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36.Журнал Сибирского федерального университета. Сер. Гуманитарные науки №2 2009

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Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Æóðíàë Ñèáèðñêîãî ôåäåðàëüíîãî óíèâåðñèòåòà
2009
Journal of Siberian Federal University
2 (2)
Ãóìàíèòàðíûå íàóêè
Humanities & Social Sciences
Редакционный совет
академик РАН Е.А.Ваганов
академик РАН К.С.Александров
академик РАН И.И.Гительзон
академик РАН В.Ф.Шабанов
чл.-к. РАН, д-р физ.-мат.наук
А.Г.Дегерменджи
чл.-к. РАН, д-р физ.-мат. наук
В.Л.Миронов
чл.-к. РАН, д-р техн. наук
Г.Л.Пашков
чл.-к. РАН, д-р физ.-мат. наук
В.В.Шайдуров
академик РАО, д-р физ.-мат. наук
В.С. Соколов
Editorial Advisory Board
Chairman:
Eugene A. Vaganov
Members:
Kirill S. Alexandrov
Josef J. Gitelzon
Vasily F. Shabanov
Andrey G. Degermendzhy
Valery L. Mironov
Gennady L. Pashkov
Vladimir V. Shaidurov
Veniamin S. Sokolov
Editorial Board:
Editor-in-Chief:
Mikhail I. Gladyshev
Founding Editor:
Vladimir I. Kolmakov
Managing Editor:
Olga F. Alexandrova
Executive Editor
for Humanities & Social Sciences:
Natalia P. Koptseva
CONTENTS / ÑÎÄÅÐÆÀÍÈÅ
Veronica Y. Danilova
Processes of Restoration of Religious-National Identity and
Globalization in the Modern World
– 151 –
Nikolaj P. Parfentjev
Author’s &Alphabets[ in Systems of Record of Ancient-Russian
Musical-Written Art Products
– 163 –
Rimma M. Shamaeva
A Piece of Musical Art as a Creative Form of Artistic SelfExpression of Culture
– 169 –
Aleksandr A. Timofeev
Great Siberian Highway and Process Urbanization on Southern
Ural (1891-1914 Years)
– 176 –
Natalya V. Parfentjeva
Principles of Author’s Art Creativity in Ancient-Russian Church
Musical-Written Chanting of the XVI-XVII Centuries
– 184 –
Ilya A. Kolomeyskiy
The Cultural $ Educational Work in the Camps of the GULAG
of the NKVD During the Great Domestic War (on the Example
of the CHELYABLAG) 200
– 200 –
Evgeny V. Volkov
Defining Types of Learning Individuals: a Phase Portrait
Approach
– 209 –
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Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Consulting Editors
for Humanities & Social Sciences:
Gershon M. Breslavs
Sergey V. Deviatkin
Sergey A. Drobyshevsky
Oleg M. Gotlib
Boris I. Hasan
Igor E. Kim
Natalia V. Kovtun
Aleksandr A. Kronik
Pavel V. Mandryka
Boris V. Markov
Valentin G. Nemirovsky
Daniel V. Pivovarov
Andrey V. Smirnov
Viktor I. Suslov
Evgenia V. Zander
Igor S. Pyzhev
Vladimir L. Gavrikov a* and Rem G. Khlebopros
Defining Types of Learning Individuals: a Phase Portrait
Approach
– 215 –
Natalya Ph. German
Criteria of Mutual Understanding in Cross-Cultural Communication
– 222 –
Yuri M. Aksutin
Axiological Aspects of Imperial Culture Development
– 227 –
Alexandra A. Semyonova
&Concept[ Notion as the Base of Contemporary Culture Studies
– 234 –
Свидетельство о регистрации СМИ
ПИ № ФС77-28-723 от 29.06.2007 г.
Серия включена в «Перечень ведущих рецензируемых научных журналов и изданий, в которых должны
быть опубликованы основные научные результаты диссертации на
соискание ученой степени доктора и
кандидата наук», по экономике; по
истории; по философии, социологии
и культурологии
Natalia P. Koptzeva and Anna A. Makhonina
Henrich Rickert’s Methodology and its Application for Solution
of the Problem of Cultural Values in Contemporary Theory of
Culture
– 247 –
Natalie M. Edwards
International Project-based Educational Functions Developing
Scientific, Infrastructural and Professional Competences of the
Researchers Involved
– 259 –
Gennadiy F. Kayachev and Valeriya S. Peksheva
Real Options in Management of Modern Corporation: Perspectives of Usage and the Problem of Valuation
– 267 –
Sergey T. Gaydin
Establishment and Development of Departments of All-Russian
Society of Nature Conservation in Eastern Siberia (1946-1991)
– 280 –
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 151-162
~~~
УДК 316 (32+72)
Processes of Restoration of Religious-National Identity
and Globalization in the Modern World
Veronica Y. Danilova*
The Krasnoyarsk State Teachers’ Training University
Named after V.P. Astafjev,
89 Lebedