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                    <text>2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

A Case Study Successful for Chinese family business
Fatih YAġAR
Department of Management
Beijing Institute of Technology University-China
fyasar27@hotmail.com

Abstract: In order to determine the impaction of financing to corporate performance,
Guangdong Province family owned listed corporation family businesses is selected to
describe a sovereign form of economic organization throughout the world in terms
of contributions. Because of the coincidence of family business failure and the
importance of family business within national and local economies, a large percent of
family business literature is allocated to the issue of succession. In mainland China, the
family, as the basic social unit, has recently regained its importance in economic
activity. Starting from the exacting case of a family business located in Guangdong
province, this article reviews the practices that reign in the succession of the
management of companies. Following this case study, a questionnaire was drawn up
and submitted to 15 family businesses. Chinese companies can continue to endure or
not, depends on its ability to carry out bold economic reforms and to what extent the
characteristics of Chinese companies and originality play. A survey inquiry is used as
the research instrument. The results prove that psychosocial needs are more often
associated with the potential successors‘ intentions to take over family businesses than
other factors.
Keywords: Condition; Successful; Family business

Introductıon
Family businesses signify a widespread and prophetic form of venture in the economic and social
landscape. Some researchers approximation that, today ,family-owned businesses comprise over 95% of all
business establishments worldwide Studies in the United States, Canada, Europe, Australia, and overseas
countries imply that family firms account for the majority of the businesses and have a major collision on the
growth of the national economies. In mainland China, interest in family businesses was first aroused by the
success of the big Chinese family companies which are characteristic of the countries of Southeast Asia, and
then by the growth of the Chinese private sector, the majority of whose companies are of the family type. ( Lank
et al, 1994)
Family business is not characterized by either permissible forms or specific size. Some writers desire either
the condition of possession or that of management control in order to depict a business as being a family one or
not; other definitions are based on both possession and control. Recently a dynamic loom has distincted the
family business, whether it be a simple family workshop or a big visibly quoted company, in terms of the real
manage exercised by the founding family. (Stavrou, 1999).This does not necessarily imply majority control of
the assets or the require of remedy to managers from outside the family. Its individual attribute is that no other
group of shareholders carries greater weight than the family shareholders, and that the appointment of the head
of the company depends absolutely on the principal shareholders.
Beyond the question of definition, it is generally agreed that a family business is characterized by the
superimposition of a system of enterprise and of a family system in one and the same entity which is both
economic and social. In matters of succession, a decision is never taken as the result of purely economic
computation, nor is it merely a problem of the passing on of the family legacy. In the context of a China in
transition where the power of the state mingles with creature motivations, this method makes it possible both to
evade mistakes that would lead to over simplifying complexities and to encumber light on the rich diversity of
the real lives of personals and organization.(Chua,1991)
The aim of this article is to donate to the accepting of the present situation of Chinese family businesses,
through a focus on the question of succession. In the first part, we introduce a business that has experienced two
consecutive succession processes over the last few years. From this we teased out questions which are examined
in the second part, in the light of information gathered from 15 family businesses in the province of Guangdong.
In order to find answers to these questions, and in conjunction with the Centre for Research into Family
Enterprise in Guangdong we conducted a survey of a sample of 15 family businesses, between June and
December 2009. These businesses share the following characteristics: their capital is private; they are large

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�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

companies resolute to professionalize their managerial team; the head of the company is around fifty or sixty
years old, so that succession is not far off; they are manufacturing companies.
In the survey, we made two unexpected discoveries. We had initially believed that a number of private
companies, after over twenty years of growth, were in the process of transferring power from one generation to
another or had already experienced a transfer of power. In reality, for a majority of private companies,
succession is not a required solicitude because of the youth of both the entrepreneur and the company. Among
the fifteen companies, only two had a change of principal manager, seven had not been resisted with the question
of succession, and six did not give any answers. In this way our survey, which had expected the observation of
practices, reveals only opinions on the question of succession. Secondly, we initially sought to meet with twenty
large private companies in the same sector in Jiangmen, but the preponderance of small and medium-size private
companies only made it possible for us to identify 13 companies in the area, to which we later added four
companies situated in the environs of (two in Zhongshan, two in Xiaolan).
These 15 companies are family businesses in the strict sense because of the sovereign presence of the
founding family in their capital: 36.53% of the shares belong to the business leader officers and 46% of the
shares are held by other members of the founding family (see Figure 1). As the chairman managerial officer is,
most often, also the head of the family, the founding families control these companies.

Figure 1: Shareholding of chinese firms
From the management point of view managerial functions are approved out by the founders (in 40.5%
of cases) and their children (13.8%), for a total of 54.3% of positions (see Figure 2). Family control at
managerial level is apparent, even if it does not exclude the arrival of outside talent (25% of executives are
professional managers recruited from outside). The data collected on the capital, the turnover and the number of
employees shows that these are large companies (see Table 1).

Figure 2: Executive for the companies

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�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

Number of companies out
of 15 who replied
01
Total capital
(in thousands of yuan)
02
Total turnover
(in thousands of yuan)
03
Number of employess

Average

Minimum

Maximum

101,319

22,634

181,117

145,204

16,800

550,000

1001

258

2,500

Table 1: Size of Companies in our Survey
Source Our survey:2010

Reseearch Desıgn and Methodologz
Data Collection
At the time of this study, the common of family businesses were still under the control of their founder.
88.2% of the founders were ripened between 40 and 50. The transfer of power between generations is for that
reason not yet a major preoccupation. However, 82.4% of the founders (14 out of 17) admitted that they have
already begun to look for their successors.

The exacting case of the FSJ Lighting Company
The story of the FSJ Lighting company is strictly united to that of its founder, Cai Shusong, once the
director of a state enterprise (the lighting factory in Zhongshan) and secretary of the enterprise's Party
Committee. In May 1998, at the age of 63, he retired and began a second career in Zhongshan. He borrowed
90,000 Yuan and became a sales representative for a locality and enterprise at Jiangmen. In 1999, he set up his
own company, FSJ Lighting, with an initial investment of 100,000 Yuan, which produced a component for
Lighting equipment.
The company was registered at the Chamber of Commerce and Industry as a communal enterprise. From
the outset, although this official status, FSJ Lighting was defectors a private company owned and managed by
the Cai family. All the management jobs were detained by members of the family or by close friends. In 2001,
FSJ Lighting relinquished its status as a collective enterprise and became a public limited company with private
capital. In 2003, in accordance with company law, FSJ Lighting was modernized and established a board of
directors and a supervisory board. In 2002, it became a shareholding company. In 2005, FSJ Lighting opened its
capital to four institutional shareholders, to the harmony of 21 million Yuan, and then equipped its submission
for a citation on the stock market. In 2006, the company had total capital of 132 million Yuan, an annual
proceeds of 86 million and profits of 21 million. It employs close to a thousand employees.

The founder’s family
Cai shusong set up his company at the age of 63 and gave up direct management of it four years later.
When asked about his ambitions for FSJ Lighting, his first desire was that the company preserve its
technological guide over its competitors, develop itself sustainably and contribute to local development. These
ambitions are evidence that, distant from the creation of personal and family assets, self-realization is a major
factor in his consumerist motivation.
Cai shusong is one of those private entrepreneurs who previously had been cadres in state enterprises. He
belongs to the proficient elites who made a good living before, and who set up private companies in the same
sector as that in which they were employed by the state. They are differentiated from entrepreneurs driven by
dearth, because of their reasonably high incomes. Their professional experience sets them apart from the
administrative elites who went into business in order to capitalize on their power at the time of the transition
from the planned system to the market system. Cai shusong so belongs to the group of private entrepreneurs who
most closely resemble the Schumpeterian entrepreneur They often have a long-term strategy which gives priority
to the growth of the company.
Cai shusong has two children: Cai Chen (39), his daughter, Cai Xiao (31). Cai Chen, who graduated from
university in 1986, initially looked after the maintenance of the equipment in a state enterprise, the electric
controls factory in Guzhen. In 1998, he left the company to go into his own Lighting business. In 1999, he joined
FSJ Lighting and became dependable for product design. The same year, Cai Xiao came into the family business
with the job of supervising the establishment of the factory. Cai Xiao, who formerly worked in a public bank,
recently submissive in order to join FSJ Lighting. At the time of our research, Cai shusong was president of the

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supervisory board, Cai Chen and Cai Xiao were respectively president and vice-president of the board of
directors, and was preparing the enterprise's listing on the stock market.

Two transfers of power for company
Over the course of the last ten years, FSJ Lighting has qualified two successive succession processes. The
first C.E.O. officer of FSJ Lighting was Cai shusong. The job of president of the board at that time was held by
his wife. From 2002 beyond, Cai shusong began the transfer of power to the second generation, appointing his
son, Cai Chen, C.E.O. officer, and taking over the job of president of the board from his wife. The string process
was completed in 2003 when Cai shusong reconciled the presidency of the board, which he entrusted to Cai
Chen.
This initial succession was carried out by the founder Cai shusong, who decided to give up the direct
management because of his age and the inadequacy of his knowledge in the face of rapid technological
developments.
The second succession was made necessary by the company's extension strategy. In 2004, after the
modification of the company's legal status, when it became a shareholding company, its development led it to
take on ―risk capital‖ to the tune of 21 million Yuan, and to arrange a request for a listing on the stock market. In
order to comply with the criteria of the Chinese Securities Regulation Commission, the company determined to
split the positions detained by Cai Chen. In order to do this it recruited an outside professional manager, Mr.
Yuan, who became C.E.O. officer.
The first transfer of power was a result of the withdrawal of the head of the company because of his age. If
we consider that the main task of a family running a family business is to produce managers with the necessary
competencies (comprehension and know-how), the distance between two transfers of power within the family
will be at least twenty-five years in the case of a nuclear family. This distance can be shorter in the case of an
absolute family, which has the possibility of interesting sons-in-law or cousins into the company. Thus the
structure of the family (the number of children, the accessibility and impetus of probable successors, etc)
influences the regularity of successions.
Factors exterior to the company also come into the computation. The technological environment anxiety the
renewal of competencies in order to adapt to sectoral evolution. The evolution of the capital structure can expose
the company to new shareholders. These factors can contribute to the renewal of the guidance of the company,
even if they do not supply directly to the engagement of the successor.
Even after the arrival of a C.E.O. officer who was not part of the family circle, the Cai family, at the time of
our consultation with Cai shusong, still held 53% of the shares, while four financial institutions held 34%, and
the other directors 13%.
The management team is currently made up of 11 people, of whom three are members of the You family
(Cai shusong and his son). Three are former company cadres who now supervise general business, finance and
technology.
As well as the chairman executive officer, three deputy directors have been actuated from outside the
company, and an consultative position has been commended to a former state employee, who was previously the
head of the local commission for foreign economic and commercial relations (Sorenson, ,2006). Although this
progression has led to a diminish in the control of the founding family, the Cai family still holds a common of
the capital.

Table 2: FSJ Lighting Company Organization

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Results
In China, the development of the private sector goes back less than twenty years, most businesses are
family ones and are always dash by their founders. The two successions pragmatic in the case of the FSJ
Lighting company incited us to formulate the following questions:
Is the actual of talent from outside the family merely an illusion in the case of China ?
Will the growth of companies lead to the opening up of their capital and what effect will this have on the
succession process ?
Is the charming into anxiety by a family industrialist of the constancy, the spirit of commitment and the
professional competence of his successor a widespread occurrence?
Is it absolutely necessary for a manager recruited from outside the family to establish personal relationships with
the executives of the company which recruits him ?
The sample was classified to fsj lighting undergoing transition from the main reason is linked to the founder
himself. The physical reject due to age (28.9%) is the major reason, while a acquainted of the limitations of his
aptitude in the face of technical fruition ranks second (28.3%). Some also refer to the external environment in a
situation where growth no longer allows the founder, despite his aptitude, to organize his company alone. A
require of management facility within the company obliges him to judge a transfer of power (5.9%). Lastly,
outside investors may command a change of guidance, but the manipulate they effort remains limited (5.9%).
The reason may recline in the closed scenery of the capital the family businesses in this survey mainly rely
on self-financing (90%) or on bank loans (69.4%) for finance. Whatever the reasons for this, the closed scenery
of the capital of these companies and the very restricted collision of outside investors on the alternative of
C.E.O., lead us to consider that the FSJ Lighting company is a very exacting case. Its choice to seek a stock
market listing must be seen as an progress in the personal preferences of positive members of the family. In other
words, the choice of certain family businesses to become bigger and more ―modern‖, with the help of the
financial markets, is more the result of exacting personal decisions than a law of the development of family
businesses.
Therefore, the objective reject of the founder and the progress in the technical environment are the two
main factors that lead to succession charming place, while the direct pressure exerted by outside investors is
trivial. The role played by the second generation at this phase of the succession must also be noted. To the
question ―Do your children wish to work and progress in your company?‖ 76.5% of the founders give a positive
reply, but none of them envisage giving up their power only because of their children's wish to share more in the
business.

The principle for Choosing a Successor
In spite of the children's wish to share power with their parents does not automatically allow them to
succeed to the job of C.E.O., 88 % of founders want their children to be able to work in the company. In order to
recognize them, three categories of individuality were listed in the questionnaire. We asked the founders to list
them in declining order of importance, and then calculated their respective levels of importance (see Table 3)
Constancy (50.4%), guidance aptitude (50%) and the spirit of commitment (43.8%) are the most
appreciated qualities. Occurrence (26.1%) and university training ((19.5%) are also deemed important. Also
mentioned is the network of professional contacts (15.8%). If one compares the level of importance of the three
categories, ―character traits‖ come first (28.8%), ―abilities‖ follow (at 17.5%), while ―other qualities‖ come last
(2.6%). In the choice of a successor, moral qualities and technical competence are the two main criteria taken
into account by the founders. However, morality seems more important than competence in the eyes of the
majority of founders.
The substance given to constancy and proficiency is differentiated according to the kind of dependability
taken on. Where the post of C.E.O., the most important in day-to-day management, is concerned, opportunistic
behavior is the most destructive to the interests of the family. Where the manager's constancy and strength of
commitment are the most important criteria, the selection of a successor always remains subjective, although the
objective aspect of the selection procedure which is partly based on an assessment of competence through
university training and acquired experience. Similar assessments are made in other parts of the world. Both in
developed countries, such as Canada, and developing countries, such as India, constancy and the spirit of
commitment are deemed to be the most important qualities by company heads (Levitas,,2005).
An ordinary succession coupled to the age of individuals is at variance with a succession brought about by
the development of the company. The preference of the founder's eldest son differs from the recruitment of a
professional from outside the family.(Habberson,1999) Is such a development indication of a essential change in
the criteria used by Cai shusong in the choice of his successor ? During our interview Cai shusong described the
preferred career shape in the following terms a proficient person with professional experience and a wide

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network of social contacts. When we asked him to assess the advantages and disadvantages of different modes of
selecting a successor (see Table 3), he expressed the opinion that the introduction into the company of a
professional manager favored the strengthening of management and innovation prospective; the disadvantage
was a require of knowledge of the decent virtues and the real competence of the person concerned. However if
the favored successor was already a company cadre, Cai shusong would be more certain, thanks to direct
knowledge of the competence and moral qualities of the person; the hazard was of annoying clash and slowing
innovation. to him, choosing a relation was a guarantee of constancy and easy communication.
The essential problem of a succession is the assessment of the reliability of the successor, who is asked to
supply management proficiency, but also certain principles and stroke taken in agreement with the family
interest. The way in which these qualities are assessed is therefore imperative. In the case of FSJ Lighting, Cai
shusong, the founder, first chose his eldest son, Cai Chen. A university graduate, initially guilty for product
development, he participated in the foundation of the company. His capability is renowned by his family and by
the workers. As Cai shusong sees it, Cai Chen is the answer to his prospect: he has the ability to entrust himself,
constancy to the family's interests and mastery of the necessary technical and management comprehension. The
family connection is not the definitive reason for Cai shusong 's choice, but it permitted him to detect him
closely, to evaluate him and even to guide him. In this logic, the incidence of an ideal successor within the
family is the reason sooner than the result of Cai shusong`s conclusion to turn over power only four years after
the enterprise of the company.
While the first succession was a deliberate move undertaken by the founder, the second succession was
prompted by outside forces. In the wake of its modify of condition in 2002, FSJ Lighting took on board new
investors from outside. The resolution to seek a citation on the stock market led Cai Chen. to divide the two
posts he held although this separation was not obligatory. This unexpected development did not permit Cai
shusong easily to examine, assess or guide a new successor within the family. The need to assign a successor
once again arose at a time when there was no potentially proficient person available within the family. Cai
shusong thus found himself in a predicament: the alias of an incompetent virtual threatens the survival of the
company, while the conscription of a manager outside the family increases the risk of misappropriation,
especially in the deficiency of a legal system capable of settling likely conflicts.
Finally, Cai shusong chose Cai, who had worked for several years in Hong Kong and was previously
the director of a condition venture in Zhongshan. The two men had met in 2002, in the course of business debate,
and became friends. In 2002, Cai submissive from his company for personal reasons. Cai shusong then invited
him to work at FSJ Lighting. In spite of other offers from big companies, Yuan received Cai's invitation because
of their friendly relationship. Cai's professional knowledge in the sector testified to his proficiency, which was
also confirmed by Cai shusong 's direct examination in their formal and informal correlation However, just as
decadence did not assurance that Cai Chen would automatically become the successor, Yuan's professional
proficiency was not enough to convince Cai shusong to place administrative power in outside hands. Mutual
trust, the result of a close personal association, played an important role in controlling the risk of
misappropriation and allowed Cai to resolve the problem of his succession. The second succession, although
carried through outside the family is still observe persona.
Thus professional capability and personal individuality are matching. While confidence in a person's
aptitude to correctly manage the family patrimony can be recognized on the basis of indirect information such as
status, experience and professional occurrence, information on personal qualities is more difficult to
obtain.(Lee,2006) Moreover, the improbability produced by the difference in the available information is
improved when the legal system is incapable to penalize opportunistic behavior effectively. In this sense, the
trust born of personal interaction mainly determines the choice of a successor. But the importance given to
personal relationships does not mean that an industrialist will have shade reliance in his children and an absolute
doubt of strangers. Trust is a subjective judgment, but it is not resistant to reason. The criteria used by Cai
shusong. first to choose You Yuan and then Cai are of three kinds: competency, moral qualities and a assure to
act according to the family interest. Cai Chen 's only advantage in comparison with Yuan is that he had a
cherished relationship with his father since birth, while Yuan had to build a relationship with Cai shusong in
order to set up common trust. Trust, based on a long relationship, is also a sign of the lively scenery of a family
venture which can carry in people from outside the family.

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�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

Advantages
Strengthening
Management capabilities
Professional
maneger

Innovation

Employee already
in the company

Member
Of the family

Ease of integration
Certainty abaut his
personal qualities
Loyalty

Disadvangates
Uncertainity
abaut
his
real
compeer
Uncertainity abaut loyalty and
moral values
Danger of a power struggle
Slowing of reform and innovation

Ease communication
with the founder
Table 3: Cai shusong‘s Perspective on the Choice of a Successor

Ġmplicatıons and Suggestıons
Researchers in family business area all agree that case of the FSJ Lighting Company, the survey agreed out
reveals that in Chinese family businesses, the reasons for succession, the criteria of selection of the successor and
the order of favorite amid the various candidates all match with practices in other parts of the world. In the
course of the development of their venture, the founders do not be tentative to praise functional jobs to capable
third parties who are not members of the family sphere. However, it is to be expected that the succession to the
job of C.E.O. officer will usually be the result of the projected deduction of the head of the company. Anxious to
defend his patrimony, an industrialist in China, as elsewhere, while taking into account technical ability and
management abilities, assesses above all the honesty and constancy of his potential successor. Trust, in the
widest sense of the word, is a significant factor. As a result, the capitalist prefers to designate a competent
member of his family.
It is when such a successor is not available at the time of succession that the individuality of China's case
becomes more marked; this is not allied to literary specificities, but to the institutional context. The immature
status of institutions and the desolation of traditional social organization limit the role of institutional trust in
economic co-operation. In contemporary China, trust is usually produced by personal relationships. Social
networks are brought into action in order to control the risks in the face of indecision.
The case of the FSJ Lighting Company and the opinions we have gathered show the industrialist resorting
to his network of interaction when his successor is being chosen. Depending on the degree of confidence of the
relationship, he first seeks an applicant among ―the members of his family‖ then among ―those close to him‖,
and may finally resort to ―strangers‖. The widespread description of ―zijiren‖, which includes all those deemed
dependable and division common values, makes it likely for a family business to getaway the dilemma of
succession and to develop even if there is a require of available professional managers. The survey did not make
it possible to answer all the questions arising from the case of the FSJ Lighting company. Our sample was
limited, and could not resolve how representative it is of the common of private companies, which in reality are
small in size. Moreover, the question of succession remains open. Further surveys will afford wider
understanding and perceptive of this area of business in China.

References
A. R. Lank, R. Owens, J. Martinez, H. Reidel, F. deVisscher, and M. Bruel, ―The state of family business in various
countries around the world‖, The Family Business Network Newsletter, May, pp.3-7,1994. Business Review, vol.4,
no.4, pp.161-189, 1991.
E. Stavrou, ―Succession in family businesses: exploring the effects of demographic factors on offspring intentions to take
over and take over the business‖, Journal of Small Business Management, vol.37, no.3, pp.43-61, 1999.
Habbershon, T. G. and Williams, M. (1999). ‗A resource-based framework for assessing the strategic advantages of family
firms‘. Family Business Review, 12, 1–25.
J. Yan and R. Sorenson, ―The effect of Confucian values on succession in family business‖, Family Business Review,
vol.19, no.3, pp.235-250, 2006.
Lee, J. (2006). ‗Family firm performance: further evidence‘. Family Business Review,p. 19, 103–14.

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�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo
T. T. Chua, ―Approaches to succession in East Asian business organizations‖, Family Trade and Industry Chambers of
Guangdong- China (2010). ‗Founding families control‘.
Wu, S., Levitas, E. and Priem, R. L. (2005). ‗CEO tenure and company invention under differing levels of technological
dynamism‘. Academy of Management Journal, 48, 859–73

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                <text>In order to determine the impaction of financing to corporate performance,  Guangdong Province family owned listed corporation family businesses is selected to  describe a sovereign form of economic organization throughout the world in terms  of contributions. Because of the coincidence of family business failure and the  importance of family business within national and local economies, a large percent of  family business literature is allocated to the issue of succession. In mainland China, the  family, as the basic social unit, has recently regained its importance in economic  activity. Starting from the exacting case of a family business located in Guangdong  province, this article reviews the practices that reign in the succession of the  management of companies. Following this case study, a questionnaire was drawn up  and submitted to 15 family businesses. Chinese companies can continue to endure or  not, depends on its ability to carry out bold economic reforms and to what extent the  characteristics of Chinese companies and originality play. A survey inquiry is used as  the research instrument. The results prove that psychosocial needs are more often  associated with the potential successors‘ intentions to take over family businesses than  other factors.</text>
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                    <text>Determination of Fungal and Bacterial Diseases on Bean Plants in Bean
Production Areas in Konya Province, Turkey
Serkan YEŞĐL
Selcuk University, Agricultural Faculty, Department of Plant Protection, Konya, Turkey
serkanyesil@selcuk.edu.tr
Nuh BOYRAZ
Selcuk University, Agricultural Faculty, Department of Plant Protection, Konya, Turkey
nboyraz@selcuk.edu.tr

Abstract: Bean (Phaseolus vulgaris L.) is a major crop that provides an important
source of protein for human nutrition. In this study presence of plant pathogenic fungal
and bacterial agents was determined in five mostly bean growing districts of Konya
province in 2006. The surveys were carried out at seedlings, blooming and podmaturing phases of beans, and determined the average incidence of fungal diseases on
three phases as 16.42%, 14.17% and 15.37% respectively. According to results, five
fungal agents were identified as primary pathogens which were Fusarium equiseti, F.
oxysporum f.sp. phaseoli, Macrophomina phaseolina, Rhizoctonia solani and F. solani
f.sp. phaseoli on beans. In the three sampling phases and on majority at collected
samples, Fusarium spp. were isolated at ratios 65.36%, 76.27% and 68.88%
respectively. R. solani was determined to be the most virulent agent (77.78%) in all of
the fungal pathogens by the pathogenicity tests. Pseudomonas savastonoi pv.
phaseolicola was identified on collected bean samples and found incidence of disease as
11.59%.
Keywords: Fungal, bacterial, bean, disease, Konya.

