Information

Expand
I. INTRODUCTION
Globalization, comprehensive term for the emergence of a global society in which

economic, political, environmental, and cultural events in one part of the world
quickly come to have significance for people in other parts of the world.
Globalization is the result of advances in communication, transportation, and
information technologies. It describes the growing economic, political, technological,
and cultural linkages that connect individuals, communities, businesses, and
governments around the world. Globalization also involves the growth of
multinational corporations (businesses that have operations or investments in many
countries) and transnational corporations (businesses that see themselves
functioning in a global marketplace). The international institutions that oversee
world trade and finance play an increasingly important role in this era of
globalization.
Sidebars
SIDEBAR
Life in the Global Marketplace
The world is linked as never before due to advances in communication and
transportation and due also to trade agreements that have lowered or eliminated
barriers in the exchange of goods. But this growing interdependence has not come
without a price. This Sidebar looks at some of the problems created by globalization.
open sidebar
Although most people continue to live as citizens of a single nation, they are
culturally, materially, and psychologically engaged with the lives of people in other
countries as never before. Distant events often have an immediate and significant
impact, blurring the boundaries of our personal worlds. Items common to our
everyday livessuch as the clothes we wear, the food we eat, and the cars we drive
are the products of globalization.
Globalization has both negative and positive aspects. Among the negative aspects
are the rapid spread of diseases, illicit drugs, crime, terrorism, and uncontrolled
migration. Among globalizations benefits are a sharing of basic knowledge,
technology, investments, resources, and ethical values.
The most dramatic evidence of globalization is the increase in trade and the
movement of capital (stocks, bonds, currencies, and other investments). From 1950
to 2001 the volume of world exports rose by 20 times. By 2001 world trade
amounted to a quarter of all the goods and services produced in the world. As for
capital, in the early 1970s only $10 billion to $20 billion in national currencies were
exchanged daily. By the early part of the 21st century more than $1.5 trillion worth
of yen, euros, dollars, and other currencies were traded daily to support the
expanded levels of trade and investment. Large volumes of currency trades were
also made as investors speculated on whether the value of particular currencies
might go up or down.
II. REASONS FOR GLOBALIZATION
Sidebars
SIDEBAR
The Roots of Our Global Economy
Historian Jerry H. Bentley, a professor of history at the University of Hawaii and
coauthor of the two-volume Traditions and Encounters: A Global Perspective on the
Past, traces the roots of globalization to our ancient ancestors. Bentley argues that
todays global economy is not as recent as it might seem and in fact has been
developing for a long time.
open sidebar
Most experts attribute globalization to improvements in communication,

transportation, and information technologies. For example, not only currencies, but
also stocks, bonds, and other financial assets can be traded around the clock and
around the world due to innovations in communication and information processing.
A three-minute telephone call from New York City to London in 1930 cost more than
$300 (in year 2000 prices), making instant communication very expensive. Today
the cost is insignificant.
Advances in communication and information technologies have helped slash the

cost of processing business orders by well over 90 percent. Using a computer to do
banking on the Internet, for example, costs the banking industry pennies per
transaction instead of dollars by traditional methods. Over the last third of the 20th
century the real cost of computer processing power fell by 35 percent on average
each year. Vast amounts of information can be processed, shared, and stored on a
disk or a computer chip, and the cost is continually declining. People can be almost
anywhere and remain in instant communication with their employers, customers, or
families 24 hours a day, 7 days a week, or 24/7 as it has come to be known. When
people in the United States call a helpline or make an airline reservation, they may
be connected to someone in Mumbai (Bombay), India, who has been trained to
speak English with an American accent. Other English speakers around the world
prepare tax returns for U.S. companies, evaluate insurance claims, and attempt to
collect overdue bills by telephone from thousands of kilometers and a number of
time zones away.
Advances in communications instantly unite people around the globe. For example,
communications satellites allow global television broadcasts to bring news of
faraway events, such as wars and national disasters as well as sports and other
forms of entertainment. The Internet, the cell phone, and the fax machine permit
instantaneous communication. The World Wide Web and computers that store vast
amounts of data allow instant access to information exceeding that of any library.
Improvements in transportation are also part of globalization. The world becomes

smaller due to next-day delivery by jet airplane. Even slow, oceangoing vessels
have streamlined transportation and lowered costs due to innovations such as
containerized shipping.
Sidebars
HISTORICAL ESSAYS
Seeds of Globalization
Encarta Historical Essays reflect the knowledge and insight of leading historians.
This collection of essays is assembled to support the National Standards for World
History. In this essay, Craig A. Lockhard of the University of Wisconsin, Green Bay,
argues that the long-distance trade and interaction that took place across Asia
between 1000 and 1500 sowed the seeds of modern globalization.
open sidebar
Advances in transportation have allowed U.S. corporations to subcontract

manufacturing to foreign factories. For example, in the early 2000s the Guadalajara,
Mexico, factory of Flextronic International made pocket computers, Web-connected
TVs, computer printers, and even high-tech blood-glucose monitors, for a variety of
U.S. firms. Low transportation costs enabled Flextronic to ship these products
around the world, and the North American Free Trade Agreement (NAFTA) made the
Mexico location more attractive to Flextronic.
Advances in information technologies have also lowered business costs. The global
corporation Cisco Systems, for example, is one of the worlds largest companies as
measured by its stock market value. Yet Cisco owns only three factories to make the
equipment used to help maintain the Internet. Cisco subcontracts the rest of its
work to other companies around the world. Information platforms, such as the World
Wide Web, enable Ciscos subcontractors to bid for business on Ciscos Web site
where auctions take place and where suppliers and customers stay in constant
contact.
The lowering of costs that has enabled U.S. companies to locate abroad has also
made it easier for foreign producers to locate in the United States. Two-thirds of the
automobiles sold in North America by Japans Toyota Motor Company are built in
North America, many in Kentucky and in seven other states. Michelin, the French
corporate giant, produces tires in South Carolina where the German car company
BMW also manufactures cars for the North American market.
Not only do goods, money, and information move great distances quickly, but also
more people are moving great distances as well. Migration, both legal and illegal, is
a major feature of this era of globalization. Remittances (money sent home by
workers to their home countries) have become an important source of income for
many countries. In the case of El Salvador, for example, remittances are equal to 13
percent of the countrys total national incomea more significant source of income
than foreign aid, investment, or tourism.
III. THE INSTITUTIONS OF GLOBALIZATION
Three key institutions helped shape the current era of globalization: the
International Monetary Fund (IMF), the World Bank, and the World Trade
Organization (WTO). All three institutions trace their origins to the end of World War
II (1939-1945) when the United States and the United Kingdom decided to set up
new institutions and rules for the global economy. At the Bretton Woods Conference
in New Hampshire in 1944, they and other countries created the IMF to help
stabilize currency markets. They also established what was then called the
International Bank for Reconstruction and Development (IBRD) to help finance the
rebuilding of Europe after the war.
A. World Bank
Multinational Marketplace
Multinational Marketplace
Advertisements from multinational corporations from around the world adorn a
building in Ciudad del Este, Paraguay. The ads testify to the emergence of a global
marketplace that reaches into the farthest corners of the world. Ciudad del Este
itself is a creation of globalization. Loans from the World Bank, one of the key
institutions overseeing global development, helped build the nearby Itaip Dam that
transformed Ciudad del Este from a mere village in the late 1950s to one of
Paraguays most important cities.
Encarta Encyclopedia
John Maier/The Image Works
Full Size
Following Europes postwar recovery the IBRD became known as the World Bank. Its
mission was redirected to help developing countries grow faster and provide a
higher living standard for their people. The World Bank made loans to developing
countries for dams and other electrical-generating plants, harbor facilities, and
other large projects. These projects were intended to lower costs for private
businesses and to attract investors. Beginning in 1968 the World Bank focused on
low-cost loans for health, education, and other basic needs of the worlds poor.
B. International Monetary Fund
The IMF makes loans so that countries can maintain the value of their currencies
and repay foreign debt. Countries accumulate foreign debt when they buy more
from the rest of the world than they sell abroad. They then need to borrow money to
pay the difference, which is known as balancing their payments. After banks and
other institutions will no longer lend them money, they turn to the IMF to help them
balance their payments position with the rest of the world. The IMF initially focused
on Europe, but by the 1970s it changed its focus to the less-developed economies.
By the early 1980s a large number of developing countries were having trouble
financing their foreign debts. In 1982 the IMF had to offer more loans to Mexico,
which was then still a developing country, and other Latin American nations just so
they could pay off their original debts.
The IMF and the World Bank usually impose certain conditions for loans and require
what are called structural adjustment programs from borrowers. These programs
amount to detailed instructions on what countries have to do to bring their
economies under control. The programs are based on a strategy called

neoliberalism, also known as the Washington Consensus because both the IMF and
the World Bank are headquartered in Washington, D.C. The strategy is geared
toward promoting free markets, including privatization (the selling off of
government enterprises); deregulation (removing rules that restrict companies);
and trade liberalization (opening local markets to foreign goods by removing
barriers to exports and imports). Finally, the strategy also calls for shrinking the role
of government, reducing taxes, and cutting back on publicly provided services.
C. World Trade Organization
Protests Against the WTO
Protests Against the WTO

Demonstrators sit down in a Seattle, Washington, street during the 1999 protests
that disrupted a meeting of the World Trade Organization (WTO). The protesters
claimed that the WTO's free trade policies encouraged sweatshops, jeopardized the
environment, and gave corporations too much power.
Steven Rubin/The Image Works
Full Size
Another key institution shaping globalization is the World Trade Organization (WTO),
which traces its origins to a 1948 United Nations (UN) conference in Havana, Cuba.
The conference called for the creation of an International Trade Organization to
lower tariffs (taxes on imported goods) and to encourage trade. Although the
administration of President Harry S. Truman was instrumental in negotiating this
agreement, the U.S. Congress considered it a violation of American sovereignty and
refused to ratify it. In its absence another agreement, known as the General
Agreement on Tariffs and Trade (GATT), emerged as the forum for a series of
negotiations on lowering tariffs. The last of these negotiating sessions, known as the
Uruguay Round, established the WTO, which began operating in 1995. Since its
creation, the WTO has increased the scope of trading agreements. Such agreements
no longer involve only the trade of manufactured products. Today agreements
involve services, investments, and the protection of intellectual property rights,
such as patents and copyrights. The United States receives over half of its
international income from patents and royalties for use of copyrighted material.
IV. CRITICISMS DIRECTED AT THE IMF AND WTO
Many economists believed that lifting trade barriers and increasing the free
movement of capital across borders would narrow the sharp income differences
between rich and poor countries. This has generally not happened. Poverty rates
have decreased in the two most heavily populated countries in the world, India and
China. However, excluding these two countries, poverty and inequality have
increased in less-developed and so-called transitional (formerly Communist)
countries. For low- and middle-income countries the rate of growth in the decades of
globalization from 1980 to 2000 amounted to less than half what it was during the
previous two decades from 1960 to 1980. Although this association of slow
economic development and the global implementation of neoliberal economic
policies is not necessarily strict evidence of cause and effect, it contributes to the
dissatisfaction of those who had hoped globalization would deliver more growth. A
slowdown in progress on indicators of social well-being, such as life expectancy,
infant and child mortality, and literacy, also has lowered expectations about the
benefits of globalization.
A. IMF Terms and Conditions
The IMF, in particular, has been criticized for the loan conditions it has imposed on
developing countries. Economist Joseph Stiglitz, a Nobel Prize winner and former
chief economist at the World Bank, has attacked the IMF for policies that he says
often make the funds clients worse, not better, off. So-called IMF riots have
followed the imposition of conditions such as raising the fare on public
transportation and ending subsidies for basic food items. Some countries have also
objected to the privatization of electricity and water supplies because the private
companies taking over these functions often charge higher prices even though they
may provide better service than government monopolies. The IMF says there is no
alternative to such harsh medicine.
The WTO has faced much criticism as well. This criticism is often directed at the rich
countries in the WTO, which possess the greatest bargaining power. Critics say the
rich countries have negotiated trade agreements at the expense of the poor
countries.
The Final Act of the Uruguay Round that established the WTO proclaimed the
principle of special and different treatment. Behind this principle was the idea that
developing countries should be held to more lenient standards when it came to
making difficult economic changes so that they could move to free trade more
slowly and thereby minimize the costs involved. In practice, however, the
developing countries have not enjoyed special and different treatment. In fact, in
the areas of agriculture and the textile and clothing industries where the poorer
countries often had a comparative advantage, the developing countries were
subjected to higher rather than lower tariffs to protect domestic industries in the
developed countries. For example, the 48 least-developed countries in the world
faced tariffs on their agricultural exports that were on average 20 percent higher
than those faced by the rest of the world on their agricultural exports to
industrialized countries. This discrepancy increased to 30 percent higher on
manufacturing exports from developing countries.
B. Agricultural Subsidies
The agricultural subsidies granted by wealthy countries to their own farmers have
earned the strongest and most sustained criticisms, especially from developing
countries. Japan, for example, imposes a 490 percent tariff on foreign rice imports
to protect its own rice farmers. The average cow in Switzerland earns the annual
equivalent of more than $1,500 in subsidies each year as the Swiss government
seeks to protect its dairy industry from foreign competition.
The United States enjoys some of the greatest advantages. Because of government
payments, U.S. farmers can sell their products at 20 percent below their cost of
production in overseas markets. United States corn exports represent more than 70
percent of the total world exports of corn. The United States ships half of the worlds
total exports of soybeans and a quarter of all wheat exports. Farmers in the United
States can sell these grains at half of what it costs to produce them. The resulting
artificially low world prices hurt producers in poorer countries where there are no
government subsidies.
For example, in 2002 the president of the United States authorized $4 billion in
subsidies to Americas 25,000 cotton farmers. This action lowered world cotton
prices by one-fourth. As a result West African countries lost hundreds of millions of
dollars, and the regions 11 million cotton-producing households suffered increased
poverty.
The European Union (EU) gives its farmers even higher subsidies. The EU is the
worlds largest exporter of skimmed-milk powder, which it sells at about half the
cost of production. The EU is the worlds largest exporter of refined sugar, which it
sells at a quarter of the cost of producing it. Governments in the developed world
pay more than $300 billion a year in farm subsidies, seven times what they give in
development aid. Such subsidies have a devastating impact on farmers in poorer
countries. Mexican farmers are priced out of local markets for corn by subsidized
U.S. exports. Sugar growers in Swaziland and cotton producers in West Africa must
compete with products that rich countries dump onto the world market at prices
well below the cost of their production due to these subsidies.
C. Foreign Aid
Foreign aid from rich countries does little to offset the impact of these subsidized
farm exports. Foreign-aid spending by wealthy nations amounts to only a tiny
percentage of their incomes and total government spending. The United States
gives just 0.15 percent of its gross domestic income (GNI), or about $35 a year per
American, in foreign aid. Of this, about one-third goes to just three countriesIsrael,
Egypt, and Pakistanwhich together receive more than twice as much aid from the
United States as the poorest billion people in the world do. Europe gives 0.33
percent of its collective GNI and has promised to increase giving to 0.39 percent.
Although the United States and Japan, the worlds two largest economies, give the
most aid in absolute terms, they are at the bottom of the list of countries based on
aid as a share of national income. The most generous are the smaller countries of
Northern Europe, including Denmark, Norway, The Netherlands, Luxembourg, and
Sweden.
D. Trade Disputes, Rules, and Agreements
Sidebars
SIDEBAR
The New Global Economic Order
The development of instant, international communications, the growth of
international trade, and other factors have contributed to the creation of an
unprecedented global economy. As Chicago Tribune writer Richard C. Longworth
points out in this March 1999 Encarta Yearbook article, the increasing
internationalization of finance can bring major benefits to investors and nations, but
it can also have disastrous consequences. Recent economic crises in Asia and
Russia and their repercussions on world markets have raised the question of
whether more effective regulations are needed in the new global economic climate.
open sidebar
Given the importance of foreign trade, one of the most important international
agencies is the WTOs Dispute Settlement Board, which is empowered to settle
trade disputes under WTO rules. Winners of such settlement decisions by the board
are allowed to retaliate against countries found guilty of unfair trade practices.
Smaller, developing countries, however, fear cross-retaliation if they confront larger,
more powerful nations.
Critics of the WTO in developing countries charge that the rules do not help them
and that they have been forced to bear the harsh adjustment costs to free trade
while developed countries have not lived up to their liberalization commitments.
According to these critics, the terms of trade have gone against the developing
countries. The value of developing countries exports has declined relative to the
value of their imports. Not only have the prices of such commodities as coffee,
copper, sugar, and cotton fallen substantially for decades but also earnings from
labor-intensive manufacturing, such as textiles and clothing, have declined as an
ever greater number of developing countries compete for the limited amount they
can export to the rich countries. At the same time the developing countries have
faced increased prices on goods they import, ranging from computer software to
airplanes to medicine.
A WTO meeting in November 2001 in Doha, the capital of Qatar, set in motion a
multiyear negotiating process aimed at further liberalizing world trade but with a
focus on the needs of the developing countries. However, disputes over agricultural
subsidies, the definition of intellectual property rights, and whether poor countries
were to be entitled to special and different treatment were not easy to resolve.
The rich countries had the greater bargaining power, and their trade negotiators
were under pressure not to make concessions that would hurt people back home.
In 2003 these issues came to a head as WTO talks in Cancn, Mexico, foundered.
Representatives of a group of 21 developing countries withdrew from the talks after
the EU and the United States failed to meet their demands for lowering agricultural
subsidies. The same countries also resented EU and U.S. proposals that they accept
new rules for foreign investment without first agreeing on the issue of subsidies.
Some observers believed that the failure of the talks in Cancn made it unlikely that
global trade rules could be negotiated by a self-imposed deadline of January 2005.
Critics of the WTO have also charged that the developed countries have obtained a
set of trade agreements benefiting their large corporations. The Agreement on Basic
Telecommunications, for example, opened world markets to large
telecommunications companies based in the developed nations. These companies
were previously excluded from these markets by government-owned monopolies.
The Financial Services Agreement likewise opened opportunities for banks,
insurance companies, and stockbrokers in the developed countries as they sought
to expand into new markets.
Instead of increasing economic stability, financial liberalization caused financial

crises in most of the worlds economies. An IMF study found that 133 of the funds
181 member countries suffered at least one significant banking crisis from 1980 to
1995. The World Bank identified more than 100 major bank collapses in 90
developing or formerly Communist nations from the late 1970s to 1994. Many
economists believe that these crises were caused by the IMF-imposed financial
liberalization on countries that either lacked regulatory agencies or the experience
necessary to oversee the financial sector.
V. THE DEBATE OVER GLOBALIZATION
Sidebars
SIDEBAR
The WTO and the Politics of Global Trade
In November and December 1999 protests disrupted a meeting of the World Trade
Organization (WTO) in Seattle, Washington. The scale and intensity of the protests
surprised many observers and revealed a broad range of concerns about the
organization and its free trade policies. In this March 2000 article from Encarta
Yearbook, New York Times reporter Steven Greenhouse explores the WTOs
functions and history. He explains why many people oppose the organization and
why many other people believe the WTO is helping drive economic prosperity.
open sidebar
Very few people, groups, or governments oppose globalization in its entirety.

