — действовать в его интересах. В Конвенции
подчеркивается право детей не быть лишенными родителей вопреки их желанию, за
исключением случаев, когда такое разлучение необходимо в интересах ребенка.
Конвенция определяет ответственность государства за воспитание детейсирот и детей, оставшихся без попечения родителей: «Ребенок, который временно или
постоянно лишен своего семейного окружения или который в его собственных наилучших
интересах не может оставаться в таком окружении, имеет право, — записано в статье 20, — на
особую защиту и помощь, предоставляемые государством». Здесь отмечены не только личные
(гражданские), но и социальные права ребенка.
Итак, в Конвенции названы следующие социальные права ребенка: на пользование
наиболее совершенными услугами системы здравоохранения и средствами лечения болезней
и восстановления здоровья (ст.24), на особую защиту государства при лишении семейного
окружения (ст.20); на социальную безопасность, включая социальное страхование (ст.26); на
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уровень жизни, необходимый для физического, умственного, духовного, нравственного и
социального развития, который прежде всего обеспечивают родители (ст. 27).
Предусмотрены также социальные права ребенка-инвалида: «Неполноценный в
умственном или физическом отношении ребенок должен вести полноценную и достойную жизнь
в условиях, которые обеспечивают его достоинство, способствуют его уверенности в себе и
облегчают его активное участие в жизни общества...» (ст. 23).
В Конвенции о правах ребенка закреплены культурные права детей: на получение
информации из разнообразных национальных и международных источников (ст. 13, 17);
образования в том числе бесплатного и обязательного начального (ст. 28); отдых, досуг, игры и
развлечения, а также свободное участие в культурной жизни и занятия искусством (ст. 31);
совместное с другими членами этнической, религиозно или языковой группы пользование
культурой, родным языком, использование своей религии и исполнение ее обрядов (ст. 30).
Как известно, ребенок не имеет возможности пользоваться политическими правами.
Этим он в правовом отношении отличается от взрослого — не избирает власть, бесправен
влиять на власть и призывать ее заботиться о себе. Но Конвенция дает право ребенку: на свободу
мысли, совести и религии (ст. 14); на свободу ассоциаций и свободу мирных собраний (ст. 15).
Как отмечалось выше, сформулировано и личное право ребенка свободно выражать
свое мнение (ст.13). Причем в Конвенции указывается, что взрослые должны уделять
достаточное внимание взглядам детей, с учетом их возраста и зрелости (ст. 12).
И наконец, предусматривается право ребенка знать свои права, содержащиеся в
Конвенции (ст. 42).
Другим документом является «Декларация о социальных и правовых принципах,
касающихся защиты и благополучия детей, особенно при передаче детей на воспитание и их
усыновлении на национальном и международном уровнях», которая была принята резолюцией
41/85 Генеральной Ассамблеи от 3 декабря 1986 года. В ней говорится:
Генеральная Ассамблея, ссылаясь на Всеобщую декларацию прав человека,
Международный пакт об экономических, социальных и культурных правах, Международный пакт о
гражданских и политических правах, Международную конвенцию о ликвидации всех форм расовой
дискриминации и Конвенцию о ликвидации всех форм дискриминации в отношении женщин,
ссылаясь также на Декларацию прав ребенка, которую она провозгласила в своей резолюции 1386
(XIV) от 20 ноября 1959 года, вновь подтверждая принцип 6 этой Декларации, который
предусматривает, что ребенок должен, когда это возможно, расти на попечении и под
ответственностью своих родителей и, во всяком случае, в атмосфере любви и моральной и
материальной обеспеченности, будучи озабочена большим числом детей, оставленных родителями
или ставших сиротами в результате насилия, внутренних беспорядков, вооруженных конфликтов,
стихийных бедствий, экономических кризисов или социальных проблем, учитывая, что во всех
процедурах передачи детей на воспитание или их усыновления первостепенное значение имеет
наилучшее обеспечение интересов ребенка, признавая, что в основных правовых системах мира
существуют различные общественно полезные альтернативные институты, такие, как кафала в
мусульманском праве, которые предусматривают замену семейной заботы о тех детях, о которых не
могут заботиться их собственные родители, признавая далее, что лишь в тех случаях, когда во
внутреннем праве государства признан и регулируется какой-либо конкретный институт, будут
применяться положения настоящей Декларации, касающиеся данного института, и что эти
положения никоим образом не будут затрагивать существующие альтернативные институты в других
правовых системах, сознавая необходимость провозглашения универсальных принципов, которые
следует принимать во внимание в тех случаях, когда установлены процедуры, касающиеся
передачи ребенка на воспитание или его усыновления на национальном или международном
уровнях, учитывая, однако, что изложенные ниже принципы не налагают на государства
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обязательства по созданию таких правовых институтов, как передача на воспитание или
усыновление и провозгласила основные принципы, касающиеся: общего благополучия семьи и ребенка;
•
•
передачи детей на воспитание;
усыновления.
Частным документом, касающимся определенных аспектов проблем несовершеннолетних,
является также Резолюция 45/112 «Руководящие принципы ООН для предупреждения
преступности среди несовершеннолетних», принятая 14 декабря 1990 года. Это так называемые
«Эр-Риядские руководящие принципы»:
1. Предупреждение преступности среди несовершеннолетних является важнейшим аспектом
предупреждения преступности в обществе. Участвуя в законной, социально полезной
деятельности и вырабатывая гуманистический взгляд на общество и жизнь, молодежь может
быть воспитана на принципах, не допускающих преступную деятельность.
2. Для того чтобы предупреждение преступности среди несовершеннолетних было
эффективным, необходимы усилия всего общества в целом в целях обеспечения
гармоничного развития подростков при уважении к их личности и поощрении ее развития с раннего
детства.
Для целей толкования настоящих Руководящих принципов должна проводиться ориентация на
нужды детей. Молодые люди должны играть активную роль в обществе и быть его полноценными
участниками и не должны рассматриваться лишь как объекты для подготовки к жизни в обществе
или контроля.
При осуществлении настоящих Руководящих принципов в соответствии с национальными
правовыми системами в центре внимания любой программы предупреждения преступности должно
быть обеспечение благосостояния молодежи с раннего детства.
Следует признать необходимость и важность осуществления прогрессивной политики
предупреждения преступности среди несовершеннолетних, а также необходимость и важность
систематического изучения и выработки мер. При этом следует избегать криминализации и
наказания ребенка за поведение, не причиняющее серьезного ущерба развитию самого ребенка
или вреда другим. Такая политика и меры должны предусматривать ((4) Документы ООН о детях,
женщинах и образовании. М., « Народное образование», 1995г. ) :
•
•
•
•
•
обеспечение возможностей, в частности возможностей в области получения образования, для
удовлетворения различных потребностей молодежи и создания системы поддержки,
обеспечивающей развитие личности всех молодых людей, и особенно тех, кто явно находится
под угрозой или в социально опасном положении и нуждается в особой заботе и защите;
специальные теории предупреждения преступности среди молодежи и подходы к этому
вопросу, основанные на использовании законов, процессов, учреждений, средств и системы
услуг, направленных на сокращение причин необходимости и возможности совершения
правонарушений или ограничение условий, ведущих к этому;
вмешательство официальных органов, которое должно осуществляться, в первую очередь, с
учетом общих интересов несовершеннолетнего и на основе беспристрастного и справедливого
подхода;
обеспечение благополучия, развития, прав и интересов всех молодых людей;
осознание того, что, по преобладающему мнению экспертов, определение молодого человека
как «нарушителя», «правонарушителя» или «начинающего правонарушителя» во многих случаях
способствует развитию устойчивого стереотипа нежелательного поведения у молодых людей.
Для предупреждения преступности среди несовершеннолетних, особенно в тех местах, где еще
не создано никаких учреждений, необходимо разрабатывать общинные службы и программы,
разработать закон «Об основных гарантиях прав ребенка в Кыргызской Республике». В Законе
установить
основные
гарантии
прав
и
законные
интересы
ребенка,
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предусмотренные Конституцией КР, в целях создания правовых, социально-экономических
условий для реализации прав и законных интересов ребенка. В Конституцию КР внести
дополнение к ст.16.,что «Государство признает детство важным этапом жизни человека и
исходит из принципов приоритетности подготовки детей к полноценной жизни в обществе,
развития у них общественно значимой и творческой активности, воспитания в них высоких
нравственных качеств, патриотизма и гражданственности».
Права ребенка закреплены Гражданским кодексом КР и Семейным кодексом КР.
Условно права ребенка можно разделить на 6 основных групп (3):
• К первой группе можно отнести такие права ребенка, как право на жизнь, на имя, на равенство
в осуществлении других прав и т.п.
• Ко второй группе относится права ребенка на семейное благополучие.
• К третьей группе относится права ребенка на свободное развитие его личности.
• Четвертая группа права призвана обеспечить здоровье детей.
• Пятая группа прав ориентирована на образование детей и их культурное развитие (право на
образование, на отдых и досуг, право участвовать в играх и развлекательных мероприятиях, право
свободно участвовать в культурной жизни и заниматься искусством).
• И шестая группа прав направлена на защиту детей от экономической и другой эксплуатации,
от привлечения к производству и распространению наркотиков, от античеловеческого содержания и
обращения с детьми в местах лишения свободы.
При рождении ребенка между ним и его родителями сразу возникают определенные
отношения. Одни из этих отношений регулируются нормами морали и правилами совместного
проживания людей, другие - нормами права, в частности, нормами семейного права, которое
устанавливает условия и порядок вступления в брак и его прекращения, регулирует личные
имущественные и имущественные отношения между членами семьи: супругами, родителями и
детьми, другими родственниками, а также определяет формы и порядок устройства в семью детей,
оставшихся без попечения родителей. Конституция КР (п. 1 ст.26) предусмотрела гражданскую
обязанность родителей по заботе о детях и их воспитании, уклонение от которой влечет для них
уголовную ответственность с.21)
Отношения, возникающие между родителями и детьми в семье, могут быть личными и
имущественными. Личными являются такие права детей, как право на жизнь и воспитание в
семье, насколько это возможно, право знать своих родителей и право на их заботу, право на
совместное с ними проживание, право на воспитание своими родителями, обеспечение интересов
ребенка и уважение его человеческого достоинства. За ребенком закреплено и такое право,
относящееся к личным, как право на общение с обоими родителями, дедушкой, бабушкой,
братьями, сестрами и другими родственниками.
Каждый ребенок имеет право на имя, отчество и фамилию (ст.63 Семейного кодекса КР).
Имя ребенку дается по соглашению родителей, отчество присваивается по имени отца, фамилия
определяется фамилией родителей.((5) Семейный кодекс КР от 30 августа 2003г.)
К важнейшим личным правам ребенка относится его право на защиту (ст.61 Семейного
кодекса КР). Праву ребенка на защиту своих прав и законных интересов корреспондирует
(соответствует) обязанность родителей, а в случаях, предусмотренных законом, органов опеки и
попечительства, прокуроров, судей защищать права детей. В соответствии с п.2 ст.61 Семейного
кодекса КР ребенок имеет право на защиту от злоупотреблений со стороны родителей (или лиц, их
замещающих).
При нарушении прав и законных интересов ребенка, в том числе при невыполнении или при
ненадлежащем выполнении родителями (одним из них) обязанностей по воспитанию, образованию
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ребенка либо при злоупотреблении родительскими правами, ребенок имеет право самостоятельно
обращаться за их защитой в органы опеки и попечительства, а если ему исполнилось 14 лет, то в суд.
Закон обязывает должностных лиц и граждан, которым стало известно об угрозе жизни или
здоровья ребенка, о нарушении его прав и законных интересов, сообщать об этом в органы опеки и
попечительства по месту фактического нахождения ребенка. При получении таких сведений орган
опеки и попечительства обязан принять необходимые меры по защите прав и законных интересов
ребенка.
Действующее семейное законодательство КР предусматривает право ребенка выражать
свое мнение при решении в семье любого вопроса, затрагивающего его интересы, а также
быть заслушанным в ходе любого судебного или административного разбирательства. Учет мнения
ребенка, достигшего возраста десяти лет, обязателен, кроме случаев, когда это противоречит
интересам ребенка.
Более того, законом предусмотрено, что изменение имени и фамилии ребенка возможно
только с согласия ребенка, достигшего возраста десять лет.
Мнение ребенка, достигшего 10 лет, является обязательным при решении в суде вопроса о
восстановлении в родительских правах. Согласие ребенка является обязательным условием для
подготовительного решения этого вопроса.
Согласие ребенка, достигшего возраста десять лет, требуется и для решения вопроса об
усыновлении, решении вопроса об имени, отчестве и фамилии усыновленного ребенка, о
производстве записи усыновителей в качестве родителей усыновленного ребенка, при решении
вопросов, связанных с отменой усыновления и передачей ребенка на воспитание в приемную семью.
Статья 65 Семейного кодекса КР закрепляет имущественные права ребенка. В частности,
ребенок имеет право на получение содержания от своих родителей и других членов семьи,
а последние (родители) обязаны содержать своих несовершеннолетних детей.
В случае если родители не предоставляют содержание своим несовершеннолетним детям,
средства на содержание детей взыскиваются с родителей в судебном порядке.
Каждый ребенок имеет право собственности на доходы, полученные им,
имущество, полученное им в дар или в порядке наследования, а также на любое другое
имущество, приобретенное на средства ребенка. Право ребенка распоряжаться
принадлежащим ему на праве собственности имуществом определяется статьями 61-62
Гражданского кодекса КР, определяющим дееспособность несовершеннолетних в возрасте от 14
до 18 лет и дееспособность малолетних.
Несовершеннолетний может заключить какую-либо сделку, а затем законные представители
письменно должны одобрить ее, если этого не происходит, то сделка признается недействительной.
Несовершеннолетние в возрасте от 14 до 18 лет вправе самостоятельно, без согласия
родителей, усыновителей или попечителей:
1) распоряжаться своим заработком, стипендией и иными доходами;
2) осуществлять права автора произведения науки, литературы или искусства, изобретения или
охраняемого законом результата своей интеллектуальной деятельности;
3) в соответствии с законом вложить вклады в кредитные учреждения и распоряжаться ими;
4) совершать мелкие бытовые сделки и иные сделки.
По достижении 16 лет несовершеннолетние вправе быть членами кооперативов. По всем
сделкам, заключенным в соответствии с законом, несовершеннолетние в возрасте от 14 до 18
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лет самостоятельно несут имущественную ответственность. А при наличии достигших оснований
несовершеннолетний в этом возрасте может быть ограничен или лишен права самостоятельного
распоряжения своим заработком, стипендией и иными доходами и будет иметь возможность
делать это лишь при согласии своих законных представителей. Необходимость такого
ограничения может быть вызвана различными причинами: неразумная трата средств,
расточительство, увлечение азартными играми и т.п. Однако сделать это может только суд, по
ходатайству родителей, усыновителей или попечителей либо органов/опеки и попечительства.
Статья 63 Гражданского кодекса предусматривает дееспособность малолетних, т.е.
несовершеннолетних, не достигших возраста 14 лет. По общему правилу, сделки за этих лиц могут
совершать от их имени только их родители, усыновители или опекуны. Малолетние в возрасте от
шести до 14 лет вправе самостоятельно совершать: 1) мелкие бытовые сделки; 2) сделки,
направленные на безвозмездное получение выгоды, требующие нотариального удостоверения либо
государственной регистрации; 3) сделки по распоряжению средствами, предоставленными законным
представителям или с согласия последнего третьим лицом для определенной цели или для
свободного распоряжения.
Таким образом, малолетний в возрасте от 6 до 14 лет сам может получить в дар имущество,
если исходя из стоимости подарка, соответствующий договор не должен быть нотариально
удостоверен или
пройти
государственную регистрацию. Следовательно, только родители
(усыновители, опекуны) имеют право принять в дар от имени ребенка земельный участок, дом,
квартиру, другое недвижимое имущество, поскольку в соответствии с действующим гражданским
законодательством такие сделки подлежат обязательной государственной регистрации.((6)
Розахунова Н.Р., Розахунова М.Р. -Б., 2003. С.162-163.)
Вместе с тем малолетний имеет право заключить договор на безвозмездное пользование
любым имуществом на срок до одного года, поскольку заключение такого договора требует лишь
простой письменной формы; взять напрокат велосипед (самокат) или другую вещь и доплатить за
это деньги, подаренные ему кем - либо; фактически принять наследственное имущество, тем, что
свидетельство о праве на наследство от его имени получит у нотариуса его законный
представитель.
В семейном законодательстве КР закреплено правило, в соответствии с которым, ребенок
не имеет права на имущество родителей, а родители не имеют права собственности
на имущество ребенка. Дети и родители, проживающие совместно, могут владеть и пользоваться
имуществом друг друга по взаимному согласию (п.4 ст.65 Семейного кодекса КР).
Наличие личных и имущественных прав несовершеннолетних необходимо для
надлежащего процесса их воспитания в семье. Воспитание понимается нами как процесс
взаимодействия между взрослыми и детьми, и чем в большей мере будет осуществляться такое
взаимодействие, тем эффективнее будет проходить процесс воспитания, а действующие правовые
нормы можно рассматривать как необходимые условия для надлежащего (эффективного) процесса
воспитания ребенка в семьи. Именно поэтому действующее семейное законодательство исходит из
положения, в соответствии с которым родители имеют право и обязаны воспитывать своих детей.
Именно родители несут ответственность за воспитание и развитие своих детей. Именно родители
обязаны заботиться о здоровье, физическом, психическом, духовном и нравственном развитии
своих детей.
В первую очередь на родителей действующее законодательство возлагает обязанность по
защите прав и интересов детей. Родители являются законными представителями своих детей и
выступают в защиту их прав и интересов в отношениях с любыми физическими и юридическими
лицами, в том числе в судах. Для осуществления функций по защите прав и интересов детей
родителям не нужно никаких специальных полномочий.
Следовательно, именно к родителям необходимо обращаться в случаях, нарушения прав и
интересов несовершеннолетних. Однако на практике могут иметь место случаи, когда между
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интересами родителей и детей имеются противоречия. В этом случае несовершеннолетний должен
уведомить орган опеки и попечительства об имеющемся противоречии, а последний обязан
назначить представителя для защиты прав и интересов детей.
Родители обязаны содержать своих несовершеннолетних детей. Это требование
закона чаще всего выполняется большинством родителей, которые добровольно предоставляют
средства на содержание своих детей, на обеспечение их всем необходимым для жизни. Если
же эта обязанность добровольно не исполняется, то родители принуждаются к уплате алиментов
на основании решения суда. Обязанность по содержанию детей возлагается на обоих
родителей. Поэтому, если, например, дети (ребенок) проживают с матерью, иск о взыскании
алиментов предъявляется отцу. Если же дети находятся с отцом, то такой иск может быть
предъявлен матери. Бывают случаи, когда дети находятся на воспитании у других лиц (у деда,
бабушки, тети, дяди и т.п.). В этих случаях у этих лиц есть право взыскать алименты с обоих
родителей.
Алименты с родителей на несовершеннолетних детей взыскиваются судом ежемесячно
в размере: на одного ребенка - одной четверти, на двух детей - одной трети, на трех и более детей
половины заработка и (или) иного дохода родителей. В соответствии с постановлением
правительства КР удержание алиментов на содержание несовершеннолетних детей производится
со всех видов заработной платы (денежного вознаграждения) и дополнительного вознаграждения,
как по основному месту работы, так и за работу по совместительству, которые получают родители в
денежной и натуральной форм.
Закон предусматривает возможность взыскания алиментов на несовершеннолетних детей в
твердой денежной сумме (ст.88 Семейного кодекса КР). В этом случае размер алиментов должен
быть определен, исходя из максимального возможного сохранения ребенку прежнего уровня его
обеспечения с учетом материального и семейного положения сторон и других обстоятельств,
влияющих на условия жизнедеятельности несовершеннолетнего.
При установлении размера твердой денежной суммы алиментов судьи должны исходить из
учета материального и семейного положения лиц, которые должны платить алименты. Поэтому
размер алиментов должен устанавливаться в сумме, соответствующей определенному числу
минимальных размеров оплаты труда и подлежит индексации пропорционально увеличению
установленного законом минимального размера оплаты труда.
В соответствии с действующим законодательством средства на содержание
несовершеннолетних детей, взыскиваемые с родителей в судебном порядке, присуждаются до
достижения детьми совершеннолетия. Однако, если несовершеннолетний, на которого по
судебному приказу или по решению суда взыскиваются алименты, до достижения им возраста 18
лет приобретает дееспособность в полном объеме (ст.56 Гражданского кодекса КР (3, с.29-30)),
выплата средств на его содержание в соответствии с ст. 125 Семейного кодекса КР прекращается.
Иски лиц, с которых взыскивается алименты на детей, а такие иски об изменении размера
алиментов подсудны суду по месту жительства ответчика (взыскателя).
Многие дети по разным причинам становятся сиротами. Такие дети всегда волновали
общество. Действующее семейное законодательство предусматривает возможность воспитания таких
детей в приемной семье. Такую семью могут создать муж и жена, у которых есть свои дети. Они берут
в семью на воспитание сирот или детей, оставшихся без попечения родителей. По мнению
специалистов в такой семье общее количество детей не должно быть более восьми человек.
Возможность создания приемной семьи предоставляется и бездетным родителям. Вместе с тем
семьи, в которых отсутствует один из родителей (неполные) не могут создавать приемную семью.
Приемная семья - это не усыновление. Родители в данном случае выступают как
воспитатели, это является их основной работой, за которую они получают заработную плату.
Родители-воспитатели, желающие взять детей в свою семью должны заключить договор с
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органами опеки и попечительства. Этот договор должен предусматривать срок, на который
ребенок помещается в приемную семью, условие содержания этого ребенка, условия воспитания и
образования ребенка, права и обязанности родителей, обязанности по отношению к приемной
семье органа опеки и попечительства, а также основание и последствия прекращения такого
договора.
Приемные родители обязаны воспитывать ребенка, заботиться о его здоровье,
нравственном и физическом развитии, создавать необходимые условия для получения им
образования, готовить ребенка к самостоятельной жизни. Приемные родители несут за
приемного ребенка ответственность перед обществом. Именно они являются законными
представителями приемного ребенка, защищают его права и интересы.
Права приемных родителей не могут осуществляться в противоречии с интересами ребенка.
В соответствии с Положением о приемной семье в нее могут передаваться дети (ребенок),
оставшиеся без попечения родителей ((7) Розахунова Н.Р., Розахунова М.Р. -Б., 2004, С.24-55. С.5455.);
• дети-сироты;
• дети, родители которых неизвестны;
• дети, родители которых лишены родительских прав, ограничены в родительских правах, признаны в
судебном порядке недееспособными, безвестно отсутствующими, осуждены;
• дети, родители которых по состоянию здоровья не могут лично осуществлять их
воспитание и содерж ание, а также дети, оставш иеся б ез попечения родителей,
находящиеся в воспитательных, лечебно-профилактических учреждениях, учреждениях
социальной защиты населения или других аналогичных учреждениях.
Важно, что при передаче ребенка в приемную семью на воспитание орган опеки и
попечительства должен руководствоваться интересами ребенка. Обязателен учет мнения ребенка
при его передаче в приемную семью, а если ребенку исполнилось 10 лет, то необходимо его
согласие. Ребенок, переданный в приемную семью, сохраняет право на причитающиеся ему
алименты, именно (по случаю потери кормильца или инвалидности) и другие социальные
выплаты и компенсации, которые перечисляются в соответствии с законодательством КР на
счета, открываемые на имя ребенка в банковском учреждении.
За ребенком сохраняется также право собственности на жилое помещение или
право пользования жилым помещением; при отсутствии жилого помещения он имеет
право на предоставление ему жилого помещения в соответствии с жилищным законодательством.
Контроль за использованием и сохранностью имущества (в том числе и жилого помещения ребенка
должны обеспечивать органы опеки и попечительства.
Находясь в приемной семье, ребенок имеет право поддерживать личные контакты с
кровными родителями, другими родственниками, если это не противоречит его интересами
нормальному развитию, воспитанию. Контакты родителей с ребенком допускаются только с
согласия приемных родителей.
Пока в Кыргызстане немного приемных семей. Однако можно предположить, что и
количество будет увеличиваться по мере создания государством условий для их нормальной
жизнедеятельности, которые предполагают и наличие определенных льгот, предоставляемых
государством, местными органами власти таким семьям.
Развивая положения Конвенции о правах ребенка Конституции КР о том, что детство
находится под защитой государства, в связи с этим необходимо принять Закон, который
установил бы основные гарантии прав и законных интересов ребенка в Кыргызстане и
регулировал отношения, возникающие в связи с их реализацией.
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В Законе необходимо выделить категорию детей, нуждающихся в усиленной
защите со стороны государственных органов, — детей, находящихся в трудной
жизненной ситуации. К ним относятся: дети, оставшиеся без попечения родителей; детиинвалиды, имеющие недостатки в психологическом или физическом развитии; дети — жертвы
вооруженных и межнациональных конфликтов, экологических и техногенных катастроф,
стихийных бедствий; дети из оказавшиеся в экстремальных условиях; дети — жертвы насилия;
дети, отбывающие наказание в виде лишения свободы в воспитательных колониях; дети,
находящиеся в специальных учебно-воспитательных учреждениях; дети, проживающие в
малоимущих семьях; дети с отклонениями в поведении; дети, жизнедеятельность которых
объективно нарушена в результате сложившихся обстоятельств и которые не могут преодолеть
данные обстоятельства сами или с помощью семьи.
Так же, необходимо предусмотреть необходимость обеспечения социальной
адаптации и социальной реабилитации таких детей. При этом под социальной адаптацией ребенка понимается процесс его активного приспособления к принятым в обществе
правилам поведения, преодоления последствий психологической травмы, а под социальной
реабилитацией — мероприятия по восстановлению утраченных ребенком социальных связей
и функций, восполнению среды жизнеобеспечения, усилению заботы о нем.
В Закон вести понятие социальных служб для детей. Под таковыми понимаются
любые юридические лица, осуществляющие мероприятия по социальному обслуживанию
детей, а также граждане, осуществляющие без образования юридического лица
предпринимательскую деятельность по социальному обслуживанию населения, в том числе
детей. Мероприятия по социальному обслуживанию детей включают в себя социальную
поддержку, оказание социально-бытовых, медико-социальных, психолого- педагогических,
правовых услуг и материальной помощи, социальную реабилитацию детей, находящихся в
трудной жизненной ситуации, обеспечение их занятости.
Определить в Законе и понятие социальной инфраструктуры для детей. Сюда
входят объекты (здания, сооружения), необходимые для жизнеобеспечения детей, а также
юридические лица, которые оказывают социальные услуги населению, в том числе детям,
осуществляя свою деятельность в целях обеспечения полноценной жизни, охраны здоровья,
образования, воспитания, развития детей, удовлетворения их общественных потребностей.
Что касается состава гарантируемых Законом прав ребенка, то к ним должны
быть отнесены, права и свободы человека и гражданина в соответствии с Конвенцией ООН о
правах ребенка, международными договорами КР, Конституцией КР, Семейным кодексом и другими
нормативными актами Кыргызстана.
В Семейном кодексе правам несовершеннолетних детей посвящена глава № 11. В их числе
названы: право ребенка жить и воспитываться в семье; право знать своих родителей; право на их
заботу и на совместное с ними проживание; право на воспитание своими родителями, обеспечение
его интересов, всестороннее развитие, уважение его человеческого достоинства (статья 54); право
на общение с другими родственниками (статья 55); право на защиту своих прав и законных
интересов (статья 56); право выражать свое мнение (статья 57); право на имя, отчество и фамилию
(статья 58); право на получение содержания от родителей и других членов семьи (статья 60).
Государственные органы и их должностные лица обязаны в соответствии со своей компетенцией
содействовать ребенку в реализации и защите его прав посредством принятия соответствующих
нормативных актов и проведения работы с ребенком по разъяснению его правового статуса.
Родители ребенка также содействуют ему в осуществлении самостоятельных действий, направленных на реализацию и защиту его прав и интересов. Содействие ребенку осуществляется с
учетом его возраста и в пределах установленного законодательством объема дееспособности
ребенка.
Например, объем гражданской дееспособности ребенка определен в статьях 26, 28
Гражданского кодекса. Наибольшим объемом дееспособности обладают дети в возрасте от 14 до 18
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лет. Большинство сделок они вправе совершать с письменного согласия своих законных
представителей — родителей, усыновителей или попечителей. Без их согласия такие
несовершеннолетние вправе распоряжаться заработком, стипендией и иными доходами, осуществлять авторские права, вносить вклады в кредитные учреждения и распоряжаться ими, а также
совершать мелкие бытовые и некоторые другие сделки.
За детей в возрасте до 6 лет все сделки совершают от их имени только их родители,
усыновители или опекуны. Такое же правило применяется в отношении детей от 6 до 14 лет, за
исключением сделок, которые они вправе совершать самостоятельно, то есть мелких бытовых
сделок, а также сделок, направленных на безвозмездное получение выгоды и при этом не требующих нотариального удостоверения либо государственной регистрации, и сделок по
распоряжению средствами, предоставляемыми законным представителем или с его согласия
для определенной цели или для свободного распоряжения.
Сегодня стала шире и гражданская процессуальная дееспособность ребенка. Согласно
пункту 2 статьи 56 Семейного кодекса ребенок, чьи права и законные интересы нарушены,
вправе самостоятельно обращаться за их защитой в орган опеки и попечительства, а по достижении
14 лет — в суд.
Важным на наш взгляд является установление государственных минимальных
социальных стандартов основных показателей качества жизни детей (далее — ГМСС),
которые включают в себя установленный минимальный объем социальных услуг по
бесплатному образованию и воспитанию детей в образовательных учреждениях, их
бесплатному медицинскому обслуживанию, обеспечению им по достижении 15 лет права
на профориентацию и трудоустройство, а также их социальному обслуживанию и социальной
защите. В ГМСС также включить меры по социальной адаптации и реабилитации детей,
находящихся в трудной жизненной ситуации, обеспечение права ребенка на жилище, организацию
оздоровления и отдыха детей, оказание им квалифицированной юридической помощи.
ГМСС определять с учетом региональных различий в условиях проживания детей, причем
органы, государственной власти КР могут устанавливать дополнительные социальные стандарты
основных показателей качества жизни детей.
Большое практическое значение имело бы установление в законе права детей,
находящихся в соответствующем воспитательном, образовательном, лечебном и
ином
социальном
учреждении,
на
периодическую
оценку
соответствия
предоставляемых им услуг; кроме того предусмотрены возможность реализации
этого права как самими детьми, так и их законными представителями путем
обращения в уполномоченные органы власти и если в результате проведенной оценки
услуг выявится несоответствие ГМСС, должностные лица указанных учреждений обязаны будут
устранить допущенные нарушения.
Законом установить абсолютный запрет на ущемление прав ребенка в семье или
любом учреждении. Особо следует остановиться на моментах, которые запрещают администрации
образовательных
учреждений
препятствовать,
созданию
обучающимися
и
воспитанниками в возрасте старше 8 лет общественных объединений. Создание и
деятельность общественных объединений определить законом «О государственной
поддержке молодежных и детских общественных организаций», в котором
предусмотреть, что учреждениями, членами и участниками обычных общественных
объединений могут быть граждане, достигшие 18 лет, членами и участниками молодежных
общественных объединений — граждане, достигшие 14 лет, а членами и участниками
детских общественных объединений — граждане, достигшие 8 лет. То есть учреждать
(создавать) объединения несовершеннолетние не вправе. Они могут быть лишь их членами и
участниками.
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Обучающиеся и воспитанники образовательный учреждений, за исключением
дошкольных учреждений начального общего образования, вправе самостоятельно или через
своих выборных представителей ходатайствовать
перед администрацией жителей
дисциплинарного расследования деятельности работников этих учреждений, нарушающих и
ущемляющих права ребенка. Если обучающиеся или воспитанники не согласны с решением
администрации, они вправе через своих выборных представителей обратиться за содействием
и помощью в уполномоченные государственные органы.
В законе об основных гарантиях прав ребенка оговорить право обучающихся
проводить во вне учебное время собрания и митинги по вопросам защиты своих
прав. Администрация не вправе препятствовать этому. Место проведения собраний и
митингов определяется по усмотрению воспитанников, в том числе на территории и в помещении
образовательного учреждения, но при условии соблюдения правил его устава. В любом случае
собрания и митинги не должны нарушать требования законодательства Кыргызстана и препятствовать образовательному и воспитательному процессам.
Предусмотреть в Законе защиту отдельных прав детей. Так, право детей на
охрану здоровья, которое обеспечивается посредством осуществления государственными и
муниципальными
учреждениями
здравоохранения
профилактических,
лечебных
и
оздоровительных мероприятий. Права детей в сфере профориентации, профподготовки и
занятости, которые обеспечиваются соответствующими мероприятиями, и в частности,
путем предоставления несовершеннолетним работникам льгот при совмещении работы с
обучением, квотирования рабочих мест и т.п.
Для защиты прав детей на отдых и оздоровление предусмотреть обязанность
государственных органов сохранять и развивать учреждения, чья деятельность направлена на
отдых и оздоровление детей. Как известно, сегодня многие из них находятся в весьма плачевном
состоянии.
Также Законом установить гарантии защиты прав ребенка при формировании
социальной инфраструктуры для детей. В частности, государственные и местные органы
исполнительной власти не вправе принимать решения о реконструкции, модернизации,
изменении назначения или ликвидации объекта такой инфраструктуры, являющегося государственной или муниципальной собственностью, без предварительной экспертной оценки
уполномоченным органом последствий такого решения для обеспечения прав и интересов
детей. Так, как отсутствие такой экспертной оценки повлечет недействительность решения с
момента его вынесения.
Установить правила в Законе, направленные на защиту молодого человека от
информации, пропаганды и агитации, наносящих вред его здоровью и нравственному
развитию, в том числе от национальной, классовой, социальной нетерпимости, рекламы
алкогольных и табачных изделий, пропаганды социального, расового, национального и
религиозного неравенства, а также от распространения печатной продукции, аудио и
видеопродукции, пропагандирующей насилие и жестокость, порнографию, наркоманию,
токсикоманию, антиобщественное поведение. В целях обеспечения безопасности жизни,
охраны здоровья, нравственности ребенка, защиты его от негативных воздействий различного
рода компьютерных и иных игр должна проводиться соответствующая экспертиза в порядке,
установленном Правительством КР.
Касаясь прав детей, находящихся в трудной жизненной ситуации, следует обратить
внимание на установление в законе гарантии их судебной защиты. В целях защиты
прав таких детей предусмотрено создание соответствующих социальных служб, которые
осуществляют антикризисные и реабилитационные мероприятия самостоятельно или
совместно с образовательными учреждениями и учреждениями здравоохранения. В случае
установления судом вины родителей или заменяющих их лиц в нарушении прав и законных
163
интересов детей компенсация вреда, нанесенного детям, определяется судом с учетом
проведения необходимых мер по социальной реабилитации и адаптации детей.