Introduction
Legumes play an important role in human nutrition. Bean (Phaseolus vulgaris L.) is one of the
most important legumes in the World due to its high commercial value, extensive production, consumer use,
and nutrient value (carbohydrates, protein, minerals, and vitamins). It is traditionally a basic food crop in
many developing countries, and it serves as a major plant protein source for rural and urban areas.
Approximately 99.000 ha are planted annually to common bean in Turkey. Konya ranks first in Turkey in
terms of the bean planting areas with a total area of 13.860 ha and a production level of 26.591 tons
(Anonymous 2010).
Bean (Phaseolus vulgaris L.) plants are adversely affected by numerous biotic and abiotic stresses
that result in important yield losses. More than 200 pathogens have been reported attacking beans; however,
only about a dozen of them can cause considerable economic losses (Schoonhoven &amp; Voysest 1991).
Annual production losses in world bean production as a result of diseases average about 10%. On bean
plants 61 different diseases were described 31 of these diseases are caused by fungi, five by bacteria, five
by nematodes, 18 by viruses, and two by mycoplasmalike organisms. Fungal pathogens of bean are
identified mostly by the size, shape, and color of their spores. Fungal pathogens cause a wide range of
symptoms on beans. Most frequently they cause variously colored (brown, yellow, red, or black) spots or
blotches on leaves, stems, pods, seeds, or roots. Bacteria that cause bean diseases are microscopic, colorless
or yellow cells. They cause water-soaked spots (then brown) and blotches (often with yellow borders) on
leaves, pods, or seeds (Hall 1994).
Konya province provides 21.5% of Turkey bean production (Çiftçi 2004). Therefore it’s very
important to determine diseases of bean plants and to plan control measures for diseases. It’s reported that
219

�yield losses which are caused by diseases, pests, and herbs in legumes cultivated areas in worldwide on
developed countries and developing countries were 17.2% and 37.1%, respectively (Agrios 1988).
Particularly in large bean production areas, irrigation by sprinkling plays an important role for spreading of
bacterial and fungal diseases. Also, using seeds which were cultivated the previous year as seed plays an
important role for spreading seed-borne diseases. In this study, it’s aimed to determine and identify fungal
and bacterial diseases and incidences of the diseases which may cause yield losses on bean production in
Konya province.
In Turkey, early researches about bean diseases were carried out by Bremer (1948, 1954) and
Göbelez (1956). Up to date, several survey studies about bean diseases in different provinces in Turkey has
been carried out (Tekinel et al. 1969, Karahan 1971, Özalp 1971, Soran 1977, 1981, Turak &amp; Arslan 1988,
Temizel &amp; Ertunç 1992, Demir &amp; Gündoğdu 1994, Biçici et al. 1995, Hatat &amp; Özkoç 1997, Turak 1997,
Demirci &amp; Çağlar 1998, Turhan et al. 2001, Kırbağ &amp; Turan 2006)

Material and Methods
Material

The main material of the study is infected ones of bean plants which are grown in Konya province,
in 2006. Survey area of the study is determined with regard to bean production statistics of 2005 which
were provided from Konya Directorate of the Ministry of Agriculture. According to the data (Anonymous
2005), districts where bean are planted in more than 1000 ha, Center districts (Selçuklu, Meram and
Karatay), Çumra, Altınekin, Ilgın and Ereğli were chosen as the survey area.

Methods
Surveys

Survey area was selected from intensively bean cultivated areas and in such a way to represent
Konya province. Surveys were carried out in bean growing areas in Center districts (Karatay, Selçuklu and
Meram), Çumra, Altınekin, Ilgın and Ereğli. Sampling was done at least in 1% of bean production area in
each of the districts. Minimum sampling areas of the districts were determined as 150 da., 450 da., 210 da.,
140 da., and 100 da., respectively. Bean planting areas, sampled field numbers and areas in the districts
were shown in Table 1.
District
Center
Çumra
Altınekin
Ilgın
Ereğli
Toplam

Planting Areas (ha.)

1480
4500
2100
1400
985
10465

Field Number

14
15
14
14
10
67

Sampled
Planting Areas (da.)
186
517.5
386
157
285
1531.5

Table.1. According to the districts and size of field examined field numbers.

In this study, the surveys were carried out at 3 phases as at seedlings, blooming and pod-maturing
phases of beans. The first one was carried out at appearing of bean seedlings on the soil surface to two real
leaves phase (first week of June), the second one was at appearing of first flowers (second week of July)
and the last one was at maturing of pods and seeds phase (third week of August).
In field surveys controlled plant numbers in examined field were determined according to size of
examined field, as in Table 2.

220

�Area of field (da.)
1-5
6-10
11-50
51-100

Number of controlled plant
25
50
100
150

Table 2. According to size of examined field, number of controlled plant

During survey studies, disease incidence ratio and infected plant ratio values which belong to each
field, each district and Konya province were calculated according to Bora and Karaca (1970).
a)

Isolation and Identification of Fungal Pathogens from Infected Bean Plants

Preliminary diagnosis was based on symptoms in shoots, hypocotyls, and roots that are usually
associated with specific root rot and wilt pathogens. In all isolations, hypocotyl or root tissues showing
symptoms were first washed in running tap water and cut into 1-cm portions. They were then surface
sterilized in 1.5% NaOCl for 1min, double rinsed in sterile distilled water, blot dried between sterile paper
towels, and plated aseptically on potato dextrose agar added with streptomycin sulphate. Plates were then
incubated in a growth chamber at 22 to 26°C with a 12-h photoperiod supplied by long, fluorescent, day
light tubes. Plates were examined 2 to 14 days later for fungi associated with the various symptoms
observed (Warcup 1958). Pure cultures were obtained by subculturing. Fungi were identified according to
colony characteristics and reproductive structures by using binocular microscope according to Von Arx
(1970); Booth 1971; Barnett and Hunter (1987); Domsch et al. (1980). Fungal structures of identified fungi
were screened by means of a trinocular microscope and photographed by digital camera.
b)

Pathogenicity Tests

In the pathogenicity tests “Akman 98” bean cultivar used. It’s known as sensitive to fungi which
were tested. The most frequently isolated fungal species were chosen. Pathogenicity tests of 5 Fusarium
oxysporum f.sp. phaseoli (Fop), 5 F. solani f.sp. phaseoli (Fsp), 3 Rhizoctonia solani and 3 Macrophomina
phaseoli isolates which were identified by species, were carried out on pots in climate chamber conditions.
In this study, corn flour sand culture which is mostly used and thought better for soil borne fungi was used.
(Killebrew et al. 1988).
Assessments were done after 30 days from planting. Therefore, CIAT 1-9 scale (Pastor-Corrales &amp;
Abawi 1987) was used for plants inoculated by Fop and Fsp, and 0-4 scale (Meinhardt et al. 2002, Eken &amp;
Demirci 2003) for plants inoculated by R. solani and M. phaseoli.
Isolation and Identification of Bacterial Pathogens from Infected Bean Plants
Bacteria were isolated and identified according to Schaad et al. (2001) from the parts of bean
plants which showed bacterial disease symptoms. For identification, biochemical tests including Gram's
stain, motility, utilisation of mannitol, sorbitol and inositol together with LOPAT tests and growth on
King’s B were carried out.

Results
Survey Results
Incidence of Fungal Root Rot on Bean Plants

Extent of the study, result of the surveys which were carried out at seedling phase of bean in 2006
incidence of fungal root rot in Center, Çumra, Altınekin, Ilgın and Ereğli districts were determined as

221

�19.88%, 10.40%, 17.81%, 19.75% and 21.35%, respectively. The average of Konya province was
determined as 16.42% (Fig. 1).
In the same year, result of the second surveys which were carried out at blooming phase of bean
incidence of fungal root rot in the same districts were determined as 16.57%, 10.84%, 14.68%, 11.43% and
19.45%, respectively. The average of Konya province was determined as 14.17% (Fig. 2).
Result of the last surveys which were carried out at pod maturing phase of bean incidence of
fungal root rot in the same districts were determined as 15.96%, 15.28%, 11.95%, 17.63% and 18.53%,
respectively. The average of Konya province was determined as 15.37% (Fig. 3).

21,35
22

19,88

19,75

20

17,81
16,42

Incidence ( %)

18
16
14
10,4

12
10
8
6
4
2
0
Merkez

Çumra

Altınekin

Ilgın

Districts

Ereğli Konya(Ort.)

Figure 1. Incidence of fungal root rot on bean plants at seedling phase

Figure 2. Incidence of fungal root rot on bean plants at blooming phase

222

�Figure 3. Incidence of fungal root rot on bean plants at pod maturing phase

Incidence of Bacterial Diseases on Bean Plants

In the survey studies which were carried out at seedling, blooming and pod maturing phases of
bean in Konya Center, Çumra, Altınekin, Ilgın and Ereğli districts, in 2006 bean production seasonal
symptoms of bacterial diseases were only observed at pod maturing phase. Therefore, only this survey
results were given and evaluated. As a result of the analysis of these findings, plants which infected with
bacteria were observed mostly in Altınekin district by 27.74%. Çumra, Ilgın, Center and Ereğli districts
followed Altınekin by 9.56%, 7%, 3.22% and 1.36%, respectively. The average of Konya province was
determined as 11.59% (Fig. 4).

Incidence (%)

27,74
28
26
24
22
20
18
16
14
12
10
8
6
4
2
0

11,59
9,56
7
3,22
1,36

Merkez

Çumra

Altınekin

Ilgın

Ereğli

Konya(Ort.)

Districts

Figure 4. Incidence of bacterial diseases on bean plants at pod maturing phase

Results of Laboratory Studies
Isolation and Identification of Fungal Pathogens from Infected Bean Plants

223

�In the survey studies, from Center districts, Çumra, Altınekin, Ilgın and Ereğli, bean plants were
collected number of 440, 710, 430, 345 and 315, respectively. And fungal pathogens were isolated from
these plants. In the survey studies at seedling phase, totally 615 diseased bean plants, 160 from Center
districts, 200 from Çumra, 75 from Altınekin, 95 from Ilgın and 85 from Ereğli were collected and used for
fungal isolation. Isolated fungi and incidence rates of each fungus as regards to districts are shown in Table
3. As given by the table fungi species were determined from 9 different genus. In this phase, 402 of 615, in
other words 65.36% of bean seedlings which were examined for isolation were determined as infected by
Fusarium species. In addition, in seedling isolation studies; incidence rates of R. solani, M. phaseoli,
Alternaria spp and Pythium spp were determined as 19.18%, 8.61%, 8.61% and 1.78, respectively.
At blooming phase of bean, totally 590 bean plants,160 from Center districts, 155 from Çumra, 75
from Altınekin, 95 from Ilgın and 105 from Ereğli were collected and used for fungal isolation. Isolated
fungi and incidence rates of each fungus as regards to districts are shown in Table 4. As given by the table
fungi species were determined from 8 different genus. In this phase, 450 of 590, in other words 76.27% of
bean plants which were examined for isolation were determined as infected by Fusarium species. Fusarium
spp. were followed by R. solani (22.37%), M. phaseoli (10.67%) and Pythium spp (5.59%).
Districts
Fungi

Fusariu
m spp.
R. solani
M.
phaseoli
Alternari
a spp.
Pythium
spp.
Curvular
ia spp.
Ulocladi
um spp.
Penicilli
um spp.
Chaetom
ium spp.
Toplam

Konya Center
Numb Infecti
er of
on
infecte rate
d
%
seedli
ngs
113
70,62

Çumra
Numb
er of
infecte
d
seedli
ngs
115

57,5

Altınekin
Numb Infecti
er of
on
infecte rate
d
%
seedli
ngs
41
54,66

Ilgın
Numb
er of
infecte
d
seedli
ngs
75

78,94

Ereğli
Numb
er of
infecte
d
seedli
ngs
58

68,23

20
4

12,5
2,5

39
20

19,5
10

18
12

24
16

23
---

24,21
---

18
17

21,17
20

14

8,75

16

8

10

13,33

9

9,47

4

4,70

11

6,87

---

---

---

---

---

---

---

---

1

0,62

2

1

---

---

4

4,21

---

---

3

1,87

1

0,5

---

---

1

1,05

---

---

---

---

7

3,5

3

4

1

1,05

1

1,17

---

---

2

1

4

5,33

---

---

---

---

160

---

200

---

75

---

95

---

85

---

Infecti
on
rate
%

Infecti
on
rate
%

Infecti
on
rate
%

Table 3. Infection rates of bean seedling samples with fungi

Districts
Fungi

Fusariu
m spp.
R. solani

Konya Center
Numb Infecti
er of
on
infecte rate
d
%
seedli
ngs
107
66,87

Çumra
Numb
er of
infecte
d
seedli
ngs
117

22

73

13,75

75,48

Altınekin
Numb Infecti
er of
on
infecte rate
d
%
seedli
ngs
62
82,66

Ilgın
Numb
er of
infecte
d
seedli
ngs
79

63,47

4

18

Infecti
on
rate
%

224

5,33

83,15

Ereğli
Numb
er of
infecte
d
seedli
ngs
85

80,95

18,94

15

14,28

Infecti
on
rate
%

Infecti
on
rate
%

�M.
phaseoli
Alternari
a spp.
Pythium
spp.
Penicilli
um spp.
Chaetom
ium spp.
Gliocladi
um spp.
Toplam

12

7,5

22

14,19

5

6,66

7

7,36

17

16,19

7

4,37

1

0,64

4

5,33

12

12,63

5

4,76

9

5,62

---

---

---

---

---

----

24

22,85

---

---

4

2,58

1

1,33

---

---

---

---

---

---

3

1,93

5

6,66

---

---

1

0,95

---

---

3

1,93

---

---

---

---

---

---

160

---

155

---

75

---

95

---

105

---

Table 4. Infection rates of bean plant samples with fungi at blooming phase

At pod maturing phase of bean, totally 1035 bean plants,120 from Center districts, 355 from
Çumra, 280 from Altınekin, 155 from Ilgın and 125 from Ereğli were collected and used for fungal
isolation. Isolated fungi and incidence rates of each fungus as regards to districts are shown in Table 5. As
given by the table fungi species were determined from 10 different genus. In this phase, 713 of 1035, in
other words 68.88% of bean plants which were examined for isolation were determined as infected by
Fusarium species. Fusarium spp. were followed by R. solani (24.05%), Alternaria spp. (15.26%), Pythium
spp (11.59%), and M. phaseoli (10.33%).
Districts
Fungi

Fusarium
spp.
R. solani
M.
phaseoli
Alternaria
spp.
Pythium
spp.
Ulocladiu
m spp.
Penicilliu
m spp.
Chaetomiu
m spp.
Gliocladiu
m spp.
S.sclerotio
rum
Toplam

Konya Center
Numb Infecti
er of
on
infecte rate
d
%
seedli
ngs
60
50

Çumra
Numb
er of
infecte
d
seedli
ngs
255

71,83

Altınekin
Numb Infecti
er of
on
infecte rate
d
%
seedli
ngs
213
76,07

Ilgın
Numb
er of
infecte
d
seedli
ngs
88

56,77

Ereğli
Numb
er of
infecte
d
seedli
ngs
97

77,6

15
8

12,5
6,66

59
17

16,61
4,78

42
34

15
12,14

36
34

23,22
21,93

42
14

33,6
11,2

27

22,5

53

14,92

44

15,71

12

7,74

22

17,6

14

11,66

40

11,26

34

12,14

5

3,22

1

0,8

---

---

3

0,84

4

1,42

17

10,96

---

---

---

---

5

1,40

3

1,07

4

2,58

---

---

---

---

3

0,84

2

0,71

1

0,64

---

---

---

---

15

4,22

15

5,35

---

---

---

---

1

0,83

---

---

---

---

---

---

---

---

120

---

355

---

280

---

155

---

125

---

Infecti
on
rate
%

Infecti
on
rate
%

Table 5. Infection rates of bean plant samples with fungi at pod maturing phase

225

Infecti
on
rate
%

�Distribution of Isolated Fungi

During the survey studies, as a result of the isolation of the media grown from collected bean
plants, 221 isolates from 15 different fungi species were obtained (Tab. 6). 57.02% of the isolates in other
words half of the isolates were identified as Fusarium. In this study, 5 different Fusarium species were
identified. As a result of species identification studies, isolation frequency of F. equiseti at seedling,
blooming and pod maturing phases was determined as 24.70%, 23.40% and 22.58%, respectively. F.
equiseti was followed by F. oxysporum with 17.65%. Isolation frequency rates of this fungus were
determined as 19.75%, 14.90% and 17.20%, respectively. Macrophomina phoseoli was third mostly
isolated fungus by 15.38%. Isolation frequency rates of this fungus were determined as 11.11%, 25.53%
and 13.98%, respectively. Isolation frequency rates of R. solani, which is one of the most important
pathogens of bean plants at seedling, blooming pod maturing phases and average were determined as
16.05%, 12.77%, 15.05% and 14.93%, respectively (Tab. 7).

Fungi

Center
B P T
0 1 4

F. equiseti

S
3

F.oxysporum

5

0

0

5

S
1
0
7

F. solani

1

0

0

1

F. culmorum
F.semitectu
m
R. solani

0
1

0
0

0
0

2

0

M. phaseoli

1

Alternaria
spp.
Curvularia
spp
Ulocladium
spp.
Chaetomium
spp.
Gliocladium
spp.
P.oligandru
m
Pythium spp.
S.sclerotioru
m
TOTAL

Çumra
B P
4 4

2

5

3

4

4

0
1

4
0

0
2

2
0

1

3

5

6

4

0

1

2

3

4

3

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0
0
0

T
1
8
1
4
1
1
6
2

Number of isolates
Altınekin
S B P T S
0 4 8 1 3
2
2 1 8 1 1
1
0 0 1 1 0

Ilgın
B P
0 3

T
6

S
4

Ereğli
B P
3 5

0

2

3

1

4

1

T
1
2
6

0

0

0

1

1

0

2

0
0

0
0

0
2

0
2

1
2

0
0

0
2

1
4

3
0

0
0

1
0

4
0

2

0

1

3

2

0

4

6

2

0

4

6

4

2

4

1

1

2

1

5

4

1

1

2

1
0
4

0

3

1
5
1
0
3

1

0

0

1

0

1

2

1
0
3

0

2

2

0

0

0

0

1

0

0

1

0

0

0

0

1

0

2

3

0

0

0

0

1

0

0

1

0

0

0

0

0

1

0

2

3

0

1

0

1

0

0

0

0

0

0

0

0

0

0

0

1

1

2

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

1

0

0

1

1

0

0

0

0

0

0

0

0

0

0
1

0
1

0
0

0
0

1
0

1
0

0
0

0
0

0
0

0
0

0
0

0
0

0
0

1
4

1
7

4
3

0 0 0 0 0
0 0 0 0 0
0
1 0 4 1 3 2 3 9 9 9 2 4 1 1 1 2 1
3
7 5 3 3 1
7 5 2
2 5 2
S: Seedling survey, B: Blooming survey, P: Pod maturing survey, T: Total of the surveys.
Table 6. Distribution of isolated fungi depending on survey phases and districts

226

�Isolates

Seedling
24,70
19,75
6,17
9,88
3,7
16,05
11,11
2,47
0
0

F. equiseti
F. oxysporum
F. solani
F. culmorum
F. semitectum
R. solani
M. phaseoli
Alternaria spp.
Pythium spp.
S. sclerotiorum

Isolation rates (%)
Blooming
Pod maturing
23,4
22,58
14,9
17,2
10,64
5,38
0
3,23
4,26
4,3
12,77
15,05
25,53
13,98
4,26
7,53
0
1,08
0
1,08

Average
23,53
17,65
6,79
4,98
4,07
14,93
15,38
4,98
1,08
1,08

Table 7. Isolation rates of the fungi depending on survey phases.

Results of Pathogenicity Tests

Results of pathogenicity tests were given by Table 8. According to the results of pathogenicity
tests, Ç.12/2 of Fop was determined as the most pathogen isolate with 67.41% rate of disease severity. The
isolate caused stunting, chlorosis and total growth reduction on bean plants in comparison with control
plants. In other isolates of Fop, rate of disease severity were determined as varying from 31.85% to 54.96%.
The average rate of disease severity of all isolates was calculated as 54.96%.
In Fsp isolates Ç.O.10/2 was determined as the most pathogen one with 63.70% rate of disease
severity. The isolate caused stunting, growth reduction, early blooming, lesions on hypocotyls and taproot
on bean plants in comparison with control plants. In other isolates of Fsp, rates of disease severity were
determined as varying from 45.93% to 62.96%. The average rate of disease severity of all Fsp isolates was
calculated as 56.89%.
The average rate of disease severity of Rhizoctonia solani isolates was calculated as the highest
with 77.78% in all tested fungal isolates. E.O.3/1 isolate was determined as the most pathogen isolate with
100% rate of disease severity. On all pots which the isolate was inoculated, it prevented the emergence of
all bean seeds.
In M. phaseolina isolates Ç.O.15/3 was determined as the most pathogen one with 51.66% rate of
disease severity. The isolate caused stunting, growth reduction, chlorosis, blight on stems on bean plants in
comparison with control plants. In other isolates of M. phaseoli, rates of disease severity were determined
as varying from 32.14% to 38.33%. The average rate of disease severity of all isolates was calculated as
40.91%.
Fungi

F. oxysporum f.sp.
phaseoli
(Fop)

F. solani f.sp. phaseoli
(Fsp)

R. solani
M. phaseoli

Isolate Name

K.11/1
A.4/2
E.Çi.2/4
Ç.2/1
Ç.12/2
A.O.10/1
Ç.O.16/2
Ç.Ç.9/2
Ç.O. 10/2
Ç.Ç.6/3
E.O.3/1
Ç.Ç.8/2
I.O.7/2
A.6/2
E.Ç.6/3
227

Disease Severity (%)*
Isolate
Average**
31.85
57.78
54.96 B
59.26
58.52
67.41
60.00
62.96
45.93
56.89 B
63.70
51.85
100.00
86.66
77.78 A
50.00
38.33
40.91 B
32.14

�Ç.O.15/3
51.66
Kontrol-1
0.00
Kontrol
Kontrol-2
0.00
0.00 C
Kontrol-3
0.00
*Disease severity was calculated by McKinney’s infection index formula.
**LSD = 19.04;P&lt;0.01. Means followed by the same letters within each fungus aren’t
significantly different according to LSD0.01
Table 8. Pathogenicities of the isolates on Akman 98 bean variety

Suggestions
Determination of factors which negatively effect crop yield and quality in plant production
provides a basis of pest control. The first step of pest control is identification of problem correctly. If it
couldn’t obtain, control strategies wouldn’t achieve. This condition is most important for bean production
areas in Konya province.
According to results of the study, for reducing or eradication of phytopathological problems in
bean production areas in Konya province and in order to produce more yielded and more quality bean
production, the following suggestions must be regarded.
1. First of all, certified and pathogen-free seed must be used because, most of the important bean
pathogens can survive on or in seed.
2. Before seed sowing, field soil must be cultivated properly. Therefore, in autumn plant debris of
the previous year is buried in soil by cultivating 10-15 cm deep. In spring, when soil humid is proper, it
should be prepared for sowing by cultivating 1 or 2 times, then, harrow or disc harrow can be used.
3. Especially, it’s very important to minimize soil compaction in control of mostly observed root
rot diseases in surveyed bean fields. This can be achieved by crop rotation, by loosening sublayers or wheel
tracks with chisels at planting time, by not cultivating wet soil, and by reducing the pressure exerted by
wheels on the soil surface.
4. As well in other plant crops production, in bean production cultural practices are very important.
If all conditions which are necessary for growing healthy plant can be obtained, possibility of
phytopathological problems occurrence will minimum. For this purpose, cultural practices such as sowing,
fertilizing and irrigation should be done properly.
5. Planting depth is effective on seedling emergence and occurrence of root rot diseases. As well
as depending on seed size, generally planting at a depth of 3-4 cm is suitable.
6. Crop rotation should be done, particularly for soil borne diseases. For this purpose, long term
crop rotation (at least 3 years) out of beans such as corn, wheat, barley, alfalfa etc. may reduce soil
inoculum.
7. Thiram (a.i.80%) should be used for controlling root rot diseases as seed treatment.
8. Bean is planted from beginning of May in Konya province. Early planting isn’t recommended,
as it stimulates root rot diseases.
9. As much as possible, tolerant varieties should be used.