Instead, critics of globalization believe aspects of the way globalization operates
should be changed. The debate over globalization is about what the best rules are
for governing the global economy so that its advantages can grow while its
problems can be solved.
On one side of this debate are those who stress the benefits of removing barriers to
international trade and investment, allowing capital to be allocated more efficiently
and giving consumers greater freedom of choice. With free-market globalization,
investment funds can move unimpeded from where they are plentiful (the rich
countries) to where they are most needed (the developing countries). Consumers
can benefit from cheaper products because reduced tariffs make goods produced at
low cost from faraway places cheaper to buy. Producers of goods gain by selling to a
wider market. More competition keeps sellers on their toes and allows ideas and
new technology to spread and benefit others.
On the other side of the debate are critics who see neoliberal policies as producing
greater poverty, inequality, social conflict, cultural destruction, and environmental
damage. They say that the most developed nationsthe United States, Germany,
and Japansucceeded not because of free trade but because of protectionism and
subsidies. They argue that the more recently successful economies of South Korea,
Taiwan, and China all had strong state-led development strategies that did not
follow neoliberalism. These critics think that government encouragement of infant
industriesthat is, industries that are just beginning to developenables a country
to become internationally competitive.
Furthermore, those who criticize the Washington Consensus suggest that the inflow
and outflow of money from speculative investors must be limited to prevent
bubbles. These bubbles are characterized by the rapid inflow of foreign funds that
bid up domestic stock markets and property values. When the economy cannot
sustain such expectations, the bubbles burst as investors panic and pull their
money out of the country. These bubbles have happened repeatedly as
liberalization has allowed speculation of this sort to get out of hand, such as in
Indonesia, Malaysia, and Thailand in 1997 and since then in Argentina, Russia, and
Turkey. According to critics, a strong active government is needed to assure stability
and economic development.
Protests by what is called the antiglobalization movement are seldom directed

against globalization itself but rather against abuses that harm the rights of workers
and the environment. The question raised by nongovernmental organizations and
protesters at WTO and IMF gatherings is whether globalization will result in a rise of
living standards or a race to the bottom as competition takes the form of lowering
living standards and undermining environmental regulation. One of the key
problems of the 21st century will be determining to what extent markets should be
regulated to promote fair competition, honest dealings, and fair distribution of
public goods on a global scale. See also Development Economics.
VI. REGULATING GLOBALIZATION
The debate over globalization focuses in particular on how it can be regulated to

address growing income and wealth inequalities, labor rights, health and
environmental problems, and issues regarding cultural diversity and national
sovereignty.
A. Inequality
Global Purchasing Power
Global Purchasing Power

Income disparities between the developed and the developing countries of the
world are apparent in a map showing average purchasing power by region. The
average person in the richest region, North America, has an annual purchasing
power of $33,410 in United States dollars, compared with only $1,960 for the
average person in Africa. Critics of the way globalization has been implemented say
that income inequalities are increasing rather than narrowing.
Microsoft Corporation. All Rights Reserved.
Full Size
By the late 1990s the 20 percent of the worlds people living in the highest-income
countries had 86 percent of the worlds income; the bottom 20 percent had only 1
percent of the worlds income. An estimated 1.3 billion people, or about one-sixth of
the worlds population, have incomes of less than a dollar a day. Inequality is
growing worse, rather than better. More than 80 countries had lower per capita
income (income per person) at the end of the 1990s than they had at the end of the
1980s. In 1960 the top 20 percent had 30 times the income of the poorest 20
percent. This grew to 32 times in 1970, 45 times in 1980, and 60 times in 1990. By
the end of the 20th century the top 20 percent received 75 times the income of the
bottom 20 percent. The income gap is even apparent in cyberspace. The top fifth in
income make up 93 percent of the worlds Internet users and the poorest fifth only
0.2 percent.
These inequalities in living standards and participation in the global economy are a
serious political problem in an era of globalization. Some countries have been
unable to function at even a minimum standard of basic competence in the
globalized economy. The only profitable economic activity in some of these
countries is linked to criminal behavior, such as the trade in illegal drugs,
smuggling, and extortion of various kinds. Governments that are helpless to stop
such activity or to collect taxes to meet basic public service needs are characterized
as failed states. Sometimes failed states can become havens for terrorists and
foreign criminals who use them as bases for activities harmful to other governments
and their people. These states may also provide safe haven for mercenary forces
that conduct raids into neighboring countries. In parts of Africa, for example, where
diamonds and other valuable resources attract criminal despots, mercenary armies
have been engaged in mass killing to terrorize local populations into giving them
what they want. The international arms trade and easy importation of weapons,
which allows such behavior, is a serious problem.
B. Labor Rights
Young Laborers in South Asia
Young Laborers in South Asia

In many countries, children endure hard physical labor and dangerous working
conditions in factories and fields. Child labor is traditional in some countries in South
Asia. Clockwise from left, a young girl crushes bricks with a hammer in Bangladesh;
a Nepali girl harvests tea in India; and young children weave carpets in a factory in
Nepal.
Alison Wright/Panos Pictures, Peter Barker/Panos Pictures, Jeremy Horner/Corbis
Full Size
To stimulate economic development many developing countries have established

free-trade zones where investors are given special benefits, such as low or no taxes,
and labor unions are discouraged or not allowed. These benefits have led to
violations of human rights. For example, the Workers Rights Consortium, supported
by many colleges and universities in the United States, has sent inspection teams to
developing countries to investigate the conditions under which caps and sweatshirts
are made for university sports teams. The consortium found violations of child labor
laws, intimidation of workers seeking to have their grievances addressed, and
sexual harassment. Because only 1 percent of the projected growth in the worlds
labor force is expected to be in the high-income countries in coming decades, what
happens to the worlds lower-income workers in the developing countries takes on
added importance. It may well determine whether there will be an overall rise in
living standards as productivity gains are widely shared or an overall decline if
developing countries compete for jobs by holding down wages and allowing harsher
working conditions to attract investment and job creation.
The UNs International Labor Organization (ILO) has tried to level the playing field by
endorsing five widely accepted core labor standards. These are elaborated in the
ILOs 1998 Declaration of Fundamental Principles and Rights at Work. The first
promises freedom of association and states that workers should be able to join
together and form organizations of their own choosing. The second is the right of
workers organizations, including trade unions, to bargain collectively with
employers and governments. Third is the elimination of all forms of coerced or
compulsory labor. Fourth is the effective abolition of child labor. The ILOs Minimum
Age Convention sets a basic minimum age of 15, but if a country is less developed
or if only light work is involved the minimum age can be lower. If hazardous work is
involved, the minimum age is 18. The fifth provision is the elimination of
discrimination in employment based on race, sex, religion, political opinion, or
national or social origin.
Because the ILO has no enforcement powers, it has proven difficult to achieve these
goals. In some countries governments pledge to observe the ILOs standards but
then ignore them. Where child labor laws are enforced, government factory
inspectors often simply demand that child workers be fired. Many observers believe
that to successfully attack the evils of child labor, child workers should not merely
be fired but should be placed in schools and families should be compensated for the
loss of income that occurs when children are removed from factories.
C. Health Issues
Life-threatening diseases represent another facet of globalization. Improvements in

transportation that helped usher in globalization also made it possible for infectious
diseases to spread rapidly around the globe. In 2003, for example, a deadly form of
pneumonia known as severe acute respiratory syndrome (SARS) originated in China
and quickly posed a worldwide health threat as airline passengers infected with the
virus spread the illness.
The best way to address these health issues often conflicts with the WTOs stand on
intellectual property rights, in particular the patent laws that protect medicines
made by pharmaceutical companies. This issue is particularly prominent in relation
to acquired immunodeficiency syndrome (AIDS). Of the 20 million people who have

died of AIDS most lived in poorer countries. In some developing countries the
infection rate is above 30 or even 40 percent of the adult population. Today the
worst affected countries are in Africa. The disease is also spreading rapidly in
countries such as India, China, and Indonesia.
There are other killer diseases found mostly in poorer countries. Although
tuberculosis (TB) affects a small percentage of the population in rich countries,
more than one-third of the worlds population was infected with tuberculosis in
2000. There are 8 million new cases of TB and 2 million deaths a year from this
disease, and these numbers are climbing. More than 1.5 million people die each
year from malaria, another disease that mainly impacts developing countries.
Diseases spread by unclean drinking water and tainted food kill nearly 2 million
people a year, mostly infants and small children and mostly among the 1.5 billion
people in the world who do not have access to clean water.
In the case of diseases that primarily affect poor people, little or no research is
being done to provide new medicines because the people affected are too poor to
buy them. A major struggle has emerged regarding AIDS treatment over whether
patent laws will continue to require that people pay high prices for life-saving drugs
or whether lower-cost generic medicines can be provided. This issue has been
intensively discussed as part of the debate over the WTOs Agreement on Trade
Related Aspects of Intellectual Property Rights (TRIPs). Western pharmaceutical
companies that do the research and development wish to protect their investments
and argue that without such protection less will be spent to develop new life-saving
drugs. The developing countries argue that scientific breakthroughs should be
shared as widely and as inexpensively as possible. They have resisted the extension
of property rights.
D. Environmental Issues
At least since the discovery of the ozone hole above Antarctica in the early 1980s,
there has been growing awareness that air pollutants can cross borders and affect
everyone living on the planet. The UNs Intergovernmental Panel on Climate
Change, made up of the worlds leading climate scientists, for example, predicts
that by the year 2100 the temperature of the planet could rise by as much as 1.4 to
5.8 Celsius degrees (2.5 to 10.4 Fahrenheit degrees). This global warming is due to
the burning of fossil fuels, which occurs mainly in the developed, industrialized
world, and the destruction of rain forests, which occurs mainly in the developing
world. Already Greenlands ice sheet has thinned and Argentinas South Patagonia
ice fields have retreated substantially. Glaciers are melting, and weather patterns
may already be changing.
If global warming continues, experts expect deserts to advance, particularly across

West Africa, and sea level to rise, flooding coastal areas and submerging a number
of Pacific Ocean island states. One-third of the worlds most populous countries
would be flooded by even a small rise in sea level. While developed countries such
as The Netherlands can cope, developing countries such as Bangladesh cannot
afford to pay for the kind of dike system that currently protects The Netherlands.
Because of such dire forecasts, 160 nations in 1997 agreed to the first-ever binding
pact to limit the emissions of carbon dioxide and other so-called greenhouse gases
that contribute to global warming. Known as the Kyto Protocol, the pact
represented a modest step in limiting and rolling back harmful greenhouse gas
emissions.
Environmentalists argue broadly in favor of sustainable development. By this they

mean a pattern of living that favors the preservation of habitat, the conservation of
nonrenewable resources, and the increased use of renewable energy sources so
that Earths ecosystems are not harmed beyond repair. Environmentalists favor the
principle that polluters should pay for the right to pollute. Concerning genetic
engineering, most environmentalists argue for a precautionary principle that
emphasizes careful study before new genetically engineered plants or animals are
introduced into ecosystems. Genetically modified plants, according to this principle,
should not be introduced unless it is clear that no damage will be done. Some
politicians and agribusiness corporations believe such a conservative approach
would slow growth unnecessarily, lower living standards, and result in greater costs
for businesses and consumers. They favor rules based on proven danger and far
quicker introduction of genetically engineered products and processes.
E. Culture
Coca-Cola Billboard, Vietnam
Coca-Cola Billboard, Vietnam

Today global communications systems and the worldwide distribution of massproduced commodities create a kind of global culture. Here, a billboard in Vietnam
for the U.S. soft drink Coca-Cola beckons to commuters with the slogan Its so good
to see you again.
L. Dematteis/The Image Works
Full Size
There is widespread disagreement over what, if any, regulation is appropriate in the

realm of culture. Some people fear a loss of cultural diversity as U.S. media
companies become dominant. Such companies tend to bundle their products so
that a blockbuster movie is promoted by selling soundtracks, books, video games,
and other products. These cultural wares are distributed worldwide, and along with
reruns of U.S. television shows, tend to replace local alternatives. The question is
whether responses by other nations, such as prohibitions against the English
language and government subsidies of national cultural productions, are legitimate
restraints of trade or represent an unfair trade practice.
F. National Sovereignty
In a world that seems to grow increasingly smaller many issues must be considered
at a global level and not only at a local or national level. However, at what point
does this threaten national sovereigntythat is, the ability of a country to be selfgoverning? Some environmentalists, for example, have argued that environmental
laws in the United States can be undermined if the laws are found to violate NAFTA.
In effect, they say, the United States has lost the right to make and enforce its own
environmental policies.
VII. GLOBALIZATION IN THE COMING DECADES
Globalization raises other questions that will be central to the 21st century. What is
the proper role for the IMF, WTO, and UN, and how should they be governed? What
is the best way to finance development? How much autonomy should countries
have when the economic, political, and environmental decisions they make can
have global repercussions? To what extent should global institutions be able to
constrain what countries can and cannot do in an increasingly globalized world?
What is the right way to balance social and cultural values with the need for
economic efficiency? As the 21st century progresses, more and more decisions
regarding these and other issues will need to be debated.
MORE SOURCES
Web Links
Human Development Reports

Each year the United Nations (UN) prepares a Human Development Report to assess
progress toward the goal of ending human poverty. The report offers global
statistics on income, health, education, and the environment.
http://hdr.undp.org/
Global Policy Network
The Global Policy Network provides information and analysis for the general public
on social and economic developments that affect working people around the world.
http://www.gpn.org/
The International Forum on Globalization
The International Forum on Globalization (IFG) is an organization opposed to many
aspects of economic globalization. The IFGs Web site offers information on
alternatives to globalization.
http://www.ifg.org/index.htm
The Globalization Website
A Web site based at Emory University offers information to students and teachers
who are interested in globalization. The site features original studies, student
projects, and links to other sources.
http://www.emory.edu/SOC/globalization/index.html
Globalization: Threat or Opportunity?
This Web site hosted by the International Monetary Fund (IMF) offers the IMFs
perspective on globalization.
http://www.imf.org/external/np/exr/ib/2000/041200.htm
Globalization, Growth and Poverty: Building an Inclusive World Economy
A report by the World Bank offers its perspective on globalization. It concludes that
while globalization has reduced poverty in many developing countries, it must be
carried out better.
http://www1.worldbank.org/economicpolicy/globalization/
Further Reading
Globalization
Burtless, Gary T., and others, eds. Globaphobia: Confronting Fears About Open
Trade. Brookings Institution, 1998. Arguments in favor of free trade, taking on those
who oppose globalization.
Dicken, Peter. Global Shift: Reshaping the Global Economic Map in the 21st Century.
4th ed. Guilford Press, 2003. Textbook introduction to the economic, political, and
technological changes behind globalization.
Greider, William. One World, Ready or Not: The Manic Logic of Global Capitalism.
Simon & Schuster, 1997, 1998. Presents the negative aspects of free trade and
globalization.
Kuttner, Robert. Everything for Sale: The Virtues and Limits of Markets. Knopf, 1997.
Reprint, University of Chicago Press, 1999. Argues against completely free markets
and in favor of some government intervention.
Longworth, Richard C. Global Squeeze: The Coming Crisis for First-World Nations.
McGraw Hill, 1998. Explains how global markets work and what effects they have on
economies and societies.
Tabb, William K. Unequal Partners: A Primer on Globalization. New Press, 2002. The
effects of globalization on political, social, and ethical issues.
Yergin, Daniel, and Stanislaw, Joseph. The Commanding Heights: The Battle
Between Government and the Marketplace that Is Remaking the Modern World. Rev.
ed. Simon & Schuster, 2002. A lively description of government-dominated
economies after World War II.
Sidebars
Life in the Global Marketplace

The world is linked as never before due to advances in communication and
transportation and due also to trade agreements that have lowered or eliminated
barriers in the exchange of goods. But this growing interdependence has not come
without a price. This Sidebar looks at some of the problems created by globalization.
more...
The Roots of Our Global Economy
Historian Jerry H. Bentley, a professor of history at the University of Hawaii and
coauthor of the two-volume Traditions and Encounters: A Global Perspective on the
Past, traces the roots of globalization to our ancient ancestors. Bentley argues that
todays global economy is not as recent as it might seem and in fact has been
developing for a long time.
more...
Seeds of Globalization
Encarta Historical Essays reflect the knowledge and insight of leading historians.
This collection of essays is assembled to support the National Standards for World
History. In this essay, Craig A. Lockhard of the University of Wisconsin, Green Bay,
argues that the long-distance trade and interaction that took place across Asia
between 1000 and 1500 sowed the seeds of modern globalization.
more...
The New Global Economic Order
The development of instant, international communications, the growth of
international trade, and other factors have contributed to the creation of an
unprecedented global economy. As Chicago Tribune writer Richard C. Longworth
points out in this March 1999 Encarta Yearbook article, the increasing
internationalization of finance can bring major benefits to investors and nations, but
it can also have disastrous consequences. Recent economic crises in Asia and
Russia and their repercussions on world markets have raised the question of
whether more effective regulations are needed in the new global economic climate.
more...
The WTO and the Politics of Global Trade
In November and December 1999 protests disrupted a meeting of the World Trade
Organization (WTO) in Seattle, Washington. The scale and intensity of the protests
surprised many observers and revealed a broad range of concerns about the
organization and its free trade policies. In this March 2000 article from Encarta
Yearbook, New York Times reporter Steven Greenhouse explores the WTOs
functions and history. He explains why many people oppose the organization and
why many other people believe the WTO is helping drive economic prosperity.
more...
ALSO IN ENCARTA
Related Articles
Contributed By:
William K. Tabb
How to cite this article:

Tabb, William K. "Globalization." Microsoft Student 2008 [DVD]. Redmond, WA:
Microsoft Corporation, 2007.
Microsoft Encarta 2008. 1993-2007 Microsoft Corporation. All rights
reserved.
Expand
I. INTRODUCTION
Fifties Advertising Techniques
Fifties Advertising Techniques

These three stills of television advertisements from the 1950s demonstrate some of
the ad techniques of the day, such as Folger coffee's pseudoscientific sales pitches,
Mum deodorant's satires of spy movies, and Pepsodent toothpaste's animations
with snappy jingles.
Archive Films
Full Size
Advertising, a form of commercial mass communication designed to promote the

sale of a product or service, or a message on behalf of an institution, organization,
or candidate for political office. Evidence of advertising can be found in cultures that
existed thousands of years ago, but advertising only became a major industry in the
20th century. Today the industry employs hundreds of thousands of people and
influences the behavior and buying habits of billions of people. Advertising spending
worldwide now exceeds $350 billion per year. In the United States alone about
6,000 advertising agencies help create and place advertisements in a variety of
media, including newspapers, television, direct mail, radio, magazines, the Internet,
and outdoor signs. Advertising is so commonplace in the United States that an
average person may encounter from 500 to 1,000 advertisements in a single day,
according to some estimates.
Most advertising is designed to promote the sale of a particular product or service.

Some advertisements, however, are intended to promote an idea or influence
behavior, such as encouraging people not to use illegal drugs or smoke cigarettes.
These ads are often called public service ads (PSAs). Some ads promote an
institution, such as the Red Cross or the United States Army, and are known as
institutional advertising. Their purpose is to encourage people to volunteer or
donate money or services or simply to improve the image of the institution doing
the advertising. Advertising is also used to promote political parties and candidates
for political office. Political advertising has become a key component of electoral
campaigns in many countries.
Billboard in China
Billboard in China
Advertising is used throughout the world to promote the sale of products and
services. This Chinese billboard advertises a brand of telephone card.
Marcel & Eva Malherbe/The Image Works
Full Size
Many experts believe that advertising has important economic and social benefits.
However, advertising also has its critics who say that some advertising is deceptive
or encourages an excessively materialistic culture or reinforces harmful stereotypes.
The United States and many other countries regulate advertising to prevent
deceptive ads or to limit the visibility of certain kinds of ads.
Advertising has become increasingly international. More than ever before,

corporations are looking beyond their own country's borders for new customers.
Faster modes of shipping, the growth of multinational corporations, rising personal
income levels worldwide, and falling trade barriers have all encouraged commerce
between countries. Because corporations are opening new markets and selling their
products in many regions of the globe, they are also advertising their products in
those regions.
In 2000 the United States was the leading advertising market in the world with total
advertising spending of $147.1 billion. Japan ranked second with $39.7 billion,
followed by Germany with $20.7 billion, the United Kingdom with $16.5 billion, and
France with $10.7 billion. This article deals primarily with advertising practices in
Canada and the United States.
II. TYPES OF ADVERTISING
Advertising on the Internet
Advertising on the Internet

The Internet enables advertisers to promote products and services to millions of
potential customers through the World Wide Web. This Web site provides
information about a product designed to keep vegetables fresh.
Courtesy of Dennis Green, Ltd.
Full Size
Advertising can be divided into two broad categoriesconsumer advertising and

trade advertising. Consumer advertising is directed at the public. Trade advertising
is directed at wholesalers or distributors who resell to the public. This article focuses
on consumer advertising, the form of advertising that is familiar to most people.
Consumer advertising can be further divided into national advertising and local
advertising. National advertising is aimed at consumers throughout the entire
country. National advertising usually attempts to create awareness among the
public of a product or service, or it tries to build loyalty to a product or service. Local

advertising is aimed at informing people in a particular area where they can
purchase a product or service. Advertising to the public may also take the form of
institutional advertising, image advertising, informational advertising, or
cooperative advertising.
Institutional advertising seeks to create a favorable impression of a business or

institution without trying to sell a specific product. This type of advertising is
designed solely to build prestige and public respect. For nonprofit institutions, such
advertising helps support the institutions activitiesfor example, by encouraging
blood donations or cash contributions for the work of an organization like the Red
Cross. A for-profit business has other reasons for improving its reputation rather
than trying to sell a particular product. In some cases a large company may sell a
diversity of products. As a result, there is more value and greater efficiency in
building a brand image for the company itself. If consumers learn to have a high
regard for the company, then they are more likely to have a favorable opinion of all
of the companys diverse products.
Many advertisers prefer a strategy known as image advertising. These advertisers

seek to give a product a personality that is unique, appealing, and appropriate so
that the consumer will want to choose it over similar products that might fulfill the
same need. The personality is created partly by the product's design and packaging
but, more importantly, by the words and pictures the advertisements associate with
the product. This personality is known as a brand image. Advertisers believe brand
image often leads consumers to select one brand over another or instead of a less
expensive generic product. Brand image is especially important for commodities
such as detergents, jeans, hamburgers, and soft drinks, because within these
product categories there are few, if any, major differences.
Informational advertising seeks to promote an idea or influence behavior.