С 1 июля 1999 года общественные объединения и иные некоммерческие
организации, в том числе международные, осуществляющие деятельность по защите прав
детей, находящихся в трудной жизненной ситуации, получают право оспаривать в судебном порядке неправомерные действия должностных лиц органов государственной власти
и учреждений, организаций, граждан, в том числе родителей и лиц, их заменяющих,
педагогических, медицинских, социальных работников и других специалистов в области
работы с детьми, если эти действия нарушают права таких детей.
Законные представители ребенка (родители, опекуны, попечители), а также лица,
осуществляющие мероприятия по образованию, воспитанию, развитию, охране здоровья,
социальной защите и социальному обслуживанию ребенка, содействию его социальной
адаптации, социальной реабилитации и (или) иные мероприятия с его участием, вправе
обратиться в суд с иском о возмещении ребенку вреда, причиненного его здоровью,
имуществу, а также морального вреда.
При определении размера компенсации, причиненного ребенку морального вреда,
обязательно должен быть принят во внимание возраст ребенка. Так как компенсация
предназначена для сглаживания перенесенных ребенком страданий, достижение этой цели в
результате самого факта получения денежной суммы зависит от способности ребенка
осознавать значение денег. Представляется, что эта способность ребенка прямо
пропорциональна объему его гражданской дееспособности. Такую же зависимость от возраста
ребенка проявляет и стоимость благ, приобретение которых на присужденную сумму компенсации способно вызвать у ребенка положительные эмоции. Поэтому наиболее сильную
зависимость от возраста должен проявлять размер компенсации несовершеннолетним в
возрасте от 6 до 14 лет.
Среди предлагаемых в Законе организационных основ гарантий прав ребенка следует
предусмотреть право органов местного самоуправления заключать договоры с
юридическими и физическими лицами об оказании услуг по социальному обслуживанию
детей, а также принцип формирования государственного заказа на производство
товаров и услуг для детей. Особое внимание возложить на Правительство
КР об
обязанности представлять Жогорку Кенеш КР ежегодный государственный
доклад о
положении детей в КР, который в последующем подлежал бы официальной публикации.
В заключение отметим, что трудностей с практической реализацией прав детей и их
гарантий осуществления предостаточно, но сегодня, к счастью, в нашем обществе
формируется другое, оптимистическое отношение к проблемам детства, намечается
иная государственная политика, призывающая действовать и не успокаиваться до тех пор,
пока не станут ощутимыми положительные результаты.
ЛИТЕРАТУРА:
1. Орлов В.С. Правовая охрана детства. М., Знание, 1975.
2. Капицин В.М. Права человека и механизмы их защиты.. Учебное пособие. -М.:
ЮРКНИГА.2003. –С.230.
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Винниковой Т.- Б.,АО «Учкун».-1998.-115с.
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(188) сентябрь, 2003г.
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защиты: Юрид. справочник. Б., 2003. С.162-163.
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7. Розахунова Н.Р., Розахунова М.Р. Семейное право: Учебное пособие. -Б., 2004, С.24-55.
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ОБЗОР ДЕМОГРАФИЧЕСКОЙ СИТУАЦИИ В КЫРГЫЗСКОЙ РЕСПУБЛИКЕ ЗА 2002-2006 ГОДЫ
Посвящаю моему отцу Дөөлөталиеву Сейиту
Дөөлөталиев Чоро Сейитович
главный экономист
Научно-исследовательской группы
Экономического управления НБКР
В данной работе автором проведен анализ демографических показателей
(рождаемость, продолжительность жизни, смертность, миграция) Кыргызской Республики.
Показаны возможные перспективы динамики численности населения до 2025 года, риски и
потери, связанные с сокращением продолжительности жизни, отсутствием социальной
инфраструктуры, миграцией трудовых ресурсов и др.
In this article the author is analyzing demographic indices (fertility, life interval, death-rate,
migration) of the Kyrgyz Republic. Also probable trends of population change up to 2025, risks and losses
associated with life time shortening, lack of social infrastructure, labour resources and etc was presented.
Ключевые слова:
смертность, миграция.
демография,
рождаемость,
продолжительность
жизни,
За годы самостоятельного развития Кыргызстана в экономике и социальной сфере
произошли значительные структурные преобразования. В ходе проводимых реформ в республике
начала-середины 1990-х годов, несших с собой как позитивные, так и негативные перемены,
произошли изменения и в демографической сфере – численности населения, образовании,
рождаемости, продолжительности жизни и миграции населения.
Население в республике представлено, в основном, такими национальными группами, как
кыргызы (69,2 процента), узбеки (14,5 процента), русские (8,7 процента) и другие национальности
(7,6 процента) (Кыргызстан в цифрах 2008, Б., 2008 г.). Численность кыргызстанцев за 1989-2007
годы увеличилась в 1,23 раза, на фоне начавшегося в 1990-е годы и продолжающегося сейчас
выезда некоренного, а затем и коренного населения за пределы страны, обусловленного в
большей степени экономическими причинами, и создающего усиление отрицательного
миграционного баланса.
Замедляющийся прирост населения и стабильный исходящий миграционный поток (-113,4
тыс. человек за период с 2002 по 2006 год) при слаборазвитой экономике и низких уровнях дохода
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являются теми факторами, которые могут представлять потенциальную угрозу как экономическому
положению, так и безопасности республики. В долгосрочном периоде по прогнозам ООН к 20102015 годам среднегодовые темпы прироста населения Кыргызстана могут сократиться до 1,0
процента в год, а к 2020-2025 годам – примерно до 0,6 процента в год («Демоскоп Weekly» 2006).
Сложившаяся тенденция по снижению текущего прироста и дальнейшего сокращения
среднегодовых темпов прироста населения требует принятия мер политики, регулирующей
численность населения.
С использованием ожидаемых темпов прироста населения численность населения
Кыргызстана к 2025 году может достигнуть 6080,3 тыс. человек (табл. 1).
Неопределенность тенденции социально-экономического развития страны в долгосрочной
перспективе не позволяет более менее точно рассчитать возможные размеры миграционного
оттока. В данном случае можно только предположить, что при сохраняющихся темпах миграции,
отток из страны может колебаться в диапазоне 40,0-58,0 тыс. человек в год, при консервативном
подходе, то есть при ухудшении экономического положения в стране – 50,0-100,0 тыс., в случае
стабильной социально-экономической ситуации отток, возможно, сократится до 37,9-38,1 тыс.
человек.
Для повышения рождаемости, в частности, качественной рождаемости, снижения
смертности и ведения здорового образа жизни населения необходима государственная
демографическая политика, направленная на оптимизацию данных показателей.
Таблица 1.
Прогноз численности населения с учетом миграционного оттока
2005
2006
2007
2008
2009
2010
Показатели
Численность
населения,
млн. 5138,7 5189,8 5252
5309
5362,1* 5415,7
чел.
Темп
роста
численности
100,9
101
101,2 101,1 101
101
населения,
проценты
Отток,
человек
26980 31003 50648 37790 40152* 42661
(базис)
Прогноз оттока по
43459* 49977
пессимистическому сценарию, человек
Прогноз
оттока
оптимистическому
37903* 38017
сценарию, человек
* расчеты НБКР, основанные на данных НСК КР
2015
2020
2025
5682
5901,2
6080,3
101
100,6
100,6
57767
-
-
100522,2
-
-
38131,1
-
-
Важное значение имеет географическое распределение рождаемости. Поскольку в
территориальном разрезе более половины рожденных приходится на юг страны, то, вероятно,
этому региону может понадобиться дополнительное содействие со стороны исполнительной
власти по расширению доступа к социальным услугам и поддержанию детства и материнства,
оказанию специфических услуг, созданию детской и дошкольной инфраструктуры, а далее
школьной и профессиональной.
Также вызывает озабоченность сокращающаяся продолжительность жизни населения в
целом. В то время как продолжительность жизни женщин остается на стабильном уровне,
продолжительность жизни мужского населения сокращается с каждым годом. Выявление,
профилактика и сокращение факторов, вызывающих раннюю смертность мужчин, – это задачи, по
которым предстоит принятие решений, поскольку непринятие мер будет иметь отражение как на
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уровне экономики (потеря трудовых ресурсов, увеличение демографической нагрузки, уменьшение
налогоплательщиков, снижение потребительского спроса), так и на социальной ситуации
(отсутствие мужчин в обществе и семьях).
К примеру, в настоящее время возраст выхода на пенсию для мужчин составляет 63 лет и
для женщин – 58 лет. Повышение пенсионного порога, например, для мужчин до 65 лет расширяет
количество трудоспособного населения, что позволяет снизить нагрузку на все экономически
активное население. Однако, сравнивая среднюю продолжительность жизни мужчин (63,5 года) и
возможный пенсионный возраст (65 лет), ясно, что в среднем смертность у мужчин будет
наступать раньше пенсионного возраста.
Решение о раннем выходе на пенсию возможно в случае высоких доходов и наличия
«длинных» денег, как у государства, так и у экономически активного трудоспособного населения.
Поэтому следует провести работу в направлении комплексной кропотливой борьбы за каждый год
активной жизни трудоспособного населения.
Также стоит отметить, что при увеличении средней продолжительности жизни всего
населения с 67,7 лет до 75-80 лет старшее поколение могло бы вырастить и воспитать еще одно
поколение и облегчить нагрузку на родителей детей.
Миграция населения, как внутренняя, так и внешняя, сказывается на демографическом
развитии населения страны. Значительные изменения в структуре населения были обусловлены и
миграционными перемещениями.
С начала 1990-х годов в республике сложился отрицательный миграционный баланс,
который продолжился и в начале 2000-х годов. Отрицательный баланс покрывался, в основном, за
счет естественного прироста населения.
Кроме того, в структуре мигрирующих люди с высшим, неоконченным высшим и средним
специальным образованием составляют 48,8 процента от общего числа, а с учетом среднего
общего образования – 91,7 процента. Выезд данной категории населения весьма ощутим для
экономики республики, и означает потерю научного, интеллектуального, технического и трудового
потенциала. почти 80 процентов мигрантов составляет активное трудоспособное население, среди
которых превалируют мужчины (более 50 процентов).
Однако не только выезд населения, имеющим образование, сказывается на стране, но и
сама система образования имеет ряд недочетов. Распространяющиеся сейчас процессы,
связанные со снижением качества знаний, недокомплектацией педагогического состава и учебного
материала, будут иметь отложенный эффект, и через несколько лет можно будет ожидать
снижения уровня и качества образованности выпускников школ. Одними из негативных
проявлений таких процессов являются:
1. Сокращение количества детсадов – из 1696 в республике (1990 год) осталось 488 (2008
год) при постоянном росте населения, при этом увеличилась нагрузка на детскую инфраструктуру
в столице.
2. Снижение материально-технической базы школ – обеспеченность в школах с
кыргызским обучением учебными материалами составляет только 39 процентов, в школах с
русским обучением – 52 процента.
3. Дефицит в системе образования в педагогических кадрах – потребность составляет 3622
учителя.
4. Необновляемость педагогических кадров – средний возраст преподавателей составляет
45-50 лет, многие из преподавателей пенсионеры, в то время как ВУЗы республики ежегодно
выпускают 1,5 тысячи педагогов.
5. Уровень подготовки преподавательских педагогических кадров, неудовлетворяющий
сегодняшним потребностям.
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6. Низкие расходы на школьное и вузовское образование. На обучение одного ученика
базовой школы затрачивается меньше средств(4126 сом), чем на одного ребенка в детсаде (8414
сом) и студента вуза (12569 сом) (Болжуровой, 2008 ).
Вместе с тем, за последнее время изменился структурный состав выезжающих. По
национальному составу на начало 1990-х годов исходящая миграция была моноэтнична –
выезжало русское и русскоязычное население. Но уже с 2000-х годов наметилась ситуация с
изменением этнической структуры выезжающих – начинается увеличение доли кыргызов в составе
выезжающих, что обусловлено поиском более высокого уровня жизни и бедностью на территории
проживания.
В условиях миграции, прежде всего, страдает аграрный сектор республики, где многие
работы выполняются без использования технических средств, откуда «вымываются» рабочие руки
необходимые сельскому хозяйству. Таким образом, встает вопрос интенсификации, механизации и
автоматизации ручного труда в сельском хозяйстве. Следовательно, появляется необходимость в
целенаправленной политике в части обеспечения сельскохозяйственной техникой именно тех
районов страны, где выбывают рабочие руки. Развитие лизинга, расширение кредитования и
финансирования поставок сельхозтехники, вместе с поддержкой государства позволят в некоторой
степени решить данные проблемы.
В структуре выезжающих на 2006 год лица моложе трудоспособного возраста составили
около 10,5 процента. Среди выезжающих кыргызов моложе трудоспособного возраста дети
составили 6,5 процента. Многие родители, отправляясь на заработки, оставляют своих детей без
надзора. По данным ЮНИСЕФ в Кыргызстане 78,0 тыс. детей, или 7,6 процента от общего числа
учеников, не посещают школу. Это значит, что часть этих детей во взрослой жизни, возможно,
обречена выполнять низкоквалифицированную и малооплачиваемую работу. С другой стороны,
крайне низкий уровень жизни населения и отсутствие работы, особенно в сельской местности,
привели к тому, что на рынке труда появилась новая категория трудовых ресурсов – дети,
вынужденные работать для того, чтобы прокормить семью и себя в силу таких причин, как
отсутствие кормильца, больные родители, неблагополучные семьи и другие.
Основной причиной внешней миграции в Казахстан, Россию и другие страны является
низкий уровень жизни населения. К примеру, средний уровень заработной платы за 2008 год в
Кыргызстане составлял 5422 сом (НСК КР) или же 137,5 долларов США. Для России и Казахстана
данный показатель равнялся 17226,3 рублей (Росстат) или же 564,4 доллара США и 60734 тенге
(Статагентство РК) или же 502,0 доллара США соответственно.
Таблица 2.
ВВП на душу населения в долларах США, рассчитанный через ППС
Как видно из таблицы, в 2008 году ВВП на душу населения также отстает от аналогичных
показателей Казахстана в 5,5 раза и России в – 7,5 раза, и этот разрыв с каждым годом
увеличивался.
Согласно данным НСК КР доля кыргызов во внешней миграции составляла в 2001 году 6,7
процента, а в 2005 и 2006 годах – 20,5 и 31,0 процента соответственно.
В структуре мигрирующих в Россию кыргызов преобладают жители южных регионов, что
объясняется крайне низким уровнем жизни и бедностью населения в южных областях
168
(Информационный бюллетень КР по продовольственной безопасности и бедности - Б.: 2007:2729).
Исходящие миграционные потоки присущи регионам с низким уровнем жизни и тяжелыми
социально-экономическими условиями. Сейчас наблюдается активная «ползучая» миграция
(заселение пустующих домов на территории нашей страны представителями соседних стран,
испытывающими нехватку земли и иных ресурсов), стремление, в том числе незаконно, получить
надел земли. Безлюдные геополитически важные территории могут повлечь за собой увеличение
хищнического, браконьерского использования находящихся там ресурсов; подрыв оборонной
мощи государства и безопасности ее граждан; к еще большей незащищенности границ,
увеличению проникновения в страну наркотиков, оружия, контрабанды, нелегалов и террористов.
Тенденция оттока населения под воздействием таких факторов, как значительный рост
доходов, повышение уровня жизни, социальное обеспечение населения, не остановлена. Как
показано на рис. 1, падение произошло только в 2008 году из-за ухудшившейся экономической
обстановки в странах-реципиентах трудовых мигрантов, а после стабилизации экономической
ситуации в данных государствах миграционный отток будет продолжаться увеличиваться.
Угрожающие масштабы миграционного оттока населения, поглощающие от 24,0 до 60,0
процента естественного прироста населения, не позволяют составить корректный прогноз
миграционной ситуации в республике, особенно на долгосрочную перспективу.
Помимо внутренних миграционных процессов следует обратить внимание на
демографические процессы, происходящие в соседних государствах, в частности, в
трудоизбыточных странах – Китае и Узбекистане. К примеру, в Китае ежегодно около 20 млн.
«новых рабочих рук» нуждается в работе, и безработное китайское население готово трудиться в
соседних странах, в том числе и в Кыргызстане.
Рисунок 1.
Динамика (левая шкала) и темпы роста (правая шкала) миграционного оттока населения в
*
Кыргызской Республике
Источник: данные НСК
Узбекская Фергана является одной из самых густонаселенных территорий в мире –
2
плотность проживания населения составляет 550 человек на км (Мусаев, 2007:46). В
среднесрочном и долгосрочном периодах не исключается возможность того, что Кыргызстан
(приграничные территории) может стать страной-реципиентом мигрантов из соседних стран. Это, в
свою очередь, может привести к появлению проблемы ассимиляции, и, соответственно, рискам
появления проблем этнического характера в регионе. По прогнозным данным Фонда
народонаселения ООН (UNFPA) к 2015 годам численность населения в Узбекистане составит 38
млн. Человек (ОмГУ), и в ближайшие 15-20 лет следует ожидать переселения узбекского
169
населения на территорию Кыргызстана и Казахстана. Решение этой задачи необходимо начинать
уже сейчас как на государственном, так и межгосударственном уровнях.
Проблема средне- и долгосрочного снижения темпов прироста населения может быть
нивелирована как путем привлечения мигрантов, так и увеличением рождаемости.
Увеличение населения за счет миграции соотечественников и этнических кыргызов
кардинально ситуацию не изменит, что более приоритетным решение проблемы повышение
качественной рождаемости. Однако необходимо учитывать то, что увеличивающееся число детей
приведет к появлению дополнительной потребности в социальных услугах, например, в
образовательных. Вследствие этого необходимо готовить детскую и дошкольную инфраструктуру.
В качестве еще одного варианта увеличения численности населения можно рассмотреть
возвращение населения, прежде проживавшего на территории страны. Русскоязычное население
является наиболее образованным среди крупных национальных групп (75,4 тыс. человек)
(Кудабаева, Гийо, & Денисенко, 2004:109-115) и потеря столь ценного интеллектуального и
трудового ресурса чревата отрицательными последствиями, а для восполнения этих потерь
потребуется значительный период времени.
Задача достижений устойчивого экономического роста и повышения благосостояния
населения с учетом постоянных потерь как квалифицированных, так и неквалифицированных
трудовых ресурсов существенно осложняется.
Кыргызстану в условиях ограниченности природных и материальных ресурсов стоит
рассчитывать во многом на развитие человеческого потенциала. Но на фоне того, что
трудоспособное население республики постоянно убывает, необходимо разработать стимулы по
удержанию ценных кадров или же их возвращению. Уже сейчас республика испытывает дефицит,
например, работников среднетехнических специальностей в связи с их выездом за рубеж. Сейчас
Министерством образования и науки республики проводится ускоренная подготовка и
переподготовка по профессиональному техническому обучению для желающих работать в странах
дальнего и ближнего зарубежья. Получается, что, получив образование в Кыргызстане, наши
граждане свои знания и труд «дарят» принимающей стране.
Кыргызстан, также как и другие страны, мог бы проводить политику по привлечению
квалифицированных кадров для работы на благо республики. В республике не определена четкая
политика отбора, принятия и предоставления гражданства гражданам зарубежных стран,
обладающим знаниями, высокой квалификацией. Для привлечения жителей в Кыргызстан
требуется проведение селективной политики предоставления гражданства и работы тем
специалистам, в которых нуждается страна. Также необходимо разработать подходы к
обеспечению возможностей стимулирования возвращения эмигрантов и студентов, обучавшихся
по государственным образовательным программам, ранее выехавших за границу на постоянное
место жительства или по трудовым контрактам, в первую очередь, высококвалифицированных
специалистов и предпринимателей, включая представление им условий безопасности, жилья,
места работы, соответствующей оплаты, социальной защиты и т.д.
Страна нуждается не просто в оздоровлении демографической ситуации, а в создании
условий для стабильного роста населения. Важнейшая задача – проведение активной
региональной экономической политики, направленной на сохранение численности населения в
важных в геополитическом отношении регионах. Активному перемещению населения по
территории республики может служить создание транспортной сети (автодороги, железные дороги,
аэропорты и воздушные пути) между всеми регионами республики.
Сохранению русского и русскоязычного населения, других национальностей в Кыргызстане
как трудового потенциала и представляющих собой кадровый и интеллектуальный фонд,
возможно, будет способствовать проведение работы по созданию для них благоприятных условий
170
труда и проживания в Кыргызстане. Для страны важно сохранить качественный состав
имеющегося населения и остановить миграцию (внешнюю и внутреннюю) в связи с тем, что
возникнут не только экономические, а уже и геоэкономические и геополитические проблемы.
Для устранения имеющихся демографических проблем необходимо рассмотреть
возможность разработки концепции по демографической политике (развитию), отражающей
интересы национальной демографической безопасности республики, которая должна включить в
себя программы, в частности, по снижению смертности мужчин и детей; восстановлению системы
дошкольного, школьного и образования и воспитания; по привлечению и закреплению трудовых
ресурсов.
БИБЛИОГРАФИЧЕСКИЙ СПИСОК
1. Мусаев Б. Андижанский веер – машина для убийства - Гамбург.- 2007.- 89 с.
2. Население Кыргызстана / Под ред. З. Кудабаева, М. Гийо, М. Денисенко - Б., 2004.
3. Кыргызстан в цифрах.- Национальный статистический комитет Кыргызской Республики,
Б., 2008.- 325 с.
4. Демографической ежегодник Кыргызской Республике 2002-2006 годы.- Национальный
статистический комитет Кыргызской Республики, Б., 2007. - 388 с.
5. Демографической ежегодник Кыргызской Республике 2003-2007 годы.- Национальный
статистический комитет Кыргызской Республики, Б., 2008. - 392 с.
6. Информационный бюллетень КР по продовольственной безопасности и бедности. Национальный статистический комитет Кыргызской Республики, Б., 2007. - 57 с.
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KÜRESELLEŞME SÜRECİNDE TÜKETİCİLERİN MARKA TERCİHLERİ, AB ÜYELİĞİNİN
17
ÜNİVERSİTE ÖĞRENCİLERİNİN MARKA TERCİHLERİ ÜZERİNDEKİ ETKİSİ
Hasan AKSOY
Selçuk Üniversitesi Cihanbeyli MYO, Öğretim Görevlisi
ÖZET
Küreselleşme, ülkeler arasındaki ekonomik, siyasal ve sosyal ilişkilerin gelişmesi ve ülkelerin bu
alanlarda birbirine benzemesi sürecidir. Günümüzde bütün dünyayı etkileyen bu değişim ve gelişmeler
işletmeleri ve tüketicileri de doğrudan etkilemektedir. Tüketiciler; kalite, hız, fiyat ve ürün farklılaştırması
gibi unsurlara bağlı olarak marka tercihlerini yaparken ürünlerin yerel marka veya küresel marka olması
da tüketici tercihlerini belirleyen diğer etkenlerdir. Bununla birlikte tüm dünyadaki siyasal gelişmeler
tüketicilerin marka tercihlerinin küresel markalardan yerel markalara doğru bir değişim göstermesine
sebep olmuştur. Bu çalışmayla Konya’daki ve AB üyesi Polonya’daki üniversite öğrencilerinin tüketim
tercihleri üzerindeki sözü edilen gelişmelerin etkisi araştırılmıştır.
Anahtar Sözcükler: Küreselleşme, Tüketici tercihleri, Küresel marka, Yerel marka
ABSTRACT
Globalization is process in which economic, political and social ties develop and through which,
thus, countries become alike in these areas. Today, this change and developments which affect the
whole world directly affect the manufacturers and consumers, as well. While consumers make their
preferences according to the quality, speed, cost and the product differentiations, the products’ being
whether local or global brand is among the factors affecting consumer preferences. However, the political
changes all over the world caused the brand preferences of consumers shifted from global brands to local
brands. This study was carried out to determine the effects of the mentioned developments on the
consumption preferences of university student in Konya and Polonya the criteria they use in brand
preferences
Bu makale AB ve Küreselleşmenin Tüketici Tercihleri Üzerine Etkisi isimli yüksek lisans projesinden
yapılmıştır.
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Key words: Globalization, Consumer preferences, Global brand, Local brand
1. GİRİŞ
Ekonomik ve parasal birlik; Avrupa Birliği tek pazarı bünyesinde, (insanların, malların, hizmetlerin
ve sermayenin herhangi bir kısıtlama olmaksızın hareket ettiği) tek para birimi alanıdır. Avrupa Para Birliği
ile birlikte, katılımcı bütün AB üyesi ülkeler için tek para birimi Euro ve tek bir para politikası
vardır.(www.kobinet.org.tr, 2003)
Ekonomik birleşme aşamaları basitten kapsamlıya doğru; serbest ticaret bölgesi, gümrük birliği,
ortak pazar ve ekonomik ve parasal birliktir. Serbest ticaret bölgesine dahil ülkeler, diğer üye ülkelerin
üzerindeki kısıtlamalar (tarife ve kota gibi) kaldırırken üçüncü ülkelere karşı kendi ticaret politikalarını
uygulama serbestisine sahiptirler. Ekonomik birleşmenin ikinci seviyesi gümrük birliğidir. Bu birleşme
aşamasında, üye ülkeler birlik dışı ülkelere karşı ortak dış ticaret politikası izlerler. Ekonomik birleşmenin
üçüncüsü ortak pazardır. En kapsamlı ekonomik birleşme ise ekonomik birliktir. Bu birleşme türünde,
ortak pazarın tüm özelliklerine ilave olarak, ekonomik kurul birleşmesi ve üye ülkeler arasında ekonomik
politikaların koordinasyonu söz konusudur. Ekonomik birlik aynı zamanda ortak bir paranın kabulünü de
kapsayabilir. Eğer bu oluşursa, birlik aynı zamanda parasal birlik haline gelir (Bilgili, 2004).
Avrupa’nın yakın tarihine bakıldığında, yaşanılan iki dünya savaşının ve bu savaşlardan çıkartılan
derslerin bütünleşme sürecindeki etkisi görülmektedir. 9 Kasım 1989’da Doğu ve Batı Almanya’yı
birbirinden ayıran duvarın yıkılması ve 3 Kasım 1990’da iki Almanya’nın birleşmesi açısından bir model
oluşturmuştur (Turagay, 2003).
Avrupa Ekonomik Topluluğu’nda ekonomik ve parasal birlik yaratma konusundaki ilk ciddi girişim,
1-2 Aralık 1969’da La Haye zirvesinde yapılmıştır. Zirve sonucunda 6 ülkenin devlet ve hükümet
başkanları, topluluk içinde aşamalı bir Avrupa Para Birliği’ne yönelik olarak hazırlanan Werner Raporu ile,
on yıl içinde Avrupa Para Birliği’ne ulaşılması için bir plan sunulmuştur. Ancak 1970’lerdeki petrol krizleri,
her yerde hızlanan enflasyon, ekonomilerin birbirlerinden farklı olması gibi nedenlerle bu amaca
ulaşılamamıştır (Bilgili,2004).
2. AVRUPA BİRLİĞİ, KÜRESELLEŞME ve TÜKETİCİLERİN MARKA TERCİHİ FARKLILIKLARI
Marka, bir satıcı veya satıcı grubunun ürün ve hizmetlerini tanımlamayı ve rakiplerinden
ayrıştırmayı amaçlayan bir isim, bir terim, işaret, sembol veya tasarımdır. Markanın ismi, birde sembolü
vardır. İkisi birden bir mal ya da hizmeti rakiplerinkinden ayırır (İslamoğlu, 1999). Çokuluslu şirketlerin son
on beş yılda gelirlerinin ve kültürel etkilerinin astronomik olarak büyümesi incelendiğinde, 1980’li yılların
ortalarında yönetim bilimciler başarılı şirketlerin öncelikli olarak ürünler yerine markalar üreterek küresel
pazarlarda yer aldıklarını belirtmişlerdir (Klein, 2000).
Friedman, küreselleşmeyi giderek artan sayıda insanı giderek çeşitlenen biçimlerde aynı anda
etkileyen bir sistem olarak tanımlamıştır (Friedman, 2003). Ürün, hizmet, sermaye, işgücü ve bilginin
ulusal sınırlar arasında geçişinin artması tek bir küresel ekonomi yaratmıştır. Küreselleşme süreci,
teknolojik ilerleme, uluslararası ticari hareketlerin maliyetlerindeki düşüş, uluslararası üretimde görülen
ticari payın artışı ve sermayenin hareketliliğindeki artış gibi pek çok etkenle şekillenmiştir. Ayrıca küresel
standartların ve değerlerin bunlarla birlikte demokrasinin yayılması, uluslararası çevresel ve insan hakları
anlaşmalarını da içeren küresel ittifakların ve anlaşmaların artması da bu süreçte etkili olmuştur (Weiss,
2002).
Dinamik bir süreç olan küreselleşme pazarların, ulus-devletlerin ve teknolojilerin karşı konulmaz
biçimde dünyanın daha önce hiç görmediği bir ölçüde bütünleşmesini içermektedir. Bu süreç şirketlere
gelişen teknoloji yardımıyla daha uzağa, daha hızlı, daha ucuza ve daha derinden ulaşabilme imkanı
sunmuştur (Friedman, 2003). Marka, bir satıcı veya satıcı grubunun ürün ve hizmetlerini tanımlamayı ve
rakiplerinden ayrıştırmayı amaçlayan bir isim, bir terim, işaret, sembol veya tasarımdır. Markanın ismi,
birde sembolü vardır. İkisi birden bir mal ya da hizmeti rakiplerinkinden ayırır (İslamoğlu, 1999).
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İş çevresindeki bu değişimlerden tüketiciler de yoğun olarak etkilenmiş ve tüketici davranışlarında
bir takım değişimler gözlenmiştir. Küreselleşme öncesinde farklı bölgelerde her açıdan farklı tüketim
alışkanlıkları sergileyen tüketiciler küreselleşme ile birlikte benzer davranışlar göstermeye başlamıştır.
Dünya genelindeki müşterilerin yaşam biçimleri, zevkleri ve davranışları arasındaki uçurum daraldıkça
müşteri grupları arasındaki benzerlikler artmaktadır (Aydemir vd. 2006).
Bu bağlamda yerel ve küresel marka ayrımı ortaya çıkmış, küresel markalar kendi yerel
pazarlarında güçlülük, tutarlı ürün konumlandırması, mevcut coğrafya içerisinde kültür ile dengeli
stratejileri, dünya çapında benzer müşteri ihtiyaçlarına hitap edebilen özellikleri ile değer kazanmıştır
(Lasserre, 2002). Böylelikle küresel markalara olan talep artış gösterirken yerel markalara sahip
işletmeler küresel markalara sahip olma yönünde stratejiler planlamaya ve uygulamaya başlamıştır.
2.1 Araştırmanın Amacı
Bu çalışmanın ana amacı, AB üyesi bir ülkenin öğrencileri ile AB üyesi olmayan bir ülkenin
öğrencilerinin marka tercihleri ve algılamaları arasındaki farklılık ve benzerlikleri ortaya koymaktır.
2.2 Araştırmanın Yöntemi ve Örnekleme
Araştırma ile ilgili verilerin toplanmasında anket ve görüşme yönteminden yararlanılmıştır. Anket
soruları daha önce yapılmış olan bir çalışmadan (Eugene Song Kim,2004) ve görüşme yöntemiyle
toplanan verilerden yararlanılarak hazırlanmıştır ve araştırma Konya ilinde Konya Selçuk Üniversitesi
merkez kampüsünde ki farklı fakültelerdeki 307 öğrenci ve Polonya Wroclaw Ekonomi ve Wroclaw
üniversitelerinde okuyan 307 öğrenci ile sınırlandırılmıştır. Elde edilen veriler SPSS 13.0 programı
kullanarak analiz edilmiş ve bir takım sonuçlara ulaşılmıştır.
2.3.
Araştırma Bulguları ve Değerlendirilmesi
Hipotez 1: AB’ne üye ülke öğrencileri ile Türkiye’de okuyan öğrencilerin Küresel ve Yerel Markalardan
beklentileri arasında bir farklılık bulunmaktadır (Kabul Edildi).
Polonya’da ki üniversitelerde okuyan öğrenciler ve Konya Selçuk Üniversitesinde okuyan
öğrencilerin küresel ve yerel markalardan beklentileri farklı çıkmıştır. Türk öğrenciler, küresel markaların
bulundukları sosyal grup içerisinde sosyal fayda sağlamasını, yerel markaların ise uygun fiyatta olmasını
beklemektedirler. Polonyalı öğrencilerin ise küresel ve yerel markalardan tek beklentisi uygun fiyatta
olması ve uzun süreli kullanılabilirliktir. Sonuç olarak Türk öğrencilere ulaşmak isteyen küresel markalar
öğrencilere sosyal ortamlarında itibar sağlamak zorundadırlar, yerel markalar ise uygun fiyat seçeneğini
öğrencilere sunmalıdır. Polonyalı öğrencilere ulaşmak isteyen tüm markalar ise uygun fiyatla sahip olmak
zorundadırlar.
Tablo-1 Türk Öğrencilerin Küresel ve Yerel Markalardan Beklentileri
Marka Türü
Küresel
1. Öncelik
İtibar
Sağlama
(f =149)
2. Öncelik
Estetik
(f =76 )
3. Öncelik
Dayanıklılık
(f =42)
4. Öncelik
Uygun
Fiyat
(f =22)
5. Öncelik
Kolay
Temin
(f =10)
6. Öncelik
Güvenilirlik
(f =8)
Yerel
Uygun
Fiyat
(f =150)
Dayanıklılık
(f = 75)
Güvenilirlik
(f = 55)
Estetik
(f = 19)
İtibar
Sağlama
(f = 5)
Kolay
Temin
(f = 3)
Elde edilen verilerden öğrencilerin küresel markalardan; bulundukları sosyal gruplarda itibar
sağlamasını ve estetik özellikler taşımasını bekledikleri görülmektedir. Küresel markaların fiyatı öğrenciler
için ürün tercihlerinde bir önem taşımamaktadır. Öğrenciler yerel markaları ucuza almak isterken bu
174
markaları uzun süre kullanabilmeyi beklemektedirler. Öğrenciler yerel markalardan beklentileri içinde
itibar sağlama ve estetik özellikleri son sıralarda yer almaktadır.
Tablo-2 Polonyalı Öğrencilerin Küresel ve Yerel Markalardan Beklentileri
Marka Türü
1. Öncelik
2. Öncelik
3. Öncelik
4. Öncelik
5. Öncelik
6. Öncelik
Küresel
Uygun
Fiyat
(f =100)
Uygun
Fiyat
(f =93)
Dayanıklılık
(f =85 )
Güvenilirlik
(f =52)
Dayanıklılık
(f = 73)
Kolay
Temin
(f =11)
İtibar
Sağlama
(f = 19)
Estetik
(f =9)
Güvenilirlik
(f = 81)
İtibar
Sağlama
(f =50)
Kolay
Temin
( f = 36)
Yerel
Estetik
(f = 5)
Elde edilen verilerden Polonyalı öğrenciler için küresel markaların fiyatlarının ürün tercihlerinde
çok büyük önem taşıdığı ve küresel markaları uzun süre kullanmak istedikleri görülmektedir. Polonyalı
öğrenciler için, yerel markaların da fiyatları ürün tercihlerinde büyük önem taşımakta ve yerel markaların
güvenilir olmasına büyük önem vermektedirler. Yerel markaları seçerken estetik ve itibar sağlama özelliği
öğrenciler için çok fazla önem taşımamaktadır.