Acknowledgements
This research was supported as a master thesis by the Scientific Research Coordination Center of Selçuk
University, Turkey (Project No: 06101027).

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230

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                <text>Bean (Phaseolus vulgaris L.) is a major crop that provides an important  source of protein for human nutrition. In this study presence of plant pathogenic fungal  and bacterial agents was determined in five mostly bean growing districts of Konya  province in 2006. The surveys were carried out at seedlings, blooming and podmaturing  phases of beans, and determined the average incidence of fungal diseases on  three phases as 16.42%, 14.17% and 15.37% respectively. According to results, five  fungal agents were identified as primary pathogens which were Fusarium equiseti, F.  oxysporum f.sp. phaseoli, Macrophomina phaseolina, Rhizoctonia solani and F. solani  f.sp. phaseoli on beans. In the three sampling phases and on majority at collected  samples, Fusarium spp. were isolated at ratios 65.36%, 76.27% and 68.88%  respectively. R. solani was determined to be the most virulent agent (77.78%) in all of  the fungal pathogens by the pathogenicity tests. Pseudomonas savastonoi pv.  phaseolicola was identified on collected bean samples and found incidence of disease as  11.59%.</text>
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                    <text>2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

In the Context of Basel II Accord,
Capital Adequacy and Rating
Feyyaz YILDIZ
Assist. Prof. Dr., Afyon Kocatepe University
Department of International Trade and Finance,
feyyaz.yildiz@gmail.com
Mustafa ÜÇ
Assist. Prof. Dr., Epoka University
Department of Business Administration
mustafauc@epoka.edu.al
Bilge Leyli ELĠTAġ
Res. Assist., Afyon Kocatepe University
Department of Business Administration
bilgeleyli@gmail.com
Cemal ELĠTAġ
Assoc. Prof. Dr., Afyon Kocatepe University
Department of Business Administration
cemalelitas@gmail.com
Idaver SHERIFI
Epoka University,
Department of Business Administration
isherifi@epoka.edu.al

Abstract: Basel II is a series of rules which brings new things and radical changes to the
banking regulation standards. The basic reason of this change; while calculating the risk of the
capital adequacy is taken into consideration and activities which forms the basic degree of Basel
II‘s criterion. Especially Basel II criteria get heavy the circumstances of lending banks credits
and in meantime the importance of rating marks in on the deal.
In that study, reforms which bring Basel II the changing of the calculation of capital adequacy
and in that way the criteria of rating and feasibility will be evaluated.
Key Words: Basel, Rating, Capital Adequacy

Introduction
In order to create a series of rules which can regulate globalized financial markets and bring the banks in the
global common standards, in 1974 the head of the central bank of ten developed countries with the participation of
BIS (Bank for International Settlements), formed the "Basel Committee" (Aksoy, 2007, p. 21). This committee
publishes regulations, recommendations and best practices of supervisory standards for banking authorities while
making arrangements about the best way to adapt the system to their countries. In this way, the committee
encourages member states' to harmonize common approaches and standards of surveillance techniques, without
forcing them to converge in details. This Committee is collected 4 times per year and current members are Belgium,
Canada, France, Germany, Italy, Japan, Luxembourg, Netherlands, Spain, Sweden, Switzerland, United Kingdom
and the United States of America (Doyrangöl and Saltoğlu, ismmmo.org.tr , 2009).
In 1988, a capital measurement system, called Basel I has been prepared. Despite Basel I was developed for
international banks operating in many countries, it began to spread widely. Once Basel I has been started and
implemented, in various events some problems appeared and it started to be criticized.
The problems which were occurred after starting the implementation of Basel I, are listed as below:

9

�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo
- Banks exposure to credit risk is calculated by separating in different classes the banks‘ assets and out of balance
sheet items, and by multiplying the risk ranges of corresponding classes with 0%, 20%, 50% and 100% coefficients.
- Basel I was tried to be applied equally to all banks of different areas of activity, because of lower risk sensitivity of
Basel I, which uses four different risk weights.
- According to the application known as ―OECD club rule‖, there is a predicted risk weight of 0% for governments
of the countries members of OECD, 20% for the banks of those countries in case of debt, and 100% for countries
which are not members of OECD. Because of these problems and the continuous changes in the market prices, Basel
I was seen to be insufficient, and Basel Committee accelerated the work to develop the Basel II standards
(Yardımcıoğlu and Çam, 2007, p.60-61).
At the Accord of 1998, the market risk, which represents the whole of interest rates, exchange rates and
changes in commodity prices was ignored to be part of capital adequacy and in 1996 market risk was added in capital
adequacy calculation in USA. By taking into consideration this significant progress and other critics, in 1999 Basel
Committee started preparing a new draft study for capital adequacy (Teker, Bolgün, Akçay, 2005).
The Basel Committee, taking into account the developments occurring in the financial markets and the lack
of measurements of capital adequacy of Basel I, in June 1999, published the initial advisory text for the New Basel
Capital Adequacy Accord (Basel II). After that, at the beginning of 2001 the second advisory text was published, and
in April, 2003 the third one. These advisory texts are revised and renewed based on opinions of countries‘ supervisor
authorities, banks and other interested parties, and the final text of Basel II was published in June, 2004 (BDDK,
2005).
In Turkey, BDDK (Banking Regulation and Supervision Agency) worked on this issue and in 30.05.2005
announced the transition roadmap to Basel II. In June 2006, a comprehensive document about this was prepared.
However, European Union countries expected to complete the legislation until the end of 2006 and to start applying
from 01.01.2007, and most of countries succeeded. Actually, in banking system of Turkey is applied the ―Regulation
on measurement and evaluation of capital adequacy of banks‖, published in 01.11.2006 in Official Gazette of
Republic of Turkey. Financial statements of sector should be prepared according to IFRS (International Financial
Reporting Standards). Turkish Accounting Standards Board (TMSK), which arranges regulations from 2002, has
completed their work. However, because of missing of obligatory legislation for the application of these standards,
there was accordance with certain standards but the total transition has not been achieved. As a result, transition
process was delayed again.
Basel II regulations is a set of international rules, which effects banks because of radical changes envisaged
in the financial system, and firms because of credit relations with banks (Aksoy, 2007). This arrangement with the
banks' capital adequacy has been brought in an international standard.
Capital adequacy ratio of this practice determined as 8%, at the beginning was applied to show the power of the
financial structure of the banks and was used as a driving force to consolidate the capital structure of banks in a lot of
countries (Aras, p. 4).

Reconcillation of the Basel
Basel I Regulations
Basel I Capital Accord was published as new banking standards by Basel Committee. With this regulation
are determined international capital adequacy standards which will be applied by the banks. These standards must be
applied by banks with international activity, and define the lower limit of the capital that banks must have, towards
the risk-weighted assets. The standard rate of minimum 8% known as ―Capital Adequacy Ratio‖, is based on the
principle of increasing financial stability of banks, in the sense to control the risk by maintaining enough capital at
the same rate. For this purpose, in Basel regulations, the minimum capital amount holded by the banks is applied as a
criterion which indicates the financial stability of banks.
In Basel I, during the setting of risk weight which is fundamental in calculation of the capital adequacy, is calculated
the total credit risk of banks and market risk and in this way try to find a method which will show better the banks‘
exposure to the risks. In this context, the calculation of capital adequacy in Basel I, is as below:
Total Capital
-------------------------------- ≥ 8
Credit Risk + Market Risk
However, during the implementation process of Basel I, it was seen that it is not possible to ensure the existence of a
more robust and stable financial system only by providing the minimum capital adequacy (Aras, 2007, p. 4).

10

�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo
For example; According to one of the rule in Basel I accord, a bank‘s assets have to be classified into five
risk groups (0, 10, 20, 50 and 100 percent) based on credit risk. This risk groups are determined in terms of the
length of maturity date of related credit.
If a bank lends 100 Euros for a year, this operation‘s risk is computed at 20% therefore bank has to allocate
its 1, 6 Euros capital for this transaction in order to meet 8% the least capital adequacy ratio. But if the same amount
lends for more than a year, bank has to allocate minimum its 8 Euros capital to meet minimum of requirement
because the risk computation is made at 100%. When it is considered from the perspective of economic growth, this
situation is unfavourable. Because long-term investments can be financed by long-term credits but risk grouping in
Basel I accord discourages to banks to lend for long-term credits (Ariss and Sareddinne, 2007, p.48). Even only this
case implies Basel I accord is not a sustainable regulation.
Current methods used in measuring credit risk and market risk, to whom banks are exposed and that are
defined in the Basel I, because of a not accure measuring of banking risk, not taking into consideration in the
appropriate measure the price fluctuations of financial market and not being able to differentiate the behaviuor of
banks during the creation of the portofolio, the revision of this standard has become a necessity, by extending the
scope and restructuring with new management methods and methods for measuring the risk exactly.
Therefore, it was understood that it was needed to be able to calculate in a right and exact way the effected
risk, to provide financial stability, and to increase the compatibility of market conditions in order to improve the
quality of market discipline for the crises that banks experienced. Basel I was criticized by global big players and
academic community, because of its simple content. However, the simple content and easy implementation ability
made Basel I more preferable and easely adaptable for developing countries. Basel I, contributed in the
modernization of regulations and in increasing of competitivity in financial sector of these countries.
Except the critics, there were recognized some positive aspects of Basel I, which creates a ―fair competition
environment‖ with specified rules for market players, and because of 8% minimum capital adequacy, some
developing countries have strengtht their financial stability (BDDK, 2005, p.2-3). The deficiencies identified in this
process, made necessary the developing of a more complete regulation than Basel I. For this reason, Basel
Committee redefined the bank‘s capital adequacy, by revising the components used for calculating it. The new
regulation was named Basel II Minimum Capital Adequacy Accord since it was based on Basel I which was used
from 1988. Basel II, must not be percepted as a new regulation because it is the continuity of Basel I, but there must
not be ignored that predicted extremely important changes (Aras, 2007, p.4).
Basel II Regulations
The capital adequacy ratio calculated in Basel I framework, no longer accurately reflect the financial
situation of the banks. In the days where the areas of activity of banks increase and there are intensive financial
changes in the sector, the diversity and dimension of the risk also grows. Because the cost of banking crises to the
economy reached at highest level, the need for effective risk management increased. Basel II Accord is formatted in
accordance with emerging requirements, and as a result it is not only a well prepared comprehensive theoretical
study but also achieved great success in practice. Being prepared based on suggestions and critics of concerning
interested parties, this Accord provides the necessary flexibility of applicability (Aras, 2007, p.4).
Basel Committee started working in order to update and correct deficiencies of Basel I and to help banks to make a
better risk measurement, so in 2004 published the Basel II standards. Basel II criteria aim to regulate more efficiently
the capital adequacy, to establish market discipline and supervision, and to enhance financial stability and risk
management. With Basel II criteria, it is expected a reduction of informal economy, a better preparation of financial
statements and a more effective working of banking system in Turkey (Yardımcıoğlu and Çam, 2007, p.61).

Basel II consists of three complementary structural blocks:
 Determination of the minimum capital requirements
 Reviewing of supervision authority
 Market discipline
Determination of the minimum capital requirements
Minimum capital requirement, which is the first rest of Basel II regulations, is calculated as a sum of credit
risk, operational risk and market risk. Capital adequacy ratio is calculated as a legal capital and risk-weighted assets.
According to the regulation, the total capital adequacy ratio should be as before, not below 8%. The total of risk-

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weighted assets can be reached by multiplying the market and operational risk requirements with 12.5 (i.e. the
opposite of 8% minimum capital requirement ratio) and by adding the reached amount to the total of risk-weighted
assets of related credit risk (BaĢar, 2007, p.17). The Basel II capital adequacy is calculated as below:
Total Capital
--------------------------------------------------------- ≥ 8
Credit Risk + Market Risk + Operational Risk
Market Risk is a probability to loss in positions held in balance sheet and off-balance sheet accounts, due to
fluctuations in financial markets from shifts in prices of interest rates, exchange rates and stock prices, and as
consequence of risk of interest rates ratio, stock risk and exchange rates risk. Shortly, this is a risk arising from the
changes in interest rates and market prices so Basel II does not bring much change regarding this.
Credit risk is the risk arising from possible credit losses. In general, it is the situation faced by the lender
when the debitor fails to comply it‘s obligations of the contract complitely or partially. At the same time it indicates
the situation of loss in market value, which is caused by deterioration in financial situation of counterparty.
Counterparty may be the borrower of credit operations or the guarantor.
Operational Risk is the risk arising from the wrong or insufficient internal managament, people, system and
from other external events. Human errors, abuses, inadequate internal controls and business processes, and reasons
arising from technological infrastructure and system, are likely to cause losses to the institution. Operational risk
usually occurs rarely but causes big losses in financial system, as happened with Barings Bank, Allied Irish Bank,
General Societe. The destructive effects in the cases of operational risk show as that to be protected it‘s enough only
to hold capital. For this reason, it is very important and necessary to have a strong risk management (MazıbaĢ, 2005,
p.12). In this case, risk measurement is very important.
Risk Measurement Methods
Risk Measurement Methods used in Basel II for calculating the capital requirement can be grouped
as Internal Rating Method, Standard Method and Method of Basic Indicators. These groups are also divided into
subgroups according to their levels of development. In the following tabel, there are presented different calculation
methods for different categories, according to Basel II.
The level of
development of
measurement

Basic

Medium

Advanced

Risk

Credit Risk

Standard Approach

Market Risk
Operational
Risk

Method of Basic
Indicators

Basic Internal Rating
Approach

Advanced Internal
Approach based on
Rating

Standara Method

Internal Model

Standard and
Alternative Standard
Method

Advanced Internal Rating
Approach

Table I. There are presented different calculation methods for different categories, according to Basel II (Arslan,
sosyalbil.selcuk.edu.tr, 2009, p.54)
Credit risk is calculated using standard method or advanced method, in other hand operational risk is
calculated using method of basic indicator, standard method and advanced method. Using Standard Method, banks
calculate the credit risk, based on the ratings given to the companies by the international institutions for external
rating (S&amp;P, Moodys, etc.). Whereas, using advanced method, banks calculate the credit risk using the rating given
to the companies by themselves. According to this method, during the calculation of the credit risk, it must be
considered also the probability of this credit to become problematic and the risk, maturity and other risk factors in
this case (Doyrangöl and Saltoğlu, ismmmo.org.tr, 2009, p.359). Internal rating approach is more sensitive toward

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risks, but is more complicated comparing to standard approach and needs more information; its application is more
difficult and needs technical support (Doyrangöl and Saltoğlu, ismmmo.org.tr, 2009, p.359). This method is divided
in two parts, basic internal method and advanced internal method.
In Basic internal method, banks calculate theirselves the probability of credit to become problematic, using
rating systems, but for other risk factors they use the coefficients determined by legal authorities. Whereas, advanced
internal method gives the opportunity to banks to use thir own approaches in calculating all risk factors, but these
approaches must be approved in advance by the regulatory authorities (Doyrangöl and Saltoğlu, ismmmo.org.tr,
2009, p.360).
Reviewing of supervision authority
Aims to make compatible the risk profiles and strategies of the banks by ensuring the necessary precaution
and supervising. The regulation authority, can intervene if the capital of the bank isn‘t enough to encover the taken
risk and if needed can request from the bank to hold more capital than minimum capital adequacy.
Market discipline
The providing of market discipline depends on feedbacks from risk assessments of the banks and
evaluations of credit rating institutions. The aim is to complete the minimum capital requirements and the inspecting
process of supervision authority. During this process, the steps taken to ensure the market discipline will help in a
more effective and more rigorous valuation and work. By looking to Basel II framework, can be understood that
there is a possible systematic risk in financial institutions and especially in banking sector (BaĢar, 2007, p.28-30).
The aim of Basel II standards is to highlight the risk management in risk criteria of the banks. In this
direction, with Basel II, the risk-based credit management and risk-based credit pricing becomes more important.
The price of crediting will be determined depending on the risks of the company and the types of the guarantee. The
firm's risk level will be considered as risk level of credit transactions (atonet.org.tr, 2009, p.2009).

The difference between Basel I and Basel II
The differences of Basel II from Basel I are as below:
 The criteria of being or not a member of OECD, which was important in determination of capital adequacy
for credit risk in Basel I, in Basel II is removed.
 While in Basel I, capital requirement is only required for credit and market risk, in Basel II it is also
included the capital requirement for operational risk. In Basel II, operational risk is defined as risk of wrong
or insufficient internal managament, people, system and from other external events, so it is required from
banks to hold capital to face this risk.
 Basel II predicts banks to evaluate the capital adequacy, and process of selfevaluation of the bank and the
capital adequacy should be evaluated and monitored by the banking supervision authority.
 According to Basel II, detailed information regarding the implementation of Basel, must be published to the
public. This wasn‘t included in Basel I.
 In Basel II, the credit risk is determined by credit ratings of parties. For this, rating notes independent rating
institutions can be used (Kutlu and Demirci, ulakbim.gov.tr, 2009, p.206).
One of the innovations in Basel II is grading activities. The purpose of Basel II standards is to highlight the
risk management in credit criteria of banks. With Basel II standards, the companies‘ risk weighting is linked to the
credit rating. So, with starting of the implementation of the Basel II, the risk level of the credit and firms, affects
directly the cost of the credit. For this reason, the credit rating given to the companies by independent rating
institutions, gain importance.

Rating
Rating is the process of independent evaluation of a company or institution which issues securities, if the
obligations of principal and interest are fulfilled or not. Reaching to the final note is done after evaluation of a lot of
factors, starting from financial datas to managerial qualifications, past performance to future projects, etc. Rating
process also includes the probability of delaying of a payment during the payment process of an issued security

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�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo
(BabuĢçu, 1994, p.6). There are two main reasons of using the rating system by the banks and other credit agencies,
to increase the transparency of the credit which will be given and to reduce the cost (BaĢar, 2007, p.56). Instability in
interests of bank credits, increased competition among companies and increasing of unions, the development in
wholesale money and capital markets, has obligated the companies to work on strengthening of their financial
structure. For this reason, the need for credit rating increased because of expansion in the financial market, due to
increasing of the number of the issuers of the securities and number of borrowers in other ways (BabuĢçu, 1994,
p.10).
By the use of Basel II accords credit rating agencies play to very crucial regulatory role in the banking
sector which its failures associated with many social costs. Due to credit rating agencies have private ownership
brings doubts about to sustainability of the regulation (Weber and Darbellay, 2008, p.2-3).
Ratings may be long-term or short-term. Long-term rating is an opinion given to the companies based on the
performance of the company and the main economic and financial characteristics of the sector, where the company
operates. Important elements are: sensivity of economic conjucture, technological developments, changes in demand,
legal arrangements, quality management and other. Rating in Long-term determines the possibility of fulfilling
obligations. In short-term, rating is the evaluation of the opportunity to access liquidity and capital resources in order
to fulfill all obligations for a period of a year. Rating is divided into international foreign exchange and local
currency and evaluates the ability to pay the obligations in respective valutes (Berker, fitchratings.com.tr, 2009,
p.12).
The first legal regulations on the activities of rating agencies, was done in the USA, by the regulatory
institution, known as Securities and Exchange Commission (SEC). Starting from 1975, SEC gives to the credit rating
agencies which have market credibilty, the title NRSRO (Nationally Recognized Statistical Rating Organizations).
Actually, there are only four NRSRO-s, Moody‘s Investors Service Inc; Fitch Inc; Standard and Poor‘s Inc and the
last who get this status is Dominion Bond Rating Service Ltd. (Berker, fitchratings.com.tr, 2009). In Turkey, the
companies who are acreditted by the Capital Markets Board of Turkey (SPK) are JCR Avrasya Derecelendirme A.ġ.,
TCR Kurumsal Yönetim ve Kredi Derecelendirme A.ġ., Saha Kurumsal Yönetim ve Kredi Derecelendirme
Hizmetleri A.ġ., Kobirate Uluslararası Kredi Derecelendirme ve Kurumsal Yönetim Hizmetleri A.ġ and Fitch
Ratings Finansal Derecelendirme Hizmetleri Aġ. (spk.gov.tr, 2010).
Financial Institutions, evaluate the risk measurement based on the criteria of the worl rating institutions
(agencies); According to Standart and Poor‘s company, the economy risk is very important for a bank to understand
the environment. In fact, economic risk is not a credit quality of the bank but the risk level of the country‘s economy.
Here, should be payed attention to the size of the economy, growth expectations, encountered structural problems,
the course of the functioning of the economy and external opening of the national economy. The risk in the sector,
industry structure, customer base, national and international regulations and public-private status must be reviewed.
After that, what must be reviewed is the management and organizational structure, accounting compliance, liquidity
situation, the level of using of assets and the institution's capital adequacy. Depending on credit risk, is reviewed the
way of management of structure of bank‘s credit portfolio. In the case of market risk, evaluation is done according to
risk measurement methods, preventive strategies, control, market monitoring mechanisms, and structure compliance
with financial conditions. If these are gathered in four main categories then economic risk, sector risk, credit risk,
and business risk can be evaluated (standardandpoors.com, 2009).
According to Moody‘s, bank analysis is based on three basic principles. Those are, the role of the bank's
operating environment, the role in the national financial system and bank‘s main analysis. In terms of Regulatory and
Supervisory agencies, the role of the environment and competition structure are considered as reliable. In terms of
the role in national financial system, are reviewed the government guarantees, the level of damage of the bank‘s
bancruptcy to the national and international economy, the status of creditors in bankruptcy and the public-private
status of the bank. Looking at the basic analysis of the bank, is observed the ability to use assets, financial and
statistical data open for the public, profitability, management strategy, and using of the opportunities and creating
values from them. Interest and exchange rate risk is also a very important topic to be evaluated (Boyacıoğlu, 2005).
These worldwide rating agencies, considering the listed risk factors give the rating note. Note is given after
calculating the risks and depending on capital adequacy is given a specific letter. The meanings of the leters are
explained in this table.