Sometimes known as public service advertising, it may try to discourage young
people from using illicit drugs or tobacco, or it may encourage people to adopt
safer, healthier lifestyles.
Cooperative advertising is an arrangement between manufacturers and retailers in

which manufacturers offer credits to their retail customers for advertising. The
credits, or advertising allowances, are based on the amount of product the retailer
purchases. For example, if the retailer purchases $100,000 worth of a product from
a manufacturer, the manufacturers cooperative advertising program may allot a 1

percent credit, or $1,000, toward the cost of purchasing an ad that will feature the
product. In addition, some manufacturers will match the amount that the retailer
spends, sharing the cost of the ad. In the United States antitrust laws enforced by
the Federal Trade Commission (FTC) ensure that these ad allowances are offered on
equal and proportionate terms so that large retailers are not unduly favored over
small retailers. Cooperative advertising is a form of local advertising because it
directs consumers to local retail outlets.
III. THE ROLE OF THE ADVERTISING AGENCY OR DEPARTMENT
Early Sears, Roebuck and Co. Catalog
Early Sears, Roebuck and Co. Catalog

Catalogs allow advertisers to appeal directly to consumers. This early catalog from
Sears, Roebuck and Co. promised the cheapest prices for a wide variety of goods.
THE BETTMANN ARCHIVE/Corbis
Full Size
Advertising agencies create most advertisements and are the core of the
advertising industry. Some companies, however, have their own advertising
departments which function much like an agency. The development, production, and
placement of a single ad can be a time-consuming process involving a large number
of people with a variety of business and creative skills. Advertising agencies not
only create the advertisements but also pay for the cost of placing the ad in a
newspaper or magazine or on television or radio. A large advertising agency or
department may employ hundreds or thousands of people, including advertising
and marketing specialists, designers, writers known as copywriters, artists,
economists, psychologists, researchers, media analysts, product testers, librarians,
accountants and bookkeepers, and mathematicians.
A typical advertising agency is divided into a number of departments, such as

account service, research, media planning and buying, the creative department,
and production. A multinational advertising agency with clients that spend hundreds
of millions of dollars on advertising may employ as many as 8,000 people worldwide
and up to 900 people in a major office. A local agency with clients that spend about
$15 million a year on advertising may employ only about 25 people.
Advertising agencies make money in a variety of ways. When the agency uses the
clients advertising budget to buy time for an ad on the radio or on television or
when it buys space for an ad in a newspaper or magazine, the media outlet allows
the agency to keep 15 percent of the cost of the space or the time as a commission.
The 15 percent commission has become an advertising industry standard and
usually accounts for the largest portion of the agencys income. Agencies also
charge clients for the cost of producing the ads. Increasingly, agencies are charging
clients a straight monthly or hourly fee for all of their services or are combining a
fee with some kind of commission. Agencies have turned to this approach because
clients are asking them to address a range of marketing issues rather than just
producing ads. The fee arrangement pays for the time devoted to these larger
marketing issues.
Once a company selects an agency, the agency assigns an account executive to act
as liaison between it and the client. The account executive manages all of the
services conducted on behalf of the client and coordinates the team assigned to the
client's business. The account executive directs the preparation of the advertising
strategy, which includes deciding how and to whom the product or service will be
presented. The account executive also assigns priorities, oversees the budget,
reviews and approves all recommendations before they are taken to the client, and
makes sure that the agency meets all deadlines.
A. The Functions of Advertising Departments
Each advertising department has a specific function or assignment. Once one

department has completed its work, it hands off the completed assignment to the
next department in the advertising process until the ad campaign is completed. The
first department that becomes involved in an advertising campaign is the research
department.
1. Research
Advertising agencies employ research for both strategic and evaluative purposes.
Strategic research enables the agency to better understand how consumers use a
product or service and how they regard the product or service. Strategic research
also determines the types of people most likely to buy the product. That group of
people is called the target market. Advertisers have limited budgets so knowing who
is most likely to buy a particular product helps them spend their advertising budget
more efficiently. Evaluative research is used after the advertising has run and seeks
to determine how well consumers remember the advertising message and how
persuasive it was. Evaluative research is expensive, and as a result, many
advertisers do not employ it. Instead, they try to measure the advertising's
effectiveness by analyzing sales results.
Agencies use both qualitative and quantitative research methods. Agencies employ
qualitative research to gain an initial understanding of the marketing situation (see
Marketing). This research method uses open-ended questions that allow consumers
to explain their values, beliefs, and behaviors at length. One of the most common
qualitative research techniques is the focus group in which a moderator leads a
small group of consumers in a candid discussion of a particular product category,
service, or marketing situation.
Agencies use quantitative research to determine a final course of action. This type
of research uses close-ended questions in which answers are selected from a set
list. This enables the researcher to determine the exact percentage of people who
answered yes or no to a question or the exact percentage choosing answer a, b, or
c. One of the most common quantitative research techniques is the survey in which
researchers use a questionnaire to gain information from a large group of people,
called a sample. Statistical studies show that if the sample is large enough, about
1,000 people, and is representative of a particular group (for example, working
mothers who buy disposable diapers), then the findings from the sample are
considered true, or statistically valid, and can be extended to the entire group of
consumers in that category. The findings provided by quantitative research are
therefore conclusive in a way that qualitative research cannot be.
2. Media Buying
Once the target audience has been identified, an agency's media department
determines the most effective way of delivering the message to that target. The
media planner is the person who decides which media will be used. The media
planner must consider three factors: (1) the number of people to be exposed to the
message, known as the reach, (2) the number of times each person needs to be
exposed to the message in order to remember it, known as the frequency, and (3)
the costs.
The media planner wants to reach the largest possible percentage of the target
audience. To accomplish that goal, the media planner must employ the media that
have audiences closely resembling the target audience. If the target is very broad,
such as the national market for medium-priced automobiles, the media planner will
probably select network television, which has a broad reach. If the target is more
narrow and specialized, then the media that reach a more specialized audience,
such as magazines, would be selected. Moreover, since not all members of the
narrow target audience read the same magazines, the media planner might employ
a range of magazines to reach a larger percentage of the intended consumer.
The media planner must also determine how frequently the advertising should run
in each medium. Frequency is important because repetition helps the consumer
remember both the product and the advertising message.
Finally, because no advertiser has an unlimited amount of money to spend, cost is

also a factor. The media planner must choose those media that will enable the
advertiser to reach the largest percentage of the target with enough frequency for
the message to be remembered without exceeding the advertisers budget. Once
this media plan has been put together, the agency's media buyer contacts the
media on behalf of the client in order to purchase advertising space or time at the
best possible rate.
Often an advertising campaign will employ many types of media. For example, to
help advertise a medium-priced automobile, the ad campaign may consist initially
of national television advertising to raise brand awareness, followed by local
newspaper and radio advertising to reinforce the message and to direct consumers
to a special sale at a local dealer.
3. Creative Work
Once the types of media have been determined, the agency's creative department
develops the presentation of the ads. The principal figures in the creative
department are the copywriter and the art director. The copywriter is the person
who writes the advertising message. The art director is the person who oversees the
design of the ad. The copywriter and the art director work together to find creative
ways to deliver the message that research found would have the greatest appeal to
the target audience.
The creative team begins by familiarizing itself with the product and the research.
Often the creative team will 'kick around ideas' or brainstorm, a process in which
one idea is allowed to stimulate another without reaching a decision about whether
any of the ideas are valid. Such free association often leads to unexpected
approaches that might never have resulted from more logical thinking.
Once the brainstorming has produced a wide range of ideas, the team then
evaluates the various proposals and selects the best to present to the client. For
example, if the team selects an idea for a television commercial, they present the
idea to the client as a storyboard. The storyboard consists of a sequence of
drawings indicating how the TV commercial's story or action will unfold. Or the team
may design print ads for the client as layouts in which the various elementsthe
headline, photograph or illustration, and body copywill appear as intended for

publication in a magazine or newspaper.
Print ads and television commercials use a variety of techniques to deliver their
messages. Testimonials and endorsements can lend both prestige and credibility to
a product. Seeing an athletic superstar, for example, endorse a particular brand of
athletic shoe makes the brand seem more prestigious and suggests that it must be
good because a professional uses it. Superiority is also often demonstrated through
product comparisonsfor example, by showing that one brand of paper towels
absorbs more spilled liquid than another or that in consumer taste tests one
beverage is preferred over another. But because more and more competing
products are virtually identical to one another, advertisers frequently use image
advertising to distinguish their products. Image advertising surrounds the product
with a 'halo of positive associations' by using the same character or theme year
after year.
Most advertising appeals to peoples emotions, particularly the emotional needs for
love and belonging, prestige and self-esteem. Manufacturers of luxury and fashion
products, for example, frequently appeal to the desire for esteem and prestige.
Advertising for a line of clothing, such as Ralph Laurens Polo clothes, may associate
the product with the lifestyle of wealthy landowners. Those who buy the clothing
purchase it, in part, because they want to be identified with that prestigious
lifestyle. Makers of personal care products, on the other hand, often suggest that
buying their products will enable consumers to experience love and acceptance.
Advertising for perfume or cologne conveys the message that the product makes
users more sexually attractive. Personal care products such as breath mints and
dandruff shampoos, on the other hand, usually play upon consumers fears and
dramatize the rejection that results from failing to use the product. The implication
is that product usage brings love and acceptance.
4. Production
Art directors and copywriters create the concepts behind the ads, but they do not
literally make the advertising. Making the ads is the job of the production
department. In print advertising, the art director works with the print production
manager to hire a photographer or illustrator and then supervises the work. Once
the photograph has been taken or the illustration completed, the image is scanned
into a computer and placed in the proper position. The art director also selects
typefaces for the headline and body copy and then, using the computer, correctly
positions the headline and body copy. Once all the elements are in place, the
computer file is sent to the newspaper or magazine in which the ad will run. The
publication then prints the ad directly from the computer file.
After a client approves a television storyboard, the creative team works with the
broadcast producer to hire a director for the commercial. In consultation with the
agency and the client, the director selects the actors who will appear in the
commercial. The director also hires the crew, including the camera and sound
people who will film and record the commercial. After the commercial has been
filmed, the creative team works with an editor to put the commercial's various
scenes together. When that task is completed, the copywriter and art director
supervise the addition of music and sound effects. Once the ad is completed,
numerous videotape copies called dubs are made. A dub is then sent to each
television station that will air the commercial.
IV. METHODS OF ADVERTISING
Internet Banner Ad
Internet Banner Ad
Banner ads, such as this ad for eBay on the Microsoft Network (MSN) home page,
are a favorite method of advertising on the Internet. Although Internet advertising
has grown rapidly, it still accounts for only a tiny percentage of total national
advertising spending in the United States.
Full Size
To reach the consumer, advertisers employ a wide variety of media. In the United
States, the most popular media, as measured by the amount of ad spending, are
television, newspapers, direct mail, radio, Yellow Pages, magazines, the Internet,
outdoor advertising, and a variety of other media, including transit ads, novelties,
and point-of-purchase displays. (These rankings are measured each year by
Advertising Age, an advertising trade magazine, and seldom vary, although Internet
advertising continues to grow significantly. In the first half of 2005, ad spending on
the Internet increased 26 percent, far greater than the 4.5 percent growth for the
entire advertising market.)
In Canada, newspapers are the most popular advertising medium, followed by

television, magazines, radio, and outdoor advertising. Canada is the ninth largest
advertising market in the world.
Television attracts about 23 percent of the advertising dollars spent in the United
States. Television is available to advertisers in two forms: broadcast and cable.
Broadcast TVtelevision signals that are sent over the air rather than through cable
wiresgenerates all of its revenue from advertising. Advertising accounts for about
60 percent of cable television revenues with the rest coming from subscriber fees.
To run commercials on television, advertisers buy units of time known as spots. The
standard units of time are 15, 30, or 60 seconds in length. These spots are
purchased either locally or from a national network. Because of the high cost of
national network spots, ranging from hundreds of thousands of dollars to millions of
dollars, only large national advertisers can afford to run network television spots.
Advertisers wishing to reach a local audience can buy time from an individual
station. But even these spots cost so much to produce and run that small and even
many mid-sized companies cannot afford them.
Celebrity Testimonial
Celebrity Testimonial
High-fashion model and television personality Cindy Crawford lends her allure to
Omega watches. Celebrities are often used in advertising to attach their glamour or
athletic prowess to the product being sold.
Gary Morrison
Full Size
Because television commercials combine sight, sound, and motion, they are more
dramatic than any other form of advertising and lend excitement and appeal to
ordinary products. Advertisers consider television an excellent medium to build a
product's brand image or to create excitement around a particular event such as a
year-end auto sale. But TV spots are too brief to provide much product information.
As a result, television works best for products such as automobiles, fashion, food,
beverages, and credit cards that viewers are familiar with and easily understand.
In the United States, newspapers are the second most popular advertising medium
after television, receiving about 22 percent of all advertising dollars. Newspapers
enable advertisers to reach readers of all age groups, ethnic backgrounds, and
income levels. Two types of advertising appear in newspapers: classified
advertising, such as the want ads, and display advertising. Display ads range in size
from as large as a full page to as small as one column in width and less than one
centimeter (less than one inch) in length. Display ads often contain illustrations or
photographs and usually provide information about where the product or service
being advertised can be purchased. Typically, advertising makes up about 65
percent of a newspaper's content and generates about 65 percent of a newspaper's
revenue. About 88 percent of this revenue comes from local businesses.
Most advertisers believe that newspaper ads fail to convey the kind of emotional
images that build brand image. As a result, most newspaper advertising is done by
retailers who use newspaper ads to provide timely information that can lead to
immediate sales. Newspapers are particularly well suited to this role because most
are published daily. Readers can clip coupons from the newspaper and cash them in
quickly at local stores. People also turn to newspapers for immediately useful
information about product discounts, bank interest rates, restaurant specials, and
entertainment.
Poster for La Diaphane Face Powder
Poster for La Diaphane Face Powder
Improvements in color printing paved the way for cost-effective production of

illustrated advertising posters during the 19th century. French illustrator Jules
Chret revolutionized the look of poster advertisements. Earlier posters were textoriented and only illustrated to highlight the message of the words; Chrets posters
featured prominent illustrations and a minimum of text. His idealized figures
emphasized beauty and vitality: The image, not the words, conveyed the message.
2007 Artists Rights Society (ARS), New York / ADAGP, Paris / Photo: Historical
Picture Archive/Corbis
Full Size
Direct mail is the third largest advertising medium, attracting about 20 percent of
all U.S. advertising dollars. Direct mail advertising, as the name implies, is
advertising that is sent directly to people by mail, usually through the postal
system. Increasingly, however, electronic mail (e-mail) is being used as a direct mail
device. Direct mail can be as simple as a single letter or as involved as a catalog or
an elaborate e-mail known as HTML mail that offers graphics and links to more
information.
From the advertiser's point of view, the key to a successful direct mail program is
the mailing list. The mailing list contains the names and addresses of people who
share certain common characteristics that suggest they will be likely to buy a
particular product or service. Because advertisers are speaking directly to those
who are most likely to buy their product or service, many advertisers consider direct
mail the most effective of all advertising media for generating immediate results.
Direct mail through the U.S. postal system, however, is the most expensive form of
advertising, costing about 14 times as much per exposure as most magazine and
newspaper ads. But because of the results it produces, many advertisers believe the
expense is justified.
Radio attracts about 8 percent of all U.S. advertising dollars, making it the fourth
largest advertising medium. Although national advertisers can buy national network
radio time, 90 percent of all radio advertising is local. Unlike television which
reaches a broad audience, the specialized programming of radio stations enables
advertisers to reach a narrow, highly specific audience such as people who like
sports or urban teenagers who listen to the latest styles of popular music. Because
many people listen to radio while in their cars, radio also enables advertisers to
reach prospects just before they go shopping. But because people listen to the radio
while doing something else such as driving or working, radio commercials can be
easily misunderstood. As a result, radio ads work best when the messages are
relatively simple ones for familiar, easily understood products.
Poster for the Opera Adriana Lecouvreur
Poster for the Opera Adriana Lecouvreur

The best-known opera of Italian composer Francesco Cilea, Adriana Lecouvreur
(1902) tells the story of the heroines rivalry with the Princess Bouillion to win the
love of the Count of Saxony. The dramatic color poster serves as an example of
entertainment advertising in the early 20th century.
Agenzia LUISA RICCIARINIMILANO
Full Size
Yellow Pages, the thick directories of telephone listings and display advertisements,
represent the fifth most popular advertising medium, attracting about 6 percent of
total advertising spending. Almost all advertising in the Yellow Pages is local
advertising.
Magazines rank sixth in total U.S. ad spending, representing about 5 percent.