Hipotez 2: Küresel otomobil markalarının imajları Polonyalı ve Türk öğrenciler tarafından aynı şekilde
algılanmaktadır (Kabul Edilmedi).
Tablo-3 Polonyalı Öğrencilerin Otomobil Markaları Çağrışımları ve Marka İmaj Haritası
MARKA
KULLANICI
Toyota
Orta Sınıf
Kadın
Yeni Mezun
Orta Sınıf
İyi
Bir
Çalışanlar
Erkek/Kadın
Zengin
Yakışıklı
İyi Giyimli
Erkek
Volkswagen
Mercedes
FONKSİYONEL
FAYDALARI
Etkililik
Firmada
Güvenli
Güvenli
Rahat
Kullanıcıların gelirlerini karşılaştırdığımızda, Toyota ve Volkswagen markalarının Polonyalı
tüketicilerin gözünde benzer gelir gruplarına hitap ettikleri görülmektedir. Sadece Mercedes markası
tüketiciler tarafından üst gelir grubuna hitap eden bir marka olarak görülmektedir. Her iki firmada
tüketicilerin gözünde üst gelir grubuna hitap etmemektedir ve Polonya’da bu gelir grubunda büyük bir
potansiyel bulunmaktadır. Bu iki firmanın tersine Mercedes firması tüketiciler tarafından üst segmente ait
bir marka olarak algılanmaktadır. Mercedes firması da orta ve alt gelir grubunda çok büyük bir potansiyele
sahiptir.
Kullanıcıların yaşlarına baktığımız zaman, Mercedes markasının kullanıcılarının öğrenciler
tarafından yaşlı olarak algılandıkları görülmektedir. Volkswagen kullanıcıları ise hem genç hem de orta
yaşlı olarak algılanmaktadır. Toyota’nın ise tüketiciler tarafından daha çok genç kullanıcılar için olduğu
düşünülmektedir. Mercedes firmasının genç kullanıcılara odaklanması gerekirken, Volkswagen ve Toyota
firması üst yaş grubuna odaklanmalıdır. Mercedes firmasının kullanıcıları tüketiciler tarafından erkekler
olarak algılanırken, Toyota ve Volkswagen firmasının kullanıcıları genel olarak kadınlar olarak
algılanmaktadır.
175
Tablo-4 Türk Öğrencilerin Otomobil Markaları Çağrışımları
MARKA
KULLANICI
Toyota
Orta/Üst Sınıf
Erkek
Olgun/ Baba
Beyaz Yakalı Çalışanlar
Volkswagen
Üst sınıf
Erkek-Genç
Yöneticiler
Zengin
Fabrikatör
Yaşlı
Mercedes
FONKSİYONEL
FAYDALARI
Güvenli
Yüksek Kalite
Etkili
İyi Motor
Güvenli
Prestij
Rahatlık
Kullanıcıların gelirlerini karşılaştırdığımızda, Türkiye’de ki tüketiciler Toyota ve Volkswagen
markalarının orta ve üst gelir grubuna hitap ettiklerini düşünmektedir. Yalnızca Volkswagen markasını
daha büyük oranda üst gelir grubunda algılamaktadır. Mercedes, Türkiye’de de üst gelir grubunun tercih
ettiği araba markası olarak algılanmaktadır.
Kullanıcıların yaşlarına baktığımız zaman, öğrenciler Toyota markasının kullanıcılarını orta yaşlı
olarak algılarken, Mercedes markasının kullanıcıları genel olarak yaşlı olarak algılanmaktadır. Bunun
yanında Volkswagen markasının kullanıcıları ise genç olarak algılanmaktadır. Volkswagen markası orta
ve üst yaş grubu tüketicilere odaklanmalıdır. Öğrenciler üç araba markasının kullanıcılarını da genel
olarak erkek olarak algılamaktadırlar. Üç araba markası da kadın tüketicilere odaklanarak, araç satmaya
çalışmalıdır.
Tablo-5 Ülke Faktörüne Göre Öğrencilerin Küresel ve Yerel Markalar Hakkındaki Görüşleri
Üzerindeki Etkisine İlişkin Sonuçlar
Yargılar
Ülke Faktörü
1-Küresel ve yerel markalar benzer özelliktedirler
*
2-Küresel ve yerel markalar aynı imaja sahiptirler
*
3-Küresel ve yerel markaları karşılaştırdığım zaman farklı markaları düşünürüm
*
4-Küresel markalar gelişmiş ülkeler tarafından üretilmektedir
a.d.
5-Yerel markalar tek bir ülke tarafından üretilmemektedirler
a.d.
6-Yerel markalar gelişmiş ülkeler tarafından üretilmektedir
7-Küresel markalar tek bir ülke tarafından üretilmemektedir
a.d.
a.d.
8-Yerel markaları milli duygular vb. psikolojik nedenlerden dolayı daha çok tercih
ederim
a.d.
9-Küresel markaları imaj ve kalitesinden dolayı yerel markalara oranla daha çok
tercih ederim
a.d. : p > 0.05 * p < 0.05 ** p < 0.01 *** p < 0.001
*
Hipotez 3: Polonyalı öğrenciler, marka tercihlerinde küresel ve yerel marka ayrımı yapmamaktadırlar
(Kabul Edildi)
176
Tablo-5.1. Öğrencilerin Ülke Değişkenine Göre “Küresel ve Yerel Markalar Benzer
Özelliktedirler” Yargısına İlişkin Görüşleri
Ülke
N
Türkiye
Polonya
Sig.
307
307
Subset
1
2,20
,998
2
3,49
,369
Polonya’lı öğrencilerin (=3,49) “Küresel ve Yerel Markalar Benzer Özelliktedirler” görüşüne
katılımları, Türk öğrencilerden (=2,20) anlamlı düzeyde (p<0,05) yüksek çıkmıştır. Polonyalı öğrencilerin,
alışveriş tercihlerinde markanın küresel ve yerel olmasının bir önemi yoktur. Polonyalı öğrenciler uygun
fiyatlı markaları satın alma eğilimindedirler.
Hipotez 4: Polonyalı öğrenciler, küresel ve yerel markaların imajlarını benzer algılamaktadır (
Kabul Edildi).
Tablo 5.2. Ögrencilerin Ülke Değişkenine Göre “ Küresel ve Yerel Markalar Benzer İmaja
Sahiptirler” Yargısına İlişkin Görüşleri
Ülke
N
Subset
1
Türkiye
Polonya
Sig.
307
2
3,20
307
,960
4,13
1,000
Polonyalı öğrencilerin (=4,13) “ Küresel ve Yerel Markalar Benzer İmaja Sahiptirler” görüşüne
katılımları, Türk öğrencilerden (=3,20) anlamlı düzeyde (p<0,05) yüksek çıkmıştır. Polonyalı öğrenciler,
Türk öğrencilere göre, küresel ve yerel markaların imajlarını benzer algılamaktadır.
Hipotez 5: Türk öğrenciler, küresel ve yerel markaları farklı özelliklere sahip olduğunu
düşünmektedir ( Kabul Edildi).
Tablo 5.3. Öğrencilerin Ülke Değişkenine Göre “ Küresel ve
Karşılaştırdığım Zaman Farklı Markaları Düşünürüm” Yargısına İlişkin Görüşleri
Ülke
N
Markaları
Subset
1
Polonya
Türkiye
Sig.
Yerel
307
307
2
2,74
,725
3,25
1,000
Türk öğrencilerin (=3,25) “ Küresel ve Yerel Markaları Karşılaştırdığım Zaman Farklı
Markaları Düşünürüm” görüşüne katılımları, Polonyalı öğrencilerden (=2,74) anlamlı düzeyde (p<0,05)
yüksek çıkmıştır. Türk öğrenciler küresel ve yerel markaların farklı özelliklere sahip olduğunu düşünmekte
ve bu markaları farklı algılamaktadırlar.
Hipotez 6: Türk öğrenciler marka tercihlerin küresel markalardan yana kullanacaklarıdır ( Kabul Edildi).
Tablo 5.4. Öğrencilerin Ülke Değişkenine Göre “ Küresel markaları imaj ve kalitesinden dolayı
177
yerel markalara oranla daha çok tercih ederim” Yargısına İlişkin Görüşleri
Ülke
N
Subset
1
Polonya
Türkiye
Sig.
307
307
2
3,82
,096
4,25
,582
Türk öğrencilerin (=4,25) “Küresel markaları imaj ve kalitesinden dolayı yerel markalara
oranla daha çok tercih ederim” görüşüne katılımları, Polonyalı öğrencilerden (=3,82) anlamlı düzeyde
(p<0,05) yüksek çıkmıştır. Türk öğrenciler, sosyal ortamlarında itibar sağladığı farklılık yarattığı için
alışverişlerinde küresel markaları tercih etmektedirler.
SONUÇ
Karmaşık pazarlar, yoğun rekabet ve günümüz tüketicileri daha akıllı bir pazarlama anlayışını
zorunlu hale getirmektedir, dolayısıyla tüketicilerin hangi markaları neden tercih ettiğin bulmayı ve tüketici
davranışlarını çözmeyi zorunlu hale getirmiştir. Çalışmada iki farklı ülkedeki üniversite öğrencilerinin
küresel ve yerel bağlamda marka tercihleri ve bu tercihlerinin sebepleri araştırılmıştır.
Polonyalı öğrencilerin küresel ve yerel markalardan en büyük beklentilerinin uygun fiyat olduğu
görülmektedir. Öğrenciler için markaların itibar sağlaması, ve estetik özellikleri çok fazla önem
taşımazken, markanın yüksek performans taşıması ve öğrencinin ihtiyacını uygun fiyatla karşılaması
öğrencilerin beklentileri arasında yer almaktadır.
Türk öğrenciler için global markalar kullanıcıya itibar sağlamalı, kullanıcıyı önemli kılmalı ve
estetik özellikler taşımalıdır. Bu şartlar altında fiyat tüketiciler için önem taşımamaktadır. Ancak öğrenciler
yerel markalara uygun fiyatla sahip olmak istemektedirler ve yerel markalardan itibar sağlamasını
beklememekte ve yerel markaların estetik özellikler taşıması öğrenciler için önem taşımamaktadır ve
kolay temin etmek istemektedirler.
Polonya’da yapılan çalışmada Toyota, Volkswagen ve Mercedes öğrenciler tarafından farklı
segmentlerde algıladıkları görülmüştür. Aynı çalışmanın Türkiye ayağında Toyota ve Volkswagen
markaları aynı segmentte algılanırken sadece Mercedes markası iki ülke öğrencileri tarafından da üst
gelir grubunun kullandığı bir otomobil olarak algılanmıştır.
Türk öğrenciler küresel ve yerel markaların farklı özellikte olduğunu ve imaja sahip olduğunu
düşünmektedirler ve küresel markaları imaj ve kalitesinden ötürü yerel markalara tercih etmektedirler.
Bunun aksine Polonyalı öğrenciler küresel ve yerel markalar arasında biri fark görmemektedirler. Yapılan
çalışmanın sonucunda Türk öğrenciler için küresel markalar itibar sağlayan, farklı imaj, kalite ve
özelliklere sahip ürünlerken; Polonyalı öğrenciler için markanın uygun fiyatla pazara sürülmesi ürünlerin
satışının kolaylaştırılması için yeterlidir.
KAYNAKÇA
1. Avrupa Komisyonu Türkiye Temsilciliği, “Avrupa Ekonomik ve Parasal Birliği ve Euro”,
www.kobinet.org.tr/kosgebabm/yayinlar/docs/AB-Euro.pdf, 28.12.2003,
2. BİLGİLİ,
Emine,
Euro
ve
Tek
Pazar,
www.foreigntrade.gov.tr/ead/DTDERGI/temmuz99/eurove.htm, , 10.02.2004
178
3. TURAGAY,
Tuna,
Avrupa
Ekonomik
ve
Parasal
Birliği
www.ceterisparibus.net/ab/ab_makaleler.htm 28.12.2003
4. AYDEMİR, Muzaffer, DEMİRCİ, Kemal (2006). İşletmelerin Küresel Stratejileri, Gazi Kitapevi :
Ankara, s.6
5. EUGENE, Song, Kim (2004). The Meanings of The Global Brand: A Perspective from The
Korean Consumers, Hawai Üniversitesi Doktora Tezi, s.113
6. FRIEDMAN, Thomas.(2003). Küreselleşmenin Geleceği, 3. Basım, İstanbul, s.11
7. İSLAMOĞLU, A. Hamdi. (1999). Pazarlama Yönetimi, Beta Yayınevi,1.Baskı, İstanbul,.342
8. KLEIN, Naomi (2000). No Logo, bilgi Yayınevi, 2. Baskı, İstanbul, s.27
9. LASSERRE, Philippe (2002) Global Strategic Management, Gordonsville,VA,USA: Palgrave
Macmillan, s.226
10. WEISS John (2002) Industrialisation and Globalisation: Theory and Evidence From
Developing Countried, Florence,KY, USA: Routledge, s.153
DEDE KORKUT HİKAYELERİNDEKİ YANSIMA SÖZLERİN LEKSİKO-SEMANTİK ANALİZİ
(The Lexico-semantic analysis of reverberative words “ imitative words “onomatopoeia ” in the
Dede Korkut)
Doç. Dr. Ergün Koca
UAAÜ Öğretim Üyesi
Özet: Yansımalar, dilin en çok tartışılan sözcük türlerinden biridir.Canlı cansız bütün varlıkların
çıkardıkları sesleri yansıtan; dış görünüşlerini, hareketlerini betimleyen ; insanların yalnız kendilerinin
hissedebildiği duyuları , sezimleri deri, koku ve tat alma yoluyla hissettiren sözcüklerdir.
Hemen hemen her dilde yüzlerce örneği bulunan bu sözcüklerin, Oğuzca’nın tarihi ve filolojik
bakımından son derece önemli bir yadigarı olan Dede Korkut Hikayelerinde hiç de azımsanmayacak
kadar çok örneğinin bulunduğunun tespitini yapıp , elimizdeki malzemeyi görev ve anlamlarına göre
yansıma sınıflandırmasına tabii tuttuk.
Gördük ki, en eski söz türlerinden biri olan yansımalar tarihi kaynaklarda da tüm görev ve anlam
özellikleriyle yerini almış bulunmaktadır.
Anahtar Sözcükler: Yansımalar, Dede Korkut, ses yansımalı, biçim yansımalı, duyum (sezgi)
yansımalı sözcükler vb.
Abstract: Reverberations or reflections “İmitative words” are one of the most controversial
categories of words in language. It is these words through taste, smell and touch which provide an
explanation of what only individuals with their own sensation of emotions and insights have and all the
sounds made by living and dead creatures, of external perceptions and the desription of their actions.
There are hundreds of examples of these words in almost all languages and I have categorized
these words according to their meanings and functions after identifying a size able number of them from
one of the most important cornerstones of the Turkish language, namely the Dede Korkut.
It is evidenced that reverberations and reflections,, which are after all one of the oldest forms of
words, take their rightful place with regard to their specific meaning and functions in historical materials.
179
Key Words: Reflections, Dede Korkut, vocal reflection, form reflection, emotive (perceptive)
reflective words etc.
Dede Korkut Hikayeleri (bundan sonra DKH olarak kullanılacaktır), yaşandığı dönem halkın
düşünce dünyasını deyiş, duyuş ve konuşma tarzını en iyi şekilde ifade ettiğine inandığımız tarihi bir
abide olarak canlı konuşma dilinden beslenen, söz ve anlatımlarla duygu değeri ve anlamsal
pekiştirmeler taşıyan zengin bir kaynaktır.
Hikayelerdeki dili halkın içten diline yaklaştıran, hikayelere canlılık, uslup estetiği, duygu değeri,
akıcılık ve iç ahenk katan en önemli öğelerden birisi, belki de en önemlisi sıkça örneklerini gördüğümüz
yansıma sözcüklerdir.
Genel bir ifade olarak sözleyebiliriz ki, halkın iç dinamiklerinin şekillendirdiği, yeşerttiği eserler
arasında DKH’de olduğu kadar yansıma sözcükler kullanılmamıştır. Hikayelerin hemen hemen
hepsinde anlatımda yansıma sözcüklerden ya da yansıma kökenli ad ve eylem biçimlerinden
yararlanmıştır.
Yansımalar, canlı cansız bütün varlıkların çıkardıkları sesleri yansıtan, (özellikle canlı varlıkların)
dış görünüşlerini ve hareketlerini betimleyen, insanların yalnız kendilerinin deri, doku ve tat alma yoluyla
hissedebildiği duyuları, sezimleri karşılayan sözcüklerdir (Koca 2010:64-79) .
Bu tür sözcüklerin bir metinde çokça bulunması, o metne stilistik ve anlamsal zenginlik
kazandırdığı gibi , aynı zamanda varlıklar ve olayları da metnin içinde daha bir canlı, daha bir dinamik
kılar. Bu sözler vasıtasıyla sanki maddi alemin varlık ve olayları metne dahil edilir. Yansıtılan varlık
veya hareketin karekter, özellik, durum, keyfiyet ve sözcüğün ahengi, fonetik inceliği, tınısı ortaya çıkar
ve metne yukarıda ifade ettiğimiz uslüp güzelliklerini katar.
Tanımdan da çıkartabileceğimiz gibi yansımalar yalnız canlı – cansız varlkların çıkardıkları
sesleri yansıtmamakta aynı zamanda varlıkların ve olayların betimlemeleri de metnin edebi değerinin
artmasını sağlamaktadır.
Yansımalar hemen her dilde o dilin fonetik özelliklerine göre şekillenmekte ve dildeki sözcük
türü olarak daha kapsayıcı türler olan ad, eylem gibi türeyebilmekte, tek başına bir anlam ifade
edebilmekte, cümlenin öğesi olarak kullanabilmektedir. Bu özellikleriyle eski ve yeni metinlerde bu
sözcükleri tespit etmek kolaylaşmaktadır. Gerçi, her ne kadar tespiti kolay olsa da özellikle tarihi
metinleri incelerken bugüne kadar geçen sürecin fonetik değişikliklere de açık olduğunu unutmamak
gerekir. Bu hassasiyeti de göze alarak birçok dilbilimci özellikle Platon, J.J.Rousseau, Burggraff, Farrar,
Whitney, August Schleicher, De Brosses, Wilhelm Wundt gibi kişiler tarafından dilin doğuş teorileri (Koca
vd. 2010: 31-35) içinde gösterilen yansıma sözcükleri , Türk Dünyasının ortak dil, kültür , medeniyet
ve edebiyat mirasları kabul edilen Karahanlı döneminin ve dilinin en önemli eserleri Kutadgu Bilig ve
Divan’ü Lügat’it-Türk’deki (Cusup Balasagın atındagı Kırgız Uluttuk Üniversitettinin Carcısı, 2007: s.256)
ve Kıpçak Türkçesinin elimizdeki en önemli eseri Codex Cumanicus’ta (Alatoo Academic Studies,
Vol:5,No:2, 2010 ) nitelik ve nicelik olarak incelemiş ve sınıflandırmaya tabi tutmuştuk. Her iki dönem
eserlerinde de bu sözcüklerin kendine özel özellikler içeren bir tür olarak çokça örneğinin yer aldığını
tespit etmiştik.
İşte aynı düşünceye
Türk çocuğunun dinleyerek
sevgisine, ahlaki ögelerden,
Oğuzca’nın ilk ve en önemli
bakımından sınıflandırmasını
bugün halk hikayeciliği
deyince akla ilk gelen, hemen hemen her
büyüdüğü, hepimize dinleyince ya da okuyunca eğitimden, hayvan
gelenek göreneklere kadar birçok hususta evrensel mesajlar veren ,
kaynaklarından biri olan DKH’deki yansıma sözcüklerin anlam ve görev
yapacağız.
Öncelikle incelemeye tabi tutacağımız DKH’nin nasıl bir eser olduğunu , öne çıkan özelliklerini
kısacaca tanıyalım:
180
DKH, Türk dili, Türk tarihi ve Türk kültürü bakımından son derece önemli bir eserdir. Köprulüye
göre “Bütün Türk Edebiyatını terazinin bir gözüne, Dede Korkut’u öbür gözüne koysanız, yine Dede
Korkut’ ağır basar” (Köprülü 1981). Yine , A.B. Ercilasun, “Dede Korkut Mirası derken, ben bir yandan
‘Son biçim’in oluştuğu zamandan sonraki yüzyıllara kalan mirası kastediyorum; bir yandan da “Son
biçim’in daha önceki dönemlerden kalan miras olduğunu düşünüyorum” (Ercilasun 2001:1). Saim
Sakaoğlu ise, Dede Korkut için “Dede Korkut Kitabı, bir okyanustur, bitmek tükenmek bilmeyen bir
hazinedir” sözleriyle eserin önemini vurgulamaktadır (Sakaoğlu 1998:213-222).
İlim aleminde ve Türk Dili ve edebiyatı alanında Dede Korkut Kitabı yahut kısaca Dede Korkut
adı ile tanınan eser bir destanı Oğuz hikayeleri mecmuasıdır. Biri Dresden’de ( Bundan sonra D
harfiyle gösterilecektir.) olarak , öteki Vatikan’da olmak üzere iki nüshası bulunur.
Dresden nüshası bir giriş ile on iki destanı hikayeyi içine alır. Vatikan nüshasında ise girişten
başka yalnız altı hikaye vardır. Bu hikayeler; Dirse Han oğlu Buğaç Han destanı, Salur Kazan’ın evinin
yağmalanması destanı, Kam Büre oğlu Bamsı Beyrek destanı, Kazan Bey’in oğlu Uruz Bey’in esir
düştüğü destan, Duha Kocaoğlu Delü Dumrul destanı, Kanlı Kocaoğlu Kan Turalı Destanı, Kazılık Koca
oğlu Yigenek Destanı, Basat’ın Depegöz’ü öldürdüğü destan, Beğil oğlu Emren’in destanı,Uşun Koca
oğlu Segrek’in destanı, Salur Kazan’ı oğlu Uruz’un tutsaklıktan çıkardığı destan, İç Oğuza Taş Oğuz
aşı olup Beyrek’in Öldüğü destan olmak üzere 12 adettir.(Ergin 2008)
Hikayelerin yaşandığına inanılan alanlar Kuzey – Doğu Anadolu ve Azeri alanıdır. Yani sınırları
net olarak belirlenememiş Oğuz ülkesidir. Belirlenememiş diyoruz, çünkü bugünkü Oğuz Çoğrafyasının
tamamına yakınında, Türkiye, Azerbaycan ve Türkmenistan’da bu hikayeleri halkın dilinde ve ilmi
akademik çevrelerde görmekteyiz.
Hikayelerin ana konusunu, Oğuz topluluğunun
geniş bir şekilde işlenmesi, diyebiliriz.
maceraları, yaşayışı ve hayat görüşlerinin
Hikayelerdeki destansı özellikler, tabiat ve insanüstü güçlerle mücadeleler, aile içi çatışmalar,
törenler, kutlamalar, dini etkiler vb. hikayelerin iç dinamikleridir. Bu dinamiklerin içlerine serpiştirilmiş,
üçyüzden fazla yansıma sözcük ve türevleri yazımının ilk bölümünde de ifade ettiğimiz gibi halka ait
bu malzemenin en güzel dilsel rengi olmuştur.
Örneğin hikeyelerin manzum bölümlerinde bazen o kadar yoğun yansıma kullanımı vardır ki,
nerdeyse anlatım tamamen o sözcüklere bağlanmıştır:
“Oğul oğul diyübeni buzlayayın mı
Kaytabanda kızıl deve bundan kiçdi
Torumları bundan buzlayıp bile kiçdi
Torumçuğum aldurmışam buzlayayın-mı
Kara koçda kazılık at bundan kiçdi
Kulunçuğı kişneyüp bile kiçdi
Kulunçuğum aldurmışam kişneyeyin-mi
Ağayılda ağça koyun bundan kiçdi
Kuzuçağı mañrışup bile kiçdi
Kuzıçağum aldurmışam mañrıyayın-mı
Oğul oğul diyü buzlayayın-mı” D139-6 /11
“Karanku aḫ şam olanda vaf vaf üren
Acı ayran tökilende çap çap içen
Gice gelen ḫ ırsuzları korkudan
Korkuduban şamatası-y-ile ürküden” D46-10 /11
Hikayelerdeki yansımaları görev ve anlamlarına göre üç ana başlıkta ele alacağız . Bunlar: “Ses
Yansımalı Sözcükler” , “ Biçim Yansımalı Sözcükler” , “ Duyu , Sezim Yansımalı Sözcükler” dir.
181
І. Ses Yansımalı Sözcükler
Ses yansımalı sözcükler, insanların işitme duyusuyla alakalı olup, canlı ve cansız nesnelerden
çıkan sesi taklit ederek söylenen sözcüklerdir.
Bu gruba dahil olan sözcükler hem insanın konuşma ya da diğer organlarından (Örneğin: gülme,
ağlama, bağırma, haykırma, ıslık çalma, öksürme, koşma, düşme,...) , hayvanlar, böcekler, kuşlardan
çıkan sesleri, gürültüleri hem de doğa olaylarının (şimşek çakması, gök gürlemesi, suyun şar şar akması,
ağaçların uğuldaması,...) meydana getirdikleri çeşitli nesnelerin hareketlerinden , farklı durumlarından ve
değişmerinden çıkan sesleri taklit ederek gösterir. (Koca 2010: 90 ve ötesi)
DKH’de (Ergin 2008) belirlediğimiz ses yansımalı sözcükleri anlamlarına göre şu gruplara ayırıp ,
inceleyebiliriz:
1. Hayvanların çıkardığı sesleri taklit etmede kullanılan yansımalı sözcükler:
avlat- : havlatmak (köpek havlaması için )
avlatmayan “... itüni avlatmayan (havlatmayan),çetügüni mavlatmayan (miyavlatmayan) alplar
başı Kazan oğlancuğı ile serhoş olup yaturlar didi.” D127-3.
añra- kükremek, haykırmak
añradı... deve kibi kükredi, arslan kibi añradı , na’ra urup haykırdı. (D147-13)
buzla- : deve veya deve yavrusunun( kaytaban, torum) bağırması
buzlayup “Kaytabanda kızıl deve bundan kiçti / Torumları bundan buzlayup bile kiçdi.” D77- 7,
buzlat-: deveyi bağırtmak
buzlattı “ İvini çözdi, kaytabanın buzlattı.” D190-6.
buzlatmadım “Kaytabanda develerüm buzlatmadın.” D299-3.
buzlaşdur- : deveyi bağırtmak, develeri bağrıştırmak
buzlaşduran “ Kızıl deve gördiginde buzlaşduran.” D46-13.
çap çap (çap) : Bir şey yerken veya içerken köpeğin çıkardığı ses, dudak şapırtısı.
çap çap “Kanlu kuyruk üzüp çap çap yudan /Avazı kaba köpeklere gavga salan.” D46-3,
çap çap “ Karangu aḫ şam olanda vaf vaf üren / Acı ayran tökilende çap çap içen.” D46-10,
çap çap “Köpek Kazanun atınun ayağına çap çap düşer siñ siñ siñler.” D47-1
güv güv (güv): köpek sesi (hav hav)
güv güv “İt kibi güv güv iden çerkez hırslı.” D281-5.
çoğrama: kaynama, fokurdama, fıkırdama anlamları da vardır ama burada at homurdanması
anlamında kullanılmıştır.
çoğramasından “Geyim kılcıdasından, at çokramasından.” D264-3
gızılda- : gızıldamak, vızıldamak
gızıldayup “ Mancılığı ağır taştan ġızıldayup katı inen / Arı gölün ördügin şakıyup alan.” D188-9
kişne- : kişnemek
kişnedi “ Boz aygır daḫ ı Beyregi görüp tanıdı, iki ayağınun üzerine turdı kişnedi.” D99-5
kişneyüp /kişneyeyin “Kuluncuğı (kuluncuk / at yavrusu) kişneyüp bile kiçdi.” 139-9 , “
Kuluncuğum aldurmışam kişneyeyin mi” D139-8
kişneşdür – : kişneştirmek
kişneşdüren “Kara koç atlar gördüginde kişneşdüren .” D46-13,
kişnet –: kişnetmek
kişnetdi “ İvini çözdi , kaytabanın buzlattı, kara koçın kişnetti.” D190-7
“Kara koçda kazılık atum kişnetmedim.” D299-3
182
kükre – kükremek
kükredi “... deve kibi kükredi, arslan kibi añradı , na’ra urup haykırdı.” D147-13
küt (küt): küt küt
küt küt “ Küt küt buğa solımağa başladı, ağzı köpüklendi” D182-7
mañrı-: melemek, bağırmak (koyun, kuzu, inek v.s.)
mañrış-: meleşmek, bağrışmak (koyun, kuzu, inek v.s.)
mañrışup “Ağayılda ağca koyun bundan kiçdi / Kuzuçağı mañrışup bile kiçdi.” D139-10
mañrışmadın “Ağça koyunşarım mañrışmadın.” D299-4
mavla –: miyavlamak
mavladı “... taraklığı boşaldı , kedisi mavladı, avsıl olmuş ...” D180-4
mavlat-: mıyavlatmak
mavlatmayan “... itüni avlatmayan (havlatmayan),çetügüni mavlatmayan (miyavlatmayan)
alplar başı Kazan oğlancuğı ile serhoş olup yaturlar didi.” D127-3.
okra-: okramak, yavaş sesle kişnemek, atın mırıldanması, atın mırıldanır gibi yavaş ve kalın
sesle kişnemesi, atın homurdanması.
okradukda “Bidevi atlar issini görüp okradukta.” D11-5
sayra- : ötmek, şakılmak
sayradukda “Sakallu bozaç turgay ( çayır kuşu) sayradukta” D21-5, D11-4
siñ : zingil, köpek iniltisi, sızlanan köpeğin çıkardığı ince ses.
siñ siñ sinle- : zingil zingil zingildemek, köpeğin inlemesi, köpeğin ince sesle sızlanması.“Köpek
Kazanun atınun ayağına çap çap düşer siñ siñ siñler.” ( D47-1)
şakı- : şakımak, ötmek, avı yakalarken çığlık atmak
şakıyup “ Mancılığı ağır taştan ġızıldayup katı inen / Arı gölün ördügin şakıyup alan.” (D188-10)
şakıt-: şakıtmak, öttürmek, çığlık attırmak.
şakıtur mı “ Kanadıyla saksağana kendüzin şakıdur mı?” 188-13
vaf vaf “hav hav” ür- : ürmek, havlamak (köpek havlaması sesi),
vaf vaf üren “ Karangu aḫ şam olanda vaf vaf üren.” (D46-9)
2. İnsanların her türlü hareketlerinden çıkan sesleri taklit etmede kullanılan yansımalı
sözcükler:
ağla- : ağlamak ( Bu yansıma eylem farklı çekim ve yapım ekleri alarak, alttaki şekilleriyle
hikayelerde kullanılmıştır.)
ağlaram “ ... bigler tacum tahtum içün ağlaram ...” D68-3
ağlarsın “ Mere kız ne ağlarsın ne buzlarsın ağa diyü” D102-9
“ Ağa diyü ne ağlarsın ne buzlarsın.” D102-11
ağlar
“ Beyrek diyü ağlar buzlar , toyuñ dügünün kara oldı diyü ağlar.” D102-5, D102-6
ağlaruz “Ḫanum bir yahşı yigidümüz öldi, aña ağlaruz didiler.” D156-2
ağlarsız “Hey kırk işüm kırk yoldaşum niye ağlarsız.”D181-3, Mere kavatlar ne ağlarsız menin
köprim yanında ...” D155-13
ağlarlar “... bir kaç çobanlaryolun kıyısın almışlar ağlarlar ...” D101-5
ağladum “kalıçak tacum tahtum saña virmeyeler diyü sonumu andum ağladum.” D125-7
ağladun “Karşuna bakdun beni gördün ağladun”D124-3
ağladı “Kara başum kurban olsun bu gün saña didi, zarılık eyledi , ağladı.”D 25-10, “... yoluñ
kıyısın alup oturdı , ağladı sıkladı ...” 42-7 vb.
183
(Yukarıdaki örnekler dışında hikayelerde şu bölümlerde de kullanımlar mevcuttur: 54-8, 56-8, 679, 91-7, 92-9, 94-7, 109-1, 119-5, 123-12, 141-10, 147-11, 155-11, 220-12, 221-4, 223-10, 225-2, 240-13,
257-4, 282-8, 283-1, 300-9, 300-11 vb. Ergin 2008)
ağladılar “Beyrek diyü çok ağladılar.” D299-13
ağlayu “Beyrek kalkdı ağlayu ağlayu kırk yiğidün yanına geldi.” D97-2
ağlayup “Pay Püre Big ne ağlayup buzlarsın.” D67-13
ağlayuban Burla Hatun ağlayuban şundan kiçdi, ...” D47-12, “Ağlayuban dört yanına bakar
olur.” D259-9
ağlayubanı “kargu gibi kara saçını yoldı , ağlayubanı sıklayubanı ivine geldi.” D91-9
ağlar “Kan Turalı sağına bakdı kırk yigidin ağlar gördi.”D181-2, “Kan Turalı yigitlerin ağlar gördi.”