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S&amp;P
AAA

Moody’s
Aaa

AA

Aa

A

A

BBB

Baa

BB

Ba

B

B

CCC

Caa

CC

Ca

C

C

D

Meaning of the Note
Shows an extremely strong capacity in repayments of principal and interests.
Represents the highest credit quality and the lowest credit risk. Almost not affected at all
from economic conditions.
Shows a very strong capacity in payments of principal and interests. Not affected at all
from economic conditions.
Although have a positive attitude, should be dignified against negative economic changes.
But the capacity to meet financial obligations toward creditors is still strong.
Even has a capacity for principal and interest, should be taken the risk of delayin in
payment in negative conditions. Negative changes can reduce the capacity. Is in the lowest
rating category possible for investment.
Speculative. In principal and interest repayments exists a moderate protection. Is exposed
to continuous uncertainties or commercial financial and economic diasadvntages. Can fail
to meet financial obligations.
The risk of repayment is very high. The highest probability is that is speculative. It can pay
financial obligations but to continue this situation depends on the economic conditions.
Fulfilling of the financial obligations depends totally on good business and economic.
There is a high probability for default status.
There is a very high risk. Just started facing with problems in meeting financial
obligations.
This is the lowest quality note. There is a high risk borrower to don‘t be able to pay the
obligations. Bankruptcy and similar situations can also be expressed.
The worst note that can be given. Repayment is impossible. Shows the default status.

Table II: The meanings of the leters
In the Standard &amp; Poor's rating system, putting "+"or "-" between "AA‖ and "CCC" diversifies the rating.
For example, putting (+) on the right of "A" ("A+") shows that even though the rating of the country is below "AA‖,
it is still slightly above "A". On the other hand, putting (-) shows that the credit rating is better than "BBB" but
nevertheless slightly under "A".
On the other hand, while giving credit ratings to countries Moody‘s uses numerical symbols such as 1, 2, 3
for each ratings group, from Aa to B. Symbol 1 shows the best level within the rating group concerning the debt
payment capacity, symbol 2 the middle level, whereas symbol 3 refers to the weakest debt payment capacity within
the group.
The topics generally dealt by ratings agencies are: operational framework, risk profiles, funding and
liquidity, shareholders' equity, profitability and performance, management and strategies, ownership and support
criteria. In the context of Basel II, rating activities are carried out as internal rating (giving scores to companies by
banks) and external rating (ratings issued by independent rating agencies such as S&amp;P and Moody`s) activities.
In the internal rating, banks evaluate at least the two-year financial and qualitative indicators on the credit
activities (Mısırlıoğlu, ismmmo.org.tr, 2009). In order to do this, it should have a rating system to measure the credit
worthiness and risk level of companies. According to these criteria, banks shall use two types of loans. In the case of
demand for loans of less than one million Euros the retail portfolio is evaluated, in case the demand exceeds 1
million Euros, the institutional portfolio should also be used. During the conduct of internal rating, borrower`s risk,
operational risks and the characteristics of these risks as well as whether there has been a delay in the credit
payments.
With regard to external rating, independent rating agencies are employed. Credits exceeding 1 million Euros
and that are found in the institutional portfolio (category) of banks will be subject to rating by external rating
agencies (Moody`s, Fitch, S&amp;P, Duff etc.) and the credit ratings will be determined accordingly. These independent
agencies take into consideration the country risk, market risk and company risk while conducting ranking.
Independent rating agencies after carrying out evaluations on the financial situation of banks, give the ratings to
banks as instruments that point out banks' credit worthiness and capacity to carry out obligations. In the context of
the rating of bonds, apart from the debt securities exports by banks, financial strength ratings, individual ratings and
support ratings (Alp and Üstğndağ, 2007).

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Basel II and importance of Ratings
In case risks related to banks` activities materialize, the possessed capital to meet the losses incurred by
clients and banks is very important. A good relation should be established between capital and risk so that they are
affected only minimally by these losses. For this reason it is important to calculate the possessed minimum capital.
Basel II is an arrangement for this purpose (kobifinans.com.tr, 2009).
According to the Banking Regulatory and Supervisory Agency of Turkey, if analysed country`s perspective,
Basel II can be considered as an opportunity to ensure a stronger and more efficient banking system. Some countries
have fully implemented these standards and Turkey has made the necessary preparations to be ready for it. Some
banks have even established Basel II departments and are waiting for the full transition stage. Delays in the full
implementation of Basel II will principally result in increased costs. If full implementation is ensured, the efficiency
of risk management at banks as well as their intermediation activities will increase.
Market discipline which represents the main subject of Basel II will increase, the institutional governance
structure of companies that are clients to banks will improve and it will also be ensured that the capital levels
develop in parallel with their risk exposure. In the context of Basel I, domestic and foreign banks which invested in
Turkey‘s Treasury securities were not required to hold capital for these securities. In the context of Basel II, since
turkey has a low rating, a capital adequacy ratio of 8% is envisaged for foreign currency-denominated government
securities (Eurobonds and foreign currency-denominated domestic debt securities.
In fact, the possibility of non-repayment of the loan is related to who is given, but in present application,
banks are applying the same approach to all companies with too high or too low credibility. Basel II separates the
risk and adjusts it.
However, the calculation of capital should be done according to risk. If the bank gives loans to a company
with high risk, maybe will need to hold more capital than 8%. This is the logic in Basel II functioning
(kobifinans.com.tr, 2009).
Basel II brought two new different methods in credit risk measurement. These are standard method and
basic internal rating method. There was no innovation in market risk measurement, but in new added operational risk
are developed two methods, the basic and advanced measurement method.
Credit risk can be defined as the risk of the probability of a party to not-fulfill the obligations to
counterparty. With Basel II, as a result of risk-based pricing in credit risk calculation, the types of credits which
require keeping more capital will be avoided or the prices will be increased, and the most important point will be to
work with qualitative clients. There will not be any significant change in market risk, and in the same way the
exchange risk, the interest rate risk, stock risk and liquidity risk will take place. The most important element that
divide Basel II from Basel I is operational risk. According to Basel Committee, Operational Risk is the risk arising
from the wrong or insufficient internal management, people, system and from other external events. On Basel I the
most important risk is credit risk, and recent years‘ banking crises and fraud events within companies, highlights the
importance of calculating of operational risk. This is one of the biggest indicators of the importance of Basel II.
Related to Basel II the importance of degree is very important. The notes given by the rating agencies, are seen as the
indicator for the borrower's risks. Many markets and institutions (banks, etc.), in this way reduces the research effort
of individual investors and helps individual savers in evaluating of various investments (Çelik, 2004). Another
important thing is ensuring the capital flows. Investors, who are interested to invest in international market, need the
credit rating of specific company/business. Investing with a company, which note is known and where accountancy
and transparence standards are evaluated, emphasize the importance of rating. Also, the companies who have rating
notes, have the opportunity to access to a large investor audience, more credibility, trust and opportunity for more
loans.

Basel II and Ranking in Turkey
The Capital Measurement and Capital Standards Harmonization in the International level document,
established by Basel Committee on Banking Supervision has started to be implemented within a given transition by
EU member states.
In Turkey, Basel I criteria are still being implemented. According to the BDDK 2009 Basel II Progress
Report, the % 39.8 of the sector's total asset size formed by banks on individual basis, and the % 29.7 formed by the
banks of the consolidated Basel II- have submitted for approval or approved the implementation of the related
strategies and policies by their board of directors. 99% of the banking sector, is composed by the top management
and related units that will carry out the work of Basel II, 82% responsible staff and 70% the committees.

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If we look at risk measurements, it can be seen clearly that there is a rising in using internal rating method and they
are adapted to standard method, during the calculating process of risk. For market risk, all of banks comply the
standard rating method, however for operational risk, most of banks use basic indicator method and the number of
banks which use standard rating method is very limited.
According to the results of quantitative impact studies, while the Basel-II reduces to the extent the capital
adequacy of banks, the Turkish banking system's capital adequacy is high so due to these adverse effects they do not
reach a significant size. According to the results of the local digital effects work, the 23 banks participating in the
study had an aggregated capital adequacy ratio of 28.8% in the current situation and after applying the provisions of
the Basel-II this ratio fall to 16.9%. If we take into account the minimum level of capital adequacy that is 8% we see
that under the provisions of Basel-II that it‘s available a capital more than double the minimum level (BDDK, 2005).
When we take a look to the implementation of Basel II for the past six months considering the
developments, the most positive is being a member of the Basel Committee and the most negative development has
been the global crisis. In addition the data deficiency and the lack of legislation and technology constitute a negative
side.
Turkey met with the rating activities in 1992. Moody's and S &amp; P has given to Turkey for a long-term debt
mark. After a series of falls experienced in 1994, 1995, 2001 the credit ratings currently is (B) as in the countries
where investing should not be done and this prevents Turkey's borrowing ability from international debt markets
(NYE and EKE, 2004, p.1). In this way the first time Turkey had met with the rating activities which continued with
the beginning of the applicability of Basel II criteria.

Conclusion
Basel II regulations, in the context of the changes and improvements in the banking system means risk
management. In the effective risk management, it is important to identify the credit risk, market risk and operational
risk in the calculation of the capital adequacy which is the basic structural block of the Basel II. Other structural
blocks provide the market discipline of risk management to develop effective monitoring mechanisms. It appears to
be a fact that the further development of risk management in banks culture, indirectly will affect also the real sector
firms which are in the position of the banks' customers. The most significant innovation Basel II has brought is the
calculation of capital adequacy proportional to the risk in and the use of ratings. In the standard approach in the
calculation of ratings, are used the notes based on the rating agencies, while in the internal approach banks are
allowed to use their own notes in the ratings. The company internal ratings are based on such criteria as financial
statements, market share and product quality. The most important criteria in the company rakings are the financial
statements of companies. This is why the companies should be prepared from the results of banks ratings and need to
strengthen their capital to get good grades. However, in standard method, international rating agencies by givin a
rating note to banks, have an importan mision to be reference for banks if they have capability to carry out with the
credit obligations or not. If the rating note is high, the financing costs is low, if rating note is low then the financing
costs is high. The two reasons of rating are to increase the transparence and to decrease the cost. While some
countries have passed to the Basel II standards Turkey is ready and getting well prepared. Some banks have also
established a Basel II department and are waiting for the full shift to the standards. Despite the delays in the
transition, this will return to us as a more cost.

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Teker,S., Bolgün, K.E., Akçay, M.B. (2005). Banka Sermaye Yeterliliği: Basel II Standartlarının Bir Türk Bankasına
Uygulanması (p. 42-54). Elektronik Sosyal Bilimler Dergisi, www.e-sosder.com, Number: 12.
Weber, H. R. and Darbellay, A. (2008), The regulatory use of credit ratings in bank capital requirement regulation (p.2-3). Journal
of Banking Regulation Vol. 10.
Yardimcioğlu, M.ve Çam, A. V. (2007). Sermaye Piyasalarındaki Derecelendirme Müessesesinin Basel II Kapsamında
Değerlendirilmesi. Mali Çözüm ISMMMO Yayın Organı, Number: 80.
www.kobifinans.com.tr, Access Date: 25.12.2009
www.spk.gov.tr, Access Date: 21.12.2009

18

�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

www.standardandpoors.com , Access Date: 25.12.2009

19

�</text>
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ÜÇ, Mustafa
ELİTAŞ, Bilge Leyli
ELİTAŞ, Cemal
SHERIFI, Idaver</text>
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                <text>Basel II is a series of rules which brings new things and radical changes to the  banking regulation standards. The basic reason of this change; while calculating the risk of the  capital adequacy is taken into consideration and activities which forms the basic degree of Basel  II‘s criterion. Especially Basel II criteria get heavy the circumstances of lending banks credits  and in meantime the importance of rating marks in on the deal.  In that study, reforms which bring Basel II the changing of the calculation of capital adequacy  and in that way the criteria of rating and feasibility will be evaluated.</text>
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                    <text>2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

Assessing International Accounting Harmonization Using Izomorfism
Erdal YILMAZ
19 Mayıs University
Finance And Account Lecturer
erdalyilmaz1971@hotmail.com
Okan GELMEDĠ
Sakarya Univeristy
Finance And Account Ph.D. Student
okangelmedi@hotmail.com
Abstract:The purpose of this study is to tell the convergence process which is being tried to be
created by using the izomorfism concept with the standards of international accounting and
financial reporting about accounting records and financial reporting throughout the country.
Convergence is the activity in which accounting and related sections work together with the
purpose of contributing to the developement of a team of accounting standards for every country
to be able to use them globally. However, in the studies done in this concept direction it is seen
that, by ignoring the differences between countries and the negativenesses resulted form county
dynamics, these studies gradually turn into the shape of an obligatory izomorfism. Obligatory
izomorfism concerns the way in wich organizations are subject to external pressure, either from
organizations they depend upon, or from more general cultural expectations. We think that , as a
result of these applications, in the future the regulations that each country will form by adding
their own dynamics will come out and the applications will be similar, not the same.
Key Words: Harmonization, Accounting Standards, Financial Reporting, Ġzomorfism

Introduction
Particularly the acceleration of mutual business traffic worldwide and the intention of businesses to operate
in countries other than where they are based made it compulsory for all countries to develop a common accounting
language. This is why the convergence efforts, which are described as the identification of accounting practices or
the collaboration efforts of accounting-related organizations with the aim of developing new standards that will
contribute in creating a set of uniform accounting standards that every country can use on a world scale, have
started. To achieve this, accounting committees formed worldwide started publishing International Financial
Reporting Standards (IFRS). As the national legislation should support the published standards in order that they can
be implemented, they are adopted as national standards by countries. However, cultural differences between various
countries have rendered the standard application goal of the standards inaccessible.

The Study
With the increase in international investment activities and rapid circulation of capital globally, global
economy gained an important acceleration on the one hand while the capital holders started enjoying higher
profitability on the other. Firms bound to the international market with an expectation of better profits are bearing the
costs largely while making investment decisions. Particularly because the financial indicators relating to the
investment area or financial statements of companies are prepared based on varying accounting systems and
practices in individual countries, investors were required to bear significant costs during the decision-making process
and make various conversions in order to test the accuracy of such financial data and render them understandable for
themselves. One of the efforts conducted aimed at reducing said costs of investors are the efforts to narrow the
differences in the accounting systems of individual countries. This is because the losses and costs borne by global
capital holders for their decisions in the countries they invest in made the accuracy of financial statements in invested
countries questionable. ( Gönen,Uğurgel:p.1) This is why convergence eforts have started today as a non-returnable
development process. (Moussa,2010;p.1) IASB, FASB, and other standard-setting organizations describe the concept

621

�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

of convergence as increasing the conformity of the standards of each organization for high quality financial
statements. To ensure this standardization, these organizations set and publish accounting standards, and the
countries adopt these standards sometimes with minor changes but as a national accounting standard most of the
time. That is, the intent, which was the convergence, meaning quality financial reporting, has become uniformization
aiming to comply fully with the standards published.
However, the evolution of standards in the form of uniformization gradually puts accounting practices away
from the socio-economic realities of the country. To illustrate; while business transactions in certain countries are
made beforehand, they are mostly done at fixed future times in countries like Turkey. In which case, the impacts of
accounting standards regarding the recognition of term differences shall vary from one country to the other.
Moreover, many problems are encountered during the stage of application of standards. This is because accounting
practices have become different in all countries for different reasons.
The main reasons underlying the differences in the accounting systems of countries are listed below:
-Legal System
-Sources of Finance
-Political and Economic Development
-Economic Crises
-Taxation
-Securities Exchange
-National Culture
-Inflation
-Reconciliation of Accountants
Demanding that accounting practices become completely the same and trying to pump an excessive
optimism is a vain effort in the face of existence of many differences caused by the above reasons in the accounting
systems and practices worldwide. Even though a uniform accounting system is achieved as a result of efforts shown
for the standardization of these efforts, the outcomes might not be as desired. This is because the interpretation and
application of standards by countries with differing accounting cultures will naturally vary.
Despite this fact, the convergence efforts conducted so far bear a continuous quest for uniformization.
Uniformity is full compliance with a structure or rule. Uniformity aims to realize international accounting as a
uniform purpose at the conceptual level and practical level. .(Çankaya,Aydoğan,2008,p.302)
It may be remarkable to see the standards adopted by many countries despite the presence of so many
reasons. However, the question we should ask is: Is convergence a practice that countries are willingly into? Or have
the countries really adopted the standards in consideration of the positive effects of accounting standards on
accounting practices? For us, convergence is essentially a uniformity imposition of global conditions in its current
practice. At this point, we see this imposition as compulsory isomorphism. Isomorphism, meaning identity of form,
means the organizations working in the same framework having identical conditions and resulting in the formation of
similar structure and actions, and making similar arrangements as a result of similar restrictions.
However, in compulsory isomorphism, organizations are pressurized by external pressures, general
(cultural) expectations, and other organizations. ―From this point of view, adoption of international accounting
standards emerging within the frame of convergence efforts as a whole by many countries may also be considered
compulsory isomorphism.‖ (Rodrigues,Craig:2007,p.743) For example, the reasons underlying the adoption in
Turkey as a whole of international standards published by standard-setting organizations (its creating isomorphic
conditions by necessity) are as follows:
1-Globalization: Currently puts Turkey as well as the entire world into type concept of convergence.
2-EU Negotiations: While chapters are opened and closed in The process of Turkey‘s accession of the EU, the
standards are accepted with the thought that it will result is support as there is a desire to ensure harmony with
Europe on all matters in Turkey.
3-Desire to Increase Foreign Investment: Because Turkey is a developing country, there is a desire for increasing
the capital build-up in the country and ensuring economic enhancement. Standards are being adopted to facilitate the
procedures of capital holders that will invest in Turkey, and to assist in evaluating the companies they will buy, and
this will is reflected in the Turkish Commerce Code currently being discussed by the Turkish Grand National
Assembly.
4-Pressures from the Business World: Turkish business world asks the adoption of standards on grounds that it
trades and collaborates most with the European countries
With these and such other reasons, many countries are adopting the international standards ―by necessity‖
as their national standards. For example, the desire to increase foreign investment is a desire of not only Turkey but
of other developing countries as well. On the other hand, all countries desirous of attracting foreign investments try

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�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

to see the same capital holders in their countries. That is, as in the definition of isomorphism, developing countries
are aiming the same capital, and as can be easily imagined, that the other developing countries take measures aiming
to reduce the costs and increase the trusts of such capital holders and, for example their adoption of international
standards, putting Turkey into an isomorphic practice and resulting in the Turkish translation of the international
standard and its publishing as a national standard. When doing this, general expectations are pressurized and led by
the business world and capital holders. This shows the necessity dimension of the isomorphic practice.
Problems Of Convergence And Proposal For Solution:
The process of convergence continues in the entire world with various problems. The main problems of the
process are mainly as follows:
(1) Problems on interpretation,
(2) Language related problems,
(3) Problems on technical terminology (terminology problem)
(4) Problems relating to changes in profit measurements,
(5) The role of capital markets,
(6) Political influences.(Demir,2009,p.5)
With IFRS‘s published in the convergence process, the aim is to increase liquidity, level of transparency,
international collaborations and fund collection abilities from international markets, reducing funding costs,
preservation of competition and contributing to the efforts aimed at creating an economic union. Standards to serve
this aim should offer principle-based, dynamic, abstract-priority dependent solutions, suitable for all conditions and
businesses. (Gönen, Uğurgel, p.1)However, as mentioned above, there are many problems preventing the formation
of standards with such principles. For example, the understanding and desire that the standards should be principlebased does not match Turkey‘s accounting structure. Turkish accounting system has a tax-based approach, the
legislator prepared its accounting regulations on tax basis and principle-based in parallel with this. However, as
mentioned above, expectations and coercions have put Turkey in a position to develop isomorphic practices for
principle-based standards.
In fact, uniformity is the adoption of all other countries the accounting practice and reporting standards of
several countries. Today, considering the economic effectiveness of capital-intensive countries, if we assume that
capital-intensive -developed- countries will be more effective in these accounting practices and reporting, that is if
we accept the standards as a common language, it is obvious that developed countries will inject more words into
this language. It is clear that developing countries will use the language of the developed ones if the language
develops in this manner. Just as a human being speaks his own language best, it should be able to arrange its
financial reports first based on the needs of its own country.
Speaking the uniformizing accounting language ―by necessity‖, and creating isomorphic practices,
developing countries are negatively affected by this process. A situation might arise resembling the difficulty of
someone speaking another language in his own country. This is because the developed countries where there are
more capital holders have become an industrialized, professional and an informal society. Capital-holding countries
mostly look alike one another. For example, an accounting convergence between Germany and France might not be
rejected by both of these countries. However, trying to uniformize the accounting practices of Germany and Turkey
will create different responses, also bringing many challenges. The economic structure of countries, and their abovementioned cultural differences will make it difficult to practice the same accounting system. For example, level of
avoidance of uncertainties, one of Hofstede‘s cultural dimensions, is lower in countries with higher capital
accumulations, which will make it easier to adopt new standards, as they are bolder and have risk-based
understandings. So the best thing to do is to make efforts in order to minimize the differences between practices and
systems.
If the aim of convergence is to create a common language in accounting practices and financial tables and to
speak that language, the only way to create a common language cannot be the convergence process aiming
uniformization.
In its place, ways should be considered that would minimize the differences among countries. Mutual
recognition and reconciliation are some of the alternatives we can mention at this point.
Mutual recognition expresses the acceptance of national financial reports although they are not prepared
according to the accounting principles of foreign countries. Mutual recognition is in practice between USA and
Canada. US companies may be traded in the Canadian Securities Exchange with US-GAAP‘-compliant financial
statements. American companies can trade in the Securities Exchanges of European Union countries based on
financial statements prepared in compliance with US-GAAP. Although mutual recognition is very well practiced in

623

�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

the case of Canada and the USA, the role of close economic and cultural ties between the two nations and the
identity of standards and targets in accounting should not be forgotten.
Reconciliation is the permission for preparation of financial reports of foreign companies according to the
accounting principles of their countries. However, in reconciliation, reconciliation is established arrangements
relating to net profit and equities, which are considered as the most important factor by users of financial statements.
The purpose of reconciliation is to reveal the great differences arising between the accounting practices. Thanks to
reconciliation, foreign investor companies can obtain information about their assets and profitability levels based on
their own accounting principles. As a result of the reconciliation, investors can make easy comparisons. The positive
side of reconciliation is that it is less costly than the harmonization of all financial reports based on foreign
accounting principles. (Çankaya,Aydoğan, 2008,p.307-308)
The concepts of reconciliation and mutual recognition also have negative aspects. The negative aspect of
reconciliation are expressed to be its presentation of summary information relating to the financial situations of
companies and its failure to make disclosures about the general conditions of companies. The negative aspect of
mutual recognition is the difficulty that financial users might encounter in understanding different accounting
standards. In fact, to remove such negative aspects, XBRL (eXtensible Business Reporting Language), supported for
convergence, may be used. As the language of financial reporting, XBRL is a standard, platform-independent, digital
data coding language to be jointly used by financial information producers and information users for data exchange.
With this data coding language, businesses shall create their financial reports once and these reports shall require no
rearrangement or conversion when transferred to other environments. It will be possible to use these XBRL-prepared
financial reports for all financial report exchanges. XBRL permits coding any information about the business. So,
loading information suitable for each financial statement item, financial statements complying with both
international standards and national standards may be produced.
Harmonization efforts in preparing financial statements should methodically reduce the difference between
accounting practices and increase the comparability of financial statements prepared and practices in various
countries. This will also contribute en reducing the overall difference between the countries.
When the overall difference is reduced, problems in preparing and reading financial reports will also lessen.