Although newspapers reach all different kinds of readers, a magazines specialized
editorial content generally reaches readers who have similar interests. The
relatively specialized, narrow audience of a magazine enables an advertiser to
speak to those most likely to buy a particular product. For example, a manufacturer
of mascara who advertises to teenage girls could use a magazine with editorial
content aimed especially at teenage girls to reach that audience exclusively.
A magazine's editorial environment can also lend a product credibility and prestige,
and the magazines ability to reproduce beautiful color photographs can enhance a
product's appearance. As a result, magazine advertising is an effective way to build
a product's brand image. Because such advertising is expensive and because most
magazines are distributed regionally or nationally, they generally feature national
advertising rather than local advertising. Magazines generate 63 percent of their
revenue from advertising.
Carters Little Liver Pills
Carters Little Liver Pills

The difficulty of reaching doctors in rural areas of the United States in the late 19th
century made patent medicine companies quite successful. These companies
placed advertisements in newspapers and magazines for their products, which they
claimed were guaranteed to cure your ills. Another means of advertising was
trade cards (now called advertising cards), which were printed up by the hundreds
and handed out in various public places. The trade card shown here advertises
Carters Little Liver Pills, which supposedly cured sick headache, biliousness,
constipation, and bad complexions.
THE BETTMANN ARCHIVE
Full Size
In 2004 the Internet accounted for $9.6 billion in advertising spending in the United
States, or 3.7 percent of total ad spending, an increase from 3 percent in 2003,
according to data gathered by the accounting firm of PricewaterhouseCoopers LLP
for the Interactive Advertising Bureau. About 96 percent of ad spending on the
Internet goes to 50 Web companies, mostly to four sites maintained by Yahoo,
Google, America Online, and the Microsoft Network.
Advertisements on the Internet often take the form of banners, buttons, pop-ups,
and sponsorships. But the most important aspect of Internet marketing is that the
World Wide Web allows advertisers to personalize their messages for individual
customers. For example, when a customer visits a commercial Web site that person
is often welcomed by name and is offered information about new products based on
the type of products the person has purchased in the past. Moreover, the customer
can then order the product immediately without venturing out to a store. By
allowing advertisers to customize their advertising, the Internet enables them to
build customer loyalty and generate stronger sales results. Google pioneered the
technique of providing customized ads when someone enters a search term.
Advertisers take part in an auction to have their ads placed next to relevant search
results and pay only when someone clicks on the ad.
Outdoor advertising amounts to less than 1 percent of total ad spending in the

United States. Outdoor advertising is an effective way to reach a highly mobile
audience that spends a lot of time on the roadfor example, in commuting to and
from work or as part of their job. It offers the lowest cost per exposure of any major
advertising medium, and it produces a major impact, because it is big, colorful, and
hard to ignore. The messages on outdoor boards have to be very brief. So outdoor
advertising primarily serves as a reminder medium and one that can trigger an
impulse buy.
A wide variety of other advertising media make up the remainder of total ad

spending. Transit advertising is mainly an urban advertising form that uses buses
and taxi tops as well as posters placed in bus shelters, airports, and subway
stations. Like outdoor boards, transit is a form of reminder advertising that helps
advertisers place their name before a local audience. Finally, point-of-purchase
advertising places attention-getting displays, streamers, banners, and price cards in
the store near where the product is sold to explain product benefits and promote
impulse buys.
V. THE IMPACT OF ADVERTISING
Advertising has an important effect on a countrys economy, society, culture, and

political system. This is especially true in the United States where the advertising
industry plays such a prominent role.
A. Economic Impact
Early Heinz Advertisement
Early Heinz Advertisement

One of the world's largest processed food companies, H. J. Heinz Company grew out
of a small horseradish business founded in 1869. The companys founder, Henry
Heinz, believed strongly in the power of advertising and coined the slogan 57
Varieties. This advertisement appeared in The Saturday Evening Post, on
November 23, 1935.
Culver Pictures
Full Size
Most economists believe that advertising has a positive impact on the economy
because it stimulates demand for products and services, strengthening the
economy by promoting the sale of goods and services. Manufacturers know that
advertising can help sell a new product quickly, enabling them to recoup the costs
of developing new products. By stimulating the development of new products,
advertising helps increase competition. Many economists believe that increased
competition leads to lower prices, thereby benefiting consumers and the economy
as a whole. These economists also argue that by interesting consumers in
purchasing goods, advertising enables manufacturers and others to sell their
products in larger quantities. The increased volume of sales enables companies to
produce individual units at lower costs and therefore, sell them at a lower price.
Advertising thus benefits consumers by helping lower prices.
Other economists, however, believe that advertising is wasteful. They argue that
the cost of advertising adds to the cost of goods and that most advertising simply
encourages consumers to buy one brand rather than another. According to this
view, advertising simply moves sales from one company to another, rather than
increasing sales overall and thereby benefiting the economy as a whole.
B. Social Impact
Early Quaker Oats Advertisement
Early Quaker Oats Advertisement

An 1896 advertisement for Quaker Oats hot breakfast cereal uses the Quaker Man
to emphasize the cereals purity. The founder of The Quaker Oats Company, Henry
Seymour, chose the Quaker image after deciding that Quakers symbolized
wholesome and virtuous living.
Corbis
Full Size
Advertising can have wide-ranging repercussions on a society. Some critics suggest

that advertising promotes a materialistic way of life by leading people to believe
that happiness is achieved by purchasing products. They argue that advertising
creates a consumer culture in which buying exciting new products becomes the
foundation of the society's values, pleasures, and goals.
Other critics express concern over the way advertising has affected women and
racial minority groups. Ads in the 1950s depicted women primarily as decoration or
sex objects. Although millions of women worked outside the home in the 1960s, ads
continued to focus on their role as homemakers. Whether owing to the feminist
movement or to women's increasing economic power, after the 1960s it became
more common to see women depicted in professional roles. However, many ads
today still emphasize a womans sexuality.
The way advertising has depicted racial minorities has also been harmful. Prior to
1960, African Americans were usually shown in a subordinate position. Due to the
influence of the civil rights movement, however, advertisers by the 1980s had
begun to depict African Americans as students, professionals, or business people.
However, many African American organizations and community activists continue to
object to the way that alcohol and tobacco companies have seemingly targeted lowincome minority communities with a heavy preponderance of outdoor advertising
for their products.
As ads have begun to more fully reflect the lives of women and African Americans in
the United States, increasing attention has been paid to the way in which
advertising shows other ethnic groups, including Hispanics, Asians, Native
Americans, and Eastern Europeans. There is still considerable debate over how
advertising influences public perception of gender and of particular ethnic groups.
Advertising has a major social impact by helping sustain mass communications

media and making them relatively inexpensive, if not free, to the public.
Newspapers, magazines, radio, and broadcast television all receive their primary
income from advertising. Without advertising, many of these forms of mass

communication might not exist to the extent that they do today, or they might be
considerably more expensive, offer less variety, or even be subject to government
control through subsidies. In-depth news programs, a diversity of magazines, and
free entertainment might no longer be widely available.
At the same time, however, some critics warn that because advertising plays such a
major economic role, it may exercise undue influence on the news media and
thereby curtail the free flow of information in a free society. Reporters and editors,
for example, may be hesitant to develop a news story that criticizes a major
advertiser. As a result, society might not be alerted to harmful or potentially harmful
conduct by the advertiser. Most members of the news media deny that pressure
from an advertiser prevents them from pursuing news stories involving that
advertiser, but some members of the media acknowledge that they might not be
inclined to investigate an issue aggressively if it threatened to offend a major
advertiser.
Advertisers may affect media programming in other ways, too, critics charge. For
example, companies that sponsor TV programs prefer relatively wholesome,
noncontroversial programming to avoid offending a mass audience. This preference
causes TV networks to emphasize this type of programming. The result is that
society may be denied the benefits of being able to view challenging or highly
original entertainment programs or news programs on controversial issues. Because
advertisers are especially interested in attracting the 18 to 34 year olds who
account for most consumer spending, television shows are often developed with this
audience in mind. If the ratings show that a program is not attracting large
audiences, particularly among 18 to 34 year olds, advertisers often withdraw
support, which causes a program to be canceled. As a result, shows that are more
likely to interest and to be of value to older audiences are not produced.
The impact of television on young children has received much attention. Research
suggests that children see television advertising as just another form of
programming and react uncritically to its messages, which makes them especially
vulnerable to advertising. There is also concern about the way in which adolescent
girls respond to advertising that features beautiful, thin models. Research indicates
that many adolescent girls are unduly influenced by this standard of beauty,
become dissatisfied with their own bodies, and may develop eating disorders in
pursuit of a thin figure. New research suggests that adolescent boys are also being
influenced by advertising images of bulked-up, buffed bodies. As a result, many
become dissatisfied with their own body image, devote large amounts of time to
weightlifting, and may even take drugs that have harmful side effects in order to
develop more muscle. Those over the age of 60 are thought to be less influenced by
advertising, but some elderly people no longer process messages as easily as
younger people, making them more susceptible to questionable advertising claims.
C. Political Impact
Advertising is now a major component of political campaigns and therefore has a

big influence on the democratic process itself. In 1998 more than $467 million was
spent on election campaigns in the United States. That amount of spending placed
political advertising in the ranks of the countrys 30 leading advertisers that year.
Political advertising is a relatively new development in U.S. history. Advertising
professionals did not become involved in electoral campaigns until the 1950s. But
since then, political advertising has grown in sophistication and complexity.
Political advertising enables candidates to convey their positions on important

issues and to acquaint voters with their accomplishments and personalities.
Television advertising is especially effective for candidates running for national or
statewide office because it can reach so many people at once. Candidates can also
use advertising to respond effectively to the charges of their opponents.
Various campaign finance reform proposals, however, have tried to address the
impact of television advertising on political campaigning. Because of the high cost
of television ads, the costs of political campaigns have skyrocketed, making it
necessary for candidates to raise money continually, even after they have been
elected to office. Critics say this factor jeopardizes the democratic process by
making elected officials beholden to wealthy contributors and by making it more
likely that only the wealthy will run for office. Some reform proposals have called for
free airtime, but television and radio networks have resisted this idea.
Critics of political advertising also charge that the 30-second television spot has
become more important to a political campaign than a thorough discussion of the
issues. As a result, voters are bombarded with image advertising rather than being
acquainted with the candidates positions. They contend that this practice is
harmful to good government. Issues are simplified, and candidates are packaged
and sold much like a consumer product, thereby distorting the political process.
D. Cultural Impact
Advertising can affect cultural values. Some advertising messages, for example,
encourage aggressive individualism, which may clash with the traditional cultural
values of a country where the collective or group is emphasized over the individual
or humility or modesty is preferred to aggressiveness. With the globalization of the
world economy, multinational corporations often use the same advertising to sell to
consumers around the world. Some critics argue that advertising messages are thus
helping to break down distinct cultural differences and traditional values, causing
the world to become increasingly homogeneous.
Many advertising campaigns, however, have universal appeal, overriding cultural

differences, or they contribute to culture in a positive way. Humor in advertising has
made many ad campaigns widely popular, in some cases achieving the status of
folklore or taking on new life in another arena. For example, a popular ad campaign
for a fast-food chain with the slogan Wheres the beef? became part of the 1980
Democratic presidential primary campaign between Gary Hart and Walter Mondale.
The ad ridiculed a competitor by depicting a small hamburger patty dwarfed by a
huge bun. During a primary debate one of the candidates used the ad slogan to
suggest that his opponents campaign lacked substance.
VI. REGULATION
Advertising is subject to both government regulation and industry self-regulation to

prevent deceptive advertising or to limit the visibility of advertising. Advertising is
heavily regulated in the United States, Canada, and a number of European and
Asian countries.
A. In the United States
1. Government Regulation
Joe Camel Campaign
Joe Camel Campaign

The Joe Camel character came under fire in the late 1990s as an example of harmful
advertising targeted to the young. In 1998 the tobacco industry and the attorneys
general of 46 states agreed to ban the use of cartoon characters in tobacco
advertising, a practice that many thought had encouraged young people to start
smoking.
Gary Morrison
Full Size
Federal, state, and city governments have all passed legislation restricting
advertising in various ways in the United States. The Supreme Court of the United
States has overturned some restrictions, however, ruling that advertising is
protected under the free speech provisions of the First Amendment to the
Constitution, although to a lesser extent than political speech. In a landmark 1976
ruling, Virginia State Board of Pharmacy v Virginia Citizens Consumer Council, the
Court declared advertising to be a semiprivileged form of free expression, subject to
some regulation. In the Virginia case the Supreme Court struck down a ban that
prohibited pharmacists from advertising drug prices. The ruling removed bans that
had applied to other professionals, such as physicians and lawyers, and enabled
them to advertise their services.
In the United States the main government regulatory agency for advertising is the
Federal Trade Commission (FTC). The FTC enforces a variety of consumer protection
laws to eliminate ads that deceive the consumer. The FTC defines deceptive
advertising as any ad containing a misrepresentation or omission harmful to the
consumer. An advertisement does not have to be untrue to be deceptive. For
example, ads for a certain bread product claimed that it had half as many calories
per slice as its leading competitors. The advertiser failed to say, however, that each
slice of its bread was also half as thick as the competitors. The ads were ruled to be
deceptive.
The key to the FTC's regulation of advertising is its power to require that advertisers
substantiate the accuracy of their claims. So if advertisers say that 'tests prove' or
'physicians recommend,' they must be able to show test results or affidavits from
doctors. Moreover, companies cannot misuse evidence. For example, claims that a
particular brand of dog food provided all the milk protein a dog needs were ruled to
be misleading because dogs do not need milk protein.
Products that can affect health receive special regulatory attention. The U.S.
Congress banned cigarette advertising from radio and TV in 1971 under the Public
Health Cigarette Smoking Act. In 1998 the tobacco industry and the attorneys
general of 46 states agreed to ban outdoor cigarette advertising and the use of
cartoon characters in advertising, a practice that many thought had encouraged
young people to start smoking.
Advertising directed to children has received considerable scrutiny. In 1990

Congress passed the Children's Television Advertising Practice Act. Among other
things, it set limits on the amount of advertising that could be included in children's
television programming and barred hosts of children's shows from selling products.
State laws and enforcement bureaus impose additional regulations on certain types
of advertising, particularly those involving contests. These regulations may differ
from state to state. Consequently, advertisers planning a national contest through
newspapers may have to prepare several different versions of an advertisement to
comply with the varying laws. In some states the media are themselves regulated.
For example, it is illegal in a number of states for radio and television stations to
broadcast distilled-liquor advertising; outdoor billboard advertising is banned in
certain other states.
2. Industry Regulation
The advertising industry has resorted to self-regulation in a serious effort to stop

abuses before they occur. These self-imposed codes of ethics and procedures aim
principally to curtail not only bad taste but also misrepresentation and deception in
copy and illustrations, as well as derogatory and unfair representations of products
of competitors.
Several advertising trade associations are concerned with maintaining high

standards. The associations believe it is good public relations to do so, inasmuch as
advertising that weakens public confidence damages the impact and influence of all
advertising.
Individual media and media groups often establish their own codes of ethics. Some
newspapers and magazines refuse to publish advertising for tobacco and alcoholic
beverages; most of them, in varying degree, investigate the reliability of advertisers
before accepting their copy. Some publishers have strict rules about the
presentation of advertising to prevent the publication of false or exaggerated claims
and to preserve the aesthetic tone of their publications.
Radio and television stations generally try to investigate the company and its
product before broadcasting advertising messages that might cause unfavorable
reactions. The networks and the National Association of Broadcasters have
established codes regulating the advertising of medical products and controlling
contests, premiums, and other offers. All the networks maintain so-called
acceptance departments, which screen both commercial and noncommercial
scripts, either deleting or challenging for substantiation any questionable material.
Most magazine publishers have their own strict rules on acceptance of advertising
copy.
The American Advertising Federation, an organization of leading national

advertisers, has long campaigned for truth in advertising. Other organizations that
promote ethical standards are the American Association of Advertising Agencies and
the Association of National Advertisers. The Institute of Outdoor Advertising
encourages its members to improve the design of their advertising posters and
signs and, more importantly, to make sure they do not erect advertising billboards
in locations where they will mar the landscape or otherwise offend the public. The
best-known and most active watchdogs in the advertising field are the Better
Business Bureaus, which bring pressure to bear on unethical advertisers through
persuasion, publicity, or, in extreme cases, legal action. The fact that local and
national bureaus are subsidized by both advertisers and media reflects the
conviction of modern business management that good advertising is good
business.
B. In Canada
Canadian advertising regulations are even stricter than those in the United States.
The Competition Act is the Canadian federal statute that seeks to prevent false and
misleading advertising. The act is administered by the Bureau of Competition Policy
which is part of Consumer and Corporate Affairs. If the bureau finds advertising to
be misleading, it may simply ask the advertiser to stop running the ad or it may ask
a company to take certain steps to correct the impression made by the false claims.
The bureau may also take legal action against the advertiser in which case it will
turn over its evidence to the Attorney General of Canada who will decide whether
the evidence warrants a criminal prosecution.
Canadas self-regulatory body, the Canadian Advertising Standards Council, has the
right to take a commercial off the air if it offends taste and public decency.
Moreover, in Canada ads that deal with products regulated by the government (for
example, food, drugs, alcohol, and children's products) have to be approved before
they air and can also be pulled if complaints arise after they run. In the United
States, action can only be taken after the advertisement runs. Finally, beginning in
2001 tobacco advertising in Canada was limited to direct mail and to adults-only
environments such as bars.
C. In Other Countries
Advertising is often heavily regulated in other countries as well. But the regulations
vary from country to country. For example, in Mexico advertising for tobacco and
alcohol is limited to late evenings after children have gone to bed. France prohibits
any reference to health in tobacco ads, and Italy allows alcohol advertising to
promote the brand name but not product attributes such as 'cold filtered' or 'smooth
tasting.'
Advertising regulations in other countries are often designed to protect culture and
morals. France prohibits the use of foreign expressions where there are equivalent
French terms as a way of protecting the French language. Advertising regulations in
Malaysia bar the depiction of nudity, disco dancing, seductive clothing, and blue
jeans in ads and require ads to project the Malaysian culture and identity. Varying
regulations present numerous challenges to multinational corporations that
advertise their products in many different countries.
VII. HISTORY
Archaeologists have found evidence of advertising dating back to the 3000s bc,
among the Babylonians. One of the first known methods of advertising was the
outdoor display, usually an eye-catching sign painted on the wall of a building.
Archaeologists have uncovered many such signs, notably in the ruins of ancient
Rome and Pompeii. An outdoor advertisement excavated in Rome offers property for
rent, and one found painted on a wall in Pompeii calls the attention of travelers to a
tavern situated in another town.
In medieval times word-of-mouth praise of products gave rise to a simple but

effective form of advertising, the use of so-called town criers. The criers were
citizens who read public notices aloud and were also employed by merchants to
shout the praises of their wares. Later they became familiar figures on the streets of
colonial American settlements. The town criers were forerunners of the modern
announcer who delivers radio and television commercials.
Although graphic forms of advertising appeared early in history, printed advertising

made little headway until the invention of the movable-type printing press by
German printer Johannes Gutenberg about 1450. This invention made the mass
distribution of posters and circulars possible. The first advertisement in English
appeared in 1472 in the form of a handbill announcing a prayer book for sale. Two
hundred years later, the first newspaper ad was published offering a reward for the
return of 12 stolen horses. In the American colonies, the Boston News-Letter, the
first regularly published newspaper in America, began carrying ads in 1704, and
about 25 years later Benjamin Franklin made ads more readable by using large
headlines.
In the United States, the advertising profession began in Philadelphia, Pennsylvania,

in 1841 when Volney B. Palmer set up shop as an advertising agent, the forerunner
of the advertising agency. Agents contracted with newspapers for large amounts of
advertising space at discount rates and then resold the space to advertisers at a
higher rate. The ads themselves were created by the advertisers. In 1869 Francis
Ayer bought out Palmer and founded N. W. Ayer & Son, an agency that still exists
today. Ayer transformed the standard agent practice by billing advertisers exactly
what he paid to publishers plus an agreed upon commission. Soon Ayer was not only
selling space but was also conducting market research and writing the advertising
copy.
Advertising agencies initially focused on print. But the introduction of radio created
a new opportunity and by the end of the 1920s, advertising had established itself in
radio to such an extent that advertisers were producing many of their own
programs. The early 1930s ushered in dozens of radio dramatic series that were
known as soap operas because they were sponsored by soap companies.
Television had been introduced in 1940, but because of the high cost of TV sets and
the lack of programming, it was not immediately embraced. As the American
economy soared in the 1950s, so did the sale of TV sets and the advertising that
paid for the popular new shows. Soon TV far surpassed radio as an advertising
medium.
The tone of the advertising was also changing. No longer did advertising simply
present the product benefit. Instead it began to create a product image. Bill
Bernbach, founder of Doyle Dane Bernbach in New York City; Leo Burnett, founder of
the Leo Burnett agency in Chicago, Illinois; and David Ogilvy, founder of Ogilvy &
Mather in New York City, all came to prominence in the late 1950s and 1960s and
led what has been called the 'creative revolution.' Bernbach's agency captured the
spirit of the new age. Bernbach believed that advertising had to be creative and
artistic or it would bore people. He also believed that good advertising began with
respect for the public's intelligence. The ads his agency created were understated,
sophisticated, and witty.
For example, when Bernbach's agency picked up the account for the Henry S. Levy
Bakery in Brooklyn, a borough of New York City, the agency created an ad that
entertained New Yorkers and provided fodder for many conversations. The ad
showed a Native American eating a slice of the bakery's rye bread with the
headline, 'You don't have to be Jewish to love Levy's.' But it was the advertising for
Volkswagen that made the agency's reputation. At a time when American cars were
getting bigger and bigger and the advertising for them trumpeted that bigger was
better, Doyle Dane Bernbach created a magazine ad that showed a small picture of
the Volkswagen Beetle surrounded by a sea of white space with the headline, 'think
small.' An equally unconventional ad carried the headline 'lemon' beneath a photo
of an apparently flawed Volkswagen. The ad's copy explained that 'this Volkswagen
missed the boat. The chrome strip on the glove compartment is blemished and
must be replacedWe pluck the lemons; you get the plums.' In an era of hype and
bombast, the Volkswagen ads stood out because they admitted failure in a witty
way and gave facts in a believable manner that underlined the car's strengths. This
wit together with a conversational and believable style was a hallmark of the
advertising created by Doyle Dane Bernbach and that style became highly
influential.
The creative foundation established by Bernbach and others has been critical to the
success of contemporary advertising. The introduction of the TV remote control and
access to hundreds of cable channels mean that today advertising must interest
and entertain consumers or else they will simply use the remote to change the
channel. New digital devices even threaten to make it possible to edit out
commercials. The development of interactive television, combining the functions of
a computer with access to high-speed transmission over cable lines or optical fibers,
will likely enable consumers to select from a vast video library. Consumers will be
able to determine not only when they watch something, but also, to a greater
extent than ever before, what they will watch. Some industry observers believe that
as consumers gain greater control over their viewing activities, they will find it
easier to avoid advertising.
No one can predict what new forms advertising may take in the future. But the
rapidly increasing cost of acquiring new customers makes one thing certain.
Advertisers will seek to hold onto current customers by forming closer relationships
with them and by tailoring products, services, and advertising messages to meet
their individual needs. So while advertising will continue to encourage people to
consume, it will also help provide them with products and services more likely to
satisfy their needs.
MORE SOURCES
Web Links
Emergence of Advertising in America: 1850 - 1920