D183-10
ağlayan “... kan ağlayan Toğsun oğlı Rüstem bile varsun didi.” D206-1
ağladuğum “ Beyrek diyü ağladuğum çok” D116-3
ağladuğuna “ Ağladuğuna sebeb ne digil mana” D124-9
ağlamayayın “Ḫan Kazan niçe ağlamayayın , niçe buzlamayayın,...” D68-1
ağlamagıl “Ana ağlamagıl, mana bu yaradan ölüm yokdur.” D28-10
ağlamayasın “... kadın ana menüm içün ağlamayasın.” D53-11
ağlamak-ile “... ağlamak-ile nesne mi olur,turı gel yukaru didiler.” D301-7
ağlamakdan “Zira ağlamakdan gözleri görmez olmış-idi” 118-11
ağlamakum “Sen gideli ağlamağum gökde iken yire indi.” 146-2
ağlaş- : ağlaşmak
ağlaşdılar “... kardaş diyüp ağlaşdılar bögrişdiler.” D92-1, “Kömlegi göriçek bigler ögür ögür
ağlaştılar.”D93-13, (Yukarıdaki örnekler dışında hikayelerde şu bölümlerde de kullanımlar mevcuttur:
93-12, 97-10, 181-1, 183-10, 217-9, 224-2, 256-5 vb. Ergin 2008)
ağlaşup “Ata ana ağlaşup Kazana adam saldılar.” D260-3
ağlat-: ağlatmak
ağlatdun “Ağ sakallu babamı oğul diyü ağlatdun ola kardaş.” 223-5
ağlatdılar “Baba diyü ağlatdılar , ana diyü buzlatdılar.” D134-5
ağlatmışam “Ağ sakkallu kocaları çok ağlatmışam.” D233-5, “ Ağ pürçeklü karıçukları çok
ağlatmışam.” D233-7
ağlatmışsın “ Mere kavat ağ sakallu babamı ağlatmışsın” D232-5
ağladasın “Başum bahtı Kazan diyü ağladasın.” D143-9
ağlatmagıl “Ağ sakallu babanı karıçuk ananı ağlatmagıl.” D267-10, “Ak sakallu babanu
ağlatmagıl.” D224-13, (Yukarıdaki
örnekler dışında hikayelerde şu bölümlerde de kullanımlar
mevcuttur: 259-5, 248-3, 243-11 vb. Ergin 2008)
ağladuban “Ağladuban buzladur mı olur.” D267-7
bağır-: bağırmak
bağırdı “ Deve bağırdı.” D189-5
bañ: bağırma, yüksek ses
bañla- : yüksek sesle bağırmak
bañlayanda “Minarada bañlayanda fakı görklü.” D6-11
bañladukda “Sakalı uzun tat eri bañladukda .” D11-4, 21-7
bañlat - ezan okutmak, bağırtmak
bañlatdum “Kilisenin yıkup yirine mescid yapdum bañ bañlatdum.” D279-7
bañlatdılar “Keşişlerin öldürdiler. Bañ bañlattılar.” D121- 2
böğrüş-: böğrüşmek, bağıra bağıra ağlaşmak
böğrüşdiler “... kardaş diyüp ağlaşdılar bögrişdiler.” D92-1
böğür- : böğürmek, böğüre böğüre ağlamak, bağıra bağıra ağlamak
böğürürsin “Kadın ana karşum alup ne bögürürsin.” D54-9
184
böğürdi “... oğul oğul diyüben bögürdi zarılık kıldı.” D91-6
böğüre böğüre / bögürü bögürü “... aklı gitdi ,destmalın eline aldı , bögüre bögüre ağladı.”
D67-9, “ ... bögürü bögürü ağlaştılar zarılık kıldılar.” D97-10
böğürt- : böğürtmek, bağırtmak
böğürdübeni “ Şökli Meliki bögürdübeni atdan yire saldı.” D64-3-4, D120-7, D152-9
böğürden “... ala gönderinün uçında er bögürden Kıyan Selçuk oğlı...” 60-3, 150-5, 205-8
buzla-: bağıra bağıra ağlamak , feryad etmek (deve bağırması için de kullanılır)
buzlarsın “Kadın ana karşum alup ne bögürürsin. / Ne buzlarsın ne ağlarsın” D54-9, “Pay Püre
Big ne ağlayup buzlarsın.” D67-13, Ağa diyü ne ağlarsın ne buzlarsın.” D102-12
buzlar “ Beyrek diyü ağlar buzlar.” D102-5
buzlayayın - mı “ Oğul oğul diyü buzlayayın- mı” D139-11, D139-6
buzlamayayın “ Han Kazan niçe ağlamayayın , niçe buzlamayayın ...” D68-1
buzlaş-: bağırıp ağlaşmak,deve gibi bağrışıp feryad etmek
buzlaşdılar “Basat babasınun elin öpdi, ağlaşdılar buzlaşdılar.” D224-2 , “Basat anasınun elin
öpdi, görüşdiler buzlaşdılar.” D224-4 , “... ağça yüzlü anası-y-ile ağlaşdılar, buzlaşdılar.” D256-5
buzlat- : ağlatmak, feryad ettirmek, bağırtmak
buzlatduñ mı “ Kadın ana big baba diyü buzlatduñ-mı” D194-11
buzlatmışsın “ Karıçuk ağ pürçeklü anamı buzlatmışsın.” D232-5
buzlatmagıl “ Ağ sakallu babanı karıçuk olmış ananı buzlatmagıl.” D176-3 ve benzer örnekler
D224-13, D248-4, D259-6
çağır- : çağırmak, bağırmak, manzum söylemek, türkü çağırmak, seslenmek, davet etmek
çağırur “ ... konşularına çağırur ki ...” D8-11
çağırdı “ Pay Püre Big Kalın Oğuz biglerini çağırdı konukladı.” D75-2 ve benzer örnekler D19213, 274-9
çağıruñ / çağırdılar “... mere çağıruñ haberleşeyim didi. Çağırdılar Beyrek geldi.” D78-2 ve
219-7
çağırup “ çağırup hatunına soylar, görelüm hanum ne söyler” D12-7, ve benzer örnekler 23-13,
52-5, 55-6, 57-8, 105-4, 123-13, 124-11, 157-7, 231-1, 289-11, 302-5.
çağıruban “Çağıruban oğlançuğına soylar.” D27-3, ve benzer örnekler 110-2, 205-1.
çağırubanı “Çağırubanı burada soylar görelüm hanum ne soylar.” D102-7
çağırt - : çağırtmak
çağırdalar “ Hanun oğlı böyle bid’at eylemiş diyeler , seni çağırdalar” D20-8
çığırt- : bağırtmak, ilan ve davet etmek
çığırtdı “Çığırtdı, akınçı dirildi.” D254-12
çığırtdılar “ Av çığırtdılar” D237-6
çığrış-: çığrışmak, bağrışmak
çığrışur “Tanrı menem diyü su dibinde çığrışur .” D279-3
çığrışdur –: çığrıştırmak, çağrıştırmak, feryat ettirmek
çığrışdurdılar “ Kaza benzer kızı gelini çığrışdurdılar.” D38-6.
dep-: tepmek, at tepmek, tekmelemek
deperem “Kara donlu kafire at deperem.” D210-10
depele- : tepelemek, tekmelemek
depeledi “ ... muştulık oğlun Depegözi depeledi didi.” D234-7 ve 263-6
depelesün “ ... benüm önümde depelesün” D22-1
depil-: tepilmek
depilmedin “Ağ alınun kara yire depilmedin.” D192-7
depit-: tepretmek, kımıldamak, sarsmak
depidinçe “Depidinçe yüründen örü turdı.” D8-6
depme: tekme “ Muhammede salavat getürdi, deveye bir depme urdı.” D189-4
depret- :tepretmek, kımıldatmak, sarsmak
185
depretmedin “... sançubanı yire saldı, depretmedin başın kesdi..” D152-13
dit – : ditmek, didik didik etmek
ditdi “ mermer taşı yoğurdu peynir kibi ditdi.” D180-10
ditre-: titremek
ditredi “ Ditredi menüm canum cuşa geldi.” D157-11
dürt- : dürtmek, sokmak, sürmek, sürtmek,
dürtsün “... kanatsun , kanını destmala dürtsün...” D118-10
eñşiş- : sesli ağlamak, ağlayarak teganni etmek,içini çekerek ağlamak
enşişmedin “ Ağça yüzlü kızum gelinüm enşişmedin.” D299-4
fısıl : fısıl (fısıl)
fısıl fısıl “ Söyleştiler fısıl fısıl” D52-7
fırla- fırlamak,
fırlar “ Kan Turalı fırlar devenün koltuğından girer fırlar çıkar.” D186-1
gül- : gülmek
gülersin “ Kafirler aydurlar: Ne gülersin?” D274-2
güldün “ Sağuna bakdu kas kas güldün.” D124-2
güldi “ ... koçları begendi , köpekleri göriçek kas kas güldi” 87-11 ve benzer kullanımlar 123-1,
126-1, 159-7, 226-3, 274-1
güler – idün “ görür -idim, güler-idüñ oynar-idüñ” D98-1
gülmez oldı “ Kızı gelini kas kas gülmez oldı.” D91-11
güliş- : gülişmek
güldiler “Oğuz bigleri bunı göriçek el ele çaldılar gülişdiler.” D109-9
gürle-: gürlemek
gürleyeyim “ Kafirün üzerine gürleyeyim” D147-7
gürleyüp “ Dirse Han istedi kim oğlançuğınun üstine gürleyüp ...” D23-3
haykır- : haykırmak
haykırdı “... kara dinlü kafire göz kararttı , haykırdı.” D132-6 ve benzer kullanımlar 148-1, 1837, 227-3
hırıldat- : hırıldatmak, hırıltı çıkartmak
hırıldatup “Hırıldadup tatlu canum alur oldı.” D163-1
hırlamak: hırlamak, hırıltı çıkartmak
hırlamağa “ Baya mırlar-idi , şimdi hırlamağa başladı.” D160-3
hırlat- : hırlatmak, hırıltı çıkartmak
hırlatgıl “ ... canını hırlatgıl , algıl didi.” D157-2
hırladup “ Hırladup canum alur oldı.” D164-7
kas : kas, kah, kas kas (gülmek)
kas kas “ Kızı gelini kas kas gülmez oldı.” D91-11, “ ... koçları begendi , köpekleri göriçek kas
kas güldi” D87-11, “ Kazan sağına bakdı kas kas güldi” D123-9/10 , “ Sağuna bakdu kas kas güldün.”
D124-2 , “ Big elin eline çaldı , kas kas güldi.” D126-1 vb.
kığır-: çağırmak
kığırdum “ Bigler men sizi niye kığırdum bilür misiz?D294-9
kığırdı “ Pay Püre Big dahı bazirganları kığırdı yanına getürdi.”D94-11 ve 109-11
kığırduk “ Bilür-misin seni niye kığırduk?” D296-4
186
kığırdunuz “ Niye kığırdunuz?” D296-5
kığırmadun mı “Sen meni yanuna kığırmadun mı?” D116-8
küvle- : feryad etmek, haykırmak, nara atmak, gürlemek
küvlediler “ Atası anası küvlediler.” D119-1
mañla- : bağırmak, feryad etmek
mañlarsın “ Karşum ala yigit menüm ne mañlarsın.” 149-3
mırla-: mırlamak, mırıldanmak
mırlar-idi “ Baya mırlar-idi , şimdi hırlamağa başladı.” D160-3
ögür: hüngür (hüngür), böğüre (böğüre)
ögür ögür (hüngür, hüngür, böğüre, böğüre) “ Kömlegi göriçek bigler ögür ögür ağlaşdılar.”
D93-12, “ ...destmalın eline alup ögür ögür ağladı” D300-9
öp -: öpmek
öperem “ Pilon geyen keşişün elin men öperem” D124-7
öperler “ ... kavatlar ata turur –iken oğul elin-mi öperler.” D74-7
öpdi “ Beyrek üç öpdi , bir dişledi ...” D80-3 ve benzer kullanımları B99-13, 174-5, 177-5, 1935, 224-1, 224-4, 225-7, 236-7, 237-3, 246-9, 253-2, 263-2, 270-2, 270-3, 290-3, 290-4 vb.
öpdiler “Bazirganlar yorıdılar yigüdün elin öpdiler.” D74-5 ve benzeri kullanımlar 290-5, 29011, 299-13, 303-3,
öpgil “Bigler bigi olan Kazanun elin öpgil” D245-1,
öpem “ Göz kakuban könül alan görklüsinin boynın öpem.” 176-11
öpüp “Üç öpüp bir dişleyüp” 116-11 ve benzer kullanımlar 162-9, 258-9,
sıkla -: ağlamak, sızlamak
sıkladı “... yolun kıyısın alup oturdı, ağladı sıkladı.” D42-7
sıklayubanı “ ... kara saçını yoldı, ağlayubanı sıklayubanı ivine geldi.” D91-9
sızlat- : sızlatmak, ağlatmak
sızlatdun “Ağça yüzlü anamı sızlatdun ola kardaş.” D223-6
sızlatmagıl “ Karıçuk olmış anamı sızlatmagıl.” D143-12
taraka (ar.tarake) / çatladun : patlama,çatlama, patlam ve çatlama sesi. “ Yüz adam seçilün
taraka çatladun oğlanı korkudun...” D247-4
tu: tükürme “ Tu yüz kerre , altmış kişi bir Oğlanı tutamadunuz didi.” D264-10
ulış-: uluşmak, bağrışmak ( esasında kurt uluması için kullanılır, ancak burada insanların
arasındaki bağrışma için kullanılmıştır)
ulışdılar “ ... iki hasret bir birine bulışdılar , issüz yirün kurdı kibi ulışdılar.” D212-6
ulıt - ulutmak, bağırtmak
ulıtmayan “ Urduğun ulıtmayan ulu Tanrı” D210-6
urlaş - : bağrışmak, çağrışmak, uluşmak, büyük gürültü çıkarmak
urlaşuban “Urlaşuban sular tassa deniz tolmaz.” D3-3
yangulan - yankılanmak, aksi seda vermek
yangulandı “ Şöyle na’ra urdı, haykırdı kim dağ ve taş yangulandı.” D227-4
zarı (Farsça zari) : yüksek sesle ağlama, inleme,feryat, zar zar ağlama sesi
zarı zarı “ Han Beyrek diyüp zarı zarı ağladı.” D92-8
187
zarılık: yüksek sesle ağlayış, inleyiş,inilti, feryat, zarlık “ ... oğul oğul diyüben bögürdi zarılık kıldı.”
D91-6, “ ... gelmez kardaş diyü zarılık ider gördüm.” D96-9, “Anası feryad idüp ağladı , zarılık eyledi.”
D220-22 ve 223-10, 300-9.
3. Cansız nesnelerin çıkardıkları (çarpma, düşme, kırılma, sürtünme,...) sesleri taklit etmede
kullanılan yansımalı sözcükler:
çak- çakmak, vurmak
çakdı “ ... oğlanı iki talusınun arasında urup çakdı, yıkdı.” D23-1
çakup “... çakmak çakup ad yaktı” D42-6 ve D176-8
çakmak : çakmak (alet)
çakmaklu “ Kar ile yağmur yağanda çakmaklu çoban” D40-3 ve D47-6
çakmakluça “ Çakmakluça çobanları dün-ile yügürden”D46-4
çatlat –: çatlatmak, şaklatmak
çatlatdı “Karaça çoban sapan çatlatdı “ D57-5
kıçırdı : gıçırtı
kıçırdısından “Gider-iken araba kıcırdısından Kazan oynadı.” D273-12
kılcıda: hışırtı, zırh hışırtısı
kılcıdasından “ Geyim kılcıdasından at çokramasından.” D264-2
küpür (küpür): gümbür (gümbür) “ Küpür küpür tavullar nakaralar çalındı.” D285-12
gümbür : gümbür
gümbür gümbür “ Gümbür gümbür nakaralar dögildi, burması altun tuç borılar çalındı.” D63-5
ve benzer kullanımları 120-5, 132-7, 146-3, 271-1
pırt: delmek,delip etini dışarı çıkarmak, sivri bir şeyle delik deşik etmek
pırtar “Şimdi yigidi atar yıkar serer pırtar.” D181-11
yırt- yırtmak
yırtar “ Güz alması gibi al yanakların yırtar gördüm.” D96-8 ve 265-9
yırtdun “Güz alması gibi al yanağun yırtdun-mı kız” D115-11
yırtdı “… güz alması gibi al yanağun tartdı yırtdı …” D54-6 ve benzer kullanımlar 91-5, 92-3, 943, 94-5.
yırtıl- yırtılmak
yırtıla “… üzerine düşem karnı yırtıla didi.” D171-8
yırtuh : yıtık,yıtmaç
yırtuhlu “Yidi bin kaftanınun ardı yırtuhlu yarımından …” D38-2
zarı (Farsça zari) : yay ve oktan çıkan ince ses
zarı zarı “ Ağça tozlu katı yayum zarı zarı inledi.” D248-11.
4. Doğa olaylarına ilişkin sesleri taklit etmede kullanılan ses yansımaları:
çağla- : çağlamak
çağladı “ kanlu kanlu sularun soğılmış-idi çağladı.” D117-5, “ akındılu görklü suyun / Soğılmış-idi
çağladı.” D258-5
çağnam: çağıl (çağıl)
çağnam çağnam (çağıl çağıl) “ Çağnam çağnam kayalardan çıkan su” D45-3
sız - : sızmak
sızınça / sızmasa “ Adam içmez acı sular sızınça sızmasa yig.” D4-8
188
şorla- şırıldamak, şırıl şırıl akmak, şarıl şarıl akmak, fışkırmak, şorul şorul akmak
şorladı “Oh tokındı , alça şorladı” D23-1, “Kara kanı şorladı gözine indi.” D148-4 ve benzeri
kullanımlar 203-9, 210-13, 252-3, 289-9
şorlat- : şırıldatmak; fışkırtmak; şarıl şarıl, şorul şorul aktırmak
şorlada-y-idüm “ ... ağzun ile burnundan kan şorlada-y-idüm.” D53-9.
tam : damlamak
tammış “ Kar üzerine kar tammış kibi kızıl yanaklum.”
ІІ- Biçim Yansımalı Sözcükler
Biçim yansımalı sözcükler, canlı ya da cansız maddelerin görünüşüne , onların hareketine bağlı
yansımayı bildirir . Biçim yansımalı sözcükler, sessel gövdesi, morfolojik yapısı sözdizimsel görevi ve bazı
anlam özellikleri bakımından ses yansımalı sözcüklere benzemektedir. Ancak bu iki yansıma arasında
farklar da vardır. Bunlardan en önemlisi, ses yansımalı sözcükler işitme duyusuna dayanarak çevredeki
duyulan her türlü sesleri taklit ederek göstermesine karşılık, biçim yansımalı sözcükler görme ve hissetme
duyularına dayanarak gözle görünen ve hissedilen çeşitli hareketlerin, görünümlerin ve durumların
biçimini taklit eder. Yine biçim yansımalı sözcüklerin anlamının ses yansımalı sözcüklerin anlamına
mukayese edildiğinde bir hayli karışık ve çeşitli olduğu görülür.
DK’de yukarıda belirtilen özelliklere sahip olan biçim yansımalı sözcükleri verilen anlamlarına
göre şu gruplara ayırmak mümkündür.
1. Hareketin çabukluğunu , hızlılığını, ani olay ya da ani ışık görüntülerini bildiren biçim
yansımalı sözcükler:
balkı-parlamak, ışıldamak
balkır “...alnı başı balkır bir er gördüm.” D207-2
parla -: parlamak, parıldamak, fırlamak, fırlayıp uçmak, süzülüp inmek
parlayup “Od kibi şılayup ılduz kibi parlayup gelen nedür.” D128-2, “Ilduz kibi parlayup gelen /
Kafirün cıdasıdır.” D128-7;
parlayup uç “Parasarun Bayburd Hisarından parlayup uçan Beyrek boz aygırına bindi.” D37-11,
“Parasarun Bayburd Hisarından parlayup uçan ap alaca gerdegine...” D61-4 ve benzeri kullanımlar 15013, 286-9
pırla- :fırlamak, fırlayıp çıkmak, deldikten sonra öbür taraftan çıkmak
pırlar “ Göksün delüp göge pırlar” D248-10
pırt- delmek, delip etini dışarı çıkarmak, sivri bir şeyle (mesela boynuzla) delik deşik etmek
pırtar “ Şimdi yigidi atar yıkar serer pırtar.”180-11
şıla- : ışıldamak, parıldamak, parlamak; ışıl, ışıl yanmak, parıldamak
şıladı “Toz yarıldı ;gün kibi şıladı...”D127-9
şılayup “Od kibi şılayup ılduz kibi parlayup gelen nedür.” D128-2, “Gün kibi şılayup gelen /
Kafirin başında ışuğıdur.” D28-6
yalabı- parlamak, ışıldamak, ışıl ışıl yanmak
yalabıyan “Yalap yalap yalabıyan ince tonlum”D199-7
yalap :parıl, ışıl
yalap yalap (parıl parıl, ışıl, ışıl) “Yalap yalap yalabıyan ince tonlum”D199-7
yalabıdak : şimşek gibi, birdenbire , ansızın “ Baş kaldurdı , yalabıdak gözün açtı.” D28-2,
“Göksinden yalabıdak öte kiçdi.” D302-11
yıldır : parıl, ışıl
189
yıldıra - : parıldamak, ışıldamak
yıldır yıldır (parıl parıl, ışıl ışıl) “Gördi-kim bir yığanak yatur , yıldır yıldır yıldırur.” D215-12
2. İnsanların , hayvanların vb. canlıların veya onların bazı organlarının dışa yansıyan
hareketlerinin, görünüşlerinin tasvirini belirten biçim yansımalı sözcükler:
apul apul : İki tarafa sallanarak , yalpa yaparak , yuvarlanarak yürüme hali
apul apul “ Apul apul yorıyışundan.” D106-8, “Kan Turalı yirinden turı geldi, apul apul yorıdı.”
D179-4, “Hanum sazdan bir adam çıkar, at urur , apul apul yorıyışı adam kibi.” D213-12.
bam bam : ağır ağı adımlarla , mağrur mağruru yürüyüşü betimler
bam bam “Beyrek gideli bam bam depe başına çıkdun-mı.” D115-8 ve 115-12
bici : bici,cici bici ( kıyafetleri rengarenk olan kız betimlemesi)
cici bici “… bir cici bici Türkmen kızını alasın …” D171-7
buldur: iri tane tane gözyaşı tasviri için söylenir.
buldur buldur ( tane tane,damla damla, boncuk boncuk gözyaşı) “ Oğlan böyle digeç buldur
buldur gözinün yaşı revan oldı.” D54-4, “Ağ pürçeklü anası buldur buldur ağladı.” D91-6, “Beyrege katı
firak geldi, katlanımadı buldur buldur gözinün yaşı revan oldı.” D102-6 , “Buldur buldur gözlerinün yaşı
akar.” D 113-5
çönge : zayıf,fersiz,nuru kaybolmuş göz için kullanılır. “Karanguluça gözleri çönge oğlan.” D24712
çöngelmese-y-idi “ Kara kıyma gözlerün çöngelmese-y-di.” D106-5
kabar- kabarmak
kabardı “Oğuz yigidinün öykeni kabardı.” D190-1
kılçat- : yerinden tepretmek,titremek, silkinir tarzda hareket etmek.
kılçatmamış “Kara buğa geldüginde kılçatmamış.” D-187-1
segri- seğrimek (göz), sıçramak
segrir “ Çıksun benüm görür gözüm a Dirse Han yaman segrir.” D24-7
segsen -: ürpermek, birdenbire ürküp sıçramak, ansızın korkup ürpermek, ansızın korkup
sıçramak
segsenmedüm “seksen bin er gördüm-ise segsenmedüm.” D277-5
tepser- : dudakların kabarması, büzülmesi görüntüsü.
tebserdi “Çobanun acığı tutdı, tudakları tebserdi.” D58-13
ürk- : ürkmek, ürküp kaçmak ( hem hayvanlar (at,koyun,koç,deve, vb.) için hem de insanlar için
kullanılmaktadır)
ürkdi “At ürkdi, Delü Dumrulı götürdi yire urdı.” D160-1, “Nagahandan koyun ürkdi.” D215-1, “
Kaytabanun buğrası ürkdi gider”D262-5, “ Kara koç aygırun ürkdi gider.” D262-6, “ Ağayılun koçları
ürkdi gider.” D262-8, “Oğuz oturur-iken üstine yağı geldi. Dün içinde ürkdi köçdi.” D213-8, “ Oğuz
Depegöze kar kalmadı,ürkdi kaçdı.”D219-3, “ El-hasıl Oğuz yidi kerre ürkdi.” D219-5
ürkmedin “ ...al aygırum getürün oğlum binsin , il ürkmedin oğlum meydana...” D246-7
ürkit-: ürkütmek
ürkitdi “Tavlunbaz urup yundları(kısrakları) ürkitdi.” D263-7 ve 263-12
ürkiden “ Korkuduban şamatası-y-ile ürkiden” D46-11
ürkmege “Koyun ürkmege başladı, çoban koyunun önine segirtdi.” D215-5
yapa : lapa lapa kar yağma betimlemesi
190
yapa yapa “ Yapa yapa karlar yağsa yaza kalmaz.” D3-8
yaykan- : sallanmayı, dalgalanmayı betimler
yaykanur “Arkıç kırda yaykanur ‘umman denizinde” D278-13
yaykandı “... gün kibi şıladı , deniz kibi yaykandı ...” D127-10
yaykanup “Kara deniz kibi yaykanup gelen.” D128-5
ІІІ - İnsanların duygu yapısına , ruhsal durumuna ve sezimlerine ilişkin duyumları taklit
etmede kullanılan yansımalı sözcükler
DK’de insan ruhunun, hissiyatının en nazik hallerini, duygularını, canlı ve renkli bir nitelikte
belirten bu yansımalı sözcükler, hikayelerin gerçekleştiğine inanılan yüzyıldaki yaşam tarzına, hayat
felsefesine bağlı olarak o dönem insanının ruhsal ve duygusal durumunu da belirtir. Örnekleri fazla
olmasa da bu tarz yansımalı sözcükleri eserde görmek mümkündür:
çıñla- : çınlamak
çıñlar “ Sam yilleri esmedin Kazan kulağum çıñlar.” D137-3
iñle-: inlemek
iñler “Ağça tozlu katı yayum zarı zarı iñler.” D248-11
iñlerdi “ Bir gice döşeginde katı katı iñledi.” D242-9
iñlermez idüñ “... butuna ala oḫ toḫ ınsa iñlemez idüñ” D242-11
şorşa- : şoruldamak, çağlamak, konuşmak
şorşayan “ Kulağumda şorşayan nayibüm misin” D269-2
sıt - : patlamak
sıtdı (ödi sıtdı) “ Kıyan Selçük ödi sıtdı can virdi.” D222-2
sızı : sızı
sızılar “ Ne yerde sızılar var-ise çeken bilür.” 5-6
sızla- : sızlamak, acımak
sızlar “ Kesilsün oğlan emen süd tamarum yaman sızlar.” 24-8
Sonuç olarak, DKH’de yaptığımız inceleme; Oğuzların hikayelerin yaşandığı kabul edilen ve Eski
Anadolu Türkçesinin karışık dönemi yani hem Doğu Türkçesinden örnekler taşıdığı hem Arapça ve
Farsça sözcüklerin halkın diline yerleşmeye başladığı hem de yazı dili olma yolundaki dönemin
özelliklerini taşıyan DKH’de özellikle ses yansımalı kelimelerin kullanıldığını ve o dönem hayatın içinden
bir çok örneğin yansımalı kelime olarak belirtilip , öne çıkartıldığını görmekteyiz.
Canlı ve cansız nesnelerin birbirine değmesiyle çıkan sesin ; katı – yumuşak, sıvı-koyu, genişdar, kalınlık-incelik gibi özelliklerine göre farklı olmasına parelel onları belirtmede kullanılan ses
yansımalarının varyantları da o denli çoktur. Aynı sesin küçücük farklılığını belirtmede bile ayrı ayrı ses
yansımalı sözcükler kullanılan durumlar da çoktur. Bu olay dönem Oğuzcasında kullanılan dildeki ses
yansımalı sözcüklerin canlı ve cansız nesnelerle doğrudan ve sıkı bağlantıda olduğunun delilidir.
Ses yansımalı sözcükler duymakla ilgiliyse biçim yansımalı kelimeler görme ve hissetme
duyularıyla ilgilidirler. Biçim yansımalı kelimelerin yapım yolları biraz zor olduğundan DKH’de biçim
yansımalarına göre ses yansımalarına daha çok rastlanmaktadır.
DKH’deki yansımaları anlamlarına göre inceleyerek şu sonuca vardık: Yansımalar anlam ve
görev bakımından tüm çeşitleriyle Oğuzcanın ilk dönmelerinden itibaren çok geniş kullanılmaktadır ve
bu tür sözcükler atalarımızın diline güzellik, netlik, canlılık katarak, konuşmanın esas unsurlarından biri
olarak öne çıkmaktadır.
191
KAYNAKLAR
1. Koca , E., Türk cana Kırgız Tilindeki Tuurandı Sözdördün Salıştırma Tipologiyası (=Türk ve Kırgız
Dillerindeki Yansıma Sözcüklerin Karşılaştırma Tipleri) , Bişkek. 2010.
2. Koca, E., ve Koca, A., Dil Olgusu ve Yeryüzündeki Dillerin Sınıflandırılması, Bişkek. 2010.
3. Köprülü, F., Türk Edebiyatı Tarihi, Ötüken Neşriyat,III.Basım,İstanbul, 1981.
4. Ercilasun, A.B., “Dede Korkut Mirası” , http/ www.tdk.gov.tr /dedekorkut2.html, 2001.
5. Sakaoğlu, S., Dede Korkut Kitabı
I-II ( İncelemeler - Derlemeler- Aktarmalar), Selçuk
Üniv.Yaşatma ve Geliştirme Vakfı Yay., no.002, Konya, 1998.
6. Ergin, M., Dede Korkut Kitabı I-II, Ankara, 2008.
7. Кожа, Э., Divanü Lügati’t-Türk’ teki ses yansımalı sözcüklerin leksiko-semantikalık
bakımdan tahlili. «Вестник КНУ» Кыргызский национальный университет им. Ж.
Баласагына. №5 2007. стр. 256-260.
8. Koca, E., Codex cumanicus’taki yansıma sözcüklerin leksiko-semantik tahlili (Ала Тоо
илимий академикалык журналы) Alatoo Akademik Studies Международный Университет
Ататюрк-Алатоо. 2010.
СОВРЕМЕННЫЕ МЕХАНИЗМЫ РЕШЕНИЯ ПРОБЛЕМ ЖЕНЩИН, ПОТЕРПЕВШИХ НАСИЛИЕ.
Насилие в обществе, в том числе в отношении женщин, существует издавна. Однако открыто
о нем стали говорить не так давно, а в нашем обществе - вообще лишь в последние годы. В
Декларации ООН «Об искоренении насилия в отношении женщин» таким насилием считается «любой
акт насилия, совершенный на основании полового признака, который причиняет или может причинить
физический, сексуальный или психологический вред или страдания женщинам, включая угрозы совершения таких актов, как принуждение или произвольное лишение свободы, будь то в общественной
или личной жизни».
Насилие в любом его проявлении является следствием неравенства женщины и средством
его сохранения. Главные области его проявления - семья, общество (социум) и сфера государства.
Ключевое значение в названной Декларации ООН имеет положение о том, что насилие в
отношении женщины является нарушением основных прав и свобод человека — таких, как право
на жизнь, на равенство, на личную неприкосновенность, на сохранение здоровья, на справедливые и
благоприятные условия труда, право не подвергаться дискриминации в какой бы то пи было
форме и право не быть объектом пыток или жестокого бесчеловечного или унижающего
достоинство человека обращения. Таким образом, насилие не совместимо с принципами
демократического государства, основанного на духе и букве закона. Но даже в тех странах, где
женщина защищена законом, пользуется большим влиянием в своей семье, глубоко укоренившиеся
стереотипы общества и традиции мешают женщине заниматься профессиональной деятельностью,
участвовать в принятии важных решений наравне с мужчинами ((1)Елиференко А.Б.; 2002.
С.12).
Следует отметить, то, что в Кыргызстане как и на всем постсоветском пространство
факты такого рода долгое время рассматривались сквозь призму общих положений
гражданского и уголовного законодательства, отсутствовала гендерно- раздельная
статистика этих явлений. Вследствие сложившегося положения вещей проблема уводилась
из сферы социальной в уголовную (если речь шла о фактах надругательства и физического
насилия) или в традиционной культуры (если затрагивались другие вопросы дискриминации
женщин).
192
Термин «насилие» понимается лишь физическое насилие, трактуемое как общественно
опасное противоправное воздействие на организм другого человека, осуществленное
против его воли. Оно включает также угрозу применения насилия, то есть психологические
насилие. Что касается сексуального насилия к сожалению, в уголовно-правовой доктрине
Кыргызстана как форма насилия оно самостоятельно не выделяется. Считается, данное
преступление посягает не только на жизнь, здоровье, телесную неприкосновенность человека,
но и на его честь и достоинство, то есть оно одновременно сочетает в себе черты физического
и психологического насилия.
Для успешной работы сотрудника органов внутренних дел в отношении женщин,
потерпевших насилие важно соблюдение профессиональной этики. В обобщенном виде
моральные требования к сотруднику правоохранительных органов сводятся к следующему:
 отношение к человеку как к высшей ценности, уважение и защита прав, свобод и
человеческого достоинства;
 разумное и гуманное использование предоставленных законом работнику
правоохранительных органов прав в строгом соответствии с принципами социальной справедливости
и гражданского, служебного и нравственного долга;
 безупречность личного поведения на службе и в быту, честность;

неподкупность, забота о профессиональной чести,
общественной репутации
((2)Профессиональная этика сотрудников правоохранительных органов.– М., 1999. С.172. ) .
Каждое преступление, а сексуальное в особенности, наносит потерпевшей моральный,
психологический вред, который может быть очень значительным. Женщине, перенесшей
стресс, очень трудно без помощи и поддержки защитить свои нарушенные права и законные
интересы. Для нее очень важно с первых минут обращения в правоохранительные органы
ощутить искреннее желание сотрудников милиции помочь ей.
Сотрудники милиции в своей деятель ности должны следовать принципам гуманисти ческой
философии, особому этическому кодексу, в котором нет места каким бы то ни было
предрассудкам и предубеждениям в отношении женщин, пострадавших от насилия. На защиту и
понимание вправе рассчитывать каждый гражданин независимо от возраста, пола, социального
положения, национальности, происхождения, вероисповедания, в том числе, кто по сложившейся
традиции поставлен вне общества - проститутки, алкоголики, наркоманы, ВИЧ- инфицированные
больные.
Определен круг препятствий, который мешает установлению контакта с потерпевшими от
насилия женщинами. К их числу относится:
- cтыд;
- неприятные воспоминания;
- чувство вины;
- скованность;
- недоверие к сотрудникам правоохранительных органов;
- физическая боль;
- страх за репутацию;
- угроза физической расправы;
- нежелание посвящать в свои проблемы членов семьи;
- стремление избежать огласки происшедшего насилия;
- незнание, как поступить в таком случае;
Для преодоления этих препятствий сотрудникам правоохранительных органов необходимо
хорошо представлять и оценивать психологическое состояние потерпевшей от насилия женщины,
усвоить некоторые модели поведения, которые приводятся ниже.
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Распространенным мифом об изнасиловании, который существенно влияет на
результаты расследования, является убеждение, что если надругательство действительно
произошло против воли женщины, то она должна предъявить шрамы и ссадины
подтверждение своего яростного сопротивления.
Хотя такое требование не предъявляется к жертвам других преступлений, пострадавшие от
изнасилования почти всегда обязаны доказывать, что они сопротивлялись, и в качестве
доказательства предъявлять засвидетельствованные побои, царапины, изорванную одежду. Однако
изнасилование может быть совершено и в результате запугивания. Часто потерпевшие испытывают
страх, что их убьют или изувечат, если они будут сопротивляться. Они подчиняются насилию, чтобы
остаться в живых.
Другое психологическое состояние, которое испытывают жертвы сексуального насилия, «оцепенение от ужаса». Это паническое состояние, когда жертва не способна шевельнуться от
страха, психологически парализована ((3)Байчерикова Т., Нишанов В. и.др. -Б.,2001. С.84.) .