Conclusion
Globalization is an inevitable reality directly affecting today‘s economic, social and political events. With
globalization, capital movements went beyond national borders, continuously searching for and utilizing new
investment opportunities in the international arena. That the accounting system is based on different principles and
rules in each individual country produced difficulties in mating rational investment decisions. As a result, there has
been the necessity for common financial reporting system valid in all countries and convergence efforts continued
led by certain countries and organizations. Every country‘s accounting system differs based on factors like their
social, political, financial, cultural etc. environment. Set of uniform financial reporting principles to be imposed
disregarding these factors shall not give the intended outcome, with many countries being obliged to produce and
bear the costs of financial tables not directly addressing their specific needs, as a price of attracting investments to a
country. Instead, unnecessary differences between the accounting systems of countries can be removed, while other
differences are being made identical by mutual recognition and reconciliation. With the appropriate use of solutions
like XBRL, which has emerged with technological improvements, both the needs of international capital and
countries intending to maintain their national accounting systems will be greatly met.

References
Çankaya,Fikret,Aydoğan,Ertan: The Harmonization Of Account Standarts Ġn Frame Of Cultural Differences. Atatürk Üniverstiy,
Journal Of Social Sciences Institute, Vol. 11 No 1 (2008), P.299-326
Demir,Volkan: Financial Reporting Practices Relating Different Approaches,
April,2009,P.73-92

Approach To Accounting And Auditing,

Gönen Seçkin, Uğurgel GülĢah: The International Financial Reporting Standards And Practices Ġn Transition: Problems And
Solutions, Ġn Turkey Http://Www.Tmsk.Org.Tr/Ġndex.Php?Option=Com_Content&amp;Task=View&amp;Ġd=82&amp;Itemid=92 , Access
Date:09/05/2010
Moussa Boka, On The International Convergence Of Accounting Standards: Ġnternational Journal Of Business And Menagement,
Vol.5, No:4; April 2010

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�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo
Rodrigues Lucia Lima, Craig Russell: Assessing Ġnternational Accounting Harmonization Using Hegelian Dialectic, Ġsomorphism
And Foucault; Critical Perspectives On Accounting, 18 (2007),739-757

625

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                    <text>2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

Assessing International Accounting Harmonization Using Izomorfism
Erdal YILMAZ
19 Mayıs University
Finance And Account Lecturer
erdalyilmaz1971@hotmail.com
Okan GELMEDĠ
Sakarya Univeristy
Finance And Account Ph.D. Student
okangelmedi@hotmail.com
Abstract:The purpose of this study is to tell the convergence process which is being tried to be
created by using the izomorfism concept with the standards of international accounting and
financial reporting about accounting records and financial reporting throughout the country.
Convergence is the activity in which accounting and related sections work together with the
purpose of contributing to the developement of a team of accounting standards for every country
to be able to use them globally. However, in the studies done in this concept direction it is seen
that, by ignoring the differences between countries and the negativenesses resulted form county
dynamics, these studies gradually turn into the shape of an obligatory izomorfism. Obligatory
izomorfism concerns the way in wich organizations are subject to external pressure, either from
organizations they depend upon, or from more general cultural expectations. We think that , as a
result of these applications, in the future the regulations that each country will form by adding
their own dynamics will come out and the applications will be similar, not the same.
Key Words: Harmonization, Accounting Standards, Financial Reporting, Ġzomorfism

Introduction
Particularly the acceleration of mutual business traffic worldwide and the intention of businesses to operate
in countries other than where they are based made it compulsory for all countries to develop a common accounting
language. This is why the convergence efforts, which are described as the identification of accounting practices or
the collaboration efforts of accounting-related organizations with the aim of developing new standards that will
contribute in creating a set of uniform accounting standards that every country can use on a world scale, have
started. To achieve this, accounting committees formed worldwide started publishing International Financial
Reporting Standards (IFRS). As the national legislation should support the published standards in order that they can
be implemented, they are adopted as national standards by countries. However, cultural differences between various
countries have rendered the standard application goal of the standards inaccessible.

The Study
With the increase in international investment activities and rapid circulation of capital globally, global
economy gained an important acceleration on the one hand while the capital holders started enjoying higher
profitability on the other. Firms bound to the international market with an expectation of better profits are bearing the
costs largely while making investment decisions. Particularly because the financial indicators relating to the
investment area or financial statements of companies are prepared based on varying accounting systems and
practices in individual countries, investors were required to bear significant costs during the decision-making process
and make various conversions in order to test the accuracy of such financial data and render them understandable for
themselves. One of the efforts conducted aimed at reducing said costs of investors are the efforts to narrow the
differences in the accounting systems of individual countries. This is because the losses and costs borne by global
capital holders for their decisions in the countries they invest in made the accuracy of financial statements in invested
countries questionable. ( Gönen,Uğurgel:p.1) This is why convergence eforts have started today as a non-returnable
development process. (Moussa,2010;p.1) IASB, FASB, and other standard-setting organizations describe the concept

621

�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

of convergence as increasing the conformity of the standards of each organization for high quality financial
statements. To ensure this standardization, these organizations set and publish accounting standards, and the
countries adopt these standards sometimes with minor changes but as a national accounting standard most of the
time. That is, the intent, which was the convergence, meaning quality financial reporting, has become uniformization
aiming to comply fully with the standards published.
However, the evolution of standards in the form of uniformization gradually puts accounting practices away
from the socio-economic realities of the country. To illustrate; while business transactions in certain countries are
made beforehand, they are mostly done at fixed future times in countries like Turkey. In which case, the impacts of
accounting standards regarding the recognition of term differences shall vary from one country to the other.
Moreover, many problems are encountered during the stage of application of standards. This is because accounting
practices have become different in all countries for different reasons.
The main reasons underlying the differences in the accounting systems of countries are listed below:
-Legal System
-Sources of Finance
-Political and Economic Development
-Economic Crises
-Taxation
-Securities Exchange
-National Culture
-Inflation
-Reconciliation of Accountants
Demanding that accounting practices become completely the same and trying to pump an excessive
optimism is a vain effort in the face of existence of many differences caused by the above reasons in the accounting
systems and practices worldwide. Even though a uniform accounting system is achieved as a result of efforts shown
for the standardization of these efforts, the outcomes might not be as desired. This is because the interpretation and
application of standards by countries with differing accounting cultures will naturally vary.
Despite this fact, the convergence efforts conducted so far bear a continuous quest for uniformization.
Uniformity is full compliance with a structure or rule. Uniformity aims to realize international accounting as a
uniform purpose at the conceptual level and practical level. .(Çankaya,Aydoğan,2008,p.302)
It may be remarkable to see the standards adopted by many countries despite the presence of so many
reasons. However, the question we should ask is: Is convergence a practice that countries are willingly into? Or have
the countries really adopted the standards in consideration of the positive effects of accounting standards on
accounting practices? For us, convergence is essentially a uniformity imposition of global conditions in its current
practice. At this point, we see this imposition as compulsory isomorphism. Isomorphism, meaning identity of form,
means the organizations working in the same framework having identical conditions and resulting in the formation of
similar structure and actions, and making similar arrangements as a result of similar restrictions.
However, in compulsory isomorphism, organizations are pressurized by external pressures, general
(cultural) expectations, and other organizations. ―From this point of view, adoption of international accounting
standards emerging within the frame of convergence efforts as a whole by many countries may also be considered
compulsory isomorphism.‖ (Rodrigues,Craig:2007,p.743) For example, the reasons underlying the adoption in
Turkey as a whole of international standards published by standard-setting organizations (its creating isomorphic
conditions by necessity) are as follows:
1-Globalization: Currently puts Turkey as well as the entire world into type concept of convergence.
2-EU Negotiations: While chapters are opened and closed in The process of Turkey‘s accession of the EU, the
standards are accepted with the thought that it will result is support as there is a desire to ensure harmony with
Europe on all matters in Turkey.
3-Desire to Increase Foreign Investment: Because Turkey is a developing country, there is a desire for increasing
the capital build-up in the country and ensuring economic enhancement. Standards are being adopted to facilitate the
procedures of capital holders that will invest in Turkey, and to assist in evaluating the companies they will buy, and
this will is reflected in the Turkish Commerce Code currently being discussed by the Turkish Grand National
Assembly.
4-Pressures from the Business World: Turkish business world asks the adoption of standards on grounds that it
trades and collaborates most with the European countries
With these and such other reasons, many countries are adopting the international standards ―by necessity‖
as their national standards. For example, the desire to increase foreign investment is a desire of not only Turkey but
of other developing countries as well. On the other hand, all countries desirous of attracting foreign investments try

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�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

to see the same capital holders in their countries. That is, as in the definition of isomorphism, developing countries
are aiming the same capital, and as can be easily imagined, that the other developing countries take measures aiming
to reduce the costs and increase the trusts of such capital holders and, for example their adoption of international
standards, putting Turkey into an isomorphic practice and resulting in the Turkish translation of the international
standard and its publishing as a national standard. When doing this, general expectations are pressurized and led by
the business world and capital holders. This shows the necessity dimension of the isomorphic practice.
Problems Of Convergence And Proposal For Solution:
The process of convergence continues in the entire world with various problems. The main problems of the
process are mainly as follows:
(1) Problems on interpretation,
(2) Language related problems,
(3) Problems on technical terminology (terminology problem)
(4) Problems relating to changes in profit measurements,
(5) The role of capital markets,
(6) Political influences.(Demir,2009,p.5)
With IFRS‘s published in the convergence process, the aim is to increase liquidity, level of transparency,
international collaborations and fund collection abilities from international markets, reducing funding costs,
preservation of competition and contributing to the efforts aimed at creating an economic union. Standards to serve
this aim should offer principle-based, dynamic, abstract-priority dependent solutions, suitable for all conditions and
businesses. (Gönen, Uğurgel, p.1)However, as mentioned above, there are many problems preventing the formation
of standards with such principles. For example, the understanding and desire that the standards should be principlebased does not match Turkey‘s accounting structure. Turkish accounting system has a tax-based approach, the
legislator prepared its accounting regulations on tax basis and principle-based in parallel with this. However, as
mentioned above, expectations and coercions have put Turkey in a position to develop isomorphic practices for
principle-based standards.
In fact, uniformity is the adoption of all other countries the accounting practice and reporting standards of
several countries. Today, considering the economic effectiveness of capital-intensive countries, if we assume that
capital-intensive -developed- countries will be more effective in these accounting practices and reporting, that is if
we accept the standards as a common language, it is obvious that developed countries will inject more words into
this language. It is clear that developing countries will use the language of the developed ones if the language
develops in this manner. Just as a human being speaks his own language best, it should be able to arrange its
financial reports first based on the needs of its own country.
Speaking the uniformizing accounting language ―by necessity‖, and creating isomorphic practices,
developing countries are negatively affected by this process. A situation might arise resembling the difficulty of
someone speaking another language in his own country. This is because the developed countries where there are
more capital holders have become an industrialized, professional and an informal society. Capital-holding countries
mostly look alike one another. For example, an accounting convergence between Germany and France might not be
rejected by both of these countries. However, trying to uniformize the accounting practices of Germany and Turkey
will create different responses, also bringing many challenges. The economic structure of countries, and their abovementioned cultural differences will make it difficult to practice the same accounting system. For example, level of
avoidance of uncertainties, one of Hofstede‘s cultural dimensions, is lower in countries with higher capital
accumulations, which will make it easier to adopt new standards, as they are bolder and have risk-based
understandings. So the best thing to do is to make efforts in order to minimize the differences between practices and
systems.
If the aim of convergence is to create a common language in accounting practices and financial tables and to
speak that language, the only way to create a common language cannot be the convergence process aiming
uniformization.
In its place, ways should be considered that would minimize the differences among countries. Mutual
recognition and reconciliation are some of the alternatives we can mention at this point.
Mutual recognition expresses the acceptance of national financial reports although they are not prepared
according to the accounting principles of foreign countries. Mutual recognition is in practice between USA and
Canada. US companies may be traded in the Canadian Securities Exchange with US-GAAP‘-compliant financial
statements. American companies can trade in the Securities Exchanges of European Union countries based on
financial statements prepared in compliance with US-GAAP. Although mutual recognition is very well practiced in

623

�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo

the case of Canada and the USA, the role of close economic and cultural ties between the two nations and the
identity of standards and targets in accounting should not be forgotten.
Reconciliation is the permission for preparation of financial reports of foreign companies according to the
accounting principles of their countries. However, in reconciliation, reconciliation is established arrangements
relating to net profit and equities, which are considered as the most important factor by users of financial statements.
The purpose of reconciliation is to reveal the great differences arising between the accounting practices. Thanks to
reconciliation, foreign investor companies can obtain information about their assets and profitability levels based on
their own accounting principles. As a result of the reconciliation, investors can make easy comparisons. The positive
side of reconciliation is that it is less costly than the harmonization of all financial reports based on foreign
accounting principles. (Çankaya,Aydoğan, 2008,p.307-308)
The concepts of reconciliation and mutual recognition also have negative aspects. The negative aspect of
reconciliation are expressed to be its presentation of summary information relating to the financial situations of
companies and its failure to make disclosures about the general conditions of companies. The negative aspect of
mutual recognition is the difficulty that financial users might encounter in understanding different accounting
standards. In fact, to remove such negative aspects, XBRL (eXtensible Business Reporting Language), supported for
convergence, may be used. As the language of financial reporting, XBRL is a standard, platform-independent, digital
data coding language to be jointly used by financial information producers and information users for data exchange.
With this data coding language, businesses shall create their financial reports once and these reports shall require no
rearrangement or conversion when transferred to other environments. It will be possible to use these XBRL-prepared
financial reports for all financial report exchanges. XBRL permits coding any information about the business. So,
loading information suitable for each financial statement item, financial statements complying with both
international standards and national standards may be produced.
Harmonization efforts in preparing financial statements should methodically reduce the difference between
accounting practices and increase the comparability of financial statements prepared and practices in various
countries. This will also contribute en reducing the overall difference between the countries.
When the overall difference is reduced, problems in preparing and reading financial reports will also lessen.

Conclusion
Globalization is an inevitable reality directly affecting today‘s economic, social and political events. With
globalization, capital movements went beyond national borders, continuously searching for and utilizing new
investment opportunities in the international arena. That the accounting system is based on different principles and
rules in each individual country produced difficulties in mating rational investment decisions. As a result, there has
been the necessity for common financial reporting system valid in all countries and convergence efforts continued
led by certain countries and organizations. Every country‘s accounting system differs based on factors like their
social, political, financial, cultural etc. environment. Set of uniform financial reporting principles to be imposed
disregarding these factors shall not give the intended outcome, with many countries being obliged to produce and
bear the costs of financial tables not directly addressing their specific needs, as a price of attracting investments to a
country. Instead, unnecessary differences between the accounting systems of countries can be removed, while other
differences are being made identical by mutual recognition and reconciliation. With the appropriate use of solutions
like XBRL, which has emerged with technological improvements, both the needs of international capital and
countries intending to maintain their national accounting systems will be greatly met.

References
Çankaya,Fikret,Aydoğan,Ertan: The Harmonization Of Account Standarts Ġn Frame Of Cultural Differences. Atatürk Üniverstiy,
Journal Of Social Sciences Institute, Vol. 11 No 1 (2008), P.299-326
Demir,Volkan: Financial Reporting Practices Relating Different Approaches,
April,2009,P.73-92

Approach To Accounting And Auditing,

Gönen Seçkin, Uğurgel GülĢah: The International Financial Reporting Standards And Practices Ġn Transition: Problems And
Solutions, Ġn Turkey Http://Www.Tmsk.Org.Tr/Ġndex.Php?Option=Com_Content&amp;Task=View&amp;Ġd=82&amp;Itemid=92 , Access
Date:09/05/2010
Moussa Boka, On The International Convergence Of Accounting Standards: Ġnternational Journal Of Business And Menagement,
Vol.5, No:4; April 2010

624

�2nd International Symposium on Sustainable Development, June 8-9 2010, Sarajevo
Rodrigues Lucia Lima, Craig Russell: Assessing Ġnternational Accounting Harmonization Using Hegelian Dialectic, Ġsomorphism
And Foucault; Critical Perspectives On Accounting, 18 (2007),739-757

625

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                    <text>Effect of Boronizing and Shot Peening in Ferrous Based Fecu-Graphite
P/M Material on Fatigue Properties
Selim Sarper YILMAZ
Celal Bayar University, Vocational High School,
Department of Machinery
Turgutlu, Manisa, TURKEY
bekir.unlu@bayar.edu.tr
Bekir Sadık ÜNLÜ
Celal Bayar University, Vocational High School
Department of Machinery
Turgutlu, Manisa, TURKEY
Naci Kurgan
Karabük University, Engineering Faculty,
Department of Mechanical Engineering,
Karabük, TURKEY
kurgannaci@yahoo.com
Remzi VAROL
Süleyman Demirel University Engineering Faculty
Department of Mechanical Engineering
Isparta, TURKEY
rvarol@mmf.sdu.edu.tr

Abstract:Ferrous based materials manufactured by powder metallurgy (P/M)
method are widely used in industry. These materials are very important in
applications where no machining is required, can also be used as journal bearing
material due to their self-lubricated property, and find applications in the
medical industry. In this study, powder metal parts were manufactured from
composites ferrous based FeCu-Graphite by P/M method. Fatigue test samples
were carried out on manufactured samples receiving no treatment or boronizing
treatment or boronizing+shot treatment. Fatigue properties of these parts were
investigated by rotating bending fatigue test rig.
Keywords: Powder metalurgy, Boronizing, Shot peening, Fatigue.

Introduction
Powder metallurgy is one of the methods used for used or semi-processed parts [1]. Because of higher
melting temperatures of some metals, super alloy and hard metals must have been produced by powder
metallurgy method [2, 3].
Mechanical properties of P/M parts depend on pore amount, distribution, type, size and form. As pore
amount decreases, fatigue strength and the other mechanical properties improve [4]. Strength of machine
parts is not as strong as that of conventional steels produced by powder metallurgy method [5]. In order to
produce high density parts, high capacity presses or hot isostatic pressing method can be used. Thus,
mechanical properties of P/M parts match mechanical properties of forging parts [1, 6]. Furthermore,
powder metal materials exhibit different microstructure and density at various sintering conditions [7]. In
addition to that, physical properties are affected from pore ratio. Porousity increase sound and vibration
absorbution property. Therefore, a significant portion of powder metallurgy products is designed to take
54

�advantage of porousity into consideration [8]. Pore size and distribution are the most important parameters
affecting mechanical properties [9, 10].
Boronizing is a thermo chemical surface hardening treatment that enriches the material surface in boron
atoms via the diffusion of elemental boron into the surface of material in contact at high temperatures.
Boronizing treatment is performed at temperatures of 950 0C for varying times between 1 and 10 hours.
The characteristics of this boride layer depending on boronizing temperature, process time and properties of
the boronized material. The boronizing elements placed into the heat resistant container and specimens are
inserted into this powder [11]. The particle size of the powder is an important factor in the formation of the
boride layer [12]. The advantages of boronizing treatment over the other types of surface hardening
methods are that the surface layer is very hard, and no extra heat treatment is required after boronizing. The
most important aim in boronizing is to achieve the desired hardness [13-15]. Fatigue resistance increases by
boronizing. Therefore, boronizing can be applied to ferrous based P/M materials [1, 16].
Shot peening is an applied process where the surface of a machine part are treated with a lot of small
spherical shot jet under controlled conditions. A compressive stressed layer occurs as a result of the nonhomogeneous plastic deformation on metal material by shot peening. The aim of the shot peening is to
improve fatigue, corrosion fatigue, and stressed corrosion of metal materials [17-20]. Improving fatigue
properties of materials are important because machine elements are generally exposed to dynamic loads.
One of the methods used to improve fatigue properties of materials is shot peening. Shot peening process
can be applied to any metal based machine part. However, surface hardness and quality increases with shot
peening in P/M materials due to a decrease in the number of pores [21-23].
In this study, powder metal parts were manufactured from composites ferrous based FeCu-Graphite by P/M
method. Boronizing and boronizing+shot peening was applied to samples. Fatigue properties of these parts
were investigated. In addition; microstructural properties of fracture surfaces were investigated.

Experimental Studies
In this study, FeCu-Graphite composites 55x10x10 mm dimension were manufactured at 400 MPa pressure,
1120 0C sintering by P/M method. Non-boronized FeCu-Graphite (Group 1), boronized FeCu-Graphite
(Group 2), boronized and shot peened FeCu-Graphite (Group 3) P/M materials were used. The chemical
compositions of the materials used in the experiments are given in Table 1. Some basic properties of ASC
100.29 iron powder are shown in Table 2. Mechanical properties of ASC 100.29 iron powder are shown in
Table 3. Chemical compositions of samples are shown in Table 4.
Material
SAE 1020

C
0.2

Si
0.25

Mn
0.7

P
0.04

S
0.05

Fe
Based

Table 1. Chemical composition of SAE 1020 steel disc (wt %).
Grade

ASC 100.29

Grade
Dimension
(µm)
20 - 180

Visible
Density
(g/cm3)
2.96

Flow
(s/50 g)

H2 Loss
(%)

C
(%)

24

0.8

0.002

Table 2. Some base properties of ASC 100.29 iron powder.

55

Pressing
(g/cm3)
(600 MPa)
7.21

�Tensile
Strength
(MPa)
275

Yield Strength
(MPa)

A5 %

Density (ρ)
(g/cm3)

Hardness
(HV)

218

3.7

6.61

95

Table 3. Mechanical properties of ASC 100.29 iron powder.

Powder
Quantity (wt %)

Graphite
0.2

Cu
3

Fe
Based

Lubricant (Zn-Stearat)
0.8

Table 4. Chemical composition of samples (wt %).

The box boronizing method has been used for the boronizing process. The box was held in electric
resistance oven for 4 h at 950 0C. At the end of the boronizing process, the box was cooled to room
temperature and then the specimens were cleaned.

R38.1

The microstructures were photographed using scanning electron microscope. Fatigue fracture surfaces were
examined scanning electron microscope (Jeol JSM-6060). Dimensions of fatigue specimens are shown in
Fig.1. Fatigue tests were applied to R=+/-1 under condition by using rotating bending fatigue test rig.

Fig.1. Fatigue sample.

Results and Discussion
Fatigue Properties

Results of fatigue properties were shown in Fig.2. Generally, fatigue properties of boronized specimens and
boronized+shot peened specimens were higher than those of non-boronized specimens because of very hard
boride layer.

56

�300

Strength (MPa)

250
200

Group 1

150

Group 2
Group 3

100
50
0
1000

10000

100000

1000000 10000000

Cycle Number (N)

Fig.2. Curves of samples strength-cycle number (S-N).

Tunay et al [6], Varol and Sarıtaş [10], Sarıtaş et al. [13], Selver et al. [20], Orman [21], and Başaran [22]
have examined fatigue properties of boronized or shot peened ferrous based P/M materials. They reported
that boronizing and shot peening significantly improved fatigue properties in these materials.
Harada et al. [25] investigated effects of microshot peening on surface characteristics of high-speed tool
steel. They reported increase of hardness by applying shot peening at high temperatures. Chawla and Dang
[26] investigated fatigue properties of porous sintered steels. They reported that fatigue strength increased
with a decrease in porosity. Pariente and Guagliano [27] investigated fatigue properties of carburized and
shot peened gear steels. Mahagaonkar et al. [28] investigated fatigue properties of SAE 1045 and SAE
316L steels. Zhang and Liu [29] investigated fatigue properties of Ti alloys. Bouraoui et al. [30]
investigated fatigue properties metal parts. They reported that fatigue properties were improved with high
residual stress by applying shot peening.
Microstructural Properties

When microstructures of fatigue fracture surfaces of samples were examined by scanning electron
microscope (SEM) (Figs. 3-6). Brittle fracture was observed in these PM samples due to porous structure.
Thick, porous, and bright structure show brittle fructure of PM materials.