The John W. Hartman Center for Sales, Advertising & Marketing History chronicles
the rise of consumer culture in America in the late 19th century and the
development of a professionalized advertising industry.
http://scriptorium.lib.duke.edu/eaa/
Medicine and Madison Avenue
Hosted by Duke University, this site chronicles early health-related advertising,
showcasing over 600 vintage magazine and newspaper advertisements from 1911
to 1960.
http://scriptorium.lib.duke.edu/mma/
The American Advertising Museum
The American Advertising Museum, located in Portland, Oregon, presents exhibits
covering the history of advertising.
http://www.admuseum.org/
American Advertising Federation
The American Advertising Federation describes the organization and has information
on federal advertising regulations.
http://www.aaf.org/
John W. Hartman Center for Sales, Advertising, and Marketing History
The John W. Hartman Center for Sales, Advertising, and Marketing History presents
an exhibit of advertisements from its collections as well as information on its
archives and visitor hours.
http://library.duke.edu/specialcollections/hartman/
American Association of Advertising Agencies

The American Association of Advertising Agencies (AAAA) provides a directory of its
member agencies, searchable by city and state, along with background information
on the organization and other resources.
http://www.aaaa.org/
Ad Council
The Ad Council provides information about its public service advertising campaigns.
http://www.adcouncil.org/
Research Resources [University of Texas Department of Advertising]
The Advertising Department at the University of Texas at Austin offers quotations
about advertising, annotated bibliographies, biographies of important people from
the history of advertising, a glossary of advertising terms, and many other
resources.
http://advertising.utexas.edu/research/Topics.html
The Clio Awards
This site offers information about the Clio Awards, the international awards for
excellence in creative advertising, including an archive of past winners.
http://www.clioawards.com/
Ad*Access
Duke University presents images and database information for more than 7,000
advertisements printed in U.S. and Canadian newspapers and magazines between
1911 and 1955.
http://scriptorium.lib.duke.edu/adaccess/
AdFlip.com
This site offers an archive of classic print ads from the 1940s to the present; the
archive is categorized and searchable by keyword.
http://www.adflip.com/
Further Reading
Advertising
Arens, William F. Contemporary Advertising. 8th ed. Irwin/McGraw Hill, 2001. A

textbook built on real-world case studies.
Ewen, Stuart. All Consuming Images: The Politics of Style in Contemporary Culture.
Basic Books, 1988. Rev. ed., 1999. Explores the dominance of the image in
consumer society.
Fox, Stephen. The Mirror Makers: A History of American Advertising and its Creators.
Random House, 1984. Rev ed., 1997. From the 19th century to the mid-1990s.
Frank, Thomas. The Conquest of Cool: Business Culture, Counterculture, and the
Rise of Hip Consumerism. University of Chicago Press, 1998. A thoroughly readable
history of post-1960s advertising.
Jones, John Phillip, ed. The Advertising Business: Operations, Creativity, Media
Planning, Integrated Communications. Sage, 1999. A practical guide to strategy and
tactics.
Lears, Jackson. Fables of Abundance: A Cultural History of Advertising in America.
Basic Books, 1994, 1995. Advertising's role in creating America's vision of material
success.
Schudson, Michael. Advertising, the Uneasy Persuasion: Its Dubious Impact on
American Society. Basic Books, 1984, 1990. Examines the development of
advertising techniques and the extent of their success.
Wells, William, John Burnett, and Sandra Moriarty. Advertising Principles & Practice.
5th ed. Prentice Hall, 2000. Comprehensive textbook on effective advertising.
ALSO IN ENCARTA
Related Articles
Archives
Timeline
Advertising for T.V. Surpasses Radio
more...
Reviewed By:
Brett Robbs

Robbs, Brett. "Advertising." Microsoft Student 2008 [DVD]. Redmond, WA:
Microsoft Corporation, 2007.
reserved.
Crime, commission of an act or act of omission that violates the law and is
punishable by the state. Crimes are considered injurious to society or the
community, as distinguished from torts (see Tort) and breach of contract.
As defined by law, a crime includes both the act, or actus rea, and the intent to
commit the act, or mens rea. Criminal intent involves an intellectual apprehension
of factual elements of the act or acts commanded or enjoined by the law. It is
usually inferred from the apparently voluntary commission of an overt act. Criminal
liability is relieved in the case of insanity. Legal minors are also relieved of criminal
liability, as are persons subjected to coercion or duress to such a degree as to
render the commission of criminal acts involuntary. In most countries, crimes are
defined and punished pursuant to statutes (see Statute). Punishments may include
death, imprisonment, exile, fines, forfeiture of property, removal from public office,
and disqualification from holding such office.
Unless the act of which a defendant is accused is expressly defined by statute as a

crime, no indictment or conviction for the commission of such an act can be legally
sustained. This provision is important in establishing the difference between
government by law and arbitrary or dictatorial government.
Under common law, a crime was generally classified as treason, felony, or

misdemeanor, but many offenses could not be defined exactly, and the rule was
adopted that any immoral act tending to the prejudice of the community was, per
se, a crime, and punishable by the courts. Crimes are now usually classified as mala
in se, which includes acts, such as murder, so offensive to morals as to be obviously
criminal; and mala prohibita, which are violations of specific regulatory statutes,
such as traffic violations, that ordinarily would not be punishable in the absence of
statutory enactments prohibiting the commission of such acts. In most cases,
crimes, including treason, that are mala in se are called felonies and are punished
more severely than those that are mala prohibita, most of the latter falling into the
category of misdemeanors.
See Civil Law; Criminal Law; See also Crime Detection; Criminal Procedure;
Criminology.
MORE SOURCES
Web Links
National Crime Prevention Council On-Line Resource Center

The National Crime Prevention Council offers advice on staying safe and preventing
crime for children and adults, as well as other resources.
http://www.ncpc.org/
Justice for Kids & Youth
Designed for a younger audience, this site from the U.S. Department of Justice
offers a variety of information on crime and crime prevention.
http://www.usdoj.gov/kidspage/
Sourcebook of Criminal Justice Statistics
The University of Albany presents an online version of the Sourcebook of Criminal
Justice Statistics; it includes extensive data from the Bureau of Justice Statistics on
all aspects of criminal justice in the United States.
http://www.albany.edu/sourcebook/
Campus Crime and Security at Postsecondary Education Institutions
The Office of Postsecondary Education of the U.S. Department of Education offers
crime statistics for more than 6,000 colleges and universities in the United States.
http://www.ope.ed.gov/security/
Further Reading
For younger readers
Brownlie, Alison. Crime and Punishment: Changing Attitudes, 1900-2000. Raintree

Steck-Vaughn, 1999. For middle school readers.
Campbell, Andrea. Forensic Science: Evidence, Clues, and Investigation. Chelsea

House, 1999. For readers in grade 7 and up.
Espejo, Roman, ed. America's Prisons. Greenhaven, 2001. In the Opposing
Viewpoints series, for readers in grades 6 to 12.
Fridell, Ron. Solving Crimes: Pioneers of Forensic Science. Watts, 2000. For readers
in grade 7 and up.
Rainis, Kenneth G. Crime-Solving Science Projects. Enslow, 2000. For readers in
grades 5 to 9.
Roleff, Tamara L., ed. Crime and Criminals. Greenhaven, 1999. Presents opposing
viewpoints and hot topics. For middle school and high school readers.
Yeatts, Tabatha. Forensics: Solving the Crime. Oliver, 2001. For readers in grades 6
to 9. Crime
Albanese, Jay S., and Robert D. Pursley Crime in America: Some Existing and
Emerging Issues. Prentice Hall, 1992, 1998. Comprehensive overview of the most
pressing issues in American criminal justice.
Cromwell, Paul F., ed. Crime and Justice in America: Present Realities and Future
Prospects. 2nd ed. Prentice Hall, 2001. Broad coverage of numerous topics and
issues.
Livingston, Jay. Crime and Criminology. 2nd ed. Prentice Hall, 1996. Treats the
traditional areas of criminology with attention to popular concerns and policy
debates.
Sifakis, Carl. The Encyclopedia of American Crime. 2nd ed. Facts on File, 2000. A
highly readable compendium of criminal facts and crime topics.
Sulton, Anne T., ed. African-American Perspectives on Crime Causation, Criminal
Justice Administration, and Crime Prevention. Butterworth-Heinemann, 1996. Fifteen
articles by African American criminologists offer some possible solutions to the
problem of crime.
Sidebars
Date Rape
Rape is not always a surprise attack by a stranger. In fact, that scenario is far less
probable than assault by someone the victim already knows, according to studies.
Date rape can involve gray zones in communication, according to experts who point
out that factors such as alcohol or even politeness can cloud a womans resistance.
As one report noted, [some] of these men do not see themselves as rapists;
they are merely out to have a good time.' As reported in this Colliers Year Book
article, studies suggest that even legal action can backfire: Victims who decide to
press charges may be subjected to skeptical scrutiny, humiliation, and even blame.
Colliers Associate Managing Editor Louise Bloomfield explored the complicated
issue of date rape.
more...
ALSO IN ENCARTA
Related Articles
Archives

"Crime." Microsoft Student
reserved.
Expand
I. INTRODUCTION
Criminal Punishment, penalties imposed by the government on individuals who

violate criminal law. (Criminal law prohibits behavior deemed harmful to society as a
whole, whereas civil law governs private interactions between individuals.) People
who commit crimes may be punished in a variety of ways. Offenders may be subject
to fines or other monetary assessments, the infliction of physical pain (corporal
punishment), or confinement in jail or prison for a period of time (incarceration). In
general, societies punish individuals to achieve revenge against wrongdoers and to
prevent further crimeboth by the person punished and by others contemplating
criminal behavior. Some modern forms of criminal punishment reflect a philosophy
of correction, rather than (or in addition to) one of penalty. Correctional programs
attempt to teach offenders how to substitute lawful types of behavior for unlawful
actions.
Throughout history and in many different parts of the world, societies have devised
a wide assortment of punishment methods. In ancient times, societies widely
accepted the law of equal retaliation (known as lex talionis), a form of corporal
punishment that demanded an eye for an eye. If one persons criminal actions
injured another person, authorities would similarly maim the criminal. Certain
countries throughout the world still practice corporal punishment. For instance, in
some Islamic nations officials exact revenge-based corporal punishments against
criminalssuch as amputation of a thiefs handunder the law of hudd. Monetary
compensation is another historic punishment method. In England during the early
Middle Ages (5th century to 15th century) payments of blood money (wergeld)
were required as compensation for death, personal injury, and theft.
Penology, the study of criminal punishment, is a subfield of criminology.

Criminologists theorize about why people commit crimes and deviate from societys
norms of behavior. They also study how society punishes criminals because different
methods of punishment may cause people to alter their behavior in different ways.
Thus, criminologists devise theories that not only explain the causes of crime but
that also address its prevention and control.
II. FORMS OF CRIMINAL PUNISHMENT
Although some societies still use ancient forms of harsh physical punishment,
punishments have also evolved along with civilization and become less cruel.
Punishments range in severity depending on the crime, with the most severe forms
applied to individuals who commit the most serious crimes. In most industrialized
societies, contemporary punishments are either fines or terms of incarceration or
both. Contemporary criminal punishment also seeks to correct unlawful behavior,
rather than simply punish wrongdoers.
A. Compensation
Certain punishments require offenders to provide compensation for the damage

caused by their crimes. There are three chief types of compensation: fines,
restitution, and community service.
A fine is a monetary penalty imposed on an offender and paid to the court. Most
criminal statutes in the United States and Canada contain provisions for the
imposition of fines. However, fines have not been widely used as criminal
punishment because most criminals do not have the money to pay them. Moreover,
fining criminals may actually encourage them to commit more crimes in order to
pay the fines.
The term restitution refers to the practice of requiring offenders to financially

compensate crime victims for the damage the offenders caused. This damage may
include psychological, physical, or financial harm to the victim. In most cases, crime
victims must initiate the process of obtaining restitution from the offender. Thus,
when the criminal is prosecuted, the victim must inform the court of financial losses
or medical expenses. Otherwise, the judge may fail to require restitution. Judges
may impose restitution in conjunction with other forms of punishment, such as
probation (supervised release to the community) or incarceration.
In the United States, the Victim and Witness Protection Act of 1982 authorizes
restitution (along with incarceration) as a punishment for individuals who violate
federal criminal laws. Under this act, judges may impose restitution when initially
sentencing offenders for federal crimes. Alternatively, restitution may be included
as a condition of an offenders parole program. (Prisoners who receive parole obtain
an early release from incarceration and remain free, provided they meet certain
conditions.) In most U.S. states criminal laws also authorize restitution as a
punishment option. Criminals in Canada may also be required to pay restitution to

victims for personal injuries or property damage.
Offenders sentenced to community service perform services for the state or

community rather than directly compensating the crime victim or victims. Some of
the money saved by the government as a result of community service work may be
diverted to a fund to compensate crime victims. Courts may also sentence
offenders to community service to defray a portion of the administrative expenses
of prosecution. Judges and parole authorities have discretion to determine the
nature of the community service to be performed by the offender.
B. Incarceration
Sidebars
POINT/COUNTERPOINT
Does Imprisonment Reduce Crime?
The prison population in the United States has reached an all-time high. Convicted
criminals are being imprisoned at higher rates and are serving longer sentences.
But is a tougher stance on sentencing really benefiting society? Does the threat of
imprisonment deter potential criminals? Do prisons rehabilitate criminals? In this
Point/Counterpoint Sidebar adapted from two 1996 publications, the National
Criminal Justice Commission argues that the prison system wastes public resources,
converts nonviolent offenders into violent criminals, and disproportionately
punishes some racial groups. The Council on Crime in America counters that prisons
deter criminals, enable them to repay their debt to society, keep violent offenders
off the streets, and rehabilitate those who are eventually released.
open sidebar
The most serious or repeat offenders are incarcerated. In the United States about
one-fourth of all persons who are convicted of a crime are incarcerated. Canada
incarcerates about one-third of all convicted offenders. However, inmates in Canada
are eligible for parole at earlier points in their sentence. Criminals may be
incarcerated in jails or in prisons. Jails are locally operated facilities that house
criminals sentenced to less than one year of incarceration. Jails typically house
persons convicted of misdemeanors (less serious crimes), as well as individuals

awaiting trial. Prisons are state or federally operated facilities that house individuals
convicted of more serious crimes, known as felonies. Offenders sentenced to a year
or more of incarceration are housed in prisons rather than jails. Canada uses a
similar bifurcated system of local correctional centers and provincial and federal
prisons.
Alcatraz Federal Penitentiary
Restrictions on incarcerated offenders vary. Some offenders are kept in solitary

confinement or maximum security with no opportunity to interact with other
inmates. In minimum-security facilities, the most common form of incarceration,
inmates are housed together in large cells or in dormitory-like facilities.
Prisons deprive inmates of virtually all liberty and control over their lives. Each
aspect of an inmates daily life is regulated by others and highly structured. Many
prisons offer self-help educational and counseling programs. In some prisons,
inmates may be able to work at different trades to acquire vocational and technical
skills. However, a majority of inmates do not utilize these rehabilitation-oriented
programs because the programs typically are not compulsory. Instead, prisons often
function as long-term warehouses where offenders are merely housed and
forgotten. Rates of recidivism (repeated criminal behavior) are fairly high for former
inmates in the United States, averaging about 60 percent. Rates in Canada are
substantially lower, at 40 percent.
In a variation of incarceration known as shock probation, first-time offenders are

placed on probation after having served only a short amount of the incarceration
that they had expected to serve. Some offenders receive a split sentence, serving
some time in jail before being released on probation. The theory behind these
practices is that the jail time, albeit brief, will shock the criminal into acceptable
behavior. In another variation, called intermittent sentencing, offenders spend
weekends in jail but return to the community during the week. This practice enables
offenders to maintain jobs and remain in contact with their families while also being
punished.
In the United States and Canada, younger offenders may be sentenced to highly
regimented, military-style correctional programs known as boot camps. Generally,
offenders volunteer to participate in boot camp programs to avoid other types of
incarceration. At boot camps, officials subject offenders to strict discipline and
physical training. They also provide educational or vocational programs. Boot camps
serve as an alternative to traditional, long-term incarceration and attempt to train
offenders to be law-abiding. Typically, boot camp sentences range from two to six
months.
C. Corporal Punishment
Ducking Stool
Ducking Stool
This 17th-century English woodcut shows townspeople about to immerse a woman
whom they have strapped on a ducking stool. Women accused of being rebels,
witches, or prostitutes received this punishment.
Full Size
Throughout history, societies have used corporal punishments to inflict physical

pain on wrongdoers. Tribal societies find these punishments particularly appealing,
since they are immediate and direct, and often debilitating. Such societies often
lack the facilities to confine offenders, and corporal punishment offers a more direct
application of penalties for violating community rules. Many people believe that
corporal punishments, which graphically demonstrate the consequences of crime,
help deter future wrongdoing. Harsh physical punishment also satisfies the goal of
retribution (revenge).
In Europe during the Middle Ages, entire families would take revenge against
members of rival families for crimes or wrongs committed by one or more members
of the rival family. Some of these blood feuds lasted for many yearseven several
generations. In some tribal societies, entire tribes would feud with other tribes, and
members of rival tribes would hunt and kill one another. Because ongoing feuds
among kin groups were disruptive, various European countries drafted agreements
setting societal policies concerning punishment. For example, in 1215 King John of
England signed the Magna Carta, which provided that accused criminals could not
be executed or incarcerated prior to a trial by a jury of their fellow citizens.
Governmental and religious authorities also used many forms of corporal

punishment, often to torture persons into confessing to a crime or heresy
(unorthodox religious belief). During the 13th century the Roman Catholic Church
established the Inquisition, a judicial institution charged with finding, trying, and
punishing heretics. Forms of torture used by inquisitors included flogging, boiling,
and stretching on a device known as the rack. A person who underwent the rack
torture was forced to lie on a long board. After the persons hands and feet were
tied to mechanisms at opposite ends of the board, pressure on the mechanisms was
increased in opposite directions. Frequently the persons arms and legs would pop
from their sockets. This painful torture was sometimes fatal and commonly resulted
in permanent physical injuries.
The colonists who settled North America used several types of corporal punishment,
including the use of the ducking stool. In this punishment, a criminal was tied to a
chair at the end of a long pole and lowered into a lake or river and nearly drowned.
Brandingthe searing of flesh with a hot ironwas another form of punishment
used by the colonists. Persons convicted of adultery (having sexual relations with
someone other than ones spouse) were sometimes branded with the letter A on
their faces or foreheads. During the late 1700s many of these corporal punishments
were discontinued in favor of more humane methods, such as incarceration.
D. Banishment
Norfolk Island Prison Buildings
Norfolk Island Prison Buildings

In the 18th century Britain established penal settlements in Australia, including this
one on Norfolk Island.
Christine Osborne Pictures
Full Size
Some societies punish certain undesirable individuals, such as criminals and

political and religious dissidents, with banishment or exile. In ancient times
banishment was a common form of punishment, and it often amounted to capital
punishment because authorities would deny food and shelter within a certain
distance to those banished. The Old Testament of the Bible contains the story of
Adam and Eve, who were banished from the Garden of Eden for their disobedience
to God.
Adam and Eve
Adam and Eve