После изнасилования потерпевшие испытывают глубокий шок. Им тяжело поверить, что это
произошло именно с ними. Они могут проявлять сильные эмоции, быть подавленными, плакать,
дрожать, либо, наоборот, казаться спокойными, холодными и отстраненными. Потерпевшие также
часто могут выражать злость и агрессию, смущение и раздражение, впадать в депрессию. Многие
подавлены чувством вины, стыда, чувствуют себя «грязными». Одни могут испытывать потребность
немедленно рассказать о случившемся с ними, другие рассказывают неохотно, с трудом, третьи не
хотят вообще ни о чем говорить. Часто пострадавшие не могут выносить прикосновений к себе даже
близких людей, другим, напротив, требуется повышенное внимание. Но самое главное чувство,
испытываемое потерпевшей во время кризисного состояния - это страх. страх за себя и за своих
близких, страх быть в одиночестве, страх общения с людьми, которые хоть чем-то напоминают
насильника.
Жертва изнасилования страдает от жестокого вмешательства в самую глубинную часть ее
личности Она сталкивается с такими формами дискриминации, которые не испытывают потерпевшие
от других видов преступлений. По словам одной из изнасилованных женщин, «изнасилование не
завершается после изнасилования, оно остается в сердце жертвы».
Сотрудник органов внутренних дел, который будет заниматься расследованием фактов
насилия, должен быть готов адекватно реагировать на своеобразное поведение женщин,
потерпевших от насилия: гнев и слезы могут смениться молчанием, нежеланием сотрудничать. В их
показаниях бывает путаница, потерпевшая может вообще отказаться отвечать на некоторые вопросы.
Следует помнить, что нельзя задавать вопросы о том, почему потерпевшая не кричала или не
оказывала сопротивления. Не стоит комментировать и обсуждать с коллегами, случившееся в
присутствии потерпевшей. Не следует также спрашивать у нее, спровоцировала ли она своим
поведением действия насильника. И самое важное - нельзя ни в чем винить потерпевшую.
Сотрудник милиции должен быть хорошим слушателем и в ходе расспросов стараться, чтобы
жертве не пришлось пересказывать случившееся несколько раз, воздерживаться от критических
замечаний, не смотреть на нее неотрывно и своим поведением дать ей почувствовать, что он также
очень сожалеет о случившемся и постарается ей помочь
Необходимым условием успешной работы является наличие отдельного кабинета,
располагающая обстановка. Следователи прокуратуры или органа дознания (милиция) обязаны
помочь потерпевшей и ее родителям оформить заявление по установленным правилам, выдать талонуведомление, подтверждающий принятие заявления, выдать направление для прохождения судебномедицинской экспертизы. Кроме того, отметить, что женщина-следователь более чувствительна и
вызывает большее доверие у женщин, переживших сексуальное насилие. Поэтому в ряде стран
(Канада, Норвегия. Швеция, Литва) преступлениями такого рода занимаются подразделения,
состоящие исключительно из женщин.
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В Российской Федерации потерпевшими от изнасилования женщинами занимаются
специально созданные группы следователей, в Казахстане - специальные отделы в органах
внутренних дел. Столь узкая специализация вызвана необходимостью более квалифицированного
расследования и особой спецификой предоставления подобных дел в суд. К сожаленью в
Кыргызстане подразделений правоохранительных органов по расследованию только случаев
сексуального насилия не существует и подготовку для рассмотрения дел о насилии в
отношении женщин сотрудники органов внутренних дел и юстиции не проходят.
С 1998 года Министерством внутренних дел Кыргызской Республики в содружестве с
неправительственной организацией «Диамонд» начато обучение сотрудников дежурных частей МВД
новым методам работы с потерпевшими от насилия женщинами. Проведенный цикл тренингов с
сотрудниками органов внутренних дел Чуйской области дал неплохие результаты в плане усиления
их взаимодействия с кризисными центрами, убежищем и другими социальными службами. Кроме
того, в республике в каждой исправительно-трудовой колонии введены штатные единицы
психологов, которые будут оказывать квалифицированную помощь заключенным, в том
числе проводить работу и с виновниками насилия в отношении женщин.
По мнению сотрудников кризисных центров, необходимо позаботиться также о
психологическом здоровье и самих сотрудников правоохранительных ведомств. Напряженная,
изматывающая работа, частые стрессы приводят к усталости, накоплению отрицательных
эмоции, агрессивности, подмене продуктивной работы формальным исполнением своих
обязанностей. Все это в конечном итоге негативно сказывается на здоровье сотрудников,
накладывает отпечаток на их жизнь в семье, мешает достойно исполнять служебный
профессиональный долг. Создание реабилитационной службы при каждом органе внутренних дел в
значительной мере позволило бы решить проблемы.
Следует отметить, что особой сложностью отличаются преступления насильственного
характера в отношении детей и подростков. Необходимо знать, что дети крайне редко лгут о насилии
и деформирующем обращении, в особенности о сексуальном насилии. Беседа с ребенком, который
подвергался сексуальному насилию - сложная проблема. Во время беседы следует учитывать
многие факторы: уровень развития ребенка, возраст, социальную сред воспитания, особенности
характера, тяжесть сексуального насилия, родственные отношения с насильником. Наиболее трудно
доказать развратные действия, совершенные в отношении малолетних детей. Суд не принимает
обвинения, основанные на их показаниях, поэтому насильнику часто удается избежать
наказания.
При расследовании указанных случаев необходимо учитывать тот факт, что несовершеннолетние дети, особенно малолетние, отличаются повышенной внушаемостью и склонностью к
фантазированию. Поэтому с ними не стоит вести пространные беседы о произошедшем. При
выяснении обстоятельств преступления против несовершеннолетнего обязательно
участие родителей, педагога психолога или социального работника. Подобная практика
позволяет избежать повторного травмирования ребенка, смягчает негативные воздействия на его
психику. Нередко развратные действия в отношении несовершеннолетнего производятся членом его
семьи (отцом, отчимом и т.д.). В таком случае нужно оградить ребенка от повторных посягательств.
Опыт других стран показывает, что расследования, связанные с сексуальными преступлениями,
особенно в отношении детей, должны осуществляться специальными службами или
специально обученным персоналом. Такое расследование менее травматично для ребенка по
сравнению с расспросом в милиции. Необходимые повторения допроса в суде, прокуратуре и других
инстанциях следует заменить, если это юридически возможно, использованием аудио- и
видеозаписи.
Из вышесказанного можно сделать вывод, что проблема предотвращения насилия в отношении женщин нуждается в комплексном подходе. Необходимо не только создание
специальных материалов (книги, брошюры пособия, буклеты, руководства, игровые пособия,
195
куклы, карточки) для работы с женщинами, пережившими насилие, но и активное
вовлечение в борьбу с насилием всех структур, ответственных за оказание помощи потерпевшим. Это прежде всего правоохранительные органы и суды, медицинские и
образовательные учреждения, кризисные центры и общественные организации, сотрудники
которых должны получать хорошие навыки на специализированных тренингах Особенно
это относится к сотрудникам милиции, которые первыми встречаются с жертвами насилия.
От их отношения к факту насилия зависит последующая судьба потерпевших от насилия
женщин.
1. Елиференко А.Б. Насилие и кризисные центры для женщин: из опыта кризисного центра
«Шанс». – Б., 2002. С.12
2. Профессиональная этика сотрудников правоохранительных органов:
учебное пособие.– М., 1999. С.172.
3. Байчерикова Т., Нишанов В. и.др. Насилие в отношении женщин: предупреждение и борьба с
последствиями. Б.,2001. С.84.
MUHTEŞEM YÜZYIL, SULTAN ŞAİR MUHİBBİ
Doç.Dr. Ayşen KOCA
U.A.A.Ü., S. F. B. F., Türkoloji Bölümü
Bişkek,Kırgızistan
[email protected]
Özet: Onaltıncı yüzyılda Osmanlı Devleti en geniş sınırlara, en yüksek askerî ve ekonomik güce
ulaşmakla kalmamış, bilim, kültür ve sanatta da doruklara çıkmıştır.Osmanlı tarihinin bilim, kültür ve sanat
devleri adeta 16. yüzyılda buluşmuşlardır.
16.yüzyıl edebiyatımızın -Divan edebiyatının- özellikle şiir alanında en parlak çağıdır. Her alanda
pek çok değerlerin yetiştiği bu dönem edebiyatımız açısından “altın çağ”olarak nitelendirilmektedir.
Bu yüzyılda Zati, Baki, Fuzuli, Ruhi gibi çok önemli şairlerimizin yanında Muhibbi de sultan
şairlerimizden biri olarak hem devlet yönetimiyle hem de şiirleriyle öne çıkmış bir Osmanlı sultanıdır.O’ve
O’nun dönemi her açıdan muhteşem olarak adlandırılmayı haketmektedir.
Kırk altı yıl süren saltanatı döneminde; at sırtından inme fırsatı bulamayan, seferlerle, zaferlerle,
bitmez tükenmez devlet işleriyle uğraşıp didinen 'Muhteşem Süleyman'ın şiire de zaman ayırabilmesi,
sayısız şiirler kaleme alması, divanlar düzenlemesi, dilden dile asırlarca dolaşabilecek mısralar
yazabilmesi, onun bu alanda da 'muhteşem' oluşunu ortaya koymaktadır.
Anahtar kelimeler: Muhibbi, muhteşem yüzyıl, sultan şair, 16.yüzyıl divan edebiyatı.
16. yüzyılın siyasi, sosyal, kültürel arka planına baktığımızda Fransızların Kanuni Sultan
Süleyman için söyledikleri muhteşem[1] ifadesinin yüzyıl için de geçerli olduğunu görürüz.
Onaltıncı yüzyılda Osmanlı Devleti en geniş sınırlara, en yüksek askerî ve ekonomik güce
ulaşmakla kalmamış, bilim, kültür ve sanatta da doruklara çıkmıştır.Osmanlı tarihinin bilim, kültür ve
sanat devleri adeta 16. yüzyılda buluşmuşlardır.Osmanlı Devleti'nin en kudretli hükümdarı Kanunî
Sultan Süleyman, en büyük amirali Barbaros Hayreddin Paşa, en büyük mimarı Koca Sinan, en büyük
şairlerinden olan Fuzulî, Bakî ve Ruhî bu asırda yaşamışlardır. Yine bu yüzyılda yaşayan nice
kumandanlar altın harflerle yazılacak zaferler kazanmış, daha nice âlim, edib, şair, mimar, nakkaş ve
196
bestekâr unutulmaz eserler bırakmışlardır.Onaltıncı yüzyılda Osmanlı İmparatorluğu sınırları içinde
yaşamış, eser vermiş, sonraki devirler için örnek olmuş ünlüleri anlatmak, ancak herbiri için en az bir
cildi dolduran kitaplar yazmakla mümkündür.[2]
Mimarlıkta, Mimar Koca Sinan,
Nakkaşlık ve hattatlıkta; Nakkaş Sarhoş ibrahim, Hattat Karahisarlı Şemseddin ve onun
öğrencisi olan Hasan Çelebi,
Devrin ünlü minyatürcüleri, ressamları, Matrakçı Nasuh ve Nakşî Bey; Türk süsleme sanatını
en yüksek derecesine ulaştıran sanatçılar aynı asrın sonunda yaşamış olan Nakkaş Osman, Lütfü
Abdullah ve Hasan Paşa,
Devrin coğrafyacılarından Pîrî Reis, Seydi Ali Reis,
Onaltıncı yüzyılda eser vermiş başlıca tarihçilerden, Şeyhülislâm İbni Kemal, Veziriazam
Damad Lütfi Paşa, Şeyhülislâm Hoca Sadeddin Efendi, Gelibolulu Mustafa Ali Paşa, Selânikli
Mustafa Efendi, Ebulfazl Mehmed Efendi, Mustafa, Cenabî, Abdülkadir efendiler,
Matematik ve astronomi'de eser vermiş veya öğrenci yetiştirmiş, Yusuf bin Kemal, Hacı
Muhyiddin bin Mehmed, Derviş Mehmed bin Lutfi, Cezayirli Ali bin Veli, Hızır Halife, Mustafa Zeki,
Abdullah bin Perviz, Hafız Mehmed bin Ali, Takyüddin Mehmed efendiler,
Tıp sahasında eser vermiş, Ahî Mehmed Çelebi, Kaysûnîzade Mehmed Çelebi, Sinaüddin
Yusuf, İlyas bin İsa, Atûfî Hayreddin, Cerrah ibrahim, Derviş Nidaî, Perviz Abdullahlar
Onaltıncı yüzyılda yaşamış ve besteleri zamanımıza kadar ulaşan bestekârlardan, Nefirî
Behram Ağa, Hasan Can Çelebi, Şeyh Abdülâli, Kemençeci Şahkulu, Emir-i Hacc, Tanburî Hacı
Kasım, Gazi Giray’lar, 16.yüzyılda yetişen ve eşşiz çalışmalarıyla tarihe malolmuş şahsiyetlerden
sadece bazılarıdır.[3]
16.yüzyıl edebiyatımızın -Divan edebiyatının- özellikle şiir alanında en parlak çağıdır. Her
alanda pek çok değerlerin yetiştiği bu dönem edebiyatımız açısından “altın çağ”olarak
nitelendirilmektedir. 13. ve 14. yüzyıllar boyu kuruluş aşamasında olan Türk Divan şiiri 15. yüzyılda bu
kuruluşu tamamlamıştır. 16. yüzyıla gelindiğinde Arap ve Fars nazireciliği Baki, Fuzuli gibi şairlerin
öncülüğünde sona ermiş; Türk Divan edebiyatı kendi içinde özgünlüğüne kavuşmuştur.Türk edebiyatı,
Anadolu dışında da gelişimini sürdürmüş, bu yüzyılda Azeri Türkçesi’nde Fuzuli, Çağatay Türkçesi’nde
de Ali Şir Nevai, Babür Şah önem kazanmıştır. Önceki yıllarda Türkçeye girmekte olan Arapça ve
Farsça sözcüklerin sayısı bu dönemde iyice artmış; Türkçe-Arapça-Farsça karışımı üçüzlü bir yapı
gösteren Osmanlı Türkçesi oluşmuştur.
15. Yüzyılda Aydınlı Visâlî’nin başlattığı yerlileşme çabaları, bu yüzyılda Tatavlalı Mahremi
ve Edirneli Nazmi ile Türkî-i Basît (Sade Türkçecilik ) akımına dönüşmüştür. Ancak, bu şairlerin
güçsüz sanatçılar olması nedeniyle Sade Türkçecilik büyük şairlerce kabul görmemiştir.16. yüzyıl,
edebiyatımızda “şehrengiz” türünün gelişme dönemidir. Türk edebiyatının ilk şehrengizi, 15. yüzyıl
şairi Mesîhî’nin “Edirne Şehrengizi” dir. Divan edebiyatının ilk şehrengizleri olan Zatî’nin Edirne
Şehrengizi ile Lâmiî’nin Bursa Şehrengizi ise bu dönemin ürünüdür.
Türk Divan edebiyatında tezkireciliğin temelleri de bu yüzyılda atılmıştır. İlk tezkire, Edirneli
Sehî Bey’in Heşt Behişt ( Sekiz Cennet ) adlı tezkiresidir ki Osmanlı Türkçesi şairlerini içine
alır.Lâtifî, Lâtifî Tezkiresi; Âşık Çelebi, Meşâirü’ş-Şuârâ(Şairlerin Duyuları); Kınalızâde Hasan
Çelebi, Tezkiretü’ş-Şuârâ; Ahdî, Gülşen-i Şuârâ adlı tezkireleriyle bu yüzyılda edebiyatımızı
zenginleştirmişlerdir.
Halk edebiyatı açısından ise; sözlü gelenek, Anadolu’da şehirleşmenin de etkisiyle âşıklık
geleneğini oluşturmuş ve divan edebiyatından ayrı bir kolda gelişimini sürdürmüştür.
197
XVI. yy., her alanda olduğu gibi Divân şiiri için bir ihtişam, bir gündoğumudur. Başta Fuzulî ve
Bakî şiirdeki şöhretleriyle kendi çağlarından taşmışlar, divan şiirini naatları, gazelleri ve mersiyeleriyle
çağlar ötesine taşımışlardır. Düzyazılarıyla da önemli olan bu iki şair dışında tahminen bugünkü İstanbul
Yeni Camii dolaylarındaki remilcilik, ayakkabıcı dükkanında kurduğu şiir meclislerinde usta – çırak
münasebeti içinde Baki’ye hocalık etmiş, geniş hayalleriyle üç divan tertib edebilecek sayıda gazel
yazmış olan Zatî, aşk ve rindliğin usta sözcüsü Hayalî, sade diliyle Nevi, terkib-i bendiyle şöhrete erişen
Ruhî, ‘’Muhibbi’’ mahlasıyla şiirler yazan Muhteşem Kanuni Sultan Süleyman da bu yüzyılın usta
şairleri arasında literatürümüze girmiştir.
Mesnevi alanında da Fuzulî, Taşlıcalı Yahya, Lamiî ve Kara Fazlî öne çıkmakta olup, Emri,
Figanî, Hayretî ve Hilye yazarı Hakani de dönemin önemli şairlerindendir. Bu çağ, düzyazı sahasında
çeşitlilik ve bolluk içindedir. Sehî, Latifi, Aşık Çelebi, Hasan Çelebi, Beyani ve Ahdi, de yazdıkları
tezkireler ile edebiyatımıza nadide eserler kazandırmışlardır.
Lütfi Paşa, Hoca Sadettin, Gelibolulu Ali ve Kemalpaşazade tarihleriyle; Seydi Ali Reis ve
Piri Reis denizcilikle ilgili eserleriyle; Feridun Bey de münşeatıyla Osmanlı’da düzyazının hızlı bir
şekilde genişlemesine yardımcı olmuşlardır.[4]
I.Süleyman veya Kanuni Sultan Süleyman (،‫سليمان أول‬, Süleyman-ı evvel) edebiyatımızdaki
adıyla Muhibbi, birçok batı ülkesinde bilindiği isimle Muhteşem Süleyman[5,6] onuncu Osmanlı padişahı
ve 89. İslam halifesidir. Ayrıca I. Süleyman'a 10. Osmanlı sultanı olması sebebiyle Saibü'l Aşereri'l
Kamilet'de (On numaranın tamamlayıcı sahibi)[7] denilmiştir.
Yavuz Sultan Selim Han oğlu Kanunî Sultan Süleyman, 10. Osmanlı padişahı olarak tahta
geçmesinden ömrünün sonuna kadar her biri başlı başına bir büyük olay değerindeki çok sayıda seferleri
ve zaferleri ile sadece Osmanlı tarihinde değil, tüm dünya tarihinde etkin rol oynamıştır. Batılı
kaynaklarda Kanunî Sultan Süleyman, Magnificent, Magnifique, Grand Turc, Der Prachtige (muhteşem,
harika, kanun yapıcı)[8] unvanlarıyla geçmektedir. Washigton’da ABD Temsilciler Meclisi genel kurul
salonunda 1948-50’ de dünya tarihindeki 23 ünlü kanun yapıcının, her birinin 70cm’lik madalyon şeklinde
rölyefi yaptırılmıştır.Aralarındaki tek müslüman şahıs rölyefi, Kanuni Sultan Süleyman’a aittir.Meclis
başkanının kürsüsünün sağındaki duvarda bulunan rölyefi heykeltıraş Joseph Kiselevski yapmıştır. Diğer
kanun yapıcılar arasında Hz. Musa, Hammurabi, Solon, Lustinianus, Napoleon ve Jafferson da
bulunmaktadır.[9]
27 Nisan 1495’te Trabzon’da doğan Kanuni Sultan Süleyman, ilk öğrenimini Trabzon’da
tamamlamış, on beş yaşında sancakbeyi olmuş, 1520 yılında babasının ölümü üzerine tahta
geçmiştir.[10] O’nun döneminde 1521'de Belgrad, 1522'de Rodos, 1526'da Mohaç,[11] 1534'de Bağdat
ve Tebriz, 1538'de Boğdan'ın tamamı ve Preveze, 1541'de Macaristan'ın tamamı, 1543'de Estergon,
2
1553'de Safevi topraklarının bir kısmı, 1566'da da Zigetvar fethedilmiştir. I. Selim'den 6.557.000 km
2
olarak devraldığı Osmanlı İmparatorluğu'nu,[12]
kırk altı yılda 14.893.000 km 'ye ulaştırmıştır.
2
2
2
(Avrupa'da 1.998.000 km , Asya'da 4.169.000 km , Afrika'da da 8.726.000 km olmak üzere)[13,14]
Zigetvar fethedilmeden 1 gün önce, 6 Eylül 1566 tarihinde hayatını kaybetmiştir.[15,16,17,18]
Kanûnî'nin idareciliği, hükümdarlığı, hakkında tarihi kaynaklar
oldukça geniş bilgiler
vermektedir.Tarihi kaynakların verdiği bilgiler ışığında kırk altı yıllık saltanatının on yılı aşkın bir süresini
seferlerde geçirdiğini, büyük zaferlere imza attığını, yapılan seferlerin siyasi ve askerî hazırlıkları ile
fethedilen yerlerin maddi ve manevi imarının, bayındırlığının sağlanmasının büyük padişahın bütün
hayatını kapladığını belirtmek yerinde olacaktır.
Osmanlı Devleti'nin ve yaşadığı asrın son büyük padişahı olan Kanunî Sultan Süleyman; ‘muhib’
[19] (A.) [‫ ] محب‬seven. 'muhibb, Muhibbî'([20] (a.s.hubb’dan) [‫] محب‬seven, sevgi besleyen, dost mahlâsıyla
kaleme aldığı şiirleri, bu şiirlerde gösterdiği şairlik kudreti ile de 'muhteşem' bir şahsiyet ve sultan şair
olarak karşımıza çıkmaktadır. Kırk altı yıl süren saltanatı döneminde; at sırtından inme fırsatı bulamayan,
seferlerle, zaferlerle, bitmez tükenmez devlet işleriyle uğraşıp didinen 'Muhteşem Süleyman'ın şiire de
198
zaman ayırabilmesi, sayısız şiirler kaleme alması, divanlar düzenlemesi, dilden dile asırlarca
dolaşabilecek mısralar yazabilmesi, onun bu alanda da 'muhteşem' oluşunu ortaya koymaktadır.
Sultan şair, büyük padişah Kanunî, babası Yavuz Sultan Selim gibi her tür şiirden anlayan; âlim
ve şairlere büyük önem veren, onları himayesine almaktan, onlarla dost, arkadaş olmaktan büyük bir zevk
alan yüce bir yaratılışa sahipti. Şairler sultanı Bakî gibi dönemin önde gelen şairleriyle karşılıklı şiir
sohbetlerinde bulunmak, beğendiği şiirlere nazireler yazmak, şiirlerinin diğer şairlerce özellikle Bakî
tarafından beğenilmesi, onu son derece mutlu etmiştir.Nitekim Bakî, dostlarından birine gönderdiği bir
mektupta padişahtan ve bir şiirinden övgü ile bahsetmkete: '’ebyât-ı şerîfesi
‘’Bî-misl ü bî-hemtâ vâki olduğundan gayrı hususa
Eğrilik olsa aceb mi kâfiri mihrâbda’’
beyt-i şerîfi vallahulazîm bir mertebe ser-âmed beytdür ki asla nazîre mümkün degüldür.'’ Demek suretiyle
Muhibbi’nin nazmını methetmektedir. Ayrıca bu şiire iki nazîre söylediğini; bunu da '’Yenilen oyuna
doymaz.'’ sözüyle açıklayarak, daha fazla karşılık verecek kudretinin olmadığını belirtmektedir. Padişah
şairlerin ve diğer divan şairlerinin en çok şiir yazanları içerisinde ilk sırayı verebileceğimiz Kanunî Sultan
Süleyman'ın 3000 civarında şiiri bulunmaktadır. Öyleki 16. yüzyıl şairlerinden çok gazel söylemesiyle
tanınan Zati’yi dahi geçmiştir.
Bu şiirler içerisinde dil, duygu ve içerik açısından henüz gelişmemiş ilk şiirleri yanında; padişah
olup büyük şairlere yakınlaşması sonucunda ortaya çıkan olgun ve sanat zevkini ortaya koyan şiirlerine
bakınca, Kanunî'nin ne derece ince bir his ve hayal dünyasına sahip aynı zamanda da derin düşünceler
şairi olduğunu görmekteyiz.Yazdığı aşk, heyecan, kahramanlık ve tefekkür şiirleri ve yıllarca gönüllerden
silinmeyen, atasözü gibi dilden dile dolaşan mısraları yanında, şairlik gücünü ortaya koyan ve divan
şiirinin bütün incelikleriyle söylenmiş gazelleri Muhibbî Divanı’nın büyük bir bölümünü oluşturmaktadır.
Bunlar arasında;
‘’Halk içinde muteber bir nesne yok devlet gibi
Olmaya devlet cihanda bir nefes sıhhat gibi ‘’
beytiyle başlayan muhteşem gazeli hâlâ güncelliğini koruyan eşsiz şiirleri arasındadır. Duygusal yönünün
ağır bastığını gözlemlediğimiz Kanunî Sultan Süleyman, bir o kadar da talihsiz bir baba idi. Kuvvetli bir dil
ve edebiyat kültürü ile yetiştirdiği oğulları Mustafa, Bâyezid, Selim, Cihangir aynı zamanda şiirle uğraşan
şehzadelerdi. Küçük yaşlarda ölen oğlu Şehzade Mehmed için söylediği,
'Şehzadeler güzidesi Sultan Muhammed’üm' (H.950)
tarih mısra’ı ünlüdür. Bu tarihten on yıl sonra da oğlu Mustafa'yı idam ettirmek zorunda kalan
talihsiz baba, oğulları Bayezid ve Selim arasındaki taht kavgalarından dolayı da huzursuz günler
yaşamıştır.
3000 civarında şiire imzasını atan büyük padişah etkisini günümüze kadar taşıdığı gibi; eşsiz
beyitlerini ortaya koyarken divan şiirinin bilinen ustalarının tesirlerini de şiirine yansıtmış, onlardan aldığı
ilhamla büyük divanını oluşturmuştur. Kanunî'yi etkileyen şairler arasında hemen hiç yanından eksik
etmek istemediği şairler sultanı Bakî ile klasik şiirin büyük ustası Fuzûli başta gelmektedir. Ahmet Paşa,
Necati, Hayali gibi usta şairlerin izlerini de Muhibbî'de görmek mümkündür. Kanûni'nin bazı şiirlerinden
İran şairlerinden ne derece etkilendiğini görmek de mümkündür. Hafız, Cami, Selman, Nevâyi, Nizami,
Şeyh Attar gibi şairleri sevip okuduğunu, yer yer onlardan söz ettiğini, hatta Farsça şiirler yazabilecek
kadar onları benimsediğini, dillerini öğrendiğini tarihi kaynaklardan biliyoruz. Zaman zaman onlara özenen
şair, yeri gelince onlardan daha ilerde olduğunu, onların beğenisini kazandığını söylemekten kendini
alamaz ve der ki;
‘’Husrev ü Hafız ider şi'r-i Muhibbî’ye pesend
Câmi tahsîn ide ger görse bu nazm-ı hasenüm’’
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Muhibbî'nin etkilendiği şairler arasında Mesihi, Sevdâyi, Ulvi gibi şairler başta gelmektedir.[21]
Yukarıda beyan ettiğimiz üzere kanuni Muhibb (seven), Muhibbî (sevene ait olan ya da sevene
mensup) mahlaslarını kullanmıştır. Ancak sultan şair, bu mahlası daha çok seven anlamında kullanmıştır
dersek yanılmış olmayız. Aşağıdaki gazellerinin son beyitlerini- mahlas beyitlerini inceleyecek olursak
bunu daha iyi anlayabiliriz.
Hoş Gelir Redifli Gazel
Bana dildârın cefâsı hoş gelir
Nitekim gayre vefâsı hoş gelir
Derdi ile hoş geçer dil dilberin
Derd sanma kim devâsı hoş gelir
Zahm-ı peykânı kızıl güldür bana
Bülbülüm hâr-ı belâsı hoş gelir
Yâreme merhem durur çün zahm-ı dost
Cânıma tîr-i belâsı hoş gelir
Ey Muhibbî âleme şâh olmadan
Dilberin olmak gedâsı hoş gelir
Gazelin mahlas beytine bakacak olursak; şair burada ‘’ey muhibbi aleme şah olmaktansa
dilberin(gönül alıcı bir güzelin) kölesi olmak hoştur’’ demek suretiyle sevgiyi ve seveni yüceltmektedir.
Bana Redifli Gazeli
Pâdişâh-ı 'aşkam u dil defter u dîvân bana
Derd u mihnet sözlerin yazdum yeter 'unvân bana
İnlerem tanbûr-veş bagrum delindi ney gibi
Bezm-i gamda mesken oldı kûşe-i hicran bana
Buseye bir cân nedür bin cân virürdüm cân ile
Yarım ağız buse ikrar eylese yârum bana
Öldürür gerçi ki gamzen 'âşıka virmez amân
Leblerün Îsî-nefes her lahza virür cân bana
Yanayum pervâne veş şem'-i cemâli nûrına
Şem'-i hüsne çün Muhibbi didi dilber yan bana
Bana redifli bu gazelinin makta, mahlas beytinde ise ‘’cemalinin nuruna pervane misali yanayım,
çünkü dilber bana dedi ki: ey Muhibbi bu parlak güzelliğe yan.’’demek suretiyle babası Yavuz Sultan Selin
Han’ın bir beytinde;
‘’Şirler pence-i kahrımda olurken lerzan
Beni bir gözleri ahuya zebun etti felek’’
dediği gibi Muhibbi de bir dilberin şem’-i hüsnüne yanmakta seven olmayı yeğlemektedir.
Yine başka bir gazelinde;
“Ey Muhibbî, bâşım üzre şûle-i âhım alem,
Şâh-ı aşkım, sağlı sollu aşk leşkerdir bana!”
200
“Ey Muhibbî, ahımın üzerinden çıkan parıltı başımın üzerindeki bayraktır.Ben aşk padişahıyım;
aşk sağımda solumda bulunan askerlerimdir!”demekte kendini aşkın şahı olarak görmekte hatta aşkı
kendisine asker edinmektedir. Bir padişaha yakışır gerçekten görkemli dizelerdir bunlar.
Muhibbî’nin şiirlerinde Fuzulî’nin etkisinin büyük olduğunu yukarıda belirtmiştik. Kanuni Sultan
Süleyman Bağdat’ı fethederken Fuzulî orada yaşıyordu. Önceden de şiirlerini okuduğu Fuzulî ile konuştu
mu konuşmadı mı bilinmez ama yine de şiirlerinde Fuzulî’nin etkisini görmek zor değildir.
“Ey Muhibbî âşık oldur ki derd-i yârı hoş göre,
Derdden kurtulmasın derdîne kim derman arar!”
“Ey Muhibbî, sevgiliden gelen dertleri hoş gören gerçek aşıktır; aşk derdine derman arayan
dertten kurtulmasın”
Beytinde de görüldüğü üzere Fuzuli’nin Muhibbi üzerindeki etkisi açıktır. Ancak Muhibbî divanını
inceleyip bir çok gazelini şerhetmeye çalıştıktan sonra eserlerinin güzelliğini ve gücünü sadece
Fuzulî’nin etkisine dayandırmanın Muhibbî’ ye haksızlık olacağı görüşündeyim. Bize göre O, sadece aşk
ve coşkuya sahip sanatını Fuzulî’nin dert, ıstırap, çile, cefa, cevr isteğiyle adeta cilalamıştır.
Aynı etkileşimi ve özgünlüğü birarada aşağıdaki gazelinde de görmemiz mümkündür.
“Sorma aşkın hâletin Mecnûn’a bir divânedür
Açma aşkın sırrını Ferhâd’a kim efsânedür
Sor bana aşkın rumûzun sana takrîr eyleyem
Can u baş terkin urur âşık heman pervânedür.
Gel temâşa eyle bir sırça sarâyın gönlümün,
Eşk-i surhiyle münekkaş zeynolmuş hânedür.
Gamzesi kanım içerse dostlar olmaz aceb
Kâfir-i bed-mest olanın meyli dâim kânedür.
Yâre varub dün gice dil-i derûnum arzeyledüm
Hâbe varı gözleri yanında san efsânedür.
Nola baksam şem’-i hüsnüne gönül pervane-veş
Dostum sen şem’ olıcak âşıkun pervânedür.
Gülşen-i hüsnünde dil mürgün yine saydetmeye
Zülfünün ağında “Muhibbî” hâli anın dîvânedür.”
Gazeli günümüz türkçesiyle nesre çevirecek olursak;
“Sorma aşkın halini Mecnun'a,Mecnun divanedir.Açma aşkın sırrını Ferhad'a ki efsanedir.
Sor bana aşkın gizli işaretlerini, sana anlatayım.Can ve baş boyar vurur aşık hemen pervanedir.
Gel seyret gönlümün sırça sarayınıKırmızı gözyaşıyla nakış olunmuş, bezenmiş evdir.
Dostlar, gamzesi kanımı içerse şaşırtıcı olmaz.Fena sarhoş olanın meyli de böyle gerçekleşir.
Yara varıp dün gece gönlümün içini sundum.Uykuya vardı gözleri efsaneymiş gibi dinledi.
Gönül pervane gibi, güzelliğinin mumuna baksam ne olur.Dostum sen mum olacak aşığın
pervanedir
Güzellik bahçende gönül kuşu yine avlanmaya.Zülfünün ağında “Muhibbî” onun divanesidir.”
Şeklinde ifade edebiliriz ki; buradaki söylemleriyle sultan şairin imgeleriyle de yakınen tanışmış
oluruz.Gazelde görüldüğü üzere yoğun bir imge kullanımı mevcuttur. Sultan şair his ve hayal dünyamıza
201
yönelerek, söylemek istediği şeyleri doğrudan söylemeden, hüsn-i ta’lil, telmih, teşbih, tenasüp, teşhis,
tevriye gibi sözve mana sanatlarını da kullanarak eserine apayrı bir hava vermiştir. Bu gazelinde şem(a.i)
(mum)[22] ve pervane(f.i.) (geceleri ışığın etrafında dönen küçük kelebek, fırıldak, çark, habeci,
kılavuz)[23]v.b. imgeleri sıkça kullanması bunun yanında kan ve kırmızıya dair ifadelere;
‘’Gamzesi kanım içerse dostlar olmaz aceb,
Kâfir-i bed-mest olanın meyli dâim kânedür.’’
sıklıkla yer vermesi aynı zamanda nazmını Mecnûn, Ferhâd, sırça sarây, surh münekkaş, hâne dil-i
derûnum, hâbe, gülşen-i hüsn, dil, mürg, sayd, zülf, ağ gibi mazmunlarla, remizlerle zenginleştirmesi
de bu düşüncenin ürünüdür. Bu açıdan değerlendirdiğimizde şairin üslup ve içerik açısından hiç de
acemi olmadığını, edebi sanatları ve imgeleri şiirlerinde ustalıkla kullandığını söyleyebiliriz.