57

�Fig.3. SEM microstructure of fatigue fracture surface of FeCu-Graphite composite (Group 1).

Fig.4. SEM microstructure of fatigue fracture surface of FeCu-Graphite composite (Group 1).

Fig.5. SEM microstructure of fatigue fracture surface of B-FeCu-Graphite composite (Group 2).

58

�Fig.6. SEM microstructure of fatigue fracture surface of B+SP-FeCu-Graphite composite (Group 3).

Tunay et al [6], Varol and Sarıtaş [10], Sarıtaş et al. [13], Selver et al. [20], Orman [21], and Başaran [22]
have examined microstructure properties of boronized or shot peened ferrous based P/M materials. They
reported that boronizing and shot peening significantly improved microstructural properties in these
materials because of reduction in porosity.
Tsuji et al. [24] investigated microstructural properties of plasma-carburized and shot-peened Ti–6Al–4V
alloys. They observed and a lot of uneven dimples on the surface of shot-peened carburized specimens.
They reported that the dimple size and depth of the surface was very small due to a fine particle shot.
Micro-cracks were not observed in the near surface. The carbon diffusion layer was occurred as a thin
whiter and brighter layer in the near surface region of shotpeened carburized specimen.
Harada et al. [25] investigated microstructural properties of microshot peening on surface characteristics of
high-speed tool steel. They observed that the distribution of white rings on the surface of the peened
workpieces. Chawla and Dang [26] investigated microstructural properties of porous sintered steels. They
observed plastic deformation and crack growth due to changes in porosity.

Conclusions
Based on the findings our study, the following conclusions can be drawn:
1. Fatigue properties of boronized specimens and boronized+shot peened specimens were higher than those
of non-boronized specimens.
2. Brittle fructure was shown in PM materials.

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60

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Varol, R., Meriç, C., “Shot peening: Therocial and applications”, Eng. and Mech., 1992, 34 (405), 15-22.
Yılmaz, S. S. “Effect on physical and mechanical properties of surface hardening treatments of
Zhang, X., Liu, D., “Effect of shot peening on fretting fatigue of Ti811 alloy at elevated temperature”, International
Journal of Fatigue 31 (2009) 889–893.

61

�</text>
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ÜNLÜ, Bekir Sadık
Kurgan, Naci
VAROL, Remzi</text>
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                <text>Ferrous based materials manufactured by powder metallurgy (P/M)  method are widely used in industry. These materials are very important in  applications where no machining is required, can also be used as journal bearing  material due to their self-lubricated property, and find applications in the  medical industry. In this study, powder metal parts were manufactured from  composites ferrous based FeCu-Graphite by P/M method. Fatigue test samples  were carried out on manufactured samples receiving no treatment or boronizing  treatment or boronizing+shot treatment. Fatigue properties of these parts were  investigated by rotating bending fatigue test rig.</text>
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                    <text>2nd International Symposium on Sustainable Development, June 8-9, 2010 Sarajevo

The Turkish Index and Subject Classification of the Words Used in
Makbul-i Arif
Şefika Yapici
International Burch University, MA Student, Sarajevo
sefikayapicibosna@hotmail.com

Abstract: In this study, general information has been given about Makbul-i Arif (Witness of
Potur)- Turkish-Bosnian Verse Dictionary-then the dictionary part was rearranged according
to Turkish index. Bosnian counterparts are shown in Turkish index by taking into account the
alphabetical order. The importance of this work is due to the fact that it has been the first and
only Bosnian-Turkish verse dictionary ever. To classify the words used in this book is
important to see the use of daily language. By classifying the word in glossary section
according to subject classification, we tried to make more concrete words used in social and
daily life in this century.
Keywords: Bosnian-Turkish Verse Dictionary, Mehmet Hevai Üsküfi, Makbul-i Arif.

Cultural Relations has begun after the conquest of Bosnia and Herzegovina by Fatih Sultan Mehmet in
1463. And thus, Bosnia and Herzegovina has become an integral part of Ottoman history and it was adjusted to
the Ottoman culture in all areas (education, culture, customs and traditions).
The first studies of classical Turkish literature were presented in 15th century (Kaya, 2008). Bosnian
literature until today has continued its existence in two ways; Turkish literature written with Ottoman letters and
Bosnian literature written with Arabic letters. The language used in this literature (Alhamiyado Literature) is the
language of former Bosnian colloquial language. In this area mostly eulogies, hymns and stories were written.
Makbul-i Arif is considered as the first example of this area (Okumuş, 2009:824).
There is no enough information about the life of Mehmet Hevai Üsküfi. Makbul-i Arif includes some
information about the poet. The name of the poet is Mehmet (Muhammed) Bosnevi. He was born in1601in
Dobrinja village near Donja Tuzla. Seems to have good education, Üsküfi knows Turkish, Arabic and Persian. It
is clear from the verses in introduction part that he was in the service of Ottoman Palaces about 20 years and
lived in the Sanjak of Zvornik for 10 years (Okumuş, 2009).Üsküfi’s most important work is Makbul-iArif
(Potur Şahidi). It was written in 1631 and dedicated to IV. Murad. Üsküfi wrote Makbul-i Arif for the villagers.
Later on ‘Mevlana’s Şahidi, Ibrahim Dede’, who transcribed this work, changed the name of the book as the
Potur Şahidi probably inspired by the book Tuhfe-i Şahidi (Lugat-i Şahidi) in 1515 (Okumuş,2009:826). It
seems that Makbul-i Arif, which was written in 17th century, is the first and only Turkish-Bosnian verse
dictionary.
One of the studies on Makbul-i Arif is the article of Alija Nametak (Nametak, 1968). In 2001 this article
was published by Tuzla Dervish Susić Library. (F.Nametak, 2001). In this article, Alija Manetas established the
life of Hevai and Bosnian poems, focused on existence of Bosnian words and critisized only the edition of the
glossary. (Okumuş, 2009:827).
Also a few scientific articles about Makbul-i Arif were published such as Mehmet Hevai Üsküfi by
Nedim Filipović1, one article of Adnan Kadrić (Kadrić,2001) and dictionary studies of Kerime Filan
(Filan,2000). Besides his verse dictionary, he has some poems. In his Bosnian poems, we can see the effect of
especially Turkish, Arabic and Persian languages. There are mülemma featured poems, too. But none of them is
known. Mostly he wrote lyrical poems and gave importance to the shape and content. Makbul-i Arif Mesnevis
consist of two sections; Turkish introduction and dictionary6. In introduction part, after the formula (In the name
of God), Hamdele and Salvele, it was mentioned shortly how the writer decided to write the poem, which
method he used, Bosnian with Latin alphabet, thanksgiving and prayer for reaching Sultan Murat, giving name to
his work and asking for prayers from the readers(Okumuş,2009:832). There is no epilogue in his work. In
dictionary part, there are 13 poems and they are separated by Arabic titles. The poet has not followed the
traditional methods and instead of giving bahir and meter of the poem, he used Turkish, Arabic, Persian and
Bosnian counsel, verses and proverbs. Some of them are: ‘read, write, work hard and don’t be unfortunate ’, ‘do
a favour, and don’t be cruel’, ‘the one who runs away is not brave’. From these statements we understand that
one of the purposes is to give advice. When we focus on the words used in dictionary part, we can see most of
them are about social life of that time. It was classified by Turkish index and subject
classification(Okumuş,2009:833).

480

�2nd International Symposium on Sustainable Development, June 8-9, 2010 Sarajevo

Turkish Bosnian Dictionary
As mentioned before Alija Nametak, who worked on Makbul-i Arif (Nametak, 1968), emphasized the
existence of Bosnian words and prepared verse dictionary in Bosnian index. In this study we have re-prepared
Makbul-i Arif in Turkish index.
Baş :Glava
Çakmak –ognjilo
Başak: klâs
Çalışmak:raditi
A
Acımak : žaliti
Bay: Bogat, Bogati
Çam ağaçı:
Ad: ime
Baykuş – sova
Çamur :kal,kalu
Adam :Čovjek
Bazılmak: onesvijestiti se
Çamura batmak :
Adamın tırnak: nokat
Behil –lakom
Çanag : zdila
Adet: običaj
Benimdir --:on je moj
Çanak kim ağaç olsa –:kotao
Ağaç ibrik : žban
Bereket –:korist
Çarık –opanak
Ağaçtan topuz: batina
Beş – pet
Çavdar – raz
Ağız: usta
Beş yüz --:pet stotina
Çaylak:piljužin,poljuzin
Ağlamak: plakati, plakat
Beşik
–kolijevka,
Çekişmek –karati,karat
Ağrır: bolyeti, boli
kolivka,kilovga
Çember –
Ak: bilo
Bez —postava,potav
Çerge :koliba
Akar: teče
Bıçak –nož
Çıban,Çıpan : čir
Akıl: pametan
Bıyık :Brk
Çıbuk (çubuk) – prut
Aksırmak: kihati, kihat
Biç –kositi,kosi
Çıfçı (çifçiye) : težak
Aksi: glavnja
Biçem –žito
Çıkal : gocnovalj
Al sende: uzeti
Bin – hiljada
Çınar :javor
Alçak-nisko, nizoko
Bine : uzjahati
Çıplak : go , golo , pogresno
Aldanmak
Bir:jedan,jedno,
kolo
Alın :Čelo
Bit : uš
Çıra – :luč
Altı: šest
Biz (bize ) : šilo
Çift:orati,ori
Altın: zlato
Bizim –
Çilek:jagoda
Altmış: šezdeset
Boğulmak : utonuti
Çit:plot
Ana --mati, mama
Borç – dug
Çivi –:klin
Anar: šipak
Boyunduruk:jaram
Çoban – govedar
Araba: kola
Böcek — puz
Çömelmek, çöklemek: čučati,
Ardıç: smreka
Böyrülce --:pasulj
čučat
Arı(temiz):Čisto
Böyüğe : velika
D
Armut: kruška
Brebre sana, brebre sende –
Dağ : gora
Arpa: jecam
:more ti
Darı (tarı) :proso
Aş ermesi :Ćuda
Bucak –:kut
Degismek :promijeniti,prominit
At: konj
Buga –:bik
Değirmen:mlin
Ates(e) : varta
Bugün – danas, danaske
Delik : šupalj
Ateş –oganj
Buğday : psenica
Demet-- snop
Ateşsiz kömür: ugljen
Bulut –:oblak
Deniz:more
Atı nallatmak:
Burun –nos
Dere : rijeka
Avcı –lovac
Buz –led
Deri:koža
Avrat(kadın) : žena
Buzak (buzağa) : tele
Derin : dubok, duboko
Ay –mjesec
Bülbül – Slavic
Deve:kamila
Ayak –noga
Büyüklenmek: ponositi se,
Devlet :
Ayı --medvjed, medved
ponosit
Diken : trn
Ayıblamak -rugati se
C
Dikmek: sasiti
Ayva: tunja
Can : Duša
Dil:jezik
Cenat ; pucany
Dilenci :prosjak
B
Baba : ćaća,čača
Cennet : raj
Dink (e) – stupa
Baca: komin
Cenneti : rajnik
Dinlemek : ćutjeti ćuti,
Bagça: vrt
Ciharşenbe –srıjeda
Dirlik : život
Bağla – zavezati
Cin – sotona
Dirsek:lakat
Bakır, bakra,bakara –:mjed,mid
Cuca –:megaš(malesan)
Diş : zub
Bal :Med
Cuma:petak
Diyren : vile
Bal mumina : vosak
Cumartesi – subota
Diz:koljeno,kolino
Balığı satan : ribar
Doğdu ; rodi
Ç
Balığı tutan – čaplja
Çağırmak – vrečati
Dökmak : tkati
Balık, balığa –riba
Çağırmak –zvećat
Doksan : devedest

481

�2nd International Symposium on Sustainable Development, June 8-9, 2010 Sarajevo
Dokuz : devet
Dolama(elbise) : haljina
Don : gaće , gače
Don yağı:loj
Doyumluk : dobitak , dobit
Dökmek:izbiti,izbit
Dökümlü:otkati ili,utkati,Utkan
Dört:
Döşeğ : otelja
Döyme(döğme): puca
Dud:murva
Dudak : usna
Duman:magla
Dur:ostati,ostani
Düğün:babine (svadba)
E
El :ruka
Elemye : vitao
Elini salmak:mahati,mahat
Elli:pedeset
Elma :jabuka
Elma atışmak :jabukati,jabukat
En : sjahati
Erkec :praz
Esir – sužanj
Eşek:magare
Et :meso
Etek : skut
Ev :Kuča
Ev işi : domaćin
Evlenmek:oženiti,oženit
Eyer : sedlo
F
Fakir : siromah
Fal açmak : vračati
Ferişte:anđel
Feryad:jaukati,jaukat
Fıçı :kaca,kadca
Fındık:lješnik,lišnik
Fırın:peć
G
Gebe kadın: zbana žena
Gel, Gele : hoditi, hodi
Gelin:nevjesta,nevesta
Gemi:lađa
Getir : donjeti, donesi
Geydi:obući,obuče
Geymek:obuti,obut
Gezinmek : hodati, hodat
Gir,gire:pesta,pusta
Göbek : pupak
Gökler:nebesa
Göl:lokva
Gömlek:košulja
Güc:mučan,mučno
Gügüm : trnjina
Gül : ruzica
Gülgen:bukva
Gümüş—srebro

Güneş – sunce
Güreşmek, güreşmek :hrvati se
, hrvat
Güven : gagrica
Güvercin : golub
Güyeği : zet
Guzel kari:lipo žena
Güzel:lip,lipo,
Sen güzel sen:lip si ti
H
Haber :glas
Hisar : grad (tvrđava
Haşhaş:mak
Hafta:nedjelja(sedmica,tjedan)
Hasta:nemoćan,nemočan
Halveti : sam sidjet
Hamur : tisto
Harman . vršaj
Heybet . Vučina
Hıdır
Hekim:ljekar,likar,
Hamis : četvrtak
I
Irlamak(şarkı
söylemek):pjevati,pjevat
Isırgan :kopriva
Đ
Đki : dva
Đki yuz :dva stotine , dvije
stotine
Đki kat : dvostruk , dvostdiruk ,
dvoruk
Đğne :igla
Đplik:konac
Đnek ,inege:krava
Đsık ,isek : prag
Đncir – smokva
Đpek : svila
Đz : trag
Đp : uže
Đnlemek:ječati,ječat
Đşlemek
K
Kaçan : kad
Kaçar:bježati,biži
Kafir adı:Kosta
Kafir:kaur
Kahpa kadın:kurva žena
Kalın : debel
Kanat:krilo
Kancık, kancığa:kučka,kuča
Kapı : vrata
Kar:snijeg
Kardaş:brat
Karga : vrana
Kadın:
Karınca:mrav
Kaş:obrva
Kaşık:kaşıka

482

Kaşık çalmak:kusati,kusat
Katı ivmek : htjeti, hitit , hijetit
Katır:mazga
Katlanmağa:počekati,počekat,p
očekaj
Kavun, : dinja
Kayın : šura
Kayn ana:punica
Kayn ata:punac
Kaz : guska
Kazmak:kopati,kopat
Keçi:koza
Kedi kovmak:pis
Kedi:mačka
Kel : šuga
Kelebek:leptir,lepur
Keleposa::kappa
Kuzu:janje
Kabak : tikva
Kuşluk:rucak
Kuyu:jama
Kuzgun :gavran
Kuskun:pohva
Kenevir:konoplja
Keser : tesla
Keten:lan
Kılıç, kılıca :sablja
Kılısa:crkva,cirkva
Kilitlenmek : zaklopiti
Kilitlenmek: zaključati
Kim : tko
Kirk : četrdeset
Kisraga:kobila,kobil
Kiz ,Kizi:kćer,kćeri,kćera
Kız kardeş (e):sestra
Kız,yetişmiş kıza:moma
kuşku:poluga
Kızıl:carevina,crven
Koç:ovan
Koca kari:baba
Koca::muž
Kök :korijen,korin
Kolan:poprug
Kolay:lastan,lasno
konag(konuga),konak (konaga)
: gost
Konaklar oldı : častila
Konukluklar : častenje, častena
Köpeğin
içmesine(eygine):lokati,lokat
Köpek::pas
Köprü:most
Kör:slip
Kori : gaj
Kütük:panj
Kovan : uljište
Kovar : tjerati
Köy:selo
Köylü:potur(tj.seljak)

�2nd International Symposium on Sustainable Development, June 8-9, 2010 Sarajevo
Koyun,koyuna:njedra
Koyun::ovca
Koz(ceviz):orah
Küçmak : grliti, grlit
Küçük:malenko,malko
Kul:ropce
Kulak : uho
Kulluğ(pepeo)
Kurbağa: žaba
Kurt : vuk
Kürek:lopata(plećka)
Kuruk:kožuh
Kurum : ćađa,čađa,ćadža
Kuşak:pojaš
L
Lahana turşu suyu :rasol
Lahana:kupus
Levent:junak
Lobut : toljaga
Luzan(yer adı):Luzan
M
Makrama : rucnik
Mantar:pečurka,pečur
Maşa:ožeg
Makber :Grob
Meryem:marija
Maşraba:bukara
Meşe : šuma
Maymun(muymul):kobac
Mızrak :Džida,džira
Mızrak :koplje,kopje
Mor:modar,modro
Mum :svijeća
Murver :zobita
Musekkek altın : dukat
Mühür:pečat
N
Nacak:bradva
Nagamat
etmek(bağırmak)
:predikati,pridikat
Nakış : vez
Nahoş:bolestan
Nal :potkov,podkov
Nekbeti : zloćesto
O
Ocak:ognjište
Odun : drvo, drva
Oğlak:kozle
Oğlan
Oğul : sin
Okşamak : štipati
Okşamak:miloviti,milovat
Olsun : tere
Oluk : žlijeb
Omuz :rame
On :deset
On bin :deset hiljada
Oruçlar :post,postanje,postila
Otlik: sijeno

Otur : sjesti
Otuz : trideset
Oyun:igra
Ö
Öpmek:poljubiti,poljubit
Ördek:pakta
Örulu:platen
Öfürmek(üfürmek) : puhat
Ön saçina:kika,kafa
Öğender:otsan
Ölmiş:mrtav
P
Padişah:car
Papaz:pop
Parmak :prst
Pazardune
Pelid : hrastovina, astovina
Pencer : prozor
Pener,penir :sir
Peri : Vila
pire:buha
Pire otu:paprat
Pişer:peći,peće
Pirinç : oruz
R
raf:polica
S
Saçlar:kose
Sadaka
vermek:podati,zadušupodat
Sağ: desno
Sağar:musti,muze
Sağdık,Sağdıç : kum
Sağır : gluh
Sakal:brada
Sakın : čuvati, čuvaj
Sakız -- smova
Saksağan : svraka
Salı : utornik
Salınmak : šetati
Saman
Sana benzer:kao,kano ti
Sandık:kovčeg
Sargısına.sargina:obojak
Sarhoş:pijan
Savurmak:izvijati,izvijat
Say:izbrojiti,izbroj
Sehi:blag
sehil,ehli:pitom,pitomo
Sekiz:osam
Seksen:osamdeset
Sel :potok
Semiz :pretil
Sen vur : udriti
Senevber:jela
Senin : tvoj, tvoje
Serhad:krajina
Sıçan:miš
Sıçramak : skakati

483

Sihir : šurka
Sinek:muha
Sinir : žila
Sırık,siriga:motka
Sizin : vaš
Soğan:luk
Söğüt – vrba
Sol:lijevo,livo
Soğuk : zima
Soyu sopu güzel kadin:
Plemenit
Soyun : rodbina
Söyut,kara söğüt : rakita
Söz : rijec
Su : voda
Sual etmek:pitati,pitat
Süme,seme: zalud
Süküt etmek :
Sende
Süpürge:metla
Süpürsen
Sürmek,zürek sürmek:litati,
Litat
Süt:mlijeko,mliko
Satış yapmak:Trgovat
Sarı : žut
Sana benzer:
Ş
Şunu kal
Şadır : šator
Şahin –sokol
Şalgam –repa
Şarap : vino
Şaşkın: mahnit,mahnito
Şeftalu –praska
Şerbet,şerbeti –medovina
Şeytane : vražji
Şimdi –sada
Şlama
T
Tabut:nosilo
Tahta biti – stjenica
Tan yeri: zora
Tan yıl ız : danica
Tanrı:bog
Tarak : grablje
Tarla:njiva
Tasma(ya):oputa,oput
Taşak:mudo
Tauk esmesine (ismesine)
čeprkati
Taul:bubanj
Taun:kuga
Tavsan:zeč
Tavuk,tauga:kokoš
Tay : ždrijebe
Tazi : hrt (vrsta psa)
Tekne :korito
Tencere:kotlica

�2nd International Symposium on Sustainable Development, June 8-9, 2010 Sarajevo
Testere:pila
Teyze : tetka
Tilki:lisica
Tırnak:kopito
Tırpan:kosa
Tez(acele etmek) : htjeti ,hitit
Tohum :sjeme
Top:lubarda
Topal
Tosun:june
Toz ;prah
Turna : ždral
Turunç:narandža
Tutrak : trud
Tutun : dim, dima
Tuz -- so, soli
Tüfenk : puska
U
un:mlivo
unutmak: yaboraviti
uzun :
uçmak:poletjeti,poleti
Ü
üvey kız:pastorka
üç yüz : tri stotina
üç : tri
V

velilik satan:prorok,brorog
var (do) lan :prtljati
Y
Yabani
Yağ:mast
Yağmur:kiša
Yak : užeći
Yakın:blizu
Yanmak : gorjeti , gori
Yaprak:list
Yaralı : ranjen
Yarasa:babq(slijepi miš)
Yarım: pola
Yassı: širok
Yaş ot: trava
Yavuz: ljut
Yay: luk
Yedi: sedam
Yel: vjetar, vitar
Yem: zob
Yeme: jesti, ne jedi
Yen: rukav
Yenge: kuma
Yengeç : rak
Yenmek:nadjačati,nadjačat
Yeşil : zelen
Yetmiş : yetmis

Yıldırım : grom
Yirmi : dvadeset
Yoğurmak:kuhati,kuhat
Yoğurt:kisela,(mlijeko)
Yol : put
Yol arası:međuput
Yolcu : putnik
Yorulmak : umoriti se
Yulaf:ovas,ovsu
Yumruk : šaka
Yumuşak:mehak,mehko
Yuriş
Yuvarlanan top:kotur,(konur?)
Yük : tovar
Yüksek : visoko
Yürek: trbuh
Yürü: ići,idi
Yüz -- sto
Yüzmek: pliva
Yüzük: prsten
Z
Zagar: vižle
Zahid -- sofi
Zalim: nakomica
Zevle: teljig
Zindan: tavnica
Zulm:sil

Classified Section
In Makbul-i Arif (Potur Şahidi), after giving Bosnian meaning of the words, classified section is
formed. While classifying the words, numbers, days, agriculture, livestock and livestock-related terms, human
and human-related terms, religious terms, plants, fruits and vegetables, names of objects, colors, beverages and
natural events are put in two groups. According to the subject classification of the words is as follows:
Bin
Kaynana
On bin
Kaynata
Numbers
Bir
Çift
Kız
Đki
Yarım
Kız kardeş
Üç
Yetişmiş kız
Dört
Kardas
Religious Terms
Beş
Bay
Üvey kız
Altı
Cennet
Akıl
Yedi
Cenneti
Alın
Sekiz
Cin
Ayak
Dokuz
Oruç
Baş
On
Papaz
Bıyık
Yirmi
Şeytan
Burun
Otuz
Tanrı
Dil
Kırk
Dilenci
Elli
Dirsek
Human and Human-related
Altmış
El
terms
Yetmiş
Ağız
Gebe kadın
Seksen
Oğlan
Göbek
Doksan
Yenge
Hekim
Yüz
Oğul
Kas
Đki yüz
Ana
Kel
Üç yüz
Baba
Kulak
Beş yüz
Kayın
Omuz