According to an account of creation in the biblical book of Genesis, Adam was
created from the dust of the earth and placed in the Garden of Eden. Eve, the first
woman, was created from one of Adams ribs. Tempted by Eve, Adam ate the
forbidden fruit of the Tree of the Knowledge of Good and Evil, and the two were
expelled from Paradise for their disobedience. The engraving Adam and Eve (1504)
by German artist Albrecht Drer depicts Eve sharing the forbidden fruit with her
mate.
Full Size
During the 18th and 19th centuries officials in various Chinese provinces used
banishment as a punishment. It ranked second only to death as the most serious
punishment imposed. China and other countries also used banishment as a means
to colonize regions. For example, from 1788 to 1868 England banished more than
160,000 prisoners to Australia or Africa to work in labor colonies they established.
Banishment has also been used in modern times. In 1993, for example, tribal
officials banished two teenaged members of the Tlingit tribe of Native Americans as
punishment for a robbery. The offenders were sent from their home in Everett,
Washington, to a desolate island off Alaska to live in isolation for several months.
E. Capital Punishment
Electric Chair
Electric Chair
Execution is an ancient practice and one of the earliest forms of criminal
punishment. Methods of execution have varied over time. In the United States,
several of the states that permit capital punishment electrocute prisoners in the
electric chair.
HO/Ga. Dept. of Corrections/REUTERS
Full Size
The most extreme form of punishment is death. Execution of an offender is known

as capital punishment. Like corporal punishment and banishment, capital
punishment has been used since ancient times. The Old Testament of the Bible
prescribes death as the punishment for over 30 crimes. The Romans executed Jesus
Christ by crucifixion, a common form of capital punishment between the 6th century
bc and the 4th century ad. In England in the 1800s more than 200 crimes were
punishable by death.
Sidebars
POINT/COUNTERPOINT
Should the Death Penalty Be Abolished?
Throughout history, many nations have sanctioned the use of capital punishment. In
the late 20th century, some countries abolished the death penalty, imposing life
sentences instead. The death penalty is imposed in 38 states in the United States
and for certain federal crimes, but the practice has long been controversial. In this
Point/Counterpoint Sidebar, Lawrence C. Marshall, professor of law at Northwestern
University in Evanston, Illinois, argues that the death penalty should be abolished
because innocent people are often condemned to die. Paul G. Cassell, professor of
law at the University of Utah in Salt Lake City, contends that the death penalty is a
just and necessary punishment for the crime of murder.
open sidebar
In the late 18th century, social commentators began to criticize penal practices they
considered brutal and unnecessary. Many of these philosophers condemned the use
of capital punishment, initiating a debate that has continued to modern times.
During the 19th century, legal reformers in England and the United States helped
enact laws limiting the death penalty to the most serious crimes. Shortly after World
War II (1939-1945), many countries in Western Europe, beginning with Italy and
Germany, abolished capital punishment. Britain, Canada, and Australia followed
suit. A similar abolition movement coincided with the breakup of the Union of Soviet
Socialist Republics in 1991, when several nations in Eastern Europe eliminated
capital punishment. The use of the death penalty has become increasingly
controversial, especially in the United States and Japan, the only industrialized
democracies that continue to practice capital punishment.
In the U.S. system of government, power is divided between a central (federal)

authority and smaller local units of government (the states). Federal law authorizes
capital punishment for more than 40 offenses, including premeditated murder,
treason, and murder related to aircraft hijacking, drug trafficking, and civil rights
violations. The majority of states also authorize the death penalty for violations of
state criminal law, including such crimes as treason, murder, and rape. As of early
2005, 12 states did not permit capital punishment. Methods for executing offenders
vary among the states. The majority of states that have the death penalty execute
offenders by means of lethal injectionthe administration of fatal amounts of fastacting drugs and chemicals. Other common methods include lethal gas and
electrocution. Three states execute criminals by hanging and three states provide
for execution by firing squad.
Sidebars
SIDEBAR
Justices Harry A. Blackmun and Antonin Scalia on Capital Punishment
From this day forward, I no longer shall tinker with the machinery of death, wrote
United States Supreme Court Justice Harry A. Blackmun in renouncing his support
for the death penalty as a constitutional means of punishment. In February 1994,
Blackmun dissented in the courts decision in Callins v. Collins. Supreme Court
Justice Antonin Scalia wrote the majority opinion, upholding the constitutionality of
the death penalty.
open sidebar
In the 1972 case of Furman v. Georgia, the Supreme Court of the United States ruled
that the procedures leading to imposition of the death penalty in Georgia were
unlawful. Although the Court indicated that capital punishment was not necessarily
a cruel and unusual punishment in violation of the Constitution of the United
States, it determined that allowing a jury unlimited discretion to choose between a
death sentence and a prison sentence is unconstitutional. Because all of the states
that provided for capital punishment at that time also used a standardless system
that is, a system in which the sentencing decision of jurors was unguidedthis
ruling invalidated every states death penalty statute. Following the Furman
decision, many states passed new death penalty legislation. These laws still gave
the jury the discretion to choose between imprisonment or death, but they also
restricted the types of crimes for which death could be imposed and provided
instructions to guide the jurys determination of punishment. In 1976 the Supreme
Court ruled such systems constitutional.
Opponents of capital punishment see it as barbaric and degrading to the dignity of

the individual. Many believe it poses too great a risk of executing an innocent
person. Supporters respond that the death penalty provides a uniquely effective
punishment. They consider it a necessary form of retribution for terrible crimes.
Opponents of the imposition of capital punishment in the United States assert that
authorities apply the death penalty unfairly. These critics emphasize the
disproportionate numbers of African Americans on death row and also note that the
race of the crime victim provides a statistically clear determinant of whether an
offender receives a sentence of death or imprisonment. Although about half of all
murder victims are nonwhite, 80 percent of death sentences are imposed for
murders of whites. Those who believe capital punishment is not imposed unfairly
attribute this trend to differences in the types of crimes involving white victims.
Those who support capital punishment believe it serves an important function of

vengeance. Some proponents of the death penalty argue that those who kill should
also be killed because death is the only fitting punishment for an individual who
takes anothers life. Supporters of capital punishment also believe that executing
offenders will deter others from committing similar crimes. See also Capital
Punishment.
F. Other Approaches
Modern forms of criminal punishment include alternatives that contrast vividly with
corporal punishments and large-scale warehousing of offenders in prisons. Modern
programs increasingly emphasize an individualized approach to the rehabilitation
and treatment of offenders.
In the United States and Canada, persons convicted of crimes are most often placed
on probation. A person who receives probation remains in the community but is
subject to supervision and must comply with various conditions. The conditions may
include mandatory group or individual psychological counseling sessions, classes, or
vocational training. Because growing numbers of offenders have drug or alcohol
dependencies, drug rehabilitation programs are often included as a condition of
probation.
Probationers who have committed more serious crimes require tight supervision,
including house arrest and electronic monitoring. People under house arrest must
remain in their house and may leave only for periods of work during the day. They
must observe rigid curfews and allow probation officers to enter their homes at any
time to inspect the premises for illegal drugs or other contraband. Electronic
monitoring is often used in conjunction with house arrest. The offender must wear
electronic bracelets or anklets that emit electronic signals and permit probation
officers to detect whether the probationer is where he or she is supposed to be.
Another type of electronic monitoring involves a telephonic device that reads the
electronic signal of the probationers bracelet. When probation officers call at
random times, offenders must insert their bracelets into the device so that the
officers can ascertain the offenders location.
Prison inmates who are within six months of their release date or who have recently
been released may qualify for special transitional programs. Inmates who wish to
enroll in colleges or perform work outside the prison during their final months of
incarceration may request study- or work-release time. If such time is granted,
prison officials will permit the inmates daily unescorted leaves from prison for such
purposes. Vermont developed the first work- and study-release programs in the
United States in 1906. In 1998 about 25,000 U.S. prisoners participated in work- or
study-release programs. Canada instituted work-release programs in 1992. In 1998
about 1,200 inmates in Canada received work releases.
Some inmates may be granted furloughs (temporary leaves) so that they can spend
weekends visiting with their families at home. Furlough programs originated in
Mississippi in 1918. By 1998 approximately 10,000 prisoners in the United States

received furloughs each year. Canada does not utilize furloughs. However, a small
portion of inmates are granted day parole.
Parole boards place some paroled inmates in halfway houses. These community
residences, staffed by counselors and aides, assist offenders in making the
transition back into community life. Halfway houses provide released prisoners with
a place to sleep and eat. In addition, halfway-house personnel help parolees find
jobs and get access to needed services. Halfway houses originated in England
during the 1800s. Pennsylvania established the first halfway house in the United
States in 1817. Today there are hundreds of halfway houses in the United States
helping former prisoners cope with their freedom.
III. GOALS OF CRIMINAL PUNISHMENT
The major driving force underlying all punishment is revenge, also referred to as
retribution. The word retribution derives from a Latin word meaning to pay back.
In retaliation for wrongdoing, societies seek to punish individuals who violate the
rules. Criminal punishment is also intended as a deterrent to future criminality.
Offenders who are punished may be deterred from future wrongdoing because they
fear additional punishment. Others who contemplate crime may also be deterred
from criminal behavior. Societies also impose punishments in order to incapacitate
dangerous or unlawful individuals by restricting their liberty and to rehabilitate
these wrongdoers and correct their behavior.
The various goals of criminal punishment may conflict with one another. For
instance, the goal of incapacitation may be achieved by confining offenders for long
prison terms. However, inmates who are warehoused in large prisons where they
associate closely with other criminals and lack control over their life may develop
additional antisocial behaviors. Consequently, punishment may perpetuate criminal
dispositions and behaviors rather than eliminate them.
A. Retribution
Retribution is probably the oldest goal of criminal punishment. The Babylonian Code
of Hammurabi, dating from the 18th century bc, contained this principle of equal
retaliation. Similarly, the laws of the ancient Hebrews demanded an eye for an eye
and a tooth for a tooth. The corporal punishments used in England and the
American colonies were based on retribution.
Over time many came to believe that the brutal punishments imposed on offenders
far exceeded the seriousness of the crimes. French novelist Victor Hugo satirized
criminal punishment in France during the 19th century in his novel Les Miserables
(1862), in which a character is sentenced to 20 years of hard labor after stealing a
loaf of bread to feed his family. When the character later escapes, officials hound
him for years as though he had committed murder. Although extreme, this fictional
account captured the vengeful nature of punishment in those times.
In the United States, the retributionist philosophy remains apparent in the

sentencing practices of courts, the laws enacted by state legislatures and Congress,
and the rules and regulations of various correctional programs. Common
punishments include restitution; fines; and victim compensation for losses, pain,
and suffering resulting from crimes. Furthermore, offenders perform hundreds of
hours of public service work as restitution to the state in partial payment for the
losses resulting from their crimes.
There is little evidence to indicate that criminals change their behavior as a result of
government-imposed retribution. Many released prisoners and former probationers
repeatedly commit crimes. The value of retribution to society may be ritualistic.
That is, when formal measures of retribution are imposed citizens may feel satisfied
that crime has been appropriately addressed.
B. Deterrence
Another goal of punishment is deterrencethe prevention of crime. There are two

types of deterrence: specific and general. Specific deterrence refers to the
preventive effect of a specific punishment, such as a large fine and a long prison
sentence, on a specific individual for committing a specific crime. Many believe that
imposing a sufficiently severe punishment on an offender will deter that individual
from future crime. General deterrence is intended to apply to any person who
contemplates committing a crime. For example, advocates of the death penalty
believe that imposition of such a severe punishment on murderers will prevent
others from killing people.
C. Incapacitation
Modern punishments seek to incapacitate certain offenders who are believed to

pose a threat to the community. Incapacitation involves restricting offenders
movement or liberty. In contemporary practice, the goal of incapacitation is
associated with attempts to punish offenders in a manner proportionate to the
seriousness of the crime.
Isolating criminals from society through confinement or incarceration is the most

direct method of crime prevention. Containing offenders in prisons and jails
prevents them from harming others or damaging property. For many offenders
incapacitation is also psychologically painful. Most people consider incarceration a
sound defensive strategy to protect the public and combat crime. However, because
many criminals remain undetected, unapprehended, and unrestrained, the
defensive value of incarceration may be overrated.
In the United States, severe prison overcrowding frustrates efforts to incarcerate all
offenders who deserve to be incarcerated. Even with new construction, it will remain
impossible to incarcerate all eligible offenders. Furthermore, prison and jail
construction is costly and often unpopular. In certain communities a not in my
backyard syndrome typifies citizen reaction to proposed prison or jail construction.
D. Rehabilitation
Educational Program in Prison
Educational Program in Prison

Inmates at the West Tennessee Detention Facility in Mason, Tennessee, work on
computers as part of an educational program. Prison rehabilitative programs
attempt to help inmates integrate into society and avoid future criminal activity.
A. Rameau/Stock Boston Inc.
Full Size
Contemporary criminal punishment seeks to correct criminals and transform their

behavior, rather than merely penalize wrongdoers. As early as 1787 the Society of
Friends (Quakers) in Pennsylvania espoused inmate reform as a major aim of
prisons. Prisons became known as penitentiaries because the Quakers believed that
prisons could help criminals become penitent (remorseful) and change their
behavior. However, it was not until the late 19th century that rehabilitation became
an acknowledged goal of criminal punishment in the United States. Rehabilitation
programs of this era differed from the reform-oriented practices promoted by the
Quakers. Rather than requiring solitary religious study, prisons began to emphasize
basic education and skills training. At its first convention in 1870, the National
Congress on Penitentiary and Reformatory Discipline officially recognized
rehabilitation as a valid and useful function of incarceration. Shortly thereafter,
American prison administrator Zebulon Brockway established the Elmira
Reformatory in Elmira, New York. The reformatorys stated goals included
rehabilitation and reform of inmates. Between 1876 and 1920 a fourth of the states
modeled the construction and administration of their prisons on the Elmira
Reformatory. These institutions provided vocational training and other programs to
promote inmate rehabilitation.
The rehabilitation philosophy of punishment dominated in the United States through

the first half of the 20th century. However, high recidivism rates among former
inmates caused many experts to become skeptical of rehabilitation programs.
Increasingly, the goal of rehabilitation has received lower priority in corrections.
Today the primary emphasis of punishment in the United States is ensuring that
offenders receive penalties commensurate with the seriousness of their offenses.
The primary philosophy of Canadian corrections is rehabilitation. Since 1992,
Canada has worked to reduce its incarcerated population by implementing various
alternatives to incarceration and accelerating parole release of incarcerated
offenders.
IV. ATTITUDES ABOUT CRIMINAL PUNISHMENT
During the late 1700s and early 1800s, several French, English, and Italian
philosophers and social reformers achieved prominence through their criticisms of
corporal punishments. For example, in Des Lespirit des lois (1748; translated as
The Spirit of the Laws, 1750), French political theorist Montesquieu criticized the
French penal code and the inhuman punishments suffered by prisoners. He believed
that punishments should fit the crimes committed and that more humane conditions
should be provided for incarcerated offenders. French philosopher and social critic
Voltaire also objected to injustices against criminals, such as arbitrary sentencing
practices and secret trials. Denis Diderot, another French philosopher, campaigned
for political reforms to eliminate punishments he believed to be cruel and inhuman.
During the late 1700s, British philosopher and economist Jeremy Bentham, who
founded the doctrine of utilitarianism, became an outspoken critic of penal policy in
England. In An Introduction to the Principles and Morals of Legislation (1789),
Bentham applied his philosophy of utilitarianism to crime and punishment. Bentham
believed that criminals engage in crime for pleasure and calculate the gains and
losses (or pleasures and pains) associated with criminal conduct. He argued that a
utilitarian philosophy of punishment would be useful in deterring crimes by
minimizing or eliminating the pleasures offenders obtain from wrongdoing. Bentham
proposed that the punishment inflicted should offset the pleasure offenders achieve
from their crimes. He also believed that people would be more effectively deterred
from crime if they did not consider punishments arbitrary and capricious. Many of
Benthams ideas were adopted by the British legislature, including the limitation of
capital punishment to only the most serious crimes.
One of the most influential writers of this time, Italian jurist and economist Cesare
Beccaria, built on the work of Montesquieu and Voltaire. Like Voltaire, Beccaria
objected to judicial tyranny and injustice, as well as torturous corporal punishments.
Beccarias work, Tratto dei delitti e delle pene, (1764; translated as An Essay on
Crimes and Punishments, 1880), contained the basic principles of the classical
school of criminology. These include (1) the best approach to crime is prevention
and prevention is maximized by establishing written legal codes that define
prohibited behaviors and the punishments for them; (2) law serves the needs of
society rather than enforces moral virtues and therefore should be limited to the
most serious offenses; (3) all persons should be considered innocent until proven
guilty; (4) punishment should be swift and certain, with no regard for personalities
or social characteristics of offenders; and (5) punishment should be retributive and
the degree of retribution should fit the seriousness of the crime.
Many countries, including Canada, England, France, and Italy, have incorporated
Beccarias principles into their legal system and jurisprudence (legal philosophy).
When Beccaria originally proposed his ideas, many considered them antithetical to
the existing legal system. Prior to Beccarias time, only those with wealth, property,
and political influence possessed legal rights and privileges. His work influenced
several of the authors of the U.S. Constitution. The language of many U.S. criminal
laws reflects Beccarias ideas.
MORE SOURCES
Web Links
Crime and Punishment [Public Record Office]

This National Archives site offers historical information about crime, prevention, and
punishment in Britain since the Middle Ages; includes resources for teachers and
students.
http://learningcurve.pro.gov.uk/candp/
United States Sentencing Commission
The United States Sentencing Commission offers an overview of its organization and
functions, the full text of the sentencing guidelines for federal courts, reports on
legislation affecting sentencing, and other resources.
http://www.ussc.gov/
The Sentencing Project
The Sentencing Project is a nonprofit organization dedicated to the development of
alternative sentencing programs and the reform of criminal justice policy; it offers a
wide range of information.
http://www.sentencingproject.org/
Further Reading
Prisons
Anderson, David C. Sensible Justice: Alternatives to Prison. New Press, 1998. A

former member of the New York Times editorial board presents a range of probationbased supervision and rehabilitation programs that do not involve time in prison.
Currie, Elliott. Crime and Punishment in America. Holt, 1998. Questions whether
more prisons ensures an enduring public safety.
Ebbe, Obi N. Ignatius, ed. Comparative and International Criminal Justice Systems:
Policing, Judiciary and Corrections. 2nd ed. Butterworth-Heinemann, 2000.
Comprehensive comparison of criminal justice systems in Africa, Asia, the Middle
East, Europe, and North and South America.
Gaines, Ann, and Austin Sarat. Prisons. Chelsea House, 1998. Discusses the history
and philosophy of imprisonment and examines issues such as prison reform, riots,
and prisoners' rights; for young adult readers.
Jacobson-Hardy, Michael. Behind the Razor Wire: Portrait of a Contemporary
American Prison System. New York University Press, 1998. Photographic survey of
inmate life behind bars.
Morris, Noval, and David J. Rothman, eds. The Oxford History of the Prison: The
Practice of Punishment in Western Society. Oxford University Press, 1997. Provides
an insightful international perspective on penal practices.
Parenti, Christian. Lockdown America: Police and Prisons in the Age of Crisis. Verso,
1999. A powerful portrait of the violence in America's prisons.
Rafter, Nicole Hahn. Prisons in America: A Reference Handbook. ABC-CLIO, 1999.
Presents an overview of America's prison system from colonial times to the present.
Punishment, Criminal
Currie, Elliott. Crime and Punishment in America. Holt, 1998. Looks at the myths
surrounding various approaches to crime.
Johnson, M. Avery. Politics, Population, Prison, Plantations. Prosper, 2000. An expos
of worldwide conditions in prisons and in society in general.
Lifton, Robert Jay, and Greg Mitchell. Who Owns Death? Capital Punishment, the
American Conscience, and the End of Executions. HarperCollins, 2000. Explores the
mindset of those who play a role in executions.
Tonry, Michael, ed. The Handbook of Crime and Punishment. Oxford University
Press, 1998, 2000. Examines the study of crime and the forms and philosophies of
punishment.
Sidebars
Does Imprisonment Reduce Crime?