Kanuni azimli, kararlı bir devlet adamıydı. Hatta değerleri uğruna coşkunluk derecesinde
bağlılıkları olan büyük bir devlet adamıydı.Sultan şaire bu açıdan da bakacak olursak, büyük devlet
adamlarının sevdiklerine matuf bağlılık, azim ve coşkusunu onda da görmek mümkündür. Nitekim tarih
içinde çeşitli coğrafyalarda büyük devlet adamlarının sevgililerine gerçek bir tutku ile bağlı oldukları
görülmüştür. Antoine’nin Kleopatra için; Mussoli’nin, Klara için başlarını; İngiliz Kralı VI. Edward, Madam
Simpson için tahtını verdiği, Avrupa’nın kartalı olarak görülen Napolyon Bonapart’ın Jozefin’in aşkı için bin
bir türlü ıstıraba dayandığı tarihi gerçekler arasında yerini almıştır.
Kanuni başını vermedi ya da tahtından vazgeçmedi ancak Hürrem Haseki Sultan’ın aşkından kör
olup çevirdiği entrikaları göremeyince oğlunun kendine karşı taht mücadelesine gireceğini veya girdiğini
sanarak onu öldürttü. Bu acı olaydan hareketle baba, oğulun karşılıklı mektup şeklindeki nazireleri de
edebiyatımızın en güzel lirik şiirleri arasında yerini almıştır.
Bâyezid'in, babası Kanunî’ye mektubu:
Ey ser-â-ser âleme Sultan Süleymân’um baba
Tende cânum cânumun içinde cânânum baba
Bâyezid’ine kıyar mısun benüm cânum baba
Bîgünâham Hak bilür devletlü sultânum baba
Enbiyâ ser-defteri ya'ni ki Âdem hakkıçün
Hem dahi Mûsî ile Îsî-yi Meryem hakkıçün
Kâinâtun serveri ol Rûh-ı a'zam hakkıçün
Bî-günâham Hakbilür devletlü sultânum baba
Sanki Mecnûnam dağlar başı oldı durak
Ayrılup bi'1-cümle mâl ü mülkden düşdüm ırak
Dökerem göz yaşını vâ-hasretâ dâd el-firak
Bî-günâham Hak bilür devletlü sultânum baba
Kim sana arz eyleye hâlüm eyâ şâh-ı kerîm
Anadan kardaşlarumdan ayrılup kaldum yetîm
Yok benüm bir zerre isyânum sana Hakdur‘alîm
Bîgünâham Hakbilür devletlü sultânum baba
Bir nice masumun olduğun şehâ bilmez misün
Anların kanınagirmekden hazer kılmaz mısun
Yoksa ben kulunla Hak dergâhına varmaz mısun
Bî-günâham Hak bilür devletlüsultanum baba
Hak Taâlâ kim cihânun şahı itmişdür seni
Öldürüp ben kulun güldürme şâhum düşmeni
Gözlerüm nûrı oğullarumdan ayırma beni
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Tutalum iki elüm başdan başa kanda ola
Bu meseldür söylenür kim kul günâh itse n’ola
Bâyezid'ün suçını bağışla kıyma bu kula
Kanunî’nin oğluna cevaben yazdığı mektup:
Ey dem-â-dem mazhar-ı tuğyân u isyânum oğul
Takmayan boynına hergiz tavk-ı fermânum oğul
Ben kıyar mıydum sana ey Bâyezid hânum oğul
Bî-günâham dime bari tevbe kıl cânum oğul
Enbiyâ vü evliyâ ervâh-ı a'zam hakkıçün
Nûh ü İbrahim ü Mûsî İbn-i Meryem hakkıçün
Hatm-ı âsâr-ı nübüvvet Fahr-ı lem hakkıçün
Adem adın itmeyen Mecnûna sahralar durak
Kurb-ı tâatdankaçanlar dâima düşer ırak
Tan degüldür dir isen vâhasretâ dâd el-firak
Neş'et-i Hakdur nübüvvet râm olan olur kerîm
"Lâtekul üf"kavlini inkâr iden kalur yetîm
Tâata isyana alîmdürHudâvend-i Kerîm
Bî-günâham dime bari tevbe kılcanım oğul
Rahm u şefkat zîb-i îmân olduğın bilmez misün
Yâdem-i ma’sûmı dökmekden hazer kılmaz mısun
Abdiâzâd ile Hak dergâhına varmaz mısun
Bî-günâhamdime bari tevbe kıl cânum oğul
Hak reâyâ-yı muti'e râi itmişdür beni
İsterem mağlûb idem ağnama zib-i düşmeni
Hâşâlillah öldürürsem bî-güneh nâgâh seni
Bîgünâhamdime bari tevbe kıl cânum oğul
Tutalum ikielüm başdan başa kanda ola
Çünki istiğfar idersün biz de afv itsek n’ola
Bâyezidüm suçını bağışlaram gelsen yola
Kanuni Sultan Süleyman’ın eşi Hürrem’e olan aşkından ve tutkusundan, bu büyük aşkın şiirlerine
yansıyan yönünden bahsetmeden geçmek Muhibbi’nin mecazi aşk konulu şiirlerine haksızlık olur.Ülkeler
fatihi Kanuni Sultan Süleyman'ın gönlünü Hürrem Sultan fethetti. Muhteşem Süleyman' ın Hürrem
Sultan'a aşkı Hürrem Sultan ölümüne hatta ondan sonra da devam etti.Ancak onların aşkı öylesine bir
aşk değildi. Onların aşkı devlet erkini ve asırları aşan bir aşktı.Osmanlı sarayının en güçlü kadınlarından
Hürrem Sultan'ın Slav asıllı olduğu bilinmektedir.. Ukraynalılar ise Hürrem Sultan'ın Ukraynalı Roxelana
olduğunu dile getirirler. İlk defa saraya, yabancı bir kadın, padişah eşi olarak Hürrem Sultan'la girmiştir.
Hürrem Sultan, Kanuni Sultan Süleyman'ın eşi olarak devlet yönetimini etkilemiş, Şehzade
Mustafa’yı bertaraf ederek oğullarının taht mücadelesinde oynadığı rolü, oğlu II.Selim'i tahta geçirme
çabası ile Osmanlı’nın en güçlü kadınlarından biri olmuştur. Kanuni'nin güven ve sevgisini kazanarak
onun nikahlı eşi olduktan sonra çeşitli entrikalar uygulayarak on altıncı yüzyıl Osmanlı tarihini olumsuz
yönde etkilemiştir. Çeşitli entrikalar ile önce Gülbahar Hatun'u, sonra da kırk yaşındaki veliaht Mustafa'yı
203
boğdurtmuş, İran savaşını desteklemiş, Ruslar ve Lehlerle barış içinde yaşanılmasını sağlamıştır. Hürrem
Sultan, İstanbul'da bugün Haseki olarak bilinen semtte yaptırdığı külliye ile adına külliye tesis edilen ilk
padişah eşi olma özelliğine de sahiptir.
Muhteşem yüzyılın şairlerinden ''Muhibbi’nin Hürrem Hatun için yazdığı aşk şiirleri, onun yalnız
güçlü bir devlet yöneticisi olmadığını aynı zamanda gönül dünyasındaki zenginliğini de anlatmaktadır. O
aynı zamanda bir aşk şairidir.Çıktığı uzun seferler sırasında çok sevdiği Hürrem Sultan'a aşk şiirleriyle
süslenmiş mektuplar göndemiştir.
N'ola baksam şem'i hüsnüne gönül pervaneveş
Dostum sen şem olacak âşıkım pervanedir.
Zülfünün ağında Muhibbî hâli anın divanedir.
Hürrem Sultan ise mektuplarına, Hazret-i Sultanım diye başlar ve Yüz(ümü) yere koyup, kutsal
ayağınızın bastığı toprağı öptükten sonra, benim devletimin güneşi ve sermayesi sultanım, eğer bu
ayrılığın ateşine yanmış ciğeri kebap, göğsü harab, gözü yaş dolu, gecesini gündüzden ayırt edemeyen,
özlem denizine düşmüş çaresiz aşkınız ile divane, Ferhat ile Mecnun'dan beter tutkun kölenizi sorarsanız,
ne ki sultanımdan ayrıyım, diye dil döker aşkını dile getirir.
Saray eşrafından ve şehir ahalisinden bahsetmeyi de ihmal etmez: Padişahım yine cariyenizi
topraktan kaldırıp, tezkire gönderip, Mahmut Çelebi'den beş bin filori bağışlamışsınız. Bir günün için
Allah'ın bin yardımı olsun. Şimdi benim sultanım, bu ne zahmet idi, kutsal bıyığınızın kılı bana beşbin
filoriden değerlidir. O bağış bize canımızdan fazla minnettir. Benim sultanım, ondan sonra şehir
etrafından sorarsanız, şimdilik hastalık vardır.
Günümüzde Topkapı müzesi arşivindeki mektuplar bu aşkın kanıtlarından bazılarıdır.
Mektuplarındaki üsluba bakınca Hürrem Sultan'ın tarihte oynadığı etkin rolü, tatlı diline ve işbilirliliğine
bağlamamız yanlış olmayacaktır.
Hürrem Sultan’ın Kanuni Sultan Süleyman’a yazdığı ve aşklarının kanıtı bir mektup...
Sultanım, Padişahım;Yüzümü yere koyup, mutluluk sığınağı ayağınızın topraklarınızı öptükten
sonra, benim devletimin güneşi ve saadetimin sermayesi sultanım, eğer bu ayrılık ateşine yanmış, ciğeri
kebap, sinesi harap,gözleri yaş dolu, gecesi gündüzü belirsiz olan, hasret deryasına gark bi-çare, aşkınız
ile müptela, Ferhat ile Mecnun'dan beter şeyda kölenizi sorarsanız; ne zamandır ki sultanımdan ayrıyım,
bülbül gibi ah u feryadım dinlemeyip, ayrılığınızdan dolayı öyle bir halim var ki, Allah, kafir olan kullarına
dair vermesin.Benim devletim, benim sultanım, özellikle, bir buçuk ay olduğu halde sizden bir haber
gelmemesi yüzünden, Allah biliyor ki , hiçbir şekilde rahatlık yüzü görmeyip, gece gündüz ağlayıp, kendi
hayatımdan el çekip, cihan gözüme dar oldu. Ne yapacağımı bilmeden ağlayıp gözyaşları içinde gözüm
kapıları gözlerken, ol ferdü rabbü'l alemin, aleme rahmet eden subhan-ı Yezdan, cümle aleme inayet
nazarın edip, fetih haberi ve müjdeli haberlerini yetiştirdi. Ve bu haberi işitince Allah biliyor ki, benim
padişahım, benim sultanım, ölmüş idim taze can buldum.Benim Sultanım, şehir hakkında soracak
olursanız; şimdilik henüz hastalık devam etmektedir. Ancak önceki gibi değildir. İnşallah Sultanım gelince,
Allah'ın inayetiyle de geçer gider. Azizlerimiz, hazan yaprağı dökülünce geçer derler.Benim Sultanım, sık
sık mübarek mektubunuzu gönderirsiniz diye, tazarru ve iltimas ederim. Zira ki, billah yalan değil, bir iki
hafta geçip de ulak gelmezse alem gulguleye gelir. Türlü türlü sözler söylenir. Yoksa sadece kendi nefsim
için istediğimi sanmayın.
Kanuni
Sultan
Süleyman
Han’ın
Hürrem
Celis-i halvetim varım habibim mah-ı tabanım
Enisim mahremim varım güzeller şahı sultanım
Hayatım hasılımömrüm şarab-ı kevserim adnim
204
Sultan
için
yazdığı
gazellerden
biri;
Baharım behçetim rüzum nigarım verd-i handanım
Neşatım işretim bezmim çerağım neyyirim şem’im
Turuncu u nar u narencim benim şem’-i şebistanım
Nebatım sükkerim gencm cihan içinde bi-rencim
Azizim Yusuf’um varım gönül Mısr’ındaki hanım
Stanbulum Karaman’ım diyar-ı milket-i Rum’um
Bedahşan’ım ve Kıpçağım ve Bağdad’ım Horasanım
Saçı varım kaşı yayım gözü pür fitne bimarım
Ölürsem boynuna kanım meded he na-müsülmanım
Kapında çünki meddahım seni medh ederim daim
Yürek pür gam gözüm pür nem Muhibbi’yim hoş halim!
Günümüz türkçesi ile;
Benim birlikte olduğum sevgilim parıldayan ayım. Can dostum en yakınım güzellerin şahı
sultanım.
Hayatımın yaşamımın sebebi Cennetim Kevser şarabım.Baharım sevincim günlerimin anlamı
gönlüme nakşolmuş resim gibi sevgilim benim gülen gülüm
Sevinç kaynağım içkimdeki lezzet eğlenceli meclisim nurlu parlak ışığım meş’alem.Turuncum
narım narencim benim gecelerimin visal odamın aydınlığı
Nebatım şekerim hazinem cihanda hiç örselenmemiş el değmemiş sevgilim.Gönlümdeki Mısır’ın
Sultanı Hazret-i Yusuf’um varlığımın anlamı
İstanbul’um Karaman’ım Bütün Anadolu ve Rum ülkesindeki diyara bedel sevgilim.Değerli lal
madeninin çıktığı yer olan Bedahşan’ım ve Kıpçağım Bağdad’ım Horasan’ım.
Güzel saçlım yay kaşlım gözleri ışıl ışıl fitneler koparan sevgilim hastayım!.Eğer ölürsem benim
vebalim senin boynunadır çünkü bana eza ederek kanıma sen girdin bana imdad et ey Müslüman
olmayan güzel sevgilim.
Kapında devamlı olarak seni medhederim seni överim sanki hep seni öğmek için görevlendirilmiş
gibiyim.Yüreğim gam ile gözlerim yaşlarla dolu ben Muhibbi’yim sevgi adamıyım bana bir şeyler oldu
sarhoş gibiyim. Bir hoş hale geldim.....
Bu durumu, bir sefer esnasında veya O’nun yanında olmadığı bir zamanda yazmış olduğu
düşünülen bir gazelle daha örneklendirelim:
“Sorma aşkın hâletin Mecnûn’a bir divânedür
Açma aşkın sırrını Ferhâd’a kim efsânedür
Sor bana aşkın rumûzun sana takrîr eyleyem
Can u baş terkin urur âşık heman pervânedür.
Gel temâşa eyle bir sırça sarâyın gönlümün,
Eşk-i surhiyle münekkaş zeynolmuş hânedür.
Gamzesi kanım içerse dostlar olmaz aceb
Kâfir-i bed-mest olanın meyli dâim kânedür.
Yâre varub dün gice dil-i derûnum arzeyledüm
Hâbe varı gözleri yanında san efsânedür.
Nola baksam şem’-i hüsnüne gönül pervane-veş
Dostum sen şem’ olıcak âşıkun pervânedür.
205
Zülfünün ağında “Muhibbî” hâli anın dîvânedür.”
Elbetteki bu gazeller Kanuni’nin Hürrem Sultan için yazdığı yüzlerce şiirden sadece bir kaç
tanesidir.
Muhibbî bu gazelinde olduğu gibi genellikle fâilâtün fâilâtün fâilâtün fâilün vezninde şiirler
yazmıştır Ancak bu, şairin aruzun diğer kalıplarında şiir yazmadığı anlamına gelmemektedir.
Muhibbî’nin halk edebiyatıyla ne kadar alakalı olduğunu bilemiyoruz ancak aruz kalıplarıyla, Halk
edebiyatının “dedim dedi’li” olarak adlandırılan biçiminde de bir şiiri vardır. Sultan şair halk edebiyatı
formatında aruzla bu tipte de bir eser vermiştir:
“Didüm aşkına düşdim pür niyâzum
Didi başdan başa ben dâhi nâzum
Didüm gönlümü gel yıkma habîbüm
Didi sandın beni ben dil-nüvâzum
Didüm dil mürgini benden ayırdın
Didi bilmez misin kim şahbâzum
Didüm bâlâ mıdur kaddün ya tûbâ
Didi andan yüce ben ser-firâzum
Didüm Mahmûd’un olmuşdur Muhibbî
Didi hüsn ile ben dahî Ayaz’um”[24]
Gazeli günümüz türkçesiyle;
“Dedim aşkına düştüm duacınım.Dedi ben baştan başa bela nazım.
Dedim gönlümü gel yıkma sevdiğim.Dedi beni gönül okşayan mı sandın.
Dedim dil kuşunu benden ayırdın.Dedi bilmez misin ki ben doğanım.
Dedim yüksek midir servi boylu güzel.Dedi ondan yüce ben daha yüksekteyim.
Dedim Mahmud'un olmuştur. Muhibbî Dedi güzellikle ben dahî Ayaz'ım.” Şeklinde ifade edebiliriz.
Muhibbi’nin yetmiş yaşını geçtiği sıralarda hastalandığını tarihi kaynaklardan öğrenmekteyiz.
Rahatsızlığı döneminde sağlığın ve huzurun önemini vurgulayan atasözü değerindeki şu dizelerini
kaleme almış ve birer inci tanesi misali edebiyatımıza nakşetmiştir.:
“Halk içinde muteber bir nesne yok devlet gibi
Olmaya devlet cihanda bir nefes sıhhat gibi
Saltanat dedikleri ancak cihan gavgasıdır
Olmaya bahd ü saadet dünyada vahdet gibi
Ger huzûr etmek dilersen ey Muhibbî, farig ol;
Olmaya vahdet makaamı kûşe-i uzlet gibi!”
Beyitleri günümüz türkçesiyle;
“Yani halk içinde devlete sahib olmak ya da hükmetmek çok itibarlıdır. Ancak en büyük mutluluk
sağlıklı olmaktır
Saltanat dedikleri ancak dünya kavgasıdır.Ancak baht ve saadet gibi dünyada birlik yoktur
Ey Muhibbî huzura kavuşmak istersen ayrıl. Uzlet köşesi gibi birlik makamı yoktur” şeklinde
ifade edebiliriz.
206
Muhibbi divanından ele aldığımız veya ele alamadığımız bütün dizelerinin, beyitlerinin Kanuni'nin
hayata bakış açısını, kişisel bilgi birikimini, şiir tekniğindeki kudretini, söz ve mana sanatlarına hakimiyetini
yansıttığını görmekteyiz.Muhibbi-Kanuni son derece başarılı bir devlet adamıdır. Hem siyasi hem de
sanatsal alandaki bu başarısını da Türkçe ile kazanmıştır.Nitekim Kanuni'nin Fransız kralı François'e
Osmanlıca yazdığı mektubuna, Fransız kralın yine Osmanlıca cevap verdiği tarihi bilgiler arasında yer
almaktadır.
Sonuç olarak, herbiri birbirinden güzel, yeri geldiğinde siyasi duygu ve düşüncelerini dillendirdiği,
yeri geldiğinde aşk-ı derununa ithafen yazdığı şiirlerinden hareketle O’nun alalade bir şiir heveslisi
olmadığını dile getirmek zorundayız. Üstelik bu günlerde yayımlanan bir dizide Pargalı İbrahim tarihteki
öteki adlarıyla önce Makbul İbrahim Paşa sonra Maktul İbrahim Paşa ile aralarındaki gizemli şiir
söyleşileriyle, şairliği vesile edilerek kişiliğine farklı bir nahoşluk yakıştırılmaya çalışılan Kanuni-Muhibbi
bir divan oluşturabilecek kadar çok şiir yazması ve şiirlerinin nitelikli olması yönüyle şair ünvanını almayı
sonuna kadar hak eden ve farklı yönlerden de araştırılmaya layık bir Türk Büyüğü’dür.
KAYNAKÇA
1)
2)
3)
4)
5)
6)
7)
8)
9)
10)
11)
12)
13)
14)
15)
16)
17)
18)
19)
20)
21)
Tüzün, Güler (2004). “Muhteşem Süleyman”, Tarihte Olağanüstü Kişiler, sf. 19, Ana Yayıncılık.
ISBN 975-7760-83-8.
Gözlemci.net.Online, Eğitim Ansiklopedisi.16 Yüzyılda Osmanlılarda Kültür Sanat.Kategori :
Osmanlı Tarihi
Gözlemci.net. Online, Eğitim Ansiklopedisi.16 Yüzyılda Osmanlılarda Kültür Sanat.Kategori :
Osmanlı Tarihi
Mengi, Mine, Eski Türk Edebiyatı Tarhi, Edebiyat Tarihi-Metinler, Akçağ Y., Ankara, 2004; Büyük
Türk Klasikleri, Ötüken Y., İstanbul, 2004, 3.Cilt.
Tüzün, Güler (2004). “Muhteşem Süleyman”, Tarihte Olağanüstü Kişiler, sf. 19, Ana Yayıncılık.
ISBN 975-7760-83-8.
Tüzün, Güler (2008). “Kanuni”, Britannica Bilgi Hazinesi, sf. 477, Sabah. ISBN 975-7930-32-6.
Devellioğlu, O.,Osmanlıca-Türkçe Ansiklopedik Lugat, Aydın Kitabevi, Ankara, 2000.
NTV tarih, Sayı 25, Şubat 2011.
Bahadıroğlu, Yavuz (2009). “Kanuni Sultan Süleyman (Muhteşem Padişah)”, Osmanlı Tarihi, sf.
157-189, Nesil Yayınları. ISBN 978-975-269-299-2.
Şahiner, Atilla (2008). “Sultan (I.) Süleyman (Kanuni)”, Osmanlı Tarihi, sf. 121, Lacivert
Yayıncılık. ISBN 978-9944-75-902-1.
Özdamarlar, Metin (2009). “Yavuz Sultan Selim”, Muhteşem Zaferler, sf. 13, Timaş Yayıncılık.
ISBN 978-975-263-887-3.
"SOLIMAN II LE MAGNIFIQUE (1520-1566)". Byegm.gov.tr. 29 Mart 2010 tarihinde erişilmiştir.
Bahadıroğlu, Yavuz (2009). “Kanuni Sultan Süleyman (Muhteşem Padişah)”, Osmanlı Tarihi, sf.
157-189, Nesil Yayınları. ISBN 978-975-269-299-2.
Özdamarlar, Metin (2009). “Yavuz Sultan Selim”, Muhteşem Zaferler, sf. 13, Timaş Yayıncılık.
ISBN 978-975-263-887-3.
Kanar, Mehmet,Osmanlı Türkçesi Sözlüğü,s:315.
Devellioğlu, O.,Osmanlıca-Türkçe Ansiklopedik Lugat, Aydın Kitabevi, Ankara,2000, S:672.
Ak, Çoşkun, “Şair Padişahlar”, Kültür Bakanlığı, Ankara, 2001.
207
22) Devellioğlu, O., Osmanlıca - Türkçe Ansiklopedik Lügat, Aydın Kitabevi Yayınları, Ankara, 2000,
s:988.
23) Devellioğlu, O.,Osmanlıca - Türkçe Ansiklopedik Lügat, Aydın Kitabevi Yayınları, Ankara, 2000,
s:861.
24) http://www.turkforum.gen.tr/vforum/gazneli-mahmut-ve-ayaz-t135872.html
Ayaz, Gazneli Mahmud'un himayesinde yetişmiş akıllı, bilgili bir zattır. Ayaz ve etrafında gelişen
olaylar Doğu Edebiyatı’nın önemli konularından biridir.
АДАБИЙ ЧЫГАРМАЛАРДА ЖЫЛКЫНЫН БАЯНДАМАЧЫ КАТАРЫ РОЛУ
Угур СОЛДАН
БГУнун аспиранты
Кайсыл бир окуяны ичине камтыган текст окурман же угармандарга баяндамачы аркылуу
жеткирилээри баарыбызга маалым. Тарыхтын өткөн кылымдарына тийиштүү дастан же легенда
сыяктуу элдик оозеки чыгармалардан баштап, бүгүнкү күндүн аңгеме жана роман сыяктуу адабий
чыгармаларындагы окуяларды баяндап берүү салты негизги элементтердин бири болуп келмекчи.
Көп учурларда баяндамачы менен жазуучуну бир жак катары көрүп, алмаштырып келгенибизге
карабастан, экөөнүн аткарган ролу эки башка. Жазуучу өз дүйнөсүндө жаралган окуялар курамын
окурманга жеткирүүдө, сөзсүз түрдө бир баяндамачыга муктаж болот. Чыгармага байланыштуу
бардык окуялар тизмеги баяндамачынын көз карашына карай окурмандарга сунулат.
Баяндамачылар негизинен үч түргө бөлүнөт. Аларды кыскача түшүндүрсөк:
а) Каарман-баяндамачы (биринчи жак баяндамачы). Бул түрдөгү баяндамачы адабий
чыгарманын сюжетинде роль ойногон каармандардын бири. Мындай баяндамачылар чыгармада
башкы, ошондой эле экинчи же үчүнчү орундагы каарман да болушу мүмкүн. Бирок, жазуучулар
көпчүлүк учурда окуялардын борборунда турган башкы каармандарды каарман-баяндамачы
катары тандашат. Чыгармадагы окуялар окурмандарга башкы каармандын эскерүүлөрү катары
чагылдырылат. Каарман-баяндамачы өз башынан кечирген, сезген жана көргөн окуяларын өз көз
карашы аркылуу окурмандарга сунат. Окурмандар болсо, окуялар тизмегин каарманбаяндамачынын терезеси аркылуу көрүп туюшат. Жогоруда айтылгандай, мындай баяндамачылар
кээ бир учурларда чыгарманын сюжетинде экинчи же үчүнчү орунду ээлеген жана башкы
каарманды, анын дүйнөсүн жакшы билген персонаждардан болушу да ыктымал.
б) Экинчи жак баяндамачы. Бул типтеги баяндамачы биринчи же үчүнчү жак баяндамачы
сыяктуу кенен жайылган ыкмалардан эмес. Экинчи жак баяндамачы чыгарманын башкы
каарманына таянуу менен ошол каарман аркылуу окуяларды окурмандарга чагылдырат. Ушул
багытта каармандын жасаган, көргөн, сезген, ойлогон нерселерин «сен» жак категориясын
колдонуу менен «келе жатасың, түшүнүп жатасың, унутуп жатасың» сыяктуу сөздөр аркылуу айтып
берет.
с) Үчүнчү жак баяндамачы. Бул баяндамачы чыгармада роль ойногон каармандардын
башынан кечирген окуяларын жана келечегин, сезимдерин, оюн, кайгы-капасын, кубанычтарын,
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ички туюмдарын, кыскасы, аларга байланыштуу бардык нерселерди билген, өзгөчө
айырмачылыктарга жана мүмкүнчүлүктөргө ээ образ. Каармандардын ички дүйнөсүн иликтеп,
баарын ар тараптуу формада окурмандарга жеткирет. Ошондуктан, жазуучу чыгармасын
жаратууда үчүнчү жак баяндамачы ыкмасын көп колдонот. (Akdeniz, 2008; Aktaş, 1984; Çetin, 2006)
Ар бир эле жазуучу чыгарма жаратууда жогоруда айтылган ыкмалардын бирин колдонууга
мажбур болот. 2006-жылы Нобель сыйлыгына татыктуу болгон Орхан Памуктун «Менин атым
Кызыл» аттуу чыгармасы колдонулган баяндоо техникасы боюнча окурмандардын көңүлүн бурган
эмгек болуп саналат. Аталган чыгармадагы өзгөчө техниканы сөз кылуудан мурун Орхан Памук
жана анын «Менин атым Кызыл» аттуу романы туурасында кыскача маалымат берип кетүүнү туура
таптык.
Орхан Памук 1952-жылы 7-апрелде Стамбулда бай үй-бүлөдө төрөлүп өскөн. Балалык
чагын төрөлгөн шаарында өткөрөт. Ал эми чыгармаларын 1974-жылдан баштап жазып баштайт.
Эмгектери элүү сегизге жакын тилдерге которулуп, жүздөн ашуун өлкөлөрдө жарык көргөн.
«Жевдет бей жана анын уулдары» аттуу алгачкы чыгармасы баш болуп, дээрлик бардык
чыгармалары ар кандай сыйлыктарга ээ болгон. Албетте, бул сыйлыктардын ичинен эң
маанилүүсү 2006-жылы алган Нобель адабий сыйлыгы болуп саналат. Швеция академиясы Орхан
Памукка бул сыйлыкты «Шаарынын татаал кырдаалды башынан кечирип жаткан мезгилинде
маданияттардын бири-биринен чаташуусу жана чечилүүсүндө жаңы символдорду жараткандыгы
үчүн» ыйгаргандыгын билдирген.
«Орхан Памуктун эң көркөм жана оптимисттик мүнөздөгү чыгармасымын» деп жарык көргөн
«Менин атым Кызыл» романынын негизги эпизоддорунун биринде 1591-жылы Стамбулда узак
убакытка чейин чатышкан татаал турмушта жашаган Шекүре аттуу сулуу төрт жылдан бери
согуштан кайтпаган өмүрлүк жарынын ордуна жаңы түгөй, өз сүйгөнүн издеп баштайт да, атасы
бир-бирден үйгө чакырган сарай сүрөтчүлөрүн жашынып алып карайт. Үйгө келген уста сүрөтчүлөр
атасынын көзөмөлү астында Осмон падышасынын жашыруун жаздырган бир китебине
Франциянын таасириндеги коркунучтуу сүрөттөрдү тартышчу. Сүрөтчүлөрдүн арасынан бири
өлтүрүлгөндөн кийин, Шекүреге ашык болуп жүргөн, анын таежесинин уулу Кара алардын
катарына кирет. Жогорку тараптан болгон басымдар, кымбатчылык жана коркунуч күч алып
турганда, Стамбулда бир насаатчынын тегерегине чогулушуп, түнү бир чайканага топтолушкан
сүрөтчү менен жазуучулар сөзмөр бир аңгемечинин айтып берген аңгемелерин угуп, көңүл ачышчу.
Ар кимдин өз ою менен сүйлөгөнү, маркумдардын, буюмдардын үн чыгарганы, өлүм, санат,
ашыктык, үйлөнүү жана бакыт жөнүндөгү бул китеп, ошол эле учурда эски сүрөт санатынын
унутулган кооздуктарына” (Pamuk: 1998, Arka Kapak) окурмандардын көңүлүн бурат.
«Менин атым Кызыл» чыгармасы каарман-баяндамачы ыкмасы менен жазылган. Бирок,
башка чыгармаларынан айырмаланып, мында окуялар бир гана каарман-баяндамачы аркылуу
чагылдырылбайт. Бир караганда, чыгармадагы каармандар, жандуу же жансыз, адам же айбан
болсун, баяндамачы катары да орун ээлешет. Кээ бир учурда бир маркум, же акча, кээде ит же
жылкы окурман менен сүйлөшүп баштайт. Мунун негизинде, жазуучу окуяларды бири-биринен
айырмаланган багытта окурмандардын назарына сунат. Биз бул макалабызда башка
баяндамачыларга караганда, көбүрөөк кезиккен жылкы-баяндамачыларга токтолмокчубуз.
Азыр тынч, мемиреп турганым менен, кылымдар бою чуркап келген жандыкмын.
Өрөөндөрдү кечип, согуштарга катышып, падышалардын муңдуу кыздарын күйөөгө жеткирип,
окуядан тарыхка, тарыхтан легендага, китептен китепке улам бир жаңы баракты аралап чуркап
келем. Канчалаган окуялардан, жомоктордон, китептерден жана канчалаган согуштардан орун
алып, тайманбас баатырларды, жомок кармандарын, күчтүү аскерлерди коштоп жүргөнүм үчүн,
жеңишке ээ болгон падышаларыбыз менен сапардан сапарга чуркап чогуу жүргөнүм үчүн, албетте,
абдан көп сүрөттөрүм тартылды», - деп сөзүн баштаган жылкы дагы бир эпизоддо «Ушунчалык көп
сүрөткө тартылуу деген кандай гана кубаныч?» - деп суроо иретинде сөз козгоп, «Албетте,
сыймыктанам. Бирок, ал сүрөттөрдүн баарында бир гана мен тартылдым бекен деген суроо да
пайда болот. Бул сүрөттөрдөн улам байкалгандай, келбетим ар кимге ар кандай көрүнүшү мүмкүн.
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Бирок, ошентсе да, ал сүрөттөрдүн арасында бир жалпы өзгөчөлүк, окшоштук бар экендигине
толук ишенем». (Pamuk, 123)
«Менин атым Кызыл» чыгармасында жылкы-баяндамачы сүрөтчүлөрдөн уккан бир
аңгемени окурмандарга айтып берет. Алардан укканына караганда, капыр Франция падышасы,
Венедикт Дочунун кызына үйлөнүүнү көздөп жүрөт. Ошондон улам, Венедикт кедейби же же
байбы, кызы сулуубу же сулуу эмеспи экендигин да эске алат. Аягында, падыша эң уста
сүрөтчүсүнө Венедикт Дочунун кызын, мал-мүлкүн жана буюмдарын сүрөткө тартуусун буйрук
кылат. Доч сүрөтчүгө кыздарын гана эмес, жылкыларын да көрсөтөт. Сүрөтчү Дочунун кызын да,
жылкыларын да болгонундай сүрөткө тартат. Франция падышасы Венедикттен келген сүрөттөрдү
сарайынын короосунда карап отурса, өзүнүн айгыры сүрөттөгү бээге секирип баштайт.
Жылкычылар сүрөттү сындырган азоо айгырды араң кармап кетишет.
Жылкы-баяндамачынын айтуусуна караганда, «Француз айгырын анчалык азоолондурган
нерсе - бээнин сулуулугу эмес, сулуу болсо болгондур, бирок, мында негизги нерсе белгилүү бир
жылкы үлгүсүнүн сүрөткө тартылгандыгы болуп саналат». (Pamuk, 123)
Баяндамачы сүрөттөгү жылкынын келбети сулуу, буттары узун жана сымбаттуу болгондугун
айтат. Аны көргөндөр эң алгач анын сымбатына көңүл бурушчу. Негизинен, жаратылыш түзүлүшү
боюнча ал башка жылкыларга окшош болгон. Бирок, аны тарткан сүрөтчү өтө таланттуу сүрөтчү
болгондуктан, сүрөттү көргөндөр аны башка жылкылардан бир топ жогору коюшаар эле.
Чындыгында, так өзүндөй башка жылкы жок эле. Таланттуу сүрөтчүнүн кыялындагы бир жылкынын
сүрөтү болгондуктан, башка жылкылардан кескин айырмаланып турчу. (Pamuk, 123)
Жылкы-баяндамачы «Бүтүндөй жылкылар, ар бирибиз эң улуу Алланын колунан ар кандай
айырмачылыктар менен жаралганыбызга карабастан, сүрөтчүлөр бизди эмне үчүн жаттап
алгандай тартышат? Эмне үчүн бизди эч карабай туруп эле, миңдеген, он миңдеген жылкылардын
сүрөттөрүн тартып алып мактанышат? Анткени, алар өз көзү менен көргөн ааламды эмес, Алланын
көргөн ааламын тартканга умтулушат. Бул бир канча кудайга ишенүү болуп саналат. Кудай сакта!