484

�2nd International Symposium on Sustainable Development, June 8-9, 2010 Sarajevo
Parmak
Saçlar
Sağır
Sakal
Tırnak
Topal
Colors
Ak
Sarı
Turuncu
Yeşil
Kızıl
Eşya Đsimleri
Altın
Gümüş
Đplik
Kapı
Mum
Süpürge
Pencere
Maşa
Yay
Top
Sırık
Çanak
Drinks
Lahana turşusunun suyu
Su
Şalgam
Şarap
Süt
Şerbet
Days
Bugün
Salı
Ciharşenbe (Çarşamba)
Hamis (Perşembe)
Cuma
Cumartesi
Hafta
Animals and animal related
terms
Çoban
At
Arı (temiz)
Atı nallatmak
Ayı
Bal
Balık satan
Balık tutan
Balık
Baykuş
Böcek
Bülbül

Buzak
Çaylak
Deri
Deve
Eşek
Et
Güvercin
Đnek
Kanat
Karga
Karınca
Katır
Kaz
Keçi
Kedi
Kedi kovmak
Kelebek
Koç
Köpek
Köpek içmesi
Kovan
Kurbağa
Kurt
Kuzu
Maymun
Oğlak
Ördek
Pire
Saksağan
Şahin
Sıçan
Sinek
Tavşan
Tavuk
Tay
Tazı
Tilki
Tahta biti
Tosun
Yengeç
Turna
Yem

Isırgan
Đncir
Lahana
Kavun
Pirinç
Soğan
Söğüt
Yaprak
Arpa
Çınar
Meşe
Koz
Yaş ot
Mantar
Kenevir
Nature-related terms
Ateş
Ay
Dağ
Deniz
Dere
Duman
Gökler
Göl
Yağmur
Yıldırım
Kar
Bulut
Güneş
Sel
Yel
Toz

Fruits-Vegetables-Plants
Armut
Ayva
Ağaç ibrik
Bağça
Elma
Diken
Çilek
Çam ağacı
Buğday
Başak
Tohum
Kabak
Fındık
Gül

485

Adjectives
Alçak
Aksi
Gebe kadın
Güzel kadın
Güzel
Büyük
Uzun
Şaşkın
Uzak
Yakın
Derin
Verbs
Acımak
Ağlamak
Dinlemek
Đvmek
Ağrımak
Aksırmak
Aldanmak
Ayıblamak
Bağlamak
Bazilmak
Büyüklenmek
Çağırmak

�2nd International Symposium on Sustainable Development, June 8-9, 2010 Sarajevo
Çağırmak
Çakmak
Çalışmak
Çekişmek
Çömelmek
Değiştirmek
Dikmek
Dikmek
Doyumluk
Dökmek
Elin salmak
Elma atışmak
Evlenmek
Fal açmak
Getirmek
Gezinmek
Giymek
Güreşmek
Irlamak
Đnlemek
Đslemek
Kaçar
Kaşık çalmak
Katlanmak
Kazmak
Kedi kovmak
Kilitlenmek
Kilitlenmek
Kopeğin içmesine
Kuçmak
Ohşamak
Öpmek
Sadaka vermek
Sakin
Salınmak
Savurmak
Say
Sıçramak
Sual etmek
Sukut etmek
Sürmek
Tavuk esmesine
Üfürmek
Yanardı
Yeme
Yenmek
Yoğurmak
Yoruldu
Yuvarlanan top
Yüzmek

486

�2nd International Symposium on Sustainable Development, June 8-9, 2010 Sarajevo

Results:
As a result of the classification;
1. Spoken language was preferred in the verse dictionary.
2. While choosing vocabulary social and economic structure of the age occupies primary importance.
3. The dictionary includes an important part of words concerning the daily life issues of the time such as
livestock, fruits and vegetables, plants, nature and numbers.

References
Boşnakça Sözlük (2006) (Boşnakça-Türkçe, Türkçe-Boşnakça), hzl. Sahir Bayhan Ankara.
Filan, Kerima (2005) O Jednom-Sporadıncnom Rukopısu na TurskomBosanskom ANALI Gazi
Husrev- Brgove biblioteke u Sarajevu, KNJIGA XXI-XXII, Sarajevo
Mehmed Hevâî Üsküfî (2001) Makbûl-i Arif (Potur Sahidiya), (Haz. Fehim NAMETAK), Tuzla Derviş Susiç
Kütüphanesi Yayınları
Muhamed Hevai Üsküfi,giriş:Nedim Filipovic,hzl.Muhammed Hukovic,Ahmed Kasumovic ve Ismet
Smailovic,Univerzal,(Bosna- Hersek)Tuzla 1990
Nametak, Alija (1968) “Tursko-Hrvatskosrpski Rijecnici” Jugoslavenska Akademija Znanosti i Umjetnost, odjel
za Filologiju, Zagreb 1968, s, 231-380.
Okumuş, Sait (2009) “Muhammed Hevâi Üsküfi ve Türkçe-Bosnakca Manzum Sözlüğü Makbûl-i Arif (Potur
Šahidi)”, Turkish Studies, International Periodical For the Languages, Literature and History of Turkish or
Turkic Volume 4/4 Summer
Turska Leksika u Rijacniku Makbul-i Arifi Muhammeda Hevaija Uskufija”, ANALI, Gazi Husrev-Begove
biblioteke u Sarajevu, KNJIGA XXIII-XXIV, 2005.

487

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                <text>The Turkish Index and Subject Classification of the Words Used in  Makbul-i Arif</text>
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                <text>Yapici, Sefika</text>
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                <text>In this study, general information has been given about Makbul-i Arif (Witness of  Potur)- Turkish-Bosnian Verse Dictionary-then the dictionary part was rearranged according  to Turkish index. Bosnian counterparts are shown in Turkish index by taking into account the  alphabetical order. The importance of this work is due to the fact that it has been the first and  only Bosnian-Turkish verse dictionary ever. To classify the words used in this book is  important to see the use of daily language. By classifying the word in glossary section  according to subject classification, we tried to make more concrete words used in social and  daily life in this century.</text>
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                    <text>Effects of Various Fibres in a Thin Biocomposite Material
Semiha Yenidoğan
Marmara University Faculty of Technical Education
Department of Printing, Goztepe Campus
Goztepe, Istanbul, Turkey,,
semihayavuz@marmara.edu.tr
Cem Aydemir
Marmara University Faculty of Technical Education
Department of Printing, Goztepe Campus
Goztepe, Istanbul, Turkey,,
cemaydemir@marmara.edu.tr
Arif Karademir
Kahramanmaras Sutcuimam University
Faculty of Forestry, Department of Forest Product Engineering
Bahcelievler Campus
Kahramanmaras, Turkey
arifkarademir@yahoo.com

Abstract: There are a number of methods for producing biocomposite materials for different
purposes. Wet lying methods are widely used in utilising especially short cellulosic fibres
which offers random mixing and formation of homogenous filtrate over a travelling web. The
method also contains wet pressing and controlled drying stages for achieving maximum fibrefibre bonding. Fibres having different chemical compositions and physical properties behave
differently in moving/draining suspensions which often give bad formation and heterogeneity
in produced materials. Nevertheless, various fibres with different desirable properties are
required to be finely blended in a suspension for getting targeted materials. This study
investigated the effects of various fibres in a thin cellulosic material. It was aimed to see the
possibility of using some short fibres, regarded as waste materials, in producing thin cellulosic
matrix.
Keywords: Waste fibres, wet formation, cellulosic composites, tensile strength.

Introduction
Paper is probably one of the oldest thin biocomposite, the production of which is dated back to 105 BC.
Tsua Lun, a Chinese scholar, initially boiled ramie, hemp and also later the inner bark of mulberry tree (kozo) to
liberate the fibres. The pulp slurry, diluted fibre suspensions, was originally filtrated on a coarsely woven cloth
and dried in the sun. The cooked rice water was also added into pulp slurry and/or applied to the surface of dried
sheet to impart strength. The main principal in papermaking is actually not so changed since its first invention,
but the technological movements are tremendous. Today, some modern papermills run at a speed of 120
Km/hour. The demand for raw materials is also fundamentally changed which forced the papermakers to search
some alternative fibre resources as it was only nonwoody plants, waste robs and fabric before twentieth century.
It was around 1850’ies when paper industry had to turn to forests and woods as main fibre resources. Since then,
the demand for paper and many paperbased products has been increasingly growing. The types of paperbased
products are also remarkably increased compared to its early use. The paper is in all parts of our daily life now
(Kocurek, 1983; Smook, 1992).
Currently, paper recycling and search for alternative fibre resources take great attentions from industry
and scientists. The waste paper recycling is reported to supply around 42 percent of world pulp demand. Pulp
made from non-woody plant is unfortunately recorded to be only 4 percent of total world pulp consumption
(Hurter and Riccio, 2006). The figure was quite big and significant in some parts of the world in the past. In
Chine and India, for instance, wastes from agricultural activities were utilised to produce up to 73 and 56 percent
of countries total pulp consumption respectively for some time ago (Tutus and Karademir, 2002). There have

787

�been numerous studies published on subjects dealing with the optimum pulping conditions of alternative fibre
sources for paper making (Sharifah and Ansell, 2004; Tutus and Eroglu, 2004; Copur, Tozluoglu and Karademir
200).
In the papermaking process, huge amount of water is used. System actually works with water as the
paper is simply made through wet formation. In terms of formation quality, the behaviour of fibres and other
ingredients in slurry are crucially important. Homogenous distribution of components in the slurry should be
maintained. Mechanical properties of end-products depend on the both fibre strength and interfiber bond strength
(I’Anson et al, 2006). Some dry and wet strength additives are used to produce stronger paper.
In this study, some alternative fibrous materials (ceramic fibres, wools, wastes from yarn production
and cotton dust) were used in the production of a thin board as biocomposite. The main focus was given on the
changes of sheet strength. The findings are thought to offer useful information to those working in similar areas.

Experimental Materials and Methods
Fibres
Ceramic fibres, wool, yarn wastes and cotton dusts were used as alternative papermaking materials in
this study. The control sample and main matrix with blend of alternative fibres was made of pulp obtained from
old corrugated board. Materials were firstly cut in 3 cm length, soaked in water overnight and beaten for 2
minutes in a PFI mill in accordance with Tappi T 248 sp-08 method. Cotton dust was not beaten as it was
already in quite small sizes.

Handsheets Making and Testing
Pulp slurries were prepared at % 0,5 consistency and control sheet was made from pulps of old
corrugated boxes at a grammage of 100 g/m2 according to Tappi 205 sp-95 method. Alternative pulps used were
blended with control pulp at %15 and %30 levels and various thin biocomposites were produced by wet
formation.
Sheets were conditioned in accordance with Tappi T 402 om-88 method at 23±2°C and 65±2% relative
humidity for at least 24 hours before testing. The tests done to determine some physical properties of sheets were
tabulated with relevant standards as below (Table 1).
Tests

Standarts

Beating/Pulping

Tappi T 248 sp-08 (PFI method)

Handsheet making

TAPPI T 205 sp-95

Paper Conditioning

TAPPI T 402 om-88

Air permeability (ml/min)

TAPPI T 460

Tensile index (Nm/g)

TAPPI T 494 om-88

Breaking length (m)

TAPPI T 404 om-87

Burst index (kPam2/g)

TAPPI T 403 om-91

Table 1: Tests and methods followed during papermaking and analysing.

Results
Pulp Suspension and Sheet Formation
Fibres from softwoods are named as long fibres while those obtained from hardwoods are regarded as
short fibres. Length of long and short fibres would be on average 3 mm and 1.5 mm respectively. Long fibres
contribute sheet strength while short fibres give smoother and denser sheets. It is known that long fibres tend to
get entangled and form floks of big fibre groups in a suspension at a higher speed compared to those of short

788

�fibres. Therefore, the consistency of long fibre suspension must be adjusted at quite low level to be able to have
a well distributed stock, hence a good formation.
It is noted that all fibres used in this study negatively affected pulp suspensions giving cloudy
apperance and heterogenous clumpy fibre groups. Alternative fibres were actually beaten to get an extra
fibrillated surface that was in favour of homogenous suspension and also stronger sheets. Differences between
fibres such as density, wettability, length, physical structure gave heterogenous suspension. Cotton dust was
noted to be well mixed with control pulp out of all studied here. It was attributed to the smaller fraction of cotton
dusts and similar structures to wood fibres. The effects of fines like cotton dust were studied by some researchers
in details (Retulainen et al, 2002; Lin et al, 2007; Xu and Pelton, 2005). Ceramic fibres were broken down to
filler after mechanical action in a lab disintegrator hence were used like fillers.

Air Permeability
Addition of alternative materials in controlled pulps resulted in significant reductions of sheet air
resistance as seen in figure 1. Ceramic fibres in the form of filler were noted to reduced air resistance lower then
all other materials. Wool fibres on the other hand remarkably reduced the air resistance of sheets. Result suggests
that all materials added to control pulp disturbed the formation quality of sheets. The higher air resistance value
of control sheet indicates the firm and dens fibre matrix. Whereas the structure seems to be loosen up and
become fluffy as a result of especially wool addition. Wool fibres probably interfered with wood fibre bonding
and made them in a sense separated giving a permeable material.

2800
Cotton Dust
Air Permeability (ml/min)

Ceramic Fibre
2300

Yarn Wastes
Wool Fibre

1800

1300

800

300
0

15

30

45

% Fibre Blend

Figure 1: Fibres added increased the air permeability.
Mechanical Properties
Tensile index, breaking length and burst index values of all sheets were plotted in figure 2, 3 and 4
respectively. As it is clearly seen in figures, the addition of alternative materials studied here dramatically
reduced the mechanical strength of resultant products. It is believed that the alternative fibres did not develop
any significant internal bonds between both themselves and fibres of control papers. Furthermore, they actually
interfered with fibre-fibre bonding.

789

�30
Cotton Dust
Ceramic Fibre
Tensile Index (Nm/g)

25

Yarn Wastes
Wool Fibre

20

15

10

5
0

15

30

45

% Fibre Blend

Figure 2: Tensile index was badly damaged with fibre blends.
Out of all materials studied here, the highest reduction in sheet strength was noted with the addition of
wool fibres. Negative effect on strength by the addition of cotton dust was recorded to be smallest compared to
the changes due to other fibres. Differences between the effects of yarn fibre and cotton dust were believed to be
mainly due to the particle sizes. The chemical composition of both yarn and cotton dust are not so different since
they are compost of almost pure cellulose molecules. The sizes, however, were significantly different as yarn
was made of long cotton fibres and cotton dust was quite small in sizes as such it can be regarded as fine in a real
papermaking environment. There are various reports on the effects of different fines on paper strength
(Retulainen et al, 2002; Lin et al, 2007; Xu and Pelton, 2005). Fine improves paper smoothness and air
resistance if retained and evenly distributed in paper structure. It may develop paper strength too if it has plenty
hydroxyl groups. Cotton dust in this case did not improve the sheet strength. It suggests that the bond strength
between fibres in control pulp were greater than that developed between both cotton dusts and fibres in
controlled sheets.

3500
Cotton Dust
3000

Ceramic Fibre

Breaking Length (m)

Yarn Wastes
2500

Wool Fibre

2000
1500
1000
500
0
0

15

30
% Fibre Blend

790

45

�Figure 3: Fibre blending reduced the breaking length in a great deal.

Cotton Dust

1.80

Ceramic Fibre
Yarn Wastes
Wool Fibre

2

Burst Index (kPam /g)

1.55

1.30

1.05

0.80

0.55

0.30
0

15

30

45

% Fibre Blend

Figure 4: Fibre blending destroyed the burst index value of control sheet.
Wood fibres from softwood and hardwoods have been extensively used in the production of paper, board and
fibreboards in wet forming system. The strength of end products depends on both the strength of individual
fibres and interfiber bond strength. The latter is governed by the amount of hydrogen bonds to be developed
between fibres during pressing and especially drying stages (I’Anson et al, 2006). Therefore fibres having ability
to form hydrogen bonds can contribute strength of end products. It would be said that the materials used in this
study did not produce enough hydrogen bonds either between themselves or between fibres of controlled pulp. In
such situation, extra bond enhancer must be used such as starches, resins and bonding agents.

Conclusion
Four materials, ceramic fibres, wool, yarn wastes and cotton dusts were studied to find out if they may
be used in the production of thin biocomposites like paper, board and fibreboard in wet lying system. The
materials were blended with control pulps at two proportions as %15 and %30 and a number of sheets were
formed. Attention was especially given to the changes of mechanical properties of sheets as a result of material
blending. It was in general found that all material used here remarkably changed the sheet properties. The sheets
air resistance and three mechanical strength values were greatly reduced. It is suggested that in order to increase
the formation quality of blended pulps, the fibres should be made in similar sizes. Dry strength agents must be
also used if the mechanical strength properties are important for end users of such products.

Acknowledgement
This research was partly carried out under the Project (No:2003/2-7) granted by Kahramanmaraş Sutcuimam University
(KSU), Kahramanmaras, Turkey. Authors sincerely thank to KSU for this support.

References
Copur, Y., Tozluoglu, A. and Karademir, A. (2007). Pulping of Licorice (Glycyrrhiza Glabra): An Alternative Raw Material
to Produce Pulp. Cellulose Chemistry and Technology, 41 (2-3), 155-159.

791

�Hurter, R. W. and Riccio, F.A. (2006).Why CEOS Don’t Want to Hear About Nonwoods or Should They?. Nonwood Fiber
Symposium, TAPPI Proceedings, Atlanta, USA. 1-11.
I’Anson, S. J., Karademir A. and Sampson, W. W. (2006). Specific Contact Area and The Tensile Strength of Paper. Appita
Journal, 59 (4), 297-301.
Kocurek, M. (1983). Pulp and Paper Manufacture, Volume 1, Properties of Raw Materials and Their Preparation for Pulping,
Ed. Kocurek, M. Joint Textbook Commitee of The Paper Industry, TAPPI, Georgia.
Lin, T., Yin, X., Retulainen, E., and Nazhad, M. M. (2007). Effect of Chemical Pulp Fines on Filler Retention and Paper
properties. Appita Journal, 60 (6), 469-473.
Retulainen, E., Luukko, K., Fagerholm, K., Pere, J., Laine, J., and Paulapuro, H. (2002). Papermaking Quality of Fines From
Different Pulps-The Effect of Size, Shape and Chemical Composition. Appita Journal, 55(6), 457-461.
Sharifah H.Z. and Ansell M.P. (2004). The Effect of Alkalization and Fiber Alignment on the Mechanical and Thermal
Properties of Kenaf and Hemp Bast Fiber Composites: Part 1-Polyester Resin Matrix. Journal of Composite Science and
Technology, (64), 1219-1230.
Smook, G.A. (1992). Handbook for Pulp and Paper Technologists, Angus Wilde Publication, Vancouver.
Tutuş, A. and Eroglu, H. (2004). A Practical Solution to the Silica Problem in Straw Pulping. Appita Journal, 56 (2), 111-115.
Tutuş, A. and Karademir, A., (2002). Production of Paper and Boards from the Agricultural Wastes Generated in Southeast
Anatolian Project Area (GAP), Proceeding of 4th GAP Engineering Congress, Volume:2, Sanlıurfa, Turkey. 1327-1332.
Xu, Y., and Pelton, R. (2005). A New Look at How Fines Influence the Strength of Filled Papers. Journal of Pulp and Paper
Science, 31 (3), 147-152.

792

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Aydemir, Cem
Karademir, Arif</text>
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                <text>There are a number of methods for producing biocomposite materials for different  purposes. Wet lying methods are widely used in utilising especially short cellulosic fibres  which offers random mixing and formation of homogenous filtrate over a travelling web. The  method also contains wet pressing and controlled drying stages for achieving maximum fibrefibre  bonding. Fibres having different chemical compositions and physical properties behave  differently in moving/draining suspensions which often give bad formation and heterogeneity  in produced materials. Nevertheless, various fibres with different desirable properties are  required to be finely blended in a suspension for getting targeted materials. This study  investigated the effects of various fibres in a thin cellulosic material. It was aimed to see the  possibility of using some short fibres, regarded as waste materials, in producing thin cellulosic  matrix.</text>
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                    <text>The Greening Desert Of Karapinar: An Example from Turkey
Ali Ihsan Yildirim
Soil and Water Resources Research Institute Laboratory
Agricultural Engineer, Meram, KONYA-Turkey
alyld@hotmail.com
Aysen Akay
Selcuk University, Agricultural Faculty,
Department of Soil Science,Campus
Konya-Turkey
aakay@selcuk.edu.tr

Abstract:In Turkey, there is an area of 465.913 hectares which is subject to wind
erosion. 103.000 hectares of this area is in the Karapınar district of Konya province.
The Karapınar district of Konya faced the risk of emigration in the 1960s because of
reasons such as that the region was an old lake bed and the climate of the region was
extremely hot, soil properties etc. The soils lost their yield capacity, the dunes rose,
clouds of dust and sand storms made life difficult for the people living in the area as
the result of erosion in that period. Because of these problems, the first studies started
in 1962. An area of 160.000 decares was taken under control. As the result of
approximately 47 years of improvement practice, which constitutes the topic of this
paper, today, activities aimed at research and production are also being maintained in
Karapınar.
Key Words: Desert, dune, improvement practice, sand storms, wind erosion.

Introduction
Agriculture is practiced on the 28 million hectares of the 78 million hectares total area of Turkey. The lack of the
development of a sustainable agricultural policy and the human effect have caused a decrease in organic matter,
resulted in the loss of soil aggregation and the dispersion of soil structure, and also, together with bad climatic
effects, caused the occurrence of wind erosion in cultivated areas.
Wind erosion in Turkey is commonly seen within the borders of Konya, Niğde, Kayseri province, which is
located in the southern part of Central Anatolia, and Kars province in the east, both of which are areas under the
effect of an arid and semiarid climate (Anonymous 2007).
Karapınar county of Konya is located in the most arid region of Turkey with the lowest precipitation;
consequently, it is most affected by aridity and desertification. For this reason, the first disaster related to the
problems of aridity, climatic change and desertification experienced in our country occurred in this region.
In Turkey, wind erosion is observed as a problem varying from light to severe on an inland dune area of 465.913
hectares. Approximately 70% (322.474 hectares) of this area is located within the borders of Konya province
(Anonymous 1975), and 103.000 hectares of this area are located in the Karapınar district of Konya. This area
constitutes the 22.1% of the area of wind erosion throughout the country (Yıldırım 1999).

Reasons for the Occurrence of Wind Erosion in Karapınar
In the 1960s, the people living in the Karapınar district of Konya were at risk of emigrating from the region as
the result of the wind erosion that occurred in that period. There is an inland dune in the South-Southwest of the
district which covers an area of 4000 hectares.

546

�The soils lost their yield capacity and sand dunes occurred as the result of erosion; it was observed that clouds of
dust rose and cars on the Konya-Adana Highway were dragged and the paint of the cars was totally or partially
damaged. Children could not go to school because of sand storms, machines did not work, and the incidence of
ear-nose-throat diseases increased among the people. Winds that cause erosion in this region blow from the
South-Southwest, and it was determined that the wind speed reached 110 km/h in the month of March in
1962(Anonymous 2007).
We can list the primary factors that cause wind erosion to be effective in the region as follows:
This region was an old lake bed, therefore, the lake dried and the dunes that were on the base of the lake rose to
the surface, the climate of the region is extremely hot and arid, animal husbandry was highly common and
excessive grazing was practiced in the pastures, some plants (Astragalus micracophalus,Salvia cryptantha,
Verbascum mucronatum ) which the animals did not like but supported the soil were pulled out by the people
and used as fuel, pastures were destroyed, the use of disk ploughs which overturned and broke the soil increased
erosion in the region where fallow-cereal rotation system was implemented, and the district is located in an
active wind zone.