The prison population in the United States has reached an all-time high. Convicted
criminals are being imprisoned at higher rates and are serving longer sentences.
But is a tougher stance on sentencing really benefiting society? Does the threat of
imprisonment deter potential criminals? Do prisons rehabilitate criminals? In this
Point/Counterpoint Sidebar adapted from two 1996 publications, the National
Criminal Justice Commission argues that the prison system wastes public resources,
converts nonviolent offenders into violent criminals, and disproportionately
punishes some racial groups. The Council on Crime in America counters that prisons
deter criminals, enable them to repay their debt to society, keep violent offenders
off the streets, and rehabilitate those who are eventually released.
more...
Should the Death Penalty Be Abolished?
Throughout history, many nations have sanctioned the use of capital punishment. In
the late 20th century, some countries abolished the death penalty, imposing life
sentences instead. The death penalty is imposed in 38 states in the United States
and for certain federal crimes, but the practice has long been controversial. In this
Point/Counterpoint Sidebar, Lawrence C. Marshall, professor of law at Northwestern

University in Evanston, Illinois, argues that the death penalty should be abolished
because innocent people are often condemned to die. Paul G. Cassell, professor of
law at the University of Utah in Salt Lake City, contends that the death penalty is a
just and necessary punishment for the crime of murder.
more...
Justices Harry A. Blackmun and Antonin Scalia on Capital Punishment
From this day forward, I no longer shall tinker with the machinery of death, wrote
United States Supreme Court Justice Harry A. Blackmun in renouncing his support
for the death penalty as a constitutional means of punishment. In February 1994,
Blackmun dissented in the courts decision in Callins v. Collins. Supreme Court
Justice Antonin Scalia wrote the majority opinion, upholding the constitutionality of
the death penalty.
more...
ALSO IN ENCARTA
Related Articles
Contributed By:
Dean J. Champion
reserved.
Expand
I. INTRODUCTION
Criminal Procedure, body of law regulating the inquiry into whether a person has
violated criminal law. Criminal procedure governs the investigation of crimes; the
arrest, charging, and trial of accused criminals; and the sentencing of those
convicted (found guilty of a crime). It also regulates the convicted persons possible
appeal for review of the trial courts decision.
II. JUDICIAL SYSTEMS
Legal systems based on the common law tradition, such as those in England,
Canada, and the United States, are typically contrasted with civil law systems,
which are found in many Western European countries, much of Latin America and
Africa, and parts of Asia. Civil law and common law systems have entirely different
approaches to criminal procedure. Most countries with civil law systems use what is
known as the inquisitorial system. Common law countries use what is called the
adversarial system.
A. Inquisitorial System
The inquisitorial process is characterized by a continuing investigation conducted

initially by police and then more extensively by an impartial examining magistrate.
This system assumes that an accurate verdict is most likely to arise from a careful
and exhaustive investigation. The examining magistrate serves as the lead
investigatoran inquisitor who directs the fact-gathering process by questioning
witnesses, interrogating the suspect, and collecting other evidence. The attorneys
for the prosecution (the accuser) and defense (the accused) play a limited role in
offering legal arguments and interpretations that they believe the court should give
to the facts that are discovered. All parties, including the accused, are expected
(but not required) to cooperate in the investigation by answering the magistrate's
questions and supplying relevant evidence.
The case proceeds to trial only after completion of the examining phase and the
resolution of factual uncertainties, and only if the examining magistrate determines
that there is sufficient evidence of guilt. Under the inquisitorial approach, the trial is
merely the public finale of the ongoing investigation. At this point, the accused
assumes the burden of refuting the prima facie (apparent) case of guilt developed in
the examining phase. Critics argue that the inquisitorial system places too much
unchecked power in the examining magistrate and judge, who both investigate and
adjudicate (legally determine) the case.
B. Adversarial System
In a common law system, an adversarial approach is used to investigate and

adjudicate guilt or innocence. The adversarial system assumes that truththat is,
an accurate verdictis most likely to result from the open competition between the
prosecution and the defense. Primary responsibility for the presentation of evidence
and legal arguments lies with the opposing parties, not with a judge. Each side,
acting in its self-interest, is expected to present facts and interpretations of the law
in a way most favorable to its interests. The approach presumes that the accused is
innocent, and the burden of proving guilt rests with the prosecution. Through
counterargument and cross-examination, each side is expected to test the
truthfulness, relevancy, and sufficiency of the opponent's evidence and arguments.
The adversarial system places decision-making authority in the hands of neutral

decision makers. The judge ascertains the applicable law and the jury determines
the facts. The system emphasizes procedural rules designed to ensure that the
contest between the parties is a fair fight. Critics of the adversarial approach argue
that the pursuit of winning often overshadows the search for truth. Furthermore,
inequalities between the parties in resources and in the abilities of the attorneys
may distort the outcome of the adversarial contest.
III. CRIMINAL PROCEDURE IN THE UNITED STATES
Bill of Rights
Bill of Rights
The first ten amendments to the Constitution of the United States, known as the Bill
of Rights, protect individual rights against intrusion by the federal government.
Several of the amendments protect persons suspected, accused, or convicted of
crimes.
Day Williams/Photo Researchers, Inc.
Full Size
The English colonists who came to North America in the 17th century brought their
legal traditions with them. After the American Revolution (1775-1783), the English
common lawincluding the adversarial approach to criminal procedureremained
as the basis of law in the United States.
The United States has a federal system, meaning that power is divided between a
central authority and many state or local authorities (see Federalism). Thus, there
are 51 different sets of criminal procedural law in the United Statesthat of the
federal government and one for each of the 50 states. In addition, separate criminal
procedures exist for military courts and for federal territories. The procedures
adopted by each state and the federal government vary. However, the shared
heritage of the English common law provides significant similarities in the basic
structure of the process. Furthermore, the Constitution of the United States imposes
some limitations on the states in formulating their criminal procedure.
A. Federal Criminal Procedure
A person prosecuted in the federal courts on a charge of violating a federal criminal

law is subject to federal criminal procedure. Federal procedure is governed, first of
all, by certain provisions of the U.S. Constitution, especially those contained in the
Bill of Rights (the first ten amendments to the Constitution). The Constitution
guarantees certain procedural rights that the government must afford a federal
criminal defendant, unless the defendant knowingly and voluntarily waives
(surrenders) these rights (see Constitution of the United States: Rights of the
Accused).
The Fourth Amendment protects citizens from unreasonable searches and seizures
and describes how law enforcement officials can obtain warrants (court orders
permitting a search or arrest). The Fifth Amendment protects individuals accused of
crimes from having to testify against themselves and from being tried more than
once for the same offense. It also requires that any criminal charges result from the
proceedings of a grand jurya body of citizens convened to determine whether
sufficient evidence exists to have a trial. Finally, the Fifth Amendment requires that
government procedures adhere to due process of law, which means basic standards
of fairness and equity. Under the Sixth Amendment, a defendant is guaranteed a
speedy and public jury trial during which the defendant will get notice of the
charges he or she faces and may call witnesses and face his or her accusers. The
Sixth Amendment also guarantees that the trial will take place in the district where
the alleged crime was committed and that the defendant will have the assistance of
legal counsel. The Eighth Amendment prohibits excessive bail, excessive fines, and
cruel and unusual punishments.
These constitutional guarantees provide a starting point for federal criminal

procedure. The Federal Rules of Criminal Procedure, issued by the Supreme Court of
the United States and enacted by the Congress of the United States in 1945,
supplement the constitutional guarantees. The rules contain detailed provisions
relating to the pretrial, trial, and appeal stages of federal prosecutions. Other details
of federal criminal procedure are covered in federal statutes enacted by the U.S.
Congress. Finally, a substantial part of the law of federal criminal procedure is found
in the reported decisions of the federal courts.
B. State Criminal Procedure
A person prosecuted in the courts of a particular state on a charge of violating the

criminal laws of that state is subject to state criminal procedure. State criminal
procedure is found in the constitution, statutes, rules, and judicial decisions of that
state. Furthermore, portions of the U.S. Constitution are applicable to state criminal
defendants.
State constitutions generally guarantee a state criminal defendant most of the

same rights that a federal defendant is provided by the Bill of Rights. Some states
have provisions that vary from federal constitutional requirements. For example, in
a number of states criminal charges need not result from the proceedings of a grand
jury. Instead, a judge determines whether or not the accused person should be tried
after reviewing the evidence during a preliminary hearing. States may provide
greater rights for criminal defendants than the U.S. Constitution guarantees.
The Supreme Court of the United States has required states to provide to criminal
defendants most of the procedural guarantees in the U.S. Constitution. For example,
states must recognize the Fifth Amendment right to avoid self-incrimination. In
addition to these specific rights, the states are required by the U.S. Constitution to
guarantee due process. The 14th Amendment, passed after the American Civil War
(1861-1865), reads in part, nor shall any State deprive any person of life, liberty, or
property, without due process of law; nor deny to any person within its jurisdiction
the equal protection of the laws. Like the 5th Amendment, which applies to federal
criminal procedure, the 14th Amendment requires the states to maintain certain
minimum standards of fundamental fairness in their laws concerning criminal
procedure. For instance, prosecutors may not systematically exclude members of a
particular race or gender from a jury. State convictions that result from proceedings
that violate the minimum standards required by the 14th Amendment can be set
aside by the federal courts through the process of appeal if the state courts
themselves do not do so first.
IV. JURISDICTION
For a criminal conviction to be valid, both the sovereign power (the state or federal
government) and the specific court that tries the accused must have jurisdiction
(authority) over the crime charged. Jurisdiction refers to a courts authority to hear
and decide a case. The jurisdiction of state courts is restricted by the geographical
boundaries of the state. Jurisdiction is also limited by the type or subject matter of a
case. For example, a family court with jurisdiction over child custody and placement
cannot try a murder case.
According to the laws of some states, a crime is committed in only one place and
only the sovereign that controls that place has the power to try the accused for the
wrongdoing. Therefore, if a woman standing in one state shoots and kills a man who
is just over the state line in another state, the murder is committed in the state
where the lethal bullet hit the victim. Only the state where the victim was injured
has jurisdiction to try the woman. However, some states have enacted statutes
conferring jurisdiction on the state where the crime was partly committed.
Because in many instances only the state where the crime was committed may
prosecute the accused, laws have been enacted providing a process for acquiring
custody of individuals accused of committing a crime in one state who then flee to
another state or country. The U.S. Constitution provides for interstate extradition
that is, each state must surrender people who flee to that state upon a request by
another state in which the person is accused of committing a crime. Many countries
have adopted treaties that specify how suspected criminals who flee from one
country to another can be returned to the country from which they fled.
V. PRETRIAL EVENTS
Criminal Justice Process
Criminal Justice Process
The stages of the criminal justice process in the United States are designed to
ensure that innocent people are not convicted and that law enforcement officials do
not abuse their power. The majority of cases do not proceed past the preliminary
review stage and only a small percentage of arrests end in convictions.
Full Size
The rules of criminal procedure affect many actions prior to the formal trial of the
defendant. Even before a suspect is arrested, certain procedural rules govern the
activities of the police and the rights of the suspect. After an arrest is made, a series
of events takes place leading up to either release, a guilty plea, or a trial to
determine the accused persons guilt or innocence. All of these events are governed
by the rules of criminal procedure. Because each jurisdiction develops its own
procedures, the names of the various pretrial proceedings and the order in which
they occur vary.
A. Investigation and Arrest
Arrests in the United States
Arrests in the United States

This table gives statistics on arrests made in the United States by category. In 1995
theft and drug use violations, including driving under the influence of alcohol,
accounted for nearly one-third of all U.S. arrests.
Full Size
The first step in a criminal prosecution is normally the arrest of the suspect. Arrests
can be made with or without a warrant (a document issued by a court prior to an
arrest that clearly specifies the nature of the offense for which the suspect is being
arrested). An arrest is the process of taking a person into custody for the purpose of
charging that person with a crime. An arrest is typically preceded by a prearrest
investigation in which the police seek to determine (1) whether a crime was actually
committed; and (2) if it was committed, whether there is sufficient information
pointing to the guilt of a particular individual to justify arresting that person.
Sidebars
HISTORIC HEADLINES
Supreme Court's Miranda Ruling
In the case of Miranda v. Arizona, the Supreme Court of the United States ruled that
when criminal suspects are arrested, they must be told of their constitutional rights,
including the right to remain silent and the right to seek legal counsel. The following
Los Angeles Times article of June 14, 1966, examines the arguments made by
Supreme Court justices who supported this important ruling and those who
dissented.
open sidebar
The prearrest investigation may involve, among other techniques, personal

observation by a police officer, questioning of witnesses and the suspect, and
collecting and examining physical evidence left at the scene of a crime (see Crime
Detection). Before questioning a suspect in custody, the police must inform him or
her of certain legal rights, including the right to remain silent and the right to have
an attorney present during questioning. These Miranda warnings are named after
the 1966 Supreme Court case, Miranda v. Arizona, in which the Court declared the
necessity of such a procedure.
Sidebars
HISTORIC DOCUMENTS
From Miranda v. Arizona
In 1963, after two hours of police interrogation, Ernesto Miranda confessed to the
kidnapping and rape of a young woman in Phoenix, Arizona. Prior to this incident all
confessions made during police custody had to be considered voluntary and
uncoerced to be admissible in court. Police officers failed to inform Miranda of his
right to counsel while he was under arrest. State courts convicted Miranda, but he
later appealed, arguing that the Fifth Amendment to the Constitution of the United
States, which protects against self-incrimination was linked to the Sixth Amendment
guarantee to counsel. In 1966, by a vote of 5 to 4, the Supreme Court of the United
States granted Miranda a retrial. Chief Justice Earl Warren established what have
become known as the Miranda Rights. These rights require that suspects in police
custody must be warned prior to any questioning that they have the right to remain
silent; that anything they say can be used against them in a court of law; that they
have the right to the presence of an attorney; and that, if they cannot afford an
attorney, one will be appointed for them prior to any questioning if they so desire.
open sidebar
A judge may issue an arrest warrant if either a police officer or a private person
swears under oath that the accused has committed a crime, or that a crime has
been committed and there is probable cause for believing the accused committed it.
For certain crimes, a summons may be used in place of an arrest. A summons is a
formal document notifying a person that he or she is required to appear in court to
answer a charge. A police officer may properly make an arrest without a warrant if a
felony (serious crime) is committed or attempted in the officer's presence, or if the
officer reasonably believes a felony has been committed and that the accused did it.
A police officer may also make an arrest for any misdemeanor (minor offense)
committed or attempted in the officer's presence. Even a private citizen may
properly make a warrantless arrest in certain limited circumstances, but such
citizen's arrests are rare.
B. Booking
Once the suspect has been taken into custody and transported to a police facility,
he or she is booked. Booking is the clerical process by which an administrative
record is made of the arrest. The name and address of the person arrested
(sometimes referred to as the arrestee), the time and place of arrest, the name of
the arresting officer, and the arrest charge are entered in the police log. Booking
can also involve searching, fingerprinting, photographing, and testing the arrestee
for drugs and alcohol. If booked on a minor offense, the arrestee may be able to
obtain release immediately by posting cash (known as station house bail) as
security to ensure his or her appearance before a magistrate at a later date. If
arrested on a serious offense, the accused will be placed in a holding facility to
await the filing of an initial charging document (complaint) and a first appearance
before a judge or magistrate.
C. First Judicial Appearance
Sidebars
HISTORIC DOCUMENTS
From Gideon v. Wainwright
The Gideon v. Wainwright case of 1963 reshaped criminal law in the United States.
Clarence Earl Gideon, who had represented himself because he could not afford a
lawyer, was convicted of robbery in 1961. He appealed to the Supreme Court of the
United States claiming that the state of Florida violated his constitutional rights by
not providing him with defense counsel. In a previous ruling, Betts v. Brady, the
Supreme Court had held that state governments, unlike the federal government,
were not obliged to provide lawyers for poor defendants. The courts decision in the
Gideon case reversed the Betts ruling and determined that states must provide all
poor defendants with counsel for any felony charge brought against them. The court
ordered a new trial for Gideon, this time with a Florida public defender. He was
acquitted and released from prison.
open sidebar
Within a reasonable time after the arrest, the accused must be taken before a
magistrate and informed of the charge. The magistrate will ascertain that the
person before the court is, in fact, the individual referred to in the complaint. The
magistrate also will notify the accused of various legal rights, such as the right to
remain silent and the right to assistance of counsel. If the accused is indigent (poor)
and desires the assistance of an appointed attorney, the process for securing an
attorney at the state's expense will be initiated. In some jurisdictions, the
government retains a staff of attorneys, known as public defenders, specifically to
defend those who cannot afford a private attorney. Public defenders specialize in
criminal law. In other areas, the court appoints private lawyers from the community
to represent indigent defendants. Some areas have a mix of the two systems.
In most jurisdictions, either before or during the first appearance, the magistrate
will review the evidence to ensure that the arrest and complaint are supported by
sufficient information to establish probable cause to believe the accused committed
the crime charged. If temporary pretrial release was not secured at an earlier stage,
the magistrate will consider whether the accused is entitled to be released on bail
and, if so, the conditions the accused must meet to gain release from custody
pending the trial. If charged with a minor offense, the accused may be asked to
enter a plea regarding his or her guilt or innocence, and the magistrate may have
the authority to proceed to trial if the defendant has pled not guilty. If the accused is
charged with a serious offense, he or she does not enter a plea at the initial
appearance.
D. Bail
Bail refers to the security that the accused gives to the court to guarantee his or her
appearance at subsequent judicial proceedings. The accused person's promise to
return for trial is secured by some form of collateral, such as money or property,
that the accused forfeits if he or she does not show up for trial. The bail system
attempts to balance the due process rights of the accused with the state's need to
ensure that a person accused of a crime will return for trial. The amount of bail is
fixed by the judge or magistrate.
Although a money bail system is in place in many states, the trend is to encourage
the release of accused persons without attaching financial conditions. If the court
believes the accused is likely to return for further proceedings, the court may
release the accused on his or her own recognizancethat is, an unsecured promise
to return. On the other hand, most jurisdictions either authorize or require
magistrates to deny bail for individuals who have demonstrated a high risk of
fleeing, such as individuals charged with an offense committed while out of jail on
bail, parole, or probation. Similarly, bail is typically unavailable for people charged
with offenses that could result in capital punishment (the death penalty). In some
jurisdictions, the accused may be preventively detained prior to trial if the
prosecution can demonstrate to the court that he or she poses a danger to others.
E. Preliminary Hearing or Indictment
Under federal criminal procedure and in about half of the states, a person must be
indicted (formally charged) by a grand jury before a felony trial can take place.
Other states provide for a preliminary hearing, also called a preliminary
examination, after the initial judicial appearance. In a few states a prosecutor may
take a case to a preliminary hearing, or avoid that public process by going to a
grand jury, which holds its proceedings in secret.
In both types of proceedings, a neutral bodyeither a group of citizens or a judge

reviews the case against the accused and decides whether he or she should be
tried. These proceedings are designed to review the government's decision to
prosecute in order to prevent governmental abuse of power. If, after hearing the
evidence, the presiding judge or grand jury finds there is probable cause to believe
the accused committed the offense, legal proceedings against the accused
continue. If the prosecution's evidence is found insufficient, the charges are
dismissed and the accused is released. However, the person can be rearrested and
recharged if the prosecutors develop or find further evidence supporting the charge.
The grand jury typically hears only the evidence presented by the prosecution. The
accused does not have a right to be present at grand jury proceedings, which are
conducted in secret, or to present evidence or cross-examine the prosecutions
witnesses. However, some states permit someone under investigation to present
evidence to the grand jury under certain circumstances. If the grand jury finds
sufficient evidence to justify a trial on the crime charged, it issues an indictmenta
formal document containing a plain statement of the facts constituting the offense
charged.
A preliminary hearing is a public, adversarial proceeding in which the prosecution

and the defense briefly present their cases to a judge. The accused, represented by
counsel, is entitled to challenge the prosecutions evidence and introduce evidence
on his or her own behalf. The judge decides whether sufficient evidence exists to
justify a trial. As an alternative to grand jury indictment, the prosecutor can issue an
information, a document roughly equivalent to an indictment.
The indictment or information replaces the complaint as the formal charging

document in the case. Once the formal accusation has been issued, the accused is
referred to as the defendant. A copy of the accusation is given to the defendant
before he or she is arraigned.
F. Arraignment on the Indictment or Information
At the arraignment, which takes place in the court in which the defendant will be
tried, the indictment or information is read. The defendant is called upon to answer
the charge by pleading not guilty, guilty, or nolo contendere (no contest). Before
pleading, the defendant may file a formal document, known as a motion, asking the
court to dismiss the case. A judge can dismiss the charges if, for example, he or she
concludes that the grand jury was not properly assembled or determines that the
conduct charged does not constitute a crime. If the defendant does not make such
motion or if the court denies the motion, the defendant must enter a plea.
If the defendant pleads guilty, there is no trial and the case is set for sentencing.
With the court's permission, the defendant may be allowed to plead nolo
contendere. This plea has the same consequences as entering a guilty plea, but it
does not require the defendant to admit guilt. A plea of nolo contendere can be
especially important if a person charged with a crime also faces a civil lawsuit
stemming from the same event. If the defendant pleads guilty to the criminal
charge, the plea can be used against the defendant in a civil lawsuit. If the
defendant refuses to enter a plea, a not guilty plea is entered. Some states have
added a special plea of not guilty by reason of insanity (see Criminal Law:
Defenses). If the defendant pleads not guilty, the case is set for trial.
G. Preparation for Trial
The defendant is entitled to a speedy trial, although not so speedy as to deny