Мындай нерсе Алланын жасай ала турганын мен да жасай алам дегендикке жатпайбы? Өз көзү
менен көргөн нерсеге алымсынбай, кыялындагы жылкыларды «бул Алланын көргөн жылкысы» деп
миңдеген жолу сүрөтүн тарткандар, эң сулуу жылкыны жаттап алган сокур сүрөтчүлөр тарта ала
турган нерселерге умтулгандар улуу Алла менен жарышып, динсиздикке карай кадам жасашкан
жокпу?» (Pamuk, 123-124) - деп сурагандан соң, мындай улантат:
«Француз устаттарынын жаңы сүрөт ыкмалары динсиздик эмес, тескерисинче, динибизге эң
туура келген нерсе. Бирок, эрзурумдук бир туугандарым мени туура эмес түшүнүп калышпасын.
Мен, француз капырларынын аялдары жашырганды билбестен, жарым жылаңач болуп элди
аралап жүргөндөрүн жана жеңил ойлуулуктун натыйжасынан жакшы эркектердин кадырын билбей
калгандарын, эркектеринин сакал-мурутсуз болгондору аз келгенсип, чачтарын карылар сыяктуу
узун өстүрүп алгандарын, Азрети Иса пайгамбарды бир эле учурда «Кудай сакта!» дегендерин эч
жактырган жокмун. Атүгүл, ачууланам. Эгер алардын бири алдымдан чыгып кала турган болсо,
жакшылап бир уруп алсам деп да ойлойм». (Pamuk, 124)
Жылкы-баяндамачы эки бутун бир мезгилде алдыга таштап чуркап бара жаткан жылкыны
тарткан сүрөтчүлөргө ачууланат. Себеби, эч бир жылкы мынтип коен сыяктуу чуркабайт.
Жылкынын алдыңкы буттарынын бири алдыда болсо, экинчиси артта болот. Эч бир жылкы согушка
арналып тартылган сүрөттөрдө тартылгандай, алдыңкы буттарынын бири толугу менен жерде
турган учурда экинчисин тынчсызданган ит сыяктуу алдыга таштабайт. Ушундай калыпта артка
жыйырма жолу жылып отуруп тартылган сыяктуу, эч бир аскер бөлүгүнүн жылкылары бир учурда
эки бутун тең алдыга узата албайт. Кээ бирлер жылкыларына жакшы карабаган мезгилде, алар
алдындагы жашыл чөптү чукулап жешет. Сүрөтчүлөрдүн тартканындай, алдыга түптүз карап,
сымбаттуулукка көңүл да бурушпайт. (Pamuk, 124)
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Жылкы-баяндамачы жыйынтыгында, Исфаханга жөнөтүлгөн бир шахзааданын жылкыларга
жасаган мамилеси туурасындагы аңгемеден да сөз козгойт. «Илгери Ширазда картаң жана ачкөз
бир падыша жашаптыр. Душмандарынын аны тактан түшүрүп, уулун отургузабыз дегенин угуп
алып, чочуп шахзааданы Исфаханга башчы кылып жөнөтпөстөн, сарайынын узактагы бир
бөлмөсүнө камап салат. Короого чыкпай, элге аралашпай, отуз бир жыл камалып отуруп, китептер
менен чоңойгон жаш улан жашы жетип дүйнөдөн кайткан атасынын ордуна такка отураарда «Мага
бир жылкы алып келгиле. Китептерден сүрөттөрүн көп көрдүм. Бирок, чындыгында ал кандай
жаныбар экендиги мага кызык болуп жатат», - дейт. Анын алдына сарайдын эң сулуу жылкысын
алып келишкенде, жаңы падыша жылкынын мор сыяктуу мурун таноолорун, (...), сүрөттөрдөгүдөй
жалтырабаган түктөрүн, одоно соорусун көрүп, кыялы талкаланып, мамлекетиндеги бүтүндөй
жылкыларын өлтүртөт. Кырк күнгө созулган мындай заалимдиктин соңунда мамлекеттин өзөндөрү
кайгыга чөмүлүп, кан дарыядай аккан экен. Жараткандын буйругу менен бул жаңы падыша
Каракоюндук Түркмөн бейдин аскерлери менен салгылашууда жылкылары жок болгондуктан,
туруштук бере албай жеңилип, бөлүктөргө бөлүндүрүлүп, өлтүрүлгөн экен». (Pamuk, 124)
«Менин атым Кызыл» чыгармасында жогоруда айтылып кеткендей ар бир мүнөз жазуучу
тарабынан ар кандай баяндамачылар аркылуу чагылдырылгандыктан, алардын түрлөрү да көп
десек болот. Бирок, жазуучу алардын бирин да негизги чагылтуучу катары колдонгон эмес. Ар бир
баяндамачы ар бир тарапты өз терезесинен көрүп жаткан сымал баяндап берет. Жылкыбаяндамачынын окурмандарга айтып бергендерин да ушул багытта иликтесе болот. Албетте,
жазуучу бир гана эмпатия жолу менен айланада болуп жаткан нерселерге бир жылкынын көз
карашы аркылуу карабастан, өз кыялында жаралган бир катар фантазия жана ойлорун да жылкы
аркылуу түшүндүрүп берген.
АДАБИЯТТАР
1. AKDENİZ, Safiye. (2008) Hikaye ve Romanda “Anlatıcı”ya Göre Metin Tipleri, Bakış Açısı
ve Odaklanma, http://www.ege-edebiyat.org
2. AKTAŞ, Şerif. (1984) Roman Sanatı ve Roman İncelemesine Giriş, Ankara: Akçağ
Yayınları.
3. ÇETİN, Nurullah. (2006) Roman Çözümleme Yöntemi, Ankara: Edebiyat Otağı, 105-120.
4. PAMUK, Orhan. (1998) Benim Adım Kırmızı, İstanbul: İletişim Yayınları, 123-124.
5. http://tr.wikipedia.org/wiki/Orhan_Pamuk
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ЗАЩИТА ПРАВ ПОТРЕБИТЕЛЕЙ В ЖИЛИЩНО-КОММУНАЛЬНОЙ СФЕРЕ И ПРОБЛЕМЫ
РЕФОРМИРОВАНИЯ В ЭТОЙ СФЕРЕ
Проблему жилищно-коммунального хозяйства (ЖКХ) в народе расшифровывают по разному,
к примеру: «живи, как хочешь» - заливание подъездов, подвалов; не работают лифты; проржавели
и лопнули трубы; пропали трубы и т.д. - все это проблема самих жильцов, проживающих в таком
доме.
И здесь все более актуально становятся вопросы защиты прав потребителей в жилищнокоммунальной сфере, поскольку состояние обслуживания в этой области вызывает множество
нареканий со стороны потребителей. Результаты деятельности антимонопольных органов
показывают, что необходимо принимать меры для приведения отношения между потребителями и
исполнителями на этом рынке в соответствии с Законом Кыргызской Республики «О защите прав
потребителей». Процесс этот должен осуществляться комплексно, с обязательным изучением
динамики происходящих в ходе реформы хозяйственного механизма и структуры управления
перемен, позволяющих оперативно корректировать все изменения. При этом максимально
должны учитываться интересы различных категорий потребителей. Внедряемая в настоящее
время антимонопольными органами система мониторинга за развитием рынка жилищнокоммунальных услуг в наибольшей степени отвечает этим требованиям.
Контроль за соблюдением законодательства о защите прав потребителей со стороны
антимонопольных органов предусматривает не только анализ уровня обслуживания населения,
качества предоставляемых услуг, но и степени информированности граждан о правилах
обслуживания, а также анализ их поведения в случаях различных нарушений. Данные статистики
свидетельствует, что в последние годы почти каждое второе нарушение законодательства о
защите прав потребителей в сфере услуг из числа выявленных антимонопольными органами было
допущено именно при оказании жилищно-коммунальных услуг. Активность потребителей,
отстаивающих свои права в антимонопольных органах и общественных объединениях
потребителей, во многом обусловлена процессом передачи жилья из ведения предприятий и
организаций в муниципальную собственность, а также приватизацией жилья.
В общем, количестве жалоб на жилищно-коммунальное обслуживание наибольшее их число
приходится на содержание жилищного фонда, а именно:
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-больше всего нарушений отмечено в работе систем водоснабжения и отопления;
-особенно неблагоприятно ситуация сложилось в отношении ремонта и содержания жилых
домов: ни профилактические работы, ни капитальный ремонт не осуществляется в положенные
сроки;
-недостатки, отмечены в работе коммунальных служб, связаны как с неудовлетворительным
материально-техническим состоянием оборудования и слабой профессиональной подготовкой
персонала, так и с невозможностью получения гражданами аналогичных услуг помимо той
организации, к которой жилой дом прикреплен в ч силу своего территориального расположения;
-отсутствие конкуренции и развитого рынка коммунальных услуг приводит к росту в
зависимости потребителей от предприятия и организации, их предоставляющих, вынуждая делать
необоснованные затраты, оплачивая услуги работников коммунальных служб, не выполняющих
свои прямые обязанности.
Ущемление прав потребителей появляется в отсутствии правильно оформленных
договорных отношений между жилищно-коммунальными организациями и гражданамипотребителями по вопросам найма и обслуживания жилого помещения, обслуживания и
ремонта квартир, взаимоотношение собственника квартиры и муниципальной жилищнокоммунальной организации и др.
Среди наиболее распространенных видов нарушений, допускаемых жилищнокоммунальными организациями, следует отметить отсутствие наглядной информации о правах,
обязанностях и ответственности исполнителя (наймодателя) и квартиросъемщика, о платных
услугах и прейскурантах на оказываемые услуги, показателях качества, предоставляемых услуг.
Опыт работы большинства территориальных управлений показывает, что в добровольном
порядке восстановить права потребителей при оказании коммунальных услуг удается не всегда,
что заставляет их прибегать к выдаче предписаний. В первую очередь это касается
обязательного заключения договоров в письменной форме, как это предусматривается
законодательством.((1) Голощапов Н.А., Помазкова С. И.- М.: Изд-во «Приор», 2003.С. 209-210.
Согласно ст. 24 Жилищного Кодекса Кыргызской Республики деятельность по обеспечению
сохранности жилищного фонда и надлежащим их использовании осуществляется жилищноэксплуатационными организациями на основе хозяйственного рассвета, которые и занимаются
управлением жилищным фондом. ((2) Жилищный кодекс КР. ст. 24)
Специально уполномоченными государственным органом управления в области
использования и обеспечения сохранности жилищного фонда в Кыргызской Республике раннее
курировалось Министерством жилищно-коммунального хозяйства Кыргызской Республики,
ныне эти полномочия преданы органам местного самоуправления и здесь возникает немало
вопросов, связанных с обеспечением деятельности и функционирования ЖКХ на должном
уровне.
Одним из способов преодоления кризиса в жилищно-коммунальном хозяйстве на наш взгляд
является изменение системы финансирования, т.е. переход бюджетного дотирования к оплате
в полном объеме жилищно-коммунальных услуг потребителями при условии обеспечения
социальной защиты малообеспеченных семей и экономического стимулирования улучшения
качества обслуживания. Это означает, что органы местного самоуправления должны
устанавливать тарифы на жилищно-коммунальные услуги населению, учитывая реальные доходы
граждан и затраты на поддержание работоспособности систем инженерного жизнеобеспечения
населенного пункта.
Были определены основные цели реформирования жилищно-коммунального
хозяйства. Это - обеспечение условий проживания, отвечающих стандартам качества:
- снижение издержек производителей услуг и соответственно снижение тарифов на них;
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- смягчение для населения процесса реформирования системы оплаты жилья и коммунальных
услуг.
Основными способами достижения этих целей являются:
-совершенствование системы управления, эксплуатации и контроля в жилищно-коммунальном
хозяйстве;
-переход на договорные отношения, развитие конкурентной среды, преимущественно
конкурсный отбор организаций, осуществляющих управление жилищными фондом и его
обслуживание;
-совершенствование системы оплаты жилья и коммунальных услуг, предусматривающее
установление повышенных тарифов на сверхнормативную площадь жилья и сверхнормативное
потребление коммунальных услуг, а также дифференциацию оплаты в зависимости о качества
и местоположения жилья;
-совершенствование системы социальной защиты населения. А именно, упорядочение
существующей системы льгот и усиление адресной направленности выделяемых на эти цели
средств. ((3) Колесникова Л.А. - М.;1998, С.ЗЗ.)
Когда начинается отопительный сезон, а люди привыкли жить согласно поговорке «Пока
гром не грянет, мужик не перекреститься», все чиновники и не чиновники думают, что зима не
настанет и все чего ждут. А именно с началом зимы и весенней оттепели начинаются ремонтные и
восстановительные работы в ЖКХ.
И здесь по ряду территорий до 80% бюджета расхода ЖКХ уходят на эти работы, которые
невозможно проконтролировать - срочная поломка, нужно заменить 2 метра трубы, а списываются
километры; идет не обновление сетей, а их латание; тем более, что замена и установка новой
котельной не по карману; кроме того, имеются так же расходы, связанные с содержанием
работников, обслуживающих ЖКХ и т.д.
В этом случае полная ответственность лежит на муниципалитете и на государстве.
Государство должно проводить комплексные проекты по обновлению коммуникаций и при
этом не дробить жилищный комплекс на сети: на ЖКХ муниципалитета и ЖКХ регионов. Оно
должно осуществлять мероприятия в рамках целевого комплекса реформирования и
прежде всего найти баланс-защитить население с социальной точки зрения.
Отопление включается обычно в период, когда еще на улице тепло, связано это с тем, чтобы
заранее прогреть дома, тогда и расход на их обогрев становиться меньше, а значит это напрямую
также связано с экономией.
Жильцов домов это не устраивает, они начинают возмущаться, и здесь как нам видится
территориальные
управления
ЖКХ
должны
проводить
заранее
с
жильцами
разъяснительную работу.
Интересными на наш взгляд является опыт реформирования ЖКХ в Омской, Кемеровской
областях Российской Федерации, в частности в Кемеровской области малоимущие должны были
иметь счет и были разбиты на дотации - 5, 7, 15, 25%, остальные же должны были производить
оплату в 100%; в Омской области также были распределены все расходы, причем 19%
прожиточный минимум не вкладывался в эту сумму.
Такой практический опыт был бы полезным в рамках реформирования ЖКХ и в нашей
республике.
Конечно, утверждать, что сегодня не ведется никакая реформа ЖКХ нельзя, она ведется и
направлена, прежде всего, на защиту, по крайней мере, с социальной стороны, так в частности
государство направило свои силы на рынок доступного (строительного) жилья.((4) О
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приватизации жилищного фонда в Республике Кыргызстан / Закон Кыргызской Республики от 20
декабря 1991 № 681 - XII, / с НАНАКР, № 35, 2005, С.5-9; Об индивидуальности жилищном
строительстве в Республике Кыргызстан / Закон Кыргызской Республики от 21 декабря 1991 № 689
- XII / там же, С.9-13; О концепции развития жилищного развития жилищного строительства в
Кыргызской Республике до 2010г. / Указ Президента Кыргызской Республики от 6 апреля 2000г. УП
№ 76 / Там же; Мероприятия по реализации «Программы жилищного строительства в г.Бишкек до
2010г.» / Утв. постановление коллегии г.Бишкек, от 24 июня 2005г. №6ПК / НАНКР, № 35, 2005; О
нарушениях законодательства Кыргызской Республики при выделении земельных участков под
индивидуальное жилищное строительство в жилых массивах г.Бишкек / Постановление
Бишкекского Горкенеша от 23 ноября / НАНКР, 2005г. № 145, С.62-64.)
На наш взгляд желательно было бы подойти к реформе ЖКХ с такой позиции как ЖКХ «Живи как хозяин» - человек должен стать хозяином жилья и своей судьбы; необходимо
продумать программу государственной поддержки муниципалитета ЖКХ, при этом влияние
иностранных вкладчиков в инфраструктуру ЖКХ было бы не последним.
ЖКХ - имеет законченный характер - как земледелец пашет землю - это постоянная
составляющая общественной жизни, другое дело какой вектор? Совпадает ли он с интересами
общества?
Население больше оплачивает услуги, а необходимо на наш взгляд производить оплату
затрат за эти услуги, причем в соответствии с выполнением условий договора: например
заказами 20° тепла в зимний период отопления жилья, а получают 12°, значит не выполняются
условии договора, а значит не будет оплачиваться эти услуги. Люди, не хотят сегодня кредитовать
бесхозяйственность — они не должны платить за разгильдяйство.
О цивилизационных отношениях в этих вопросах транзируют различные слои населения и
правда, когда муниципальные власти, исполнительные органы делают улучшение ЖКХ, проблема
собираемости улучшается, но рост цен на услуги ЖКХ, опять таки тормозит этот процесс.
ЖКХ конечно является монополистом, что естественно, но и не естественно с другой
стороны. Государство установило правила по регулированию тепловой и электрической энергии.
Энергетики провели регулирование инфляции, и государство контролирует эти тарифы, но оно не
регулирует полностью рынок по производству бензина, керосина, мазута, добыче угля, газа и их
поставки с других зарубежных государств.
Рост цен на энергоресурсы резко отразился на услугах ЖКХ, при этом республиканский
бюджет не смогли расширить и пришлось включать комплексации в местный бюджеты регионов
Кыргызской Республики.
Поэтому как нам видится задачами областей являются обеспечение себя
энергоресурсами не на 1 год, 3 года, а на 5 и 19 лет, причем использовать энергоресурсы
прежде всего местные; лес, уголь, торф, газ, а уже потом какие есть ресурсы у государства
концентрировано направлять и применять их в этих областях.
Также необходимо разработать предложения об ответственности за договоры между
энергообеспечивающими организациями; добывающими предприятиями; поставщиками
энергоресурсов, ведь необходимо учитывать затраты, связанные с ростом цен на их
поставку, в частности железнодорожным транспортом; и выработать соответствующий
документ, урегулирующий эти отношения.
В целях экономии, сегодня, частности в ряде регионов Российской Федерации пошли по
неординарному пути - в школах размещаются: больница и аптека; администрация областей,
районов размещается в территориальных клубах, театрах; так в Курской области такой шаг
приносит экономию в их бюджет ежегодно полмиллиона рублей в месяц, в то время как в
215
отдельных районах нашей республики, вообще отсутствует отопление из-за нехватки денег, либо
создается видимость отопления. Конечно же, это не выход из положения, на наш взгляд на
уровне государства необходима разработка государственной рыночной политики в этом
вопросе, в том числе в полемике критики центрального отопления, ведь есть частный
сектор, не желающий общей сети отопления, т.е. нужен рациональный подвод в их
разработке. Все это и другое должно быть экономически просчитано, необходимо при этом
и учитывать вопросы, связанные с защитой и охраной окружающей среды... и здесь нужен
экономический баланс.
Отношения в области защиты прав потребителей регулируются Гражданским кодексом
Кыргызской Республики ((5) Гражданский кодекс Кыргызской Республики. Части 1,2.- Б.,
2001.568с.), Кодексом Кыргызской Республики от административной ответственности ((6) Кодекс
Кыргызской Республики от административной ответственности, -Б., 2003. 370с.), Законом «О
защите прав потребителей» от 10 декабря 1999г. №90 и принимаемым в соответствии с ними
иными законами и нормативными правовыми актами Кыргызской Республики ((7) О мерах по
реализации Закона Кыргызской Республики «О защите прав потребителей» / Постановление
Правительства Кыргызской Республики от 12 октября 1998г. № 667 / НАКР, № 43 (273), 2005, С.3741; Об утверждении Положения о методике формирования тарифов (цен) на платные услуги
(работы) / Постановление Правительства Кыргызской Республики от 26 октября 2000г. № 637 / Там
же, С.41-45; О Координационном совете по защите прав потребителей при Правительстве
Кыргызской Республикё/от 22 июля 2003г. № 451 /Там же, С.45-48; Об утверждении Порядка
рассмотрения дел о нарушениях законодательства о защите прав потребителей / Постановление
Госкомиссии Кыргызской Республики по антимонопольной политике от 5 декабря 2001г. № С49-53
и др.).
В целях обеспечения согласованных действий органов государственного управления,
органов местного самоуправления, общественных объединений потребителей (их союзов,
ассоциаций) в области защиты прав потребителей при Правительстве Кыргызской Республики с
2003 года действует Координационный совет по защите прав потребителей. Основными задачами
Совета являются:
-осуществление согласованных действий органов государственного управления, органов
местного самоуправления, общественных объединений потребителей (их союзов, ассоциаций) в
области защиты прав потребителей;
-рассмотрение проектов нормативных правовых актов, направленных на стимулирование и
развитие защиты прав потребителей, разработка предложений по их совершенствованию;
-обеспечение партнерских отношений государственных органов управления и общественных
организаций в сфере защиты прав потребителей;
-гармонизация правовых и методологических основ (систем), обеспечивающих защиту прав
потребителей в Кыргызской Республике, с соответствующими компонентами Европейского Союза
в рамках проекта «Поддержка реализации Соглашения о партнерстве и сотрудничестве между
Кыргызской Республикой и Европейским Союзом»;
-взаимодействие с исполнительной и законодательной ветвями власти в решении проблем,
связанных с защитой прав потребителей;
-определение приоритетных направлений деятельности по защите прав потребителей.((8
Положение о Координационном совете по защите прав потребителей при Правительстве
Кыргызской Республики / НАКР, №43, 2005, п.5, С. 46. )
Совет возглавляет премьер-министр. Заседания проводятся по мере необходимости, но не
реже 1 раза в квартал. Обязательным членство в Совете является для таких государственных
органов, как:
- по антимонопольной политике;
- по стандартизации, метрополии и сертификации;
- здравоохранения;
216
- охраны окружающей среды и природных ресурсов;
- внутренних дел;
- образования;
- транспорта и коммуникаций;
- таможенного контроля;
- контроля в сфере строительства.
На добровольной основе в Совет могут входить руководители органов местного
самоуправления и общественных организаций по защите прав потребителей, а также
представители
общественных
объединений
предпринимателей
и
международных
организаций.((9)Положение о Координационном совете по защите прав потребителей при
Правительстве Кыргызской Республики / НАКР, №43, 2005, п.5, С. 47. )
В целях проведения более эффективной, работы по защите прав потребителей в
соответствующих административных образованиях Советы имеют в своей структуре
территориальные представительства, которые возглавляют заместители глав местных
администраций, курирующих вопросы торговли и защиты прав потребителей ((10)Положение о
Координационном совете по защите прав потребителей при Правительстве Кыргызской
Республики / НАКР, №43, 2005, п.5, С. 48. ) .
Территориальные антимонопольные управления применяют различные формы и методы
работы с главами местных администраций, руководителями муниципальных предприятий
жилищно-коммунального хозяйства по реализации политики Правительства Кыргызской
Республики в сфере предоставляемых населению жилищно-коммунальных услуг и защиты прав
потребителей. В этот перечень входят:
1) подготовка постановлений глав администраций, определяющих основные направления
реализаций потребительской политики и непосредственное участие в контроле за выполнением
этих постановлений;
2) пропаганда потребительской политики в средствах массовой информации (телевидение,
радио, печать);
3)взаимодействие с общественными организациями (Федераций независимых профсоюзов,
Обществом потребителей) и т.д.
Существует определенный порядок рассмотрения антимонопольными органами дел о
нарушении законодательства о защите прав потребителей. ((11) О защите прав потребителей /
НАКР, №43,2005,С.22-23.)
Государственное Национальное Агентство по антимонопольной политике и
развитию конкуренции Кыргызской Республики и его территориальные управления в
пределах своей компетенции рассматривают дела о нарушениях продавцами (изготовителями,
исполнителями) законодательства о защите прав потребителей.
Такие дела рассматриваются соответствующими территориальными органам по месту
нахождения продавца (изготовителя, исполнителя), в отношении которого возбуждено дело, за
исключением случаев, когда дело принимается к рассмотрению Государственным Национальным
Агентством по антимонопольными политике к развитию конкуренции Кыргызской Республики.((12)
Об утверждении Порядка рассмотрения дел о нарушениях законодательства о Защите прав
потребителей / Постановление Государственной комиссии при Правительстве Кыргызской
Республики по антимонопольной политике / от 5 декабря 2001 №58 НАНКР, №43, 2005, С.49-50,
Порядок рассмотрения дел о нарушениях законодательства о защите прав потребителей / Там же,
С.50-52.)
Дела по признакам нарушений законодательства о защите прав потребителей
рассматриваются антимонопольными органом и его территориальными управлениями на
217
основании заявлений физических лиц, хозяйствующих субъектов, органов власти и управления,
обществ и союзов потребителей, представления прокурора, через средства массовой
информации, по результатам проведенных проверок, свидетельствующих о признаках нарушения
законодательства о защите прав потребителей, и по собственной инициативе антимонопольного
органа.
Заявление подается в антимонопольный орган в письменной форме с приложением
документов, свидетельствующих о фактах нарушения законодательства о защите прав
потребителей. Документы на иностранных языках представляются с приложением завершенного
перевода.
В заявлении должны содержаться следующие сведения:
-сведения о заявителе (наименование, место нахождения);
-наименование хозяйствующего субъекта, в отношении которого подано заявление;
-описание фактов, свидетельствующих о признаках нарушения законодательства о защите прав
потребителей;
-существо требование и предложений.
При отсутствии указанных сведений заявление к рассмотрению не принимаются. Документы
и заявление, содержащие коммерческую тайну, разглашению не подлежат.
О совершении административного правонарушения в соответствии со статьей 556 Кодекса
Кыргызской Республики об административной ответственности ((13) Кодекс об административной
ответственности. Б. 2003, 370с.) составляется протокол
уполномоченным лицами
антимонопольного органа.
В протоколе об административном правонарушении указывается: дата и место его
составления, должность, фамилия, имя, отчество лица, составившего протокол; сведения о
личности нарушителя, место, время совершения и существо административного правонарушения,
нормативный акт, предусматривающий ответственность за данное правонарушение, фамилии,
адреса свидетелей и потерпевших, если они имеют объяснения, нарушителей, иные сведения,
необходимые для разрешения дела.
Протокол подписывается лицом, совершившим административное правонарушение, и
лицом, его составившим. При наличии свидетелей и потерпевших протокол также может быть
подписан также и этими лицами.
В случае отказа лица, совершившего правонарушение, от подписания протокола, в нем
делается запись об этом. Лицо, совершившее правонарушение, вправе представить прилагаемые
к протоколу объяснения и замечания по содержанию протокола, а также изложить мотивы своего
отказа от его подписания.
При составлении протокола нарушителю разъясняются его права и обязанности, о чем
делается отметка в протоколе.
На основании протокола о совершении административного правонарушение в течении трех
дней выносится предписание о прекращении нарушения законодательства о защите прав
потребителей или постановление о наложении штрафа, которые в установленном порядке
направляются или вручаются лицу, совершившему это нарушение.
Предписание подлежит исполнению установленный в нем срок. Неисполнение в срок
предписания или постановление влечет
за собой последствия, предусмотренные
законодательством Кыргызской Республики.
218
Под
неисполнением
предписания
несвоевременное исполнение предписания.
понимается
уклонение
предписания,
либо
Антимонопольный орган вправе привлекать к участию в рассмотрении дела экспертов и
специалистов, которые для дачи заключения могут знакомиться с материалами дела.
Рассматривать дела об административных правонарушениях и налагать административные
взыскания от имени антимонопольного органа в соответствии со статьей 524 Кодекса Кыргызской
Республики об административной ответственности вправе руководитель антимонопольного
органа, его заместитель, начальник управления и директора территориальных управлений.
Сроки рассмотрения дел об административном правонарушении устанавливаются в
соответствии со статьей 585 Кодекса Кыргызской Республики об административной
ответственности.
Антимонопольный орган рассматривает дела об административных правонарушениях
предусмотренные статьями 285-307, 309-310, 319-326, 410 Кодекса Кыргызской Республики об
административной ответственности.
Взыскание штрафа не освобождает хозяйствующих субъектов (их должностных лиц) от
обязанности исполнить предписание антимонопольного органа или совершить иные действия,
предусмотренные законодательством о защите прав потребителей.((14) Кодекс об
административной ответственности. Б. 2003,С.50-51).
Размеры штрафов в каждом конкретном случае определяется с учетом размера
причиненного ущерба и иных обстоятельств.((15) О защите прав потребителей / НАНКР, №43,
2005, С.22.) Штраф налагается должностным лицом государственного антимонопольного органа
(его территориального органа).
Органы исполнительной власти (их должностные лица), хозяйствующие субъекты и
граждане вправе обратиться в суд или арбитражный суд с заявлением о признании
недействительными полностью или частично решений и предписаний антимонопольных органов
либо об отмене или изменений решений о наложении штрафа.
Решения и предписания антимонопольных органов могут быть обжалованы в соответствии
со статьями 594-600 Кодекса Кыргызской Республики об административной ответственности.
Антимонопольный орган вправе отменять решения и предписания территориальных
управлений, принятые с нарушением действующего законодательства или пределов
предоставленных их полномочий. Решения и предписания территориальных управлений,
принятые с нарушением действующего законодательства или пределов предоставляемых их
полномочий, отменяются приказом руководителя антимонопольного органа.
1.
2.
3.
4.
Голощапов Н.А., Помазкова С. И. Жилищное право: Учебно-практическое пособие. - М.:
Изд-во «Приор», 2003.С. 209-210.
Жилищный кодекс КР. ст. 24 ( В редакции Закона Республики Кыргызстан от 20 июня 1992
года № (919 -XII).
«Вам отвечает юрист» - Жилье и жилищно-коммунальное хозяйство. / Автор Колесникова
0
Л.А. - М.: Адвокатская фирма Хайкен и К , 1998, С.ЗЗ.
О приватизации жилищного фонда в Республике Кыргызстан / Закон Кыргызской
Республики от 20 декабря 1991 № 681 - XII, / с НАНАКР, № 35, 2005, С.5-9; Об
индивидуальности жилищном строительстве в Республике Кыргызстан / Закон Кыргызской
Республики от 21 декабря 1991 № 689 - XII / там же, С.9-13; О концепции развития
219
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
жилищного развития жилищного строительства в Кыргызской Республике до 2010г. / Указ
Президента Кыргызской Республики от 6 апреля 2000г. УП № 76 / Там же; Мероприятия по
реализации «Программы жилищного строительства в г.Бишкек до 2010г.» / Утв.
постановление коллегии г.Бишкек, от 24 июня 2005г. №6ПК / НАНКР, № 35, 2005; О
нарушениях законодательства Кыргызской Республики при выделении земельных участков
под индивидуальное жилищное строительство в жилых массивах г.Бишкек / Постановление
Бишкекского Горкенеша от 23 ноября / НАНКР, 2005г. № 145, С.62-64.
Гражданский кодекс Кыргызской Республики. Части 1,2.- Б.: «Нормативные акты
Кыргызской Республики», 2001.568с.
Кодекс Кыргызской Республики от административной ответственности, -Б., Нормативные
акты Кыргызской Республики, 2003. 370с.
О мерах по реализации Закона Кыргызской Республики «О защите прав потребителей» /
Постановление Правительства Кыргызской Республики от 12 октября 1998г. № 667 / НАКР,
№ 43 (273), 2005, С.37-41; Об утверждении Положения о методике формирования тарифов
(цен) на платные услуги (работы) / Постановление Правительства Кыргызской Республики
от 26 октября 2000г. № 637 / Там же, С.41-45; О Координационном совете по защите прав
потребителей при Правительстве Кыргызской Республикё/от 22 июля 2003г. № 451 /Там
же, С.45-48; Об утверждении Порядка рассмотрения дел о нарушениях законодательства о
защите прав потребителей / Постановление Госкомиссии Кыргызской Республики по
антимонопольной политике от 5 декабря 2001г. № С49-53 и др.
Кыргызской Республики / утв. постановлением Правительства КР от 22 июля 2003г. № 451 /
НАКР, №43, 2005, п.5, С. 46.
НАКР, №43, 2005, п.5, С.47.
НАКР, №43, 2005, п.5, С. 48.
О защите прав потребителей / ст.52. Закона Кыргызской Республики от 10 декабря 1997г.
№90 / НАКР, №43,2005,С.22-23.
Об утверждении Порядка рассмотрения дел о нарушениях законодательства о Защите
прав потребителей / Постановление Государственной комиссии при Правительстве
Кыргызской Республики по антимонопольной политике / от 5 декабря 2001 №58 НАНКР,
№43, 2005, С.49-50, Порядок рассмотрения дел о нарушениях законодательства о защите
прав потребителей / Там же, С.50-52.
Кодекс об административной ответственности. Б., Нормативные акты. 2003, 370с.
Там же, С. 50-51.
О защите прав потребителей / Закон Кыргызской Республики от 10 декабря 1997г. №90
ст.З / НАНКР, №43, 2005, С.22.
220
MANAS DESTANI VE FİRDEVSİ’NİN ŞEHNAMESİNDE GÖRÜLEN OLAĞANÜSTÜ DURUMLARIN
KARŞILAŞTIRILMASI
Emrah İLİK
Kırgızistan Bilimler Akademisi, Doktora Öğrencisi
Giriş
Destanlarda bir milletin basından geçen çeşitli hâdiseler, felâket ve saadetler, yenilgi ve basarılar;
aralarından yetişen ve bu hadiselerde önemli roller alan kahramanlar; o milletin dünyanın meydana gelişi,
insanların yaratılısı, kendi türeyişleri ve ölüm hakkındaki düşünceleri ve inanışları, kısaca kendileri ve
çevrelerinde meraka değer ne varsa yer almaktadır.
Bu çalışmada gerek Türk destanlarında gerekse İran destanlarında geçen olağanüstü olaylar
Manas Destanı ve Firdevsi’nin Şehnamesi’nden örneklemelerle anlatılıştır. Destanlardaki hayali
kahramanlar, devler, konuşan hayvanlar gibi olağanüstü durumlardan bahsedilmiştir.
Çalışmada ki amaç, Türk ve İran kültürlerinde olağanüstü olaylara bakış açısının incelenmesidir.
Bu durum destanlar yardımıyla araştırılmıştır.
Destan, eski çağlarda bir milletin hayatında büyük yankılar bırakmış tarihi olayların (büyük
yenilgiler, büyük zaferler vb.) çağdan çağa değişmiş ve sayısız hayal unsurları katılarak tanınmaz hale
gelmiş uzun manzum hikâyesidir. Büyük, olağanüstü toplum ve kahramanlık olaylarını uzun ve manzum
olarak anlatan edebiyat türüdür (Güleç, 2002: 104).
Destan, kahraman ve kahramanlık kavramlarının, epik karakterli bir yaşayışın zaman, mekân ve
hadiseler içindeki yansımalarının olay örgüsü ile biçimlendirilmiş anlatımıdır. Destandaki anlatılan
aksiyona bağlı mekânla ilgili, zamanla ilişkili ve kişiye bağlı olan, her bir oluşturucu, tarih kaynaklı
gerçeğimsilerdir (Tural, 1998: 12).