Characteristics of the Wind Erosion Area of Karapınar
Karapınar is located on Konya-Adana Highway and is 95 km from Konya. The population of Karapınar is
31.913 according to the 2007 census. The altitude of the district is 995 m above sea level and its area is 3030
km2.
Geological Characteristics: In Central Anatolia, there are several sand beds located near Karapınar. The dune
systems were altered during the late Pleistocene and Holocene period. The main dune system located in the south
of Karapınar was formed as the result of the coastal winds that were caused by the withdrawal of the old lake.
The climate changes that occurred during the Holocene period caused the sand to move inland, afterwards, sand
movements started as the result of human activity (such as extreme pasturage, becoming poor of soil)
(Demiryürek et al. 2007).
Climate Characteristics: The climate of the region is semiarid; summers are arid and hot, and winters are cold
and snowy. The large part of the snowfall occurs in January and February. The annual average precipitation is
275 mm, and 40% of the precipitation falls in the months of winter. The average precipitation from July to
September is 15 mm. Long term climate values of the study area are given in Table 1. The annual precipitation
for 2008 is 232.1 mm (Anonymous 2009).
Months
Climate data
I
Mean Temp.
o
C

-1.8

II

III

IV

V

VI

VII

VIII

IX

X

XI

XII

-0.8

4.2

11.1

14.8

18.7

22.4

22.1

17.2

11.0

5.9

0.4

Max Temp.oC

19.6

20.5

25.5

31.4

36.0

36.8

41.2

38.4

36.2

33.2

25.3

18.4

Min. Temp. oC

-21.4

-26.8

-22.8

-8.0

-2.3

3.1

5.0

4.5

-3.3

-6.4

-15.0

-21.2

Precipitation
(mm)

29,9

27,6

28,5

39,6

38,9

25,5

4,6

2,7

7,5

22,6

27,5

39,5

Moisture (%)

78

75

69

62

62

53

48

47

51

63

75

79

Mean wind
speed (m/sec)

2.97

3.21

3.36

3.31

2.66

2.92

3.29

3.09

2.46

2.34

2.61

2.86

Wind Max
direction and
speed
( m/sec )

SSW
27.3

SW
29.0

SSW
28.8

SSW
32.7

NNW
23.1

ENE
23.0

NNW
20.2

NNE
28.0

S
32.0

NW
19.8

SSW
21.8

SSW
27.7

Table 1. Long term climate values of the study area (between 1983-2006 years) (Anonymous 2009)

547

�In the erosion area of Karapınar, the most important factor that affects erosion is the wind, and the dominant
direction of the wind is north-east and south-west. Mean wind speed is between 2.34 - 3.36 m/sec. Stormy days
are common and the wind speed reaches 20-32 m/sec on those days (Table 1).
Soil Characteristics :Although the soil belongs to the group of alluvial soils which is formed over old lake
deposits, colluvial, sierozem and regosol soil groups are also seen in Karapınar, where wind erosion studies are
conducted. The soil color of the plow layer is light gray and light brown and the lower parts are pale yellow and
white. The soil texture is generally light (loamy sand) in the top soil, and heavy (clay) in lower layers. Soils are
rich in lime and potassium and poor in organic matter and phosphorus. Some characteristics of the study area
soils are given in Table 2.
Dept
h
(cm)

San
d
(%)

0-15

68.1

15-30

57.2

30-60

31.0

60-90

16.0

90120

12.5

Silt
(%)
15.
1
22.
7
28.
0
24.
4
42.
3

Cla
y
(%)

Textur
e Class

Field
capacit
y
(mm)

Volum
e
weight
(g/cm3)

pH
(1/2.5
)

EC(mmhos/cm
) (1/2.5) 25oC

16.6

SL

23.3

1.10

8.1

20.1

SCL

32.9

1.09

43.0

C

79.6

59.6

C

45.2

SiC

(%)

Organic
matter
(%)

0.62

44.7

1.9

8.1

0.45

48.6

1.6

1.01

8.2

0.45

53.5

1.5

88.6

1.06

8.3

0.85

54.6

1.3

85.7

1.18

8.0

1.10

53.3

1.2

CaCO
3

Table 2. Some characteristics of the study area soils (Anonymous 2009)

Studies Conducted to Improve Problematic Areas
The first step taken against erosion in the district was establishing an association with the name “Association for
Saving Karapınar from Erosion” in 1959. Afterwards, studies were started by Mülga Topraksu (the Directorate
General of Agriculture) in 1962. First, a team was formed of technical personnel and an area of 160.000 decares
was taken under control by being enclosed with wire fence.Then, 30.000 decares of this area was assigned to the
Armed Forces to be used for military purposes. The remaining 130.000 decares area was divided into four
sections based on the problems observed. Soil improvement practices started on this area considering the degree
of the problem. Mülga Konya Topraksu VI. Region Management (The Directorate General of Agriculture)
maintained its studies continuously for 10 years and when the improvement studies were completed, the area was
assigned to Konya Institute of Soil and Water Research Directorate in 1973 to be used for protection control,
research and production studies.Today, 43.000 decares of this land is given back to farmers and studies are
continued in the 87.000 decares under the control of the government (Yıldırım 1999). The studies conducted on
these areas are as follows:
Sand Dunes (Dune Barkhan) Area(40.000 decares):This area is located to the south west of the district 7 km
from Karapınar. The size of the area is 40.000 decares. The severest erosion effects were observed in the area in
the 1960s. Sand dunes with heights of 41 m, widths of 50 m and lengths of 240 m, which are shaped like the
moon and completely look like a desert, have been formed in the area. These dunes are inclined at a rate of 517% to the direction of the wind and 20-48% to the other directions. The dunes in this area have the
characteristics of moving with the lightest wind. The dunes that move with the effect of the strong winds started
to threaten the district by digging up the Ketir Hill, which is covered with 15 hectares of basalt rocks. The
improvement study conducted on this area was carried out in two subsequent stages.
a.Physical measures
Construction of Bamboo Screens: First, bamboo screens were constructed on the sand dunes in order to
decrease the speed of the wind and prevent the movement of the sand. These bamboo screens were woven with
two lines of wires running perpendicular to the blowing direction of the wind leaving parts of 40 cm uncovered
at the top and bottom tips. During the fixing process, the screens were supported with wooden posts at every two
meters in order to prevent the collapse of the screens with the effect of the wind.

548

�b.Cultural measures
Grassing: After the bamboo screens were constructed and the speed of the wind and the movement of the sand
completely stopped, the process of grassing the spaces between the screens started. Weed seeds collected from
the pastures around the region were used in grassing the area and also rye (Secale sp.) and wheat grass
(Agropyron elongatum), which are known to be resistant to aridity and hot conditions, were extensively used as
crop plants.
Afforestation: After the area between the bamboo screens was grassed, afforestation studies started as a long
lasting precaution in order to completely prevent soil movements. Saplings obtained from the nursery gardens
established in the area and from other regions were planted and grown between these screens. The types of trees
selected for afforestation were oleaster(Eleagnus sp.L), acacia(Robinia pseudeaccacia), ashen(Fraxinus sp.L),
elm(Ulmus sp.L) and maple(Acer sp.L) since they are trees which are resistant to aridity peculiar to the area.
The Active Dune(Barkhan) Area(25.000 decares):There were some plants peculiar to the region which were
not eaten by animals and were resistant to aridity on this area, which was known to be a high quality pasture a
long time ago. Dunes have accumulated around these plants and formed hills with heights of 0.3-1.2 m and
widths of 0.2-2.00 m. The inclination of these hills is 30-60% to the direction of arrival of the wind, and 5-19%
to the direction of the wind. These plants are Salvia cryptantha, Astragalus micracophalus, Alhagi camalorum
and Artemisia sp. .Such areas were enclosed with wire fences during the implementation of the improvement
practices. Following the enclosing process, the existing plants were reproduced through self-pollination and
other plants were reproduced through grafting. As the result of the studies, today, the soil is completely covered
with vegetation and natural flora has been reestablished.
Flat Soils Sensitive to Erosion(26.000 decares):This area is composed of agricultural lands on which no
vegetation exists, and which was formerly used for dry farming and abandoned because of erosion. 14.000
decares of this area are privately owned lands where erosion prevention practices have been successfully
performed and the owners have resettled. Agricultural activities are still being carried out on this area under the
control of the government. Today, agriculture is performed through band seeding along paths of 40-60 m width
vertical to the prevailing wind direction on the 10.000 decares of the remaining land and fallow-cereal rotation
system is implemented, as is done under the conditions of Central Anatolia.Approximately 2.000 decares of land
has been irrigated and vineyards and orchards peculiar to the region have been planted on the land. This part of
the area is used as a demonstration site for fruit production, and there are also nursery gardens and pasture seed
production facilities in the area.
Ketir Hill (10.000 decares):Before the implementation of improvement practices, this area was covered with
basalt boulders and there were not any trees on the hill. After the erosion studies were conducted and sand
movements were stopped, plants such as blackthorn, wild almond and blackberry started to grow on the area.
Furthermore, almond seeds (700.000 pieces) were planted on the foot of the hill during the practices. Currently,
pine and cedar trees are being planted on the hill.

Current Land Use Planning
The following improvement practices are implemented on the remaining 87.000 decares of land, which is under
the government control:
The areas where the problem has reemerged are afforested, practices are performed for the trial of new irrigation
techniques, the activity areas of newly drilled wells are widened, and new orchards and sapling production
practices are established.
The current status of land use is as follows (Table 3):

549

�Status of Land Usage
Woodland area
Basaltic area
Vineyard, garden, orchards and sampling generation areas
Nature grass pasture
Band seeding(dry cultivation )
Watery cultivation
Total

Area(decares)
40.000
10.000
2.000
25.000
5.000
5.000
87.000

Table 3. The current status of land use(Anonymous 2009)
The plants that were determined in the study conducted on the approximately 30.000 decares of pasture area
which is under protection in Karapınar Station of Soil and Water Resources Research Institute are as follows:
Festuca ovina (29.8%), Centaurea virgata (17.6%), Euphorbia kotschyana (10,1%), Alhagi pseudalhagi (5,9%),
Astragalus microcephalus (5,0%), Scabiosa argentea (4,6%), Scorzonera cana (3,4%), Centaurea urvillei
(3,4%) and several other plants at smaller rates (TAGEM 2007). With these plants, the pasture area has acquired
the characteristics of a typical arid climate pasture.

Conclusion
As the result of the studies conducted to prevent the Karapınar District from being moved to another location, the
problem has been solved at a cost less than almost a quarter of the moving cost. The project is highly important
in terms of presenting the new agricultural techniques to the farmers living in the region and increasing the
agricultural value of the land by means of new irrigation wells and canals.
Previously, the project area often caused traffic jams and accidents over an 8 km part of the Karapınar Highway
when strong winds blew. All of these problems have been solved as the result of the erosion prevention
practices.
A farmer training camp was organized within the project studies and the workers of the farms were trained on
irrigated and dry farming. Groundwater surveys that were conducted at the start of the project studies were found
to be favorable and the wells drilled based on these surveys were used for sapling production and irrigated
farming. Today, the number of wells is over 5000. Beet-wheat crop rotation system has started under irrigated
conditions. Animal feed products such as clover and trefoil, vegetables, fruit, even strawberry is produced in the
area. A forestland of 4000 hectares covered with trees has been a good shelter for wild animals (such as
fox,rabbit, grouse and nightingale) .

Acknowledgment
Authors thank to Dr.Cetin Palta and Agr.Engineer Mustafa Okur from Soil and Water Resources Research Institute of Konya
for contributions.

References
Anonymous (1975).Bulletin of Topraksu statistics , Köyişleri ve Kooperatifler Bakanlığı, Topraksu Genel Müdürlüğü.
Ankara (in Turkish).
Anonymous (2007).Republic of Turkey, Ministry of Agriculture and Rural Affairs, General Directorate of Agricultural
Research, Soil and Water Resources Research Institute of Konya ,Yeşeren Çöl Karapınar”(in Turkish).
Anonymous (2009).Republic of Turkey,Ministry of Agriculture and Rural Affairs,General Directorate of Agricultural
Research, Soil and Water Resources Research Institute of Konya -2009 data.(unpublished).
Demiryürek , M., Okur, M. and Taysun , A.(2007).Karapınar rüzgar erozyon sahasında rüzgarla hareket eden sediment
miktarı ile yüksekliğinin yıl içerisinde dağılımı ve toprak özellikleriyle kuru agregatlar arasındaki ilişki üzerine mevsim etkisi.

550

�Proje No:Tagem-BB-Topraksu-2007/30, Republic of Turkey,Ministry of Agriculture and Rural Affairs,General Directorate
of Agricultural Research,Konya (in Turkish).
TAGEM (2007).Ulusal Mera Kullanım ve Yönetim Projesi(in Turkish).
Yıldırım, A.I.(1999).The Greening Desert Karapinar. in Cereal Symposium, June 8-11,1999, Konya, pp.440-448(in Turkish).

551

�</text>
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Akay, Aysen</text>
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                <text>In Turkey, there is an area of 465.913 hectares which is subject to wind  erosion. 103.000 hectares of this area is in the Karapınar district of Konya province.  The Karapınar district of Konya faced the risk of emigration in the 1960s because of  reasons such as that the region was an old lake bed and the climate of the region was  extremely hot, soil properties etc. The soils lost their yield capacity, the dunes rose,  clouds of dust and sand storms made life difficult for the people living in the area as  the result of erosion in that period. Because of these problems, the first studies started  in 1962. An area of 160.000 decares was taken under control. As the result of  approximately 47 years of improvement practice, which constitutes the topic of this  paper, today, activities aimed at research and production are also being maintained in  Karapınar.</text>
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                    <text>Integrated Water Resources Management:
A Path to Achieving Sustainable Development
Mehmet Ali Yurdusev
Department of Civil Engineering, Celal Bayar University, Manisa, Turkey
yurdusev@bayar.edu.tr
Tekin Tezcan
Department of Civil Engineering, Celal Bayar University, Manisa, Turkey
tekin.tezcan@bayar.edu.tr

Abstract: Water resources development is one of the most important national development
factors for developing countries whereas it is a service sector issue in developed countries.
Water management has become one of the conflict areas as the demand for water increases
while the resources available degrade. As a solution to this, integrated water resources
management has been proposed to make tradeoffs among the parties involved. This article
discusses the issues of integrated water resources management with its possible links with
sustainable development.

Introduction
Water resources management comprises a series of water-related activities including developing water resources
schemes for beneficial and protective purposes and managing the system effectively based on both supply and
demand considerations. From beneficial point of view, water resources development deals with the promotion of
necessary infrastructure elements to bring the water in nature to where it is to be used. Thus, it requires huge
investment as it is quite large in scale and time consuming. The development side of water resources
management is referred to as source management. The need for protection from the excess water, namely flood,
has also resulted in the development of large flood control schemes. As such, water resources development has
been one of the most important factors for the national developments of the countries. This is still true for the
developing countries where the water resources have not yet fully developed. On the other hand, it is one of the
issues of service sectors in developed countries and has lost its impact on the development of those countries.
Operational side of water resources management has two dimensions. One is the real operation of the system
developed to sustain water supply for the use for a variety of purposes including drinking, irrigation and power
generation. The other is the management of the demand for water, namely demand management, which
comprises a series of activities to encourage or sometimes to force people to use less water to achieve more
efficient use of water in service. The demand management issue may be shadowed in developing countries as
they are still trying to develop their water resources for irrigation, power generation and even drinking. It can be
seen, however, it is much more popular in developed countries as their main concern is the efficient management
of their already developed water resources.
In so-called developed countries, water management issue has become one of the conflict areas as the water
demanding sectors, namely stakeholders, have increased with also increased quantities as opposed to the
degrading resources available to use. Therefore, integrated water resources management concept has long been
spelled as a compromising tool to achieve an acceptable solution for the parties involved. If achieved, this would
present an efficient regulation of a large portion of national economies of the states as water resources
management covers quite a large variety of activities as mentioned previously. This article discusses the issues of
integrated water resources management with its possible links with sustainable development with the brief
discussions related to both sustainable development and integrated water resources management.

352

�Sustainable Development
Any article on sustainable development (SD) cannot disregard mentioning the first and the most widely accepted
definition given by the so-called Brundtland Report (Brundtland, 1987) as follows:
“Sustainable development is development that meets the needs of the present without compromising the
ability of future generations to meet their own needs.”
Since the Brundtland Commission first defined the concept of sustainable development, much discussion has
been made on the concept on scientific, technical, economical and even political platforms. From the overtwenty-year SD history, it could be possible to find many other definitions for it. Above all, it can be regarded
as a reaction to what it may be called “wild development” that had been observed before. The aim was to
transform the wild nature of development into the one that was acceptable by the weak. The weak are the society
including the future generations and the ecology. Therefore, an acceptable development, e.g. sustainable
development, should consider and integrate the social, environmental and economic issues as depicted in (Fig. 1)
(The President’s Council on Sustainability, 2010). As shown in (Fig. 1), a development considering social and
environmental issues could be bearable; the one with social and economic considerations could be equitable and
the solution with environmental and economic ones could be viable. However, if it is to be sustainable, it should
consider social, economic and environmental issues. A sustainable solution is such a solution which
•
•
•
•
•
•

incorporates the environment and the economy,
protects ecosystems and health of the society,
meets international obligations,
promotes equity,
prevents environmental pollution, and
respects for nature and the needs of future generations (Economic Development Agency of Canada,
2006).

To achieve such a development, an integrated approach to planning and making decisions which considers
environmental and natural resource costs of different economic options and the economic costs of different
environmental and natural resource options is normally required (The President’s Council on Sustainability,
2010). Having formulated such an integrated approach, it is necessary to articulate detailed principles and control
measures to direct the action plans to sustainability. The action plans are equally important elements of achieving
sustainable development and should be built based on the specific features of the issue and by the participation
of the parties that will be affected.

Figure 1. Issues in Sustainable Development, taken from The President’s Council on Sustainability (2010)

353

�Integrated Water Resource Management
As for sustainable development, it is quite possible to find fancy verbal definitions for integrated water resources
management
(IWRM).
One
could
be
taken
from
web-based
Water
Encyclopedia
(http://www.waterencyclopedia.com) as follows:
“Integrated water resources management is the practice of making decisions and taking actions while
considering multiple viewpoints of how water should be managed.”
The above definition is illustrated by the same encyclopedia in (Fig. 2). As seen in (Fig. 2), IWRM describes a
process of managing water resources in an integrated manner taking into account the views of parties involved
such as the stakeholders, governments and interest groups to achieve certain purposes and services using the
knowledge provided by several scientific disciplines. The following quotation (GWP TAC, 2000) well describes
the IWRM process:
Integrated Water Resource Management (IWRM) promotes the coordinated development and management of
water, land and related resources in order to maximize economic and social welfare (in an equitable manner)
without compromising the sustainability of vital ecosystems. This process involves the holistic coordination and
management of natural systems and human activities, which create the demands for water, determine land use
and generate waterborne waste.
The concept of IWRM is somewhat new and as such it was built over more-than-half-century bad water
management experience. As such, it can be regarded a response to the problems encountered in water
management, which has become a major conflict area where several sides are competing for the same quantity of
water.

Figure 2. IWRM process, taken from http://www.waterencyclopedia.com.
Achieving IWRM requires the organization of water industry accordingly. Since water resources and the bodies
demanding these resources spread in a certain geographical area, IWRM should normally be “place-based” or
“enterprise-based”, dealing with a particular location (Clark et al., 2002). River basins have long been regarded
as the spatial unit of water management. However, this should be disputed as the river basins are not isolated
from each other in terms of both the origin of water resources and the close interactions among the human
activities in neighboring basins. Whatever spatial unit is accepted, the main issue is to set appropriate
institutional arrangements towards achieving the IWRM, where the big challenge lays. It is unfortunate to say
that there are not many countries that have organized its water industry accordingly although there have been
several international initiatives such as water framework directive of European Union.
From the discussion provided above, it can be paradoxically said that water resources are expected to be
managed in a manner that those who demand for water including the ecological environment should be made
354

�happy. Expectedly, this is absolutely impossible. What should/can be done is then to reach a compromising
arrangement by which everybody could be a little bit happy. Experiences have shown that such a compromising
solution can only be achieved by the participation of all parties. That is, a participatory approach should be
followed to set up the practices for IWRM. Technical experts can, in this regard, present available methodologies
or acceptable plans/programs to the sides involved. There is also another issue that should be resolved, which is
what mechanism will be used to get together the sides or who are the sides. This is a case-specific issue that
should be considered carefully. Probably, a perfect mechanism will not be established; but any mechanism for
this purpose will somehow work and the outcome will yield much better proposals.

Concluding Discussions on IWRM and Sustainable Development
The discussions provided separately on SD and IWRM have uncovered that what both IWRM and SD try to
achieve is by and large the same. Sustainable development is a little bit older than IWRM. It is also broader and
does not exclude any human activity. It has something to say for every development process. As such, it is much
more difficult to materialize SD although it is also much more popular than IWRM. In other words, it will
require much more time to have “sustainable” development activities.
Unlike sustainable development, IWRM is a little bit restricted to a specific area, water resources, and tries to
realize much more efficient and helpful water management. Since it deals with water issues, there is much more
chance to realize the IWRM purposes although there are several challenges to be overcome (Grigg, 2008). The
world-wide experiences have shown several good examples such as fully privatized but highly regulated British
water industry.
Since water is a natural monopoly, water activities and water management accordingly affect almost every
development issue. A better managed water industry will make positive impact on other sectors. Therefore, the
water resources of a region or a country managed in an integrated manner will contribute the sustainability of
other human activities. In this sense, IWRM can be regarded as a tool, use of which will add positive
contributions to the sustainable development. From another point of view, IWRM is essential to sustain our
water resources. If we continue to use water, which we do not have any other option, we have to think and
explore the ways where the sustainability of our water resources is to be granted.

References
Brundtland G. H. (1987). Our Common Future, World Commission on Environment and Development (WCED), Oxford
University Press, page 54.
Clark, W. C., Lebel, L., Gallopin, G., Jaeger, J.,Mabogunje, A., Dowdeswell, E., Hassan, M., Juma, C., Kates, R., Corell, R.
(2002) in Science and Technology for Sustainable Development (Int. Council for Science, Paris), pp. 12–29.
Economic Development Agency of Canada for the Region of Quebec. (2006). Sustainable Development Strategy 2007-2010.
Montréal, Canada.
Global Water Partnership Technical Advisory Committee (GWP TAC) (2000). IWRM. Publ. Global Water Partnership,
Stockholm, Sweden.
Grigg, Neil S.(2008) 'Integrated water resources management: balancing views and improving practice', Water International,
33: 3, 279 — 292.
http://www.waterencyclopedia.com/Hy-La/Integrated-Water-Resources-Management.html
The President’s Council on Sustainability. (2010) Indiana State University Climate Action Plan, Indiana State University,
USA.

355

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                <text>Water resources development is one of the most important national development  factors for developing countries whereas it is a service sector issue in developed countries.  Water management has become one of the conflict areas as the demand for water increases  while the resources available degrade. As a solution to this, integrated water resources  management has been proposed to make tradeoffs among the parties involved. This article  discusses the issues of integrated water resources management with its possible links with  sustainable development.</text>
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