sufficient time to prepare an adequate defense. The defendant may ask for a
postponement if more time is needed. Although the defendant is entitled to be tried
in the county or district where the crime was committed, he or she may file a
motion asking the court for a change of venuethat is, a move of the trial to a court
in another locality. A change of venue is common when a fair trial in the district
would be impossible due to pretrial publicity or public hostility to the defendant.
Prior to the trial, the prosecutor is required to turn over to the defendant information
favorable to him or her on issues that will be tried.
The defense may file a variety of pretrial motions objecting to various aspects of the
prosecution. These motions may challenge the sufficiency and form of the charging
documents or the composition and conduct of the grand jury. Or they might request
that the prosecution share the evidence it has obtained. If the defense believes that
the prosecutions evidence has been obtained illegally, the defendant may file a
motion to suppress the evidence. If the court grants such a motion, the prosecutor
will not be permitted to introduce the evidence at trial.
VI. TRIAL
A criminal defendant who pleads not guilty is entitled to a public trial and has the
right to be present at the trial. During the trial a judge or jury determines whether
the defendant is guilty or not guilty based upon the application of criminal law to
the facts of the case. The criminal defendant must be given the opportunity to
confront and cross-examine the prosecution's witnesses and to present evidence in
his or her own defense.
A. Jury
Sidebars
SIDEBAR
Debating the Jury System
The following report is from a March 1996 article in the Encarta Yearbook.
open sidebar
The criminal defendant generally is entitled to a trial by jury in all felony cases and
in any misdemeanor case punishable by more than six months imprisonment. A
typical state jury trial includes between 6 and 12 jurors, who must decide
unanimously whether to acquit or convict. A few states permit conviction on less
than a unanimous verdict in some cases. Federal juries consist of 12 persons, and
their verdict must be unanimous. The jurors must be impartial and the jury must
represent a fair cross-section of the community. The exclusion of prospective jurors
solely on the basis of race or gender violates the U.S. Constitution.
Briefly, a jury trial consists of (1) the selection of the jury; (2) opening statements
by prosecution and defense attorneys during which each side states what it expects
to prove; (3) the presentation of evidence (first by the prosecution, then by the
defense) and the questioning of witnesses; (4) closing arguments in which each side
states what the evidence has proved or failed to prove; (5) instructions by the trial
judge to the jury concerning the law to be applied to the facts that the jury may
find; (6) the jury's deliberations and verdict (formal decision); and (7) the sentence,
if the verdict is guilty.
B. Evidence
The evidence presented by the prosecution or by the defense may consist of the
oral testimony of witnesses, documentary evidence, and physical evidence, such as
a murder weapon with the defendant's fingerprints on it. During direct examination,
the oral testimony of witnesses is first presented by the party (prosecution or

defense) who called the witness. The witness is then subject to a cross-examination,
in which the opposing party attempts to discredit the testimony or demonstrate that
it is incomplete. Following cross-examination, the original party may conduct a
redirect examination of the witness in order to explain away matters brought out on
cross-examination. The opposing party may then recross-examine the witness.
The privilege against self-incrimination allows the defendant to decline to take the
witness stand in his or her own defense. It also generally entitles the defendant to
have the judge instruct the jury that failure to testify shall not be taken as evidence
of guilt. The prosecution must not knowingly use perjured (false) testimony against
the defendant or suppress evidence favorable to the defendant. Generally speaking,
the prosecution may not use evidence obtained in violation of the defendant's
constitutional rights. For example, evidence collected during an unreasonable police
search or confessions obtained by torture are inadmissible at the trial to prove the
defendants guilt.
C. Trial Motions
When all of the prosecution's evidence has been presented and the prosecution
rests its case, the defense often asks the trial judge to direct the jury to return a
verdict of acquittal (not guilty). The defenses motion for a directed verdict is based
on the premise that the prosecution's evidence, even when viewed in the light most
favorable to the prosecution, fails to prove that the defendant committed the crime
charged. If the motion is granted, the defendant is acquitted. If it is denied, the
defendant may then present evidence in opposition to the prosecution's evidence.
After the defense reststhat is, finishes presenting its evidencethe defendant
may renew the motion for a directed verdict. If the judge again denies the motion,
the case goes to the jury after the judge provides instructions concerning the
applicable law.
D. Burden of Proof
In criminal cases, the defendant is presumed innocent until the prosecution proves
each element of the crime beyond a reasonable doubt. Thus, the law requires the
jury to acquit the defendant unless it is convinced of the defendant's guilt beyond a
reasonable doubt. The jury in a criminal case may not convict on a finding that the
defendants guilt is more likely than not. On the other hand, the law does not
require absolute certainty. The standard for determining guilt is somewhere in
between these two standards of proof.
E. Hung Jury
A jury that is unable to agree on whether to convict or acquit is called a hung jury. In
some states the jury must be unanimous in their verdict, whereas other states
permit less than unanimous verdicts in some cases. If the jury is unable to reach a
verdict, the defendant, not having been acquitted, may be retried later before
another jury. A retrial following a hung jury does not violate the Fifth Amendments
prohibition against double jeopardy, which generally prevents a person from being
tried twice for the same offense (see Jeopardy). The prosecution may or may not
choose to retry the accused.
VII. MOTIONS AFTER TRIAL
After a guilty verdict is issued, but generally before sentencing, the convicted
defendant may make a motion for a new trial on the premise that a mistake
prejudicial (harmful) to the defendant was made at the trial. Prejudicial errors
include errors in the judge's rulings on the admissibility of evidence or instructions
to the jury, or some misconduct by the jury, judge, or prosecutor. The defendant
may also move for a new trial based on the argument that the evidence was not
sufficient to support the jury's guilty verdict. A motion for a new trial on the basis of
newly discovered evidence that, had it been available at the trial, might have
resulted in an acquittal may be made after the defendant has been sentenced;
however, there is generally a time limit on this. If the trial judge grants the motion
for a new trial, the conviction is set aside and the defendant may be tried again by a
new jury. If the motion is denied, the defendant will be sentenced.
VIII. SENTENCING
Once guilt has been determined, either by verdict following a trial or by the entry of
a guilty plea, the defendant must be sentenced. Generally, the trial judge imposes
the sentence, which must be within the statutory limits set by the legislature for the
crime in question. In a few states, the jury fixes the sentence. Available sentences
include fine, forfeiture (loss of property), restitution, probation, some form of

incarceration or deprivation of liberty, or a combination of these. For certain very
serious offenses, the convicted offender may be sentenced to death.
The sentencing options available to the judge are often defined by the legislature. In
jurisdictions that use indeterminate sentencing, the judge has discretion to set the
sentence at a maximum and minimum term within a broad range permitted by law.
Parole authorities then determine the actual release date within those limits
depending on the prisoner's behavior and progress toward rehabilitation. In
contrast, a determinate sentence imposes a fixed term of incarceration with no
early release through parole. In jurisdictions that use presumptive sentencing, the
judge sentences the offender to a term that falls within a narrow range prescribed
by the legislature, and offenders are expected to serve this term. However, a judge
may permit a departure from this presumptive sentenceeither an increase or
decrease in the length of the termif specific justification is shown. Legislators
often spell out in detail the factors that justify a judge's departure from the
presumptive sentence. Some states have enacted statutes that provide for long and
often mandatory terms of imprisonment upon proof that the defendant has a prior
record of criminal activity.
A. Probation
Judges often have the option to place a convicted offender on probation. Probation
means the offender will remain in the community (rather than be sent to jail)
subject to certain conditions prescribed by statute or by the judge. One condition of
probation is supervision by a probation officer. If the offender violates the conditions
of probation, probation can be revoked and the offender can be incarcerated. See
also Probation.
B. Parole
In many jurisdictions, a defendant sentenced to prison may be eligible for release

on parole after a portion of the sentence has been served. Parole authorities grant
parole based on factors such as the prisoners behavior while in jail and the
predicted potential for the prisoner to refrain from further criminal activity. The
possibility of parole does not exist for some serious criminal offenders. If parole is
granted, the person on parole (known as the parolee) remains under the supervision
of a parole officer until the expiration of the sentence or a term otherwise specified
by law. If the parolee violates the conditions of parole, the parole authorities may
revoke parole, returning the parolee to prison for the remainder of the unexpired
sentence.
IX. APPEALS
A convicted criminal may appeal his or her conviction and sentence to a higher
court, known as an appellate court. The appellate court will review all or part of the
written record of what transpired at the trial to determine whether any error
prejudicial to the defendant was made. If any such error occurred, as where the trial
court erred in its rulings on the admissibility of evidence or in its instructions to the
jury on the law to be applied, the appellate court usually remands (returns) the case
for a new trial. Sometimes, however, the error is of a type that leads to a reversal of
conviction and the release of the defendant. For example, if the trial court
incorrectly refused to declare unconstitutional the statute on which the prosecution
was based, the appellate court would nullify the conviction, and the defendant
would go free. In such a situation a new trial based on the unconstitutional statute is
not permitted. If the appellate court finds no error or deems any errors harmless
that is, not substantial and not prejudicial to the interests of the defendantit
affirms the conviction.
X. HABEAS CORPUS
A person who has been convicted, sentenced to imprisonment, and incarcerated

may apply to a court for a writ of habeas corpus, a court order to release the
defendant from imprisonment. (Habeas corpus is a Latin phrase meaning you have
the body.) Through such a writ the individual tests the legality of his or her
detention and seeks to redress fundamental defects in the process leading to
conviction. The grounds for granting relief (release from detention) under the
habeas corpus writ are limited and vary slightly depending on the jurisdiction. Many
jurisdictions limit the scope of the habeas corpus writ to situations in which the
convicting court lacked jurisdiction over the defendant or over the crime. Others
grant relief in circumstances in which the conviction was obtained in violation of the
defendants constitutional rights and there is no other remedy to correct the
violation.
MORE SOURCES
Web Links
360degrees: Perspectives on the U.S. Criminal Justice System

This site offers a close look at the U.S. criminal courts system and includes
photographs, audio diaries, transcripts, teaching ideas, a glossary, timeline, and
links to relevant sites.
http://www.360degrees.org/
United States Sentencing Commission
The United States Sentencing Commission offers an overview of its organization and
functions, the full text of the sentencing guidelines for federal courts, reports on
legislation affecting sentencing, and other resources.
http://www.ussc.gov/
Justice Information Center
The National Criminal Justice Reference Service provides this comprehensive index
of information about law enforcement, the criminal justice system, and crime
prevention.
http://www.ncjrs.org/
Further Reading
Law
Black, Henry Campbell. Black's Law Dictionary. 7th ed. West, 2001. Abridged version
of a standard reference of terminology, phrases, and quotations from ancient to
modern times.
Brownlie, Ian, ed. Basic Documents in International Law. 4th ed. Oxford University
Press, 1995. International law documents dealing with diplomacy, human rights, the
sea, and outer space.
Cass, Ronald A. Rule of Law in America. John Hopkins University Press, 2001. A lucid
and balanced account of the rule of law and its place in American society.
Feinman, Jay M. Law 101: Everything You Need to Know About the American Legal
System. Oxford University Press, 2000. A background for the layperson.
Friedman, Lawrence Meir. Law in America: A Short History. Random House, 2002. A
concise social history of the U.S. legal system.
Irving, Shae; Kathleen A. Michon; and Beth McKenna, eds. Nolo's Encyclopedia of
Everyday Law: Answers to Your Most Frequently Asked Legal Questions. 4th ed.
Nolo, 2002. Provides a wide range of questions and answers to the many legal
issues that confront us daily.
Kritzer, Herbert M., ed. Legal Systems of the World: A Political, Social, and Cultural
Encyclopedia. 4 vols. ABC-CLIO, 2002. Covers every country of the world as well as
organizations and institutions.
Mersky, Roy M., and Donald J. Dunn. Legal Research Illustrated. 8th ed. Foundation
Press, 2002. Guide to research methodology.
Pound, Roscoe. An Introduction to the Philosophy of Law. Yale University Press, 1988.
A classic by an American legal scholar.
Schulze, Enike. Introduction to the American Legal System. 6th ed. Pearson, 2000. A
textbook survey.
Yogis, John A. Canadian Law Dictionary. 4th ed. Barron's, 1998. Defines legal terms
and phrases. Jury
Burnett, D. Graham. Trial by Jury. Knopf, 2001. A candid memoir of the challenges
faced by the author as a jury foreman in a murder case.
Dwyer, William L. In the Hands of the People: The Trial Jury's Origins, Triumphs,
Troubles and Future in American Democracy. St. Martin's, 2001. A compelling and
entertaining argument in support of the jury system.
Hans, Valerie P., and Neil Vidmar. Judging the Jury. Plenum, 1986, 1990. Perseus,
2001. An examination of jury justice, with cases; for general readers.
Lehman, Godfrey D. We the Jury: The Impact of Jurors on Our Basic Freedoms: Great
Jury Trials of History. Prometheus, 1997. The author uses examples of classic cases
to praise the role of the jury system in upholding justice.
Lief, Michael S.; H. Mitchell Caldwell; and Benjamin Bycel. Ladies and Gentlemen of
the Jury: Greatest Closing Arguments in Modern Law. Scribner, 1998. Closing
arguments from ten noteworthy cases, including background information on the
trials and evaluation of the lawyers' techniques.
Miller, Marvin. You Be the Jury. Apple, 1992. For younger readers.
Stanley, Jacqueline D. Juror's Rights. 2nd ed. Sourcebooks, 1998. What to expect if
called for jury duty.
Wolf, Robert V. Ed. Austin Sarat. The Jury System. Chelsea House, 1998. For middle
school readers. Courts
Abraham, Henry Julian. The Judicial Process: An Introductory Analysis of the Courts
of the United States, England, and France. 7th ed. Oxford University Press, 1998. A
classic text.
Bushnell, Ian. The Federal Court of Canada: A History, 1875-1992. University of
Toronto Press, 1997. A history of this institution.
Jacob, Herbert, and others. Courts, Law, and Politics in Comparative Perspective.
Yale University Press, 1996. A comparison of the courts in several countries.
Meyer, Howard N. The World Court in Action: Judging among the Nations. Rowman &
Littlefield, 2002. Traces the World Court from its beginnings in 1899 to its
contemporary challenges.
Reichell, Philip L. Comparative Criminal Justice Systems: A Topical Approach. 2nd ed.
Prentice Hall, 1998. Examines traditional questions of justice from the perspectives
of several countries.
Schabas, William A. An Introduction to the International Criminal Court. Cambridge
University Press, 2001. A good introduction on the court's role in the protection of
human rights.
Terrill, Richard J. World Criminal Justice Systems: A Survey. 4th ed. Anderson, 1999.
A study of the justice systems of seven countries.
Primary Sources
Historic Headlines
Supreme Court's Miranda Ruling

In the case of Miranda v. Arizona, the Supreme Court of the United States ruled that
when criminal suspects are arrested, they must be told of their constitutional rights,
including the right to remain silent and the right to seek legal counsel. The following
Los Angeles Times article of June 14, 1966, examines the arguments made by
Supreme Court justices who supported this important ruling and those who
dissented.
more...
Historic Documents
From Miranda v. Arizona

In 1963, after two hours of police interrogation, Ernesto Miranda confessed to the
kidnapping and rape of a young woman in Phoenix, Arizona. Prior to this incident all
confessions made during police custody had to be considered voluntary and
uncoerced to be admissible in court. Police officers failed to inform Miranda of his
right to counsel while he was under arrest. State courts convicted Miranda, but he
later appealed, arguing that the Fifth Amendment to the Constitution of the United
States, which protects against self-incrimination was linked to the Sixth Amendment
guarantee to counsel. In 1966, by a vote of 5 to 4, the Supreme Court of the United
States granted Miranda a retrial. Chief Justice Earl Warren established what have
become known as the Miranda Rights. These rights require that suspects in police
custody must be warned prior to any questioning that they have the right to remain
silent; that anything they say can be used against them in a court of law; that they
have the right to the presence of an attorney; and that, if they cannot afford an
attorney, one will be appointed for them prior to any questioning if they so desire.
more...
From Gideon v. Wainwright
The Gideon v. Wainwright case of 1963 reshaped criminal law in the United States.
Clarence Earl Gideon, who had represented himself because he could not afford a
lawyer, was convicted of robbery in 1961. He appealed to the Supreme Court of the
United States claiming that the state of Florida violated his constitutional rights by
not providing him with defense counsel. In a previous ruling, Betts v. Brady, the
Supreme Court had held that state governments, unlike the federal government,
were not obliged to provide lawyers for poor defendants. The courts decision in the
Gideon case reversed the Betts ruling and determined that states must provide all
poor defendants with counsel for any felony charge brought against them. The court
ordered a new trial for Gideon, this time with a Florida public defender. He was
acquitted and released from prison.
more...
Sidebars
Debating the Jury System

The following report is from a March 1996 article in the Encarta Yearbook.
more...
ALSO IN ENCARTA
Related Articles
Contributed By:
Daniel L. Dreisbach

Dreisbach, Daniel L. "Criminal Procedure." Microsoft Student 2008 [DVD].
Redmond, WA: Microsoft Corporation, 2007.
reserved.

Information

Hochgeladen von

Dokumentinformationen

Originaltitel

Copyright

Verfügbare Formate

Dieses Dokument teilen

Dokument teilen oder einbetten

Freigabeoptionen

Stufen Sie dieses Dokument als nützlich ein?

Sind diese Inhalte unangemessen?

Copyright:

Verfügbare Formate

Information

Hochgeladen von

Copyright:

Verfügbare Formate

Expand

Globalization, comprehensive term for the emergence of a global society in which

II. REASONS FOR GLOBALIZATION

Most experts attribute globalization to improvements in communication,

Advances in communication and information technologies have helped slash the

Improvements in transportation are also part of globalization. The world becomes

Advances in transportation have allowed U.S. corporations to subcontract

III. THE INSTITUTIONS OF GLOBALIZATION

John Maier/The Image Works

B. International Monetary Fund

economies under control. The programs are based on a strategy called

C. World Trade Organization

Protests Against the WTO

Protests Against the WTO

IV. CRITICISMS DIRECTED AT THE IMF AND WTO

A. IMF Terms and Conditions

D. Trade Disputes, Rules, and Agreements

Instead of increasing economic stability, financial liberalization caused financial

V. THE DEBATE OVER GLOBALIZATION

Very few people, groups, or governments oppose globalization in its entirety.

Protests by what is called the antiglobalization movement are seldom directed

VI. REGULATING GLOBALIZATION

The debate over globalization focuses in particular on how it can be regulated to

Global Purchasing Power

Global Purchasing Power

Young Laborers in South Asia

Young Laborers in South Asia

To stimulate economic development many developing countries have established

Life-threatening diseases represent another facet of globalization. Improvements in

to acquired immunodeficiency syndrome (AIDS). Of the 20 million people who have

If global warming continues, experts expect deserts to advance, particularly across

Environmentalists argue broadly in favor of sustainable development. By this they

Coca-Cola Billboard, Vietnam

Coca-Cola Billboard, Vietnam

There is widespread disagreement over what, if any, regulation is appropriate in the

VII. GLOBALIZATION IN THE COMING DECADES

Human Development Reports

Life in the Global Marketplace

How to cite this article:

Fifties Advertising Techniques

Fifties Advertising Techniques

Advertising, a form of commercial mass communication designed to promote the

Most advertising is designed to promote the sale of a particular product or service.

Marcel & Eva Malherbe/The Image Works

Advertising has become increasingly international. More than ever before,

II. TYPES OF ADVERTISING

Advertising on the Internet

Advertising on the Internet

Advertising can be divided into two broad categoriesconsumer advertising and

public of a product or service, or it tries to build loyalty to a product or service. Local

Institutional advertising seeks to create a favorable impression of a business or

Many advertisers prefer a strategy known as image advertising. These advertisers

Informational advertising seeks to promote an idea or influence behavior.

Cooperative advertising is an arrangement between manufacturers and retailers in

a manufacturer, the manufacturers cooperative advertising program may allot a 1

III. THE ROLE OF THE ADVERTISING AGENCY OR DEPARTMENT

Early Sears, Roebuck and Co. Catalog

Early Sears, Roebuck and Co. Catalog

A typical advertising agency is divided into a number of departments, such as

A. The Functions of Advertising Departments

Each advertising department has a specific function or assignment. Once one

Finally, because no advertiser has an unlimited amount of money to spend, cost is

headline, photograph or illustration, and body copywill appear as intended for