Türk destanlarında kahramanlar her yönden olağanüstü niteliklere sahiptirler. Eski Türklerde bir
Alp, yüksek sıçrama, kuşlarla konuşma, devleri yenme, kimsenin öldürmeyeceği yabani hayvanlarla
mücadele ve onları öldürme, büyük bir orduya karşı tek başına savaş gibi özellikler taşır. Bu Alp güreştiği
zaman dağlar vadi ve vadiler dağ olurdu.
II.Türk Destanlarındaki Olağanüstülüklere Genel Bakış
Destanların çoğunda kutsal güçlerin yardımı ya da onlarla mücadele vardır. Kococas’ta kutsal
güçlere karsı savaş; Manas, Semetey, Er Töştük gibi destanlarda ise kutsal güçlerin yardımıyla (Roux
2005: 38) başarı elde edilir. Kutsal güçlerin destanlarda sıkça görülmesi Şamanist düşüncenin Kırgız
221
kültüründe ne kadar önemli olduğunun göstergesidir. Manas destanı bir bakıma Kırgızların ansiklopedisi
gibidir. Manas destanında Kırgızların bütün gelenek ve göreneklerini, törenlerini, inanışlarını, görüşlerini,
başka milletlerle olan ilişkilerini ve ahlak anlayışını bulmak mümkündür (Sepetçioğlu,1995:138).
Kırgız destanlarında kahramanların yaptıkları isler, gittikleri farklı dünyalar aslında Kırgız
düşüncesinin uzak ve yabancı olmadığı bir dünyayla, Şamanizm’le çok yakın bağlantılıdır. Destanlarda
Şamanist düşünce hem hayvanlar hem de olağanüstü güçler vasıtasıyla görünür. Bilhassa kahramanların
atlarına atfedilen niteliklere baktığımızda bunu açıkça görürüz. (Yılmaz,2008)
Alp'lan yenilmez yapan kendi yapıları ve güçleri dışında sihirli silahları, koruyucu ruhlar, efsanevî
atlarıdır. Köroğlu'nun atını efsanevî yapan hayatsuyu'dur. (Boratav,Köroğlu,1931: 62)
III. İran Destanlarındaki Olağan Üstülüklere Genel Bakış
İran destanlarında olağanüstü olaylar Türk Destanlarında oranla daha fazladır. Özellikle
düşmanlara yüklenen nitelikler bu durumu açıkça göstermektedir. İran destanlarında düşmanlar ikiyüzlü,
yalancı ve kötü kalplidirler. Yenilmesi güç olanları dev yapılı, dev suratlı korkunç yaratıklarıdır. İran ordusu
yenilmezdir. Ancak büyü karşısında yenilir. Şehname de en büyük büyücüler devlerdir. Sihir ve büyü
yapan insanlar da vardır. Şahların görevlerinden biride büyücülerle savaşmaktır. Bu daha çok Zerdüşt
dininin büyüğü yasaklamasının etkisi olduğunu söyleyebiliriz. Bir büyücü doğadaki olaylara etki yaparak,
fırtına ve yağmur yağmasını sağlayabilir. Bu zararlı tiplerin en kötüsü, başları fil başı, tüyleri uzun, ağızları
kocaman dişlerle dolu, iki gözlü beyaz, dudağı siyah, bedeni bakılmayacak kadar korkunç, bazen kuyruk
ve boynuzları olan yaratıklardır.
IV. Manas ve Şehname Arasındaki Benzerlik ve Farklılıklar
Destanlarda erişilmesi veya elde edilmesi güç olan her şey için hayal dünyasında bir çare
aranmış, buda masal unsurlarının doğmasına neden olmuştur, Türk destanlarında bu türlü motiflere sık
sık rastlanır. Manas Destanı’nda bu durum şu mısralarla anlatılmaktadır;
“Manasın oğlu Semetey'in eşi
Ay-Çörek kızdığı zaman kuğu kız kılığına girip
babasından yardım istemeye giden bir peri kızıdır.
Kör-oğlunun dört eşi peri kızlarıdır.”
(Radloff,1995)
Destanlarda, masallarda, efsanelerde kahraman ve at birlikte anılırlar. Göçebe savaşçı için atın
yararı üzerine kurulan her turlu akıl yürütüş, atlının kaderinin binek hayvanının kaderine sıkı sıkıya bağlı
olduğu saptamasından daha anlamlı değildir kuskusuz. Dövüşte at öldürülürse efendisi tehlikededir.
Sahibi öldüğünde at da zorunlu olarak onun kaderini paylaşır; bu ikili ayrılmaz görülmektedir.” (Roux
2005:122). Bu durum aynı zamanda atların olağanüstü yaratıklar olmasını da sağlamaktadır.
Manas Destanı’nda konuşan atlara rastlamak mümkündür; 8 at yarışlarında binicilerin uran
çağırışı Manas Destanı’nda tasvir edilmiştir:
“Bir at “Kangay!” diye bağırıyor
Bir at “Altay” diye çığırıyor…
Bir at “Oyrat!”
Bir at da “Kırgız!” diye uranını bildiriyor.
Hala “Alaç”ı çağıran görünmüyor…”
(İnan,1987:283)
222
Olumlu ya da olumsuz olsun birçok kahramanın atı kahramanla konuşur, ona akıl verir. Kahraman
bu sayede başarılı olur. Ayçürök Kıyas’ın atı Tooturu’ya biner. Tooturu Ayçürök’un niyetini anlayınca
Ayçürök sihirle Tooturu’nun dilini bağlayıp kulaklarını isitmez kılar. Manas’ta, düşman Nezkara’nın atı
insan gibi konuşur. Nezkara, düşmanlarla ilgili birçok bilgiyi atından alır(Yılmaz 1999:206). Yine Manas’ın
atı Akkula kimi zaman uçar. Bazen basarı için atadan kalan at, Kumayık gibi hayvanlara ihtiyaç duyulur.
Semetey babasından kalan Aksumkar, Kumayık ve at sayesinde mücadeleleri kazanır. Atalar kültünün
tapımının yardımcı hayvanlar seklinde tecelli ettiğini burada görüyoruz. Atanın ruhu, ancak ataya ait bir
nesne ya da nesneler vasıtasıyla sonraki nesle aktarılıyor ve canlılığını koruyor.
Pehlivanın yaşantısında da atın yeri büyüktür. Manas Destanı’nda olduğu gibi olağanüstü at
tasvirlerinden bahsedilmektedir. Bu olağanüstü at tasvirleri Şehname de şu dizelerle yer almaktadır;
“Rüstem'in atının gözleri karanlık bir gecede kara bir
Örtünün üzerinde yürüyen bir karıncanın ayağını bile
iki fersahlık yoldan görür.
Fil gibi güçlü, dev gibi boylu boslu ve
Bısütun dağının bir arslanı gibi de cesurdur.
Sührab'ın atı aynı cinstendir.”
(Şehname Cilt II)
Manas Destanı’nda olağanüstü olaylara atın kişilik kazanması da eklenebilir. Manas Destanı’nda
atların konuştukları, Alp adı aldıkları, insanlara aklı verdikleri görülmektedir. Kırgızlar cesur, güzel cins
atlara Gök kurt anlamında “Kök Börü” derler. Bu söz eskiden hükümdarların kudretlerini göstermek için
kullanılırdı. Konuşma sırasında sultanım anlamına gelmektedir. (Ögel,1994:49)
İran destanlarında atlara sadece savaş alanlarında rastlıyoruz. Her pehlivanın kendine özel atı
vardır, Rüstem'in atı tehlikeli anlarda onu uyarır. Atlar, konuşmaz fakat konuşmadan anlarlar. At yarışına
ve törenlerde atlardan söz edildiğine rastlanmaz, Şehnâme'de atlar, Rahş, Şebreng, Behzad, Şebdiz ve
Gülgün gibi isimler alırlar.
Manas Destanı’nda ayrıca atların yüzdüğü ve uçtuğuna da rastlanmaktadır. Manas Destanı’nda,
Alman-Bet’de atla, uçan serçeyi yakaladığı görülmektedir. Firdevsi’nin Şehnamesi’nde de uçan ata
rastlanmaktadır. Bu durum destanda şu mısralarla yer almaktadır;
“Rüdabe'nin annesi Sinduht, Şam'ın sarayına giderken,
rüzgâr gibi uçan bir ata biner”
(Şehname Cilt II)
Destanlarda olağanüstü atlar haricinde başka olağanüstü durumlarda mevcuttur. İyileştirilmesi
güç olan hastalıklara mucizevi ilaçlar düşünmüşlerdir. Oğlunun hasretinden kör olan babaya oğlunun
serçe parmağının kanından sürülerek iyileştirilir. Yine çeşme suyunun köpüğü kör gözü iyileştirir.
Yaralanın yarasını, Hızır sıvazlar ve dağ çiçeği ile ana sütü sürülüp iyileştirilir. Bu tür olaylar gerek Manas
Destanı’nda gerekse Firdevsi’nin Şehnamesi’nde sık sık rastlanmaktadır.
Şehnamede Rüstem Sührab’ı yaralayınca Kavus'tan, hazinede duran ve yaralıları iyi eden ilâçtan
ister, fakat Kavuş vermez ve Sührab ölür.Firdevsi’nin Şehnamesi’nde de bu tarz olağanüstü olaylara sık
rastlanmaktadır. Padişah Kavuş, Ak devle savaşırken kör edilir. Sonra Rüstem Ak devi öldürerek onun
ciğerinin kanını Kavuş'un gözüne sürerek onu iyileştirir.
İran destanlarında masal unsurları çok daha fazla ve mübalağalıdır.
“Simurg her türlü yarayı iyileştiren sihirli bir kuştur.”
(Şehname Cilt)
223
Simurg kuşunun yuvası olan ağaç, Avesta'ya göre bu ağaç, Mâzenderân (Hazer) denizi kıyısında
bulunmaktadır. Bütün bitkilerin tohumları bu ağacın içinde olduğundan hastalık iyileştirme özelliği de
vardır. Ağır gövdeli Simurg konduğu zaman onun bin dalı kırılır ve tohumlar saçılır, Simurg uçtuğu zaman
onun için dalı yeşerir büyür, Simurg'un her türlü yarayı iyileştirmedeki özelliği, bu ağacın tohumlarına
bağlanmaktadır.
Rüstem’in doğumunu, annesinin ameliyat edilmesini öğütleyerek sağlar,
“lsfendiyarın attığı oklarla yaralanan Rüstem’i ve atını,
Temrenleri çıkarıp iyileştirir ve kendi tüyünün süte batırılıp sürülmesini önerir.
Kılıç yarasını, padişahların hazinesindeki ilaç
ve padişahların kollarındaki mühre iyileştirir.
İnsanları bayıltan istenildiği zaman ayıltan ilaçlar vardır.”
(Şehname Cilt II)
Zâl Simurg tarafından büyütülür, kendisine dişi arslan süt verir, Keyhüsrev Turan'da bir çoban
tarafından büyütülür. Simurg, ejderha ve at gibi hayvanlarla konuşulur, rüzgarla haber gönderilir.
Gerek Manas Destanı’nda gerekse Firdevsi’nin Şehnamesi’nde ulaşılması güç yerlere, kurtla,
kuşla, suyla, ağaçla, köpekle konuşularak haber gönderilir. Bu durum hayvanlarla ve doğayla iletişim
sağlanabildiğini göstermektedir.
İnsan dışı yaratıklarla konuşma ve haberleşme Şehname de Simurg, ejderha, arslan ve diğer
birçok hayvanın düşündüğünü ve konuştuğunu görürüz. Zâl'a konuşmayı Simurg öğretir, insan yüzü
görmemesine rağmen Zâl akıllıca konuşur, dürüst düşünür. Simurg Zâl "ı kanadının altında büyüttüğü
için her sıkıntılı gününde kendi çocuğuymuş gibi onun yardımına koşar.
Şehname'de her iyi kötü alay, mubidlerin yıldız falına bakmaları ve görülen düşlerle önceden
bilinir, Zâl evlenmeden Rüstem gibi bir pehlivanın doğacağını herkes bilir. Pehlivanlar ve Padişahlar
kimler tarafından öldürüleceklerini düşlerinde görürler. Dahhâk bir sene padişahlık ettikten sonra İran'lı
şehzade Feridun tarafından tahtan indirileceğini rüyasında görür. Sam, küçükken dağa bıraktığı oğlu
Zâl'ın büyüdüğünü, ölmediğini rüyasında görür ve gidip oğlunu alır.
Uykuda görülen düşlere olan inanç Manas Destanı’nda da geçerlidir. Alp’ler sefere çıkarken
eşlerinin gördükleri düşe göre o gün sefere çıkıp çıkmamaya karar verirler.
Manas'ın oğlu Semetey bir gün sefere hazırlanırken annesi önünü kesip, geceleyin düşünde,
hayvanların melediğini, çınar ağacının devrildiğini, talih kuşunun başından uçup gittiğini gördüğünü, bütün
bunların hayırlı olmadığını kendisinin yola çıkmaması gerektiğini söyler. Semetey'in eşi Ayçörük o günün
yıldızına karşı olduğunu söyler ve annesi de eğer gitmekte ısrar ediyorsa mutlaka fala bakmasını
öğütleyerek der ki:
“Yanında Manas'in tölge "fal" taşı var.
Manas bir sefere çıkarken bu taşı kaldırıp bir adım ötesine atardı,
o zaman sefere çıkardı.
Eğer bu taşı kaldıramazsa "yolculuğum hayırlı olmayacak"
der seferden vazgeçerdi.”
(Radloff,1995)
Devler destanlarda olağanüstü yaratıklardır. Destanlarda kahramanların özellikle devleri
yenmeleri büyük başarı olarak nitelendirilir. Manas Destanı’nın bir bölümü olan Er-Töşük hikayesinde,
“Tepegöz” hikayesine benzeyen şöyle bir olay da gerçekleşir:
“Sabah olur, atları suya götürürler.
Ama atlar ürküp adeta göklere çıkarlar.
224
Bakarlar ki, suda bir ciğer yüzüyor.”
İlemen Bay,
“Kim bu davarı kesmişde, ciğerini suya atmış” diye, ciğeri mızrakla iter.
İtince, ciğerden Yelmoğus adlı dev çıkar ve İlemen Bay’ın boynuna biner.”
(İnan,1968:171-172)
Bundan sonra da, İlemen Bay, kendisini devin elinden kurtarabilmek için oğlu Er-Töşük’ü feda
eder.
Şehnamede de devlerle savaşan pehlivanlara rastlanmaktadır. İran ordularının baş düşmanlarının
devlerdir. Zaman zaman İran padişahlarına saldıran bu devlerle, Rüstem savaşmak zorunda kalmıştır.
Rüstem, şehirlerde oturan, savaş tekniği bilen, kalabalık orduları olan, iri yapılı büyücü devleri yener.
Devlerden başka Tutmalılar ve Araplarda büyü yapar, İranlılar büyü yapmaz fakat büyü çözmesini bilirler.
Bu devler kimi zaman şeytanın emrinde görünürler. Bu durum şehname de şu ifadelerle yer
almaktadır;
“Şeytan bir sabah erkenden
Kavuş 'u ikna edip göklere çıkmasını sağlamak için devlerini toplar.
İçlerinden biri bu işi üzerine alır.
Kendisini güzel konuşmasını bilen,
meclislere yaraşan bir köle kılığına sokarak
Kâvus'u kartalların çektiği tahtla uçan ve cin ormanlarına düşürür
yine Rüstem kurtarır.”
(Şehname Cilt II)
Şehname de devlerin büyücülüğünden başka, Rüstem ve İsfendiyâr "Yedi Övün" yolunda büyü
yapan, kendisini güzel kız şekline sokan cadı kadınlarla da karşılaşırlar. Devlerin, cadıların dışında
insanla da gerektiği zaman büyüye başvurmaktadırlar, Feridun'un oğullarına kızlarını vermek istemeyen
Yemen padişahı,
“Temmuz ayanda onlara üstüne kar yağdırır.
Onlar da karşılıklı büyü ile bu karı ve soğuğu önlerler.”
(Şehname Cilt I:73)
Bu ifadelerden de anlaşılacağı üzere, Şehname de masal unsurlarına çok sık
rastlanmaktadır.Şehname de devler ve büyücüler dışında farklı olağanüstü yaratıklarda savaşlar oldukça
meşhurdur. Rüstem'in karşılaştığı altıncı pehlivan, arslan yaradılışlı Kihanlı Kihar'dır.
Aynı tip yaratıklara Türk destanlarında da rastlamaktayız.
Manas destanında Konurbay, Manasın karşısına bir çok Alp çıkarır, hiç biri Manas ile baş
edemezler. Bunun üzerine "Tek gözlü Madıkan"ı çıkarır. Bu durum destanda şu ifadelerle yer almaktadır;
"Bu Madıkan bütün Kalmuk yurdunun en ünlü Alplarından biri idi.
Ata binmez, gök boğa üzerinde gezerdi.
Bu gök boğa attan daha hızlı koşardı
Kafasında tek boynuzu vardı
İnsana benzemiyen Madıkan'in bindiği boğa da
başka boğalara benzemiyordu."
(Radloff,1995)
Destanda bu sözlerle anlatılan Madıkan'a, Manas ve kırk yiğidi saldırır, ok işlemez, kılıç kesmez
en son boğasını öldürürler, yaya kalan Madıkan'ı da böylece öldürmek kolaylaşır.
225
Manas destanında büyücüler arasında birde mücadele vardır. Manasın düşmanlarından Şooruk
Hanı 'nın büyücüsü, içki şişelerini zehirleyip ve büyüleyip, kılık değiştirerek Manasın askerlerine satmaya
çalışır. Manasın büyücüleri fala bakıp, adamın satıcı değil düşman büyücüsü olduğunu anlar ve sonuç
olarak mücadeleyi kazanırlar.
Yine Manas Destanı’nda Manasın saldırmasından korkan Çinlilerin ve kalmakların, ülkelerinin
çevresini büyü ile ejder, karakuş ve pars hayalleri ile sardırdıklarını, ülkelerine yaklaşanların bu hayalleri
yırtıcı hayvan zannettikleri anlatılır.
Manas Destanı’nda olağanüstü olaylara bir örnekte dağın hareket etmesidir. Dede Korkut
Kitabı’nda da ismi geçen “Kadılık (Kazıklık) Dağı’nı, Manas Destanı’nda şu mısralarla görüyoruz;
“Dört göl (denilen yerden) kalkarak göç etti
Kazıklık (denilen yerin) vadisine
Köre Boz (denilen yerin) vadisine,
Kahraman Manas vardı, diyor.” (İnan,1987: 332)
Sonuç
Destanlar çoğunlukla fert üzerine kurulu görünse de aslında ferdi olmaktan çok içtimaî özelliktedir.
Kültüre ve medeniyete hayat veren destanlar; büyük vakalar, olağanüstü insanlar ve bunlar karsısında
topluluğun dehşeti, korku ve hayreti; sevgi, beğenme ve saygıya kadar çeşitli duygular anlatılır.
Destanların anlattığı olaylar bazen normal, çoğu zaman da anlatımı cazip kılmak amacıyla sıra dışı
özelliklerin sunucularıdır. Bu sebeple destanlarda mantık dışı durumlara da rastlanabilmektedir.
Bu çalışmada da destanlardaki sıra dışı olaylara dikkat çekilmiştir. Türk ve İran destanlarında ki
bazı olağanüstü olaylarda ki benzerlik ve farklılıklar şöyledir;
Türk destanlarında güçlü Alp'ların dışında yapıları yönünden yenilmez kahramanlar, tek gözlü
Madıkan ve Tepe Göz'dür. Şehnamemde ise, yenilmez kahraman tunç bedenli İsfendiyâr’dır. Fakat o
Türk destanlarındaki Madıkan ve Tepe Göz gibi değildir.
Gerek Türk gerek İran destanlarında, aynı masal unsurlarına, ancak, değişik şekilde rastlıyoruz.
Her iki ülkenin masallarında kör bir gözü kan sürülmesi iyileştiriyor. Türk destanlarında oğlunun serçe
parmağının kanı, veya sihirli bir çeşmenin suyunun köpüğü iyileştiriyor. İran destanlarında devin kanı
iyileştiriyor.
Düş teması hem Türk hem İran destanlarında işlenmiştir, fakat çok değişik şekilde: Türk
destanlarında görülen düş yorumlanmakta ve yoruma göre bir sonuç çıkarılmaktadır, İran destanlarında
düş yorumlanmamaktadır. Düşte her olay olduğu gibi görülmektedir.
KAYNAKÇA
1. Firdevsi Şehname I-II, çev. Necati Lugal, MEB Yayınları Devlet Kitapları Müdürlüğü, Üçüncü
Baskı İBRAYEV, Şakir, Destanın Yapısı, Çev., Ali Abbas Çınar, Atatürk Kültür Merkezi Başkanlığı
Yayınları, Ankara,1998
2. Güleç, Hamdi, Halk Edebiyatı, Çizgi Kitabevi, Konya,2002
3. İnan, Abdulkadir “Kitab-ı Dede Korkut” Hakkında, Makaleler ve İncelemeler, Ankara 1968,
4. İnan, Abdulkadir, Makaleler ve İncelemeler, Türk Tarih Kurumu Yayınları, Ankara,1987
5. Köroğlu Destanı, Boratav, P.Naili, İstanbul,1931 S.62
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APPLIED SCIENCES
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MATHEMATICS ACHIEVEMENT LINKED PROBLEM POSING TASKS USED IN MATHEMATICS
INSTRUCTION
Selim Guvercin
Suleyman Demirel Universty
Mathematics Education PhD Student
ABSTRACT
The study was aimed to understand the effect of problem posing tasks used in problem posing
classes. Problem posing tasks plays an important role in understanding the mathematical concepts. The
study is not only aimed to show the importance of the tasks used in mathematics instruction but also to
provide some opportunities to prepare posing tasks for prospective mathematics teachers. Two types of
problem posing activities were used in the study for two different groups in Suleyman Demirel University.
Two groups were formed from mathematics department. First type of the problem posing activities that
were used for first class was changing existing information and adding new conditions. And for second
class, in addition to first kinds of activity, uncompleted situations were also used. The tasks were
prepared about word problems that includes from real situations. At the end of the study mathematical
achievement test was applied to both groups as a post test and results of the mathematical achievement
test was compared by t independent tests. The results indicate that second class that took two different
types of problem posing activities were highly successful than first class that took just one type of problem
posing tasks. And the results show that different type’s problem posing tasks increased the mathematical
achievement of the students.
Key words: Problem posing, Posing tasks, word problems.
INTRODUCTION AND THEORETICAL FRAMEWORK
Problem posing is central to the discipline of mathematics and the nature of mathematical thinking
(Silver 1994). As an intellectual discipline,mathematics can be argued that the self directed problem
posing to be solved is an important characteristic (Polya,1954). Mathematicians can solve some problems
that are preapared by others or can solve some problems that have been ideintified as an important
problems. But according to (Poincare, 1948), the mathematicians should formulate their own problems
based on thier personal experience and interests. Another important mathematicians may be
distinguished leaders in mathematics and mathematics education (Freudental, 1973:Polya, 1954) have
stated that problem posing is an important part of a student’s mathematical experience. Curriculum and
Evaluation Standars for School for Mathematics (NTCM,1989 ) expilictly states that “students should have
some experince recognizing and formulating their own problems,an activity that is the heart of doing
mathematics”. It also states that importance duty of the mathematics teachers are to provide opportunities
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for students to pose their own problems: “Students should be given opportunities to formulate problems
from given situations and create new problems by modifying the conditions of a given problem”. The
statements indicates that problem posing in mathematics teaching and learning is considered as an
important factor in classroom activities. Despite the importance of problem posing as a form of
mathematical activity and also its importance as an instructional activity ,there has been little systematic
research on mathematical problem posing in a view of cognitive process in which students generate their
own problems from a given situation or experience. Brown and Walter (1993) suggested a new approach
to problem posing and problem solving in mathematics teaching by using the “What If Not” (WIN)
strategy. The strategy is based on the idea that modifying the attributes of a given problem could yield
new and original problems that may gives very interesting results.In this approach ,the students are
encouraged to go through three levels starting with the reaxaminig the problem to generate new
problems. At the first level,the students are asked to write the list of the problem attributes.And at the
second level the students should ask many questions about the attributes related “What If Not” question
and then suggest alternatives to the listed attributes. The last level of problem posing ,they pose new
questions by making more generalization.
Stages for problem posing (Brown &Walter)
1. Listing the attributes
2. What if Not
3. Posing new questions
Stoyanova (2000) identified three categories of problem posing experiences that can increase
students’ awareness of different situations to generate and solve mathematical problems 1.free situations
2.semi-structured situations and 3.structured problem –posing situations. In free problem posing
situations students pose problems without any restriction. An example of the free problem posing
situations. Are the tasks where students are encouraged to write problems for friends to solve or write
information by giving it meaning or creating relations between provided information? Semi-structured and
structured situations in which students are asked to generate problems from a presented stimulus that
includes quantities information. Problem posing is also described by Dunker (1945) as the generation of a
new problem or the formulation of a given problem. In the same meaning Silver (1993) described and
added posing occurs before, after and during the problem solving.
Problem posing skills could be developed by giving students an ill-formulated or a partially
formulated problem and asking them to restart it (Silver, Kilpatrick and Schlesinger, 1990).Although the
idea is not new, not much more work done on problem posing .Dillon(1988) and Krutetskii(1976) has the
same way of manipulating the given conditions and the goals of prior posed problems. Hashimoto (1987)
asking “What-if “and «What if not “and Brown Walter(1983):assuming new relationship of supply new
story components during the looking back stages ( Polya 1945).
Silver (1994) proposed that problem posing is important in some ways. First Problem posing
increase creativity and provides exceptional mathematics abilility. Second,it improves students’ problem
solving ability. Third, it opens a window into students’ understanding of mathematics. Fourth, problem
posing improves students ‘disposition towards mathematics and finally, it helps the students how thy learn
by themselves.
Brown and Walter stated that problem posing activities in mathematics not only enhance pupils’
thinking but also enrich and consolidate their understanding related to mathematical concept and
process. (English 1997;Brown&Walter,1993). Problem posing has a positive influence on students’ ability
to solve problems (Leung& Silver 1997) and it provides the opportunity for educators to get insight of
students ‘understanding of mathematical concepts and processes (English, 1997). Generally, English
asserted that problem posing improves students’ problem solving skills, attitudes and confidence in
mathematics and mathematical problem solving, and contributes to a broader understanding about
mathematical concepts.
Cunningham (2004) showed that providing students with the opportunity to pose problems
enhanced students’ reasoning and reflection. When students formulate their own problems, it can foster
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the sense of ownership of the problems that results highly level of engagement and curiosity and
enthusiasm towards the process of learning mathematics.
Silver (1994) has noted that the term "problem posing" is generally applied to three quite distinct
forms of mathematical cognitive activity: (a) presolution posing, in which one generates original
problems from a presented stimulus situation; (b) within-solution posing, in which one reformulates a
problem as it is being solved; and (c) postsolution posing, in which one modifies the goals or conditions of
an already solved problem to generate new problems
Freire (1978) describes the problem posing as tool for developing critical thinking. He stated that
problem posing developed by dialogue in the classroom and teachers formulate questions to encourage
students to make their own conclusions about the experiences found in society. Based on listening, a
teacher prepares some familiar situations that are coded. The situations may be a picture, written
dialogue story or a photograph. Then teachers ask many questions about the given situations that are
related to society. The problem posing process directs students to name the problem, understand how
the problem works, indicate the causes of the problem, generalize to others and finally advices
alternatives or solutions to the problem.
WORD PROBLEMS
Word problems are suitable for problem posing activities in many ways. They can be considered
as an open problems defined by Stoyanove (1996). Kilpatrick (1987) defined the problem posing in two
ways in which solver can change some parts or all parts of the given problem to make new questions.
And after the solver finished solving the problem, he/she can control the back of the solution that how is
affected by modification. Word problems are also so common for all educational system that is why for all
educators this is a common area to make research to give some aspects of mathematics learning
(Reusser, 1990). Another important aspect of word problems inside the attemps done by students by
reading comprehension and translate the questions in mathematical forms (Ansley&Forsyth, 1990; Solvik
1999, Vilenius-Tuohimaa 2008). Linguistic factors that affect the solving of word problems are considered
as relevant in the study of word problems ( Abedi& Lord, 2001 ;Lager,2006; Reusser, 1990).Tthese kind
of problems have been found in real life in many situations. That’s why students have chance to practice
in everyday life easily (Thorndike, 1922). Lave (1992) stated that the tools of mathematics are very
powerful but it depends on the students who knows or not how they use them. In one way, word problems
are suitable to make application in real life. If the practical area is large for students to make application
what they learn in the class that is also good for problem posing. After finding the application for word
problems, the students are motivated to study with word problems too much. They think that the word
problems are not useful subjects that we learn and forget them but when we finish the school ,we will
continue to use these of problems in the future’s motivation is another important factor why we select
word problems for problem posing activities.
METHODOLOGY
The main goal of our research was to explore the relationship between teacher student interaction
and problem solving and problem posing abilities of the students. The interaction is just increased during
the experimental case in problem solving sections. Based on Kilpatrick’s (1987) view that the students
can create new problems in two ways that are the solver can change some or all of the problem
conditions to observe the results of new problems and checking how solutions affected by various
change. Basically the steps were used in this study as following
a) Find a problem from a mathematics book of grades 8
b) Determine the initial given conditions and requirements
c) Change the problem in different ways such as add new conditions or subtract some
conditions to get new demands.
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For example: In a class the number of boys is 4 times greater than the number of girls. If the total
number of students in the class is 60, find the number of boys.
Original case: Girls + Boys = 60
4B=G
of Boys
Posing problem 1(Changing the givens by adding new conditions):
In a class the number of boys is equal to girls. The population of the class will be 50, if one girl and one
boy participates the class. Find the number of girls.
New case: Number of Boys= Number of Girls
(B+1)+ (G+1) =50
New Requirement: Number of girls.
Posing problem 2(Changing the givens by subtracting conditions):
In a class there are boys and girls. If the number of girls is 20 and the total population of the class is 50.
Find the number of boys.
New case: Boys=20
Boys + Girls=50
New requirement: Number of boys
And second group used the following in addition to the first.
Based on Stoyanove’s view (1996) who described semi-structured situation as an open situation that
have to be completed. The students have to complete the situation and they generate some questions.
An example of the following case;
Original question: “A son is 28 years old and his father is 72 years old”. This is an uncompleted situation.
The students have to complete the situation and they have to pose questions related to completed
situation.
New posing situation 1: A son is 28 years old and his father is 72 years old. How many years ago the
father was three times as his son
New posing situation 2: Three years later, what is the sum of their ages?
SAMPLE AND POPULATION
This study includes 30 students that are registered Suleyman Demirel University, mathematics
department.. The classes of subjects are divided into two groups as experimental and control groups.
Experimental group students used first and second activity together and on the other hand control group
used the just second problem posing activity.
RESEARCH MODEL
In this study, a quantity experimental methodology is used. Post test control grouped
experimental design is used. According to the method the gathered scores of students are compared by
just comparison between post test results. The groups are divided at randomly and they are both from
same departments.
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DATA COLLECTION AND ANALYSIS
Data is collected by results of mathematical achievement exams that are just knowledge exams.
Both groups have 2 hours problem solving lessons per week. With one group that is control group I
solved the questions by traditional methods I used normally for each year but, with the experimental
group I used the problem posing methods that Brown, Walter and Polya’s advises during the problem
solving techniques by more interaction with the students. Although I solved less number of questions
because of more interaction with many students, The post-test gives interesting results. Data is also
evaluated through SPSS/PC 16K statistics program for Windows
RESULTS AND DISCUSSION
Results indicate that the average differences between post test for experimental group is significantly
high the average value oft he pre-test result for experimental group is 4.05 but this results changes for
post-test for control grouped is 3.1 .This shows that the difference is in a positive way. Therefore using
different problem posing tasks has more important effect on student achievement.
Table 1:The results of post test for both groups
One-Sample Statistics
group1
group2
N
Mean
Std. Deviation Std. Error Mean
20
20
4.0500
3.1500
.88704
.98809
.19835
.22094
Table 2:t test values for both groups at th end of post test.
One-Sample Test
Test Value = 0
95% Confidence Interval of the Difference
group1
group2
t
df
Sig. (2-tailed) Mean Difference Lower
20.419
14.257
19 .000
19 .000
4.05000
3.15000
3.6349
2.6876
Upper
4.4651
3.6124
CONCLUSIONS AND RECOMMENDATIONS
The purpose of the study was to control the effects of problem posing tasks between both groups
as experimental and control. The results indicate that the different problem posing tasks used in
experimental group gives significant differences with control group. Control group used just one type of
problem posing tasks but experimental group used more and different problem posing tasks. This way of
study increased the problem posing ability of the students.
The findings are not different from the literature.Our conclusion is similar with the Brown Walter
mostly because he said that If problem posing atmosphere is constructed during any educational activity
the students get more self confidence and they become more creative. One way is to create problem
posing activity in the classroom giving more chance to students to ask many questions and by the way
they create new questions but if the teacher are considered more autocratic persons this environment
can”t be created.
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To sum up, the students showed higher performances and success in experimental groups by
taking different problem posing tasks and the students gain more motivation, more and correct
knowledge base, more creativity, more problem solving and posing abilities, more self confidence and
more positive attitudes to the lesson. And may be the important one is regular cognitive development.
Another benefit of this study in prospective mathematics teacher perspective, the teacher candidates
experienced that if problem posing used as technique with high and different qualitative problem posing
tasks, the achievement of the students increased.
REFERENCES
1.Brown, S.I &,Walter M,I (2009) “The art of problem posing “ p 8-9 Routledge New York
2.G.Polya (2004) How to Solve It by Princeton Science Library U.S p1-3
3.National Council of Teachers of Mathematics (1989) Curriculum and evaluation standards for school
mathematics ;Reston ,VA :The author
4.Hayri Akay&Nihat Boz educational journal p-1281-1285
5.Silver,E.A.(1979) Students perceptions of relatedness among mathematical verbal abilities Journal for
Research in Mathematics Education.
6.English,I.D (1997) The development of fifth grade children’s problem posing abilities. Educational
studies in Mathematics.
7.Ramirez,V.E (2002).Finding the right problem. Asia Pacific Education Review 3 18-23
8.Kilpatrick,J (1987).Problem formulating:Where do good problems come from? In A.H.Schoenfeld(Ed)
Cognitive science and mathematics p 123-147
Hillsdale NJ :Erlbaum
9.Lewis,T,S,Petrine &Hill,M,A(1998) Problem posing –Adding a Creative Increment to Technological
Problem solving, Journal of Industrial Teacher education(Jite) Volume 3 Number 1
10.Tall D(1997) Conflicts and Catastrophes in Learning of Mathematics. Mathematical education for
teaching 2,4 pp.49-53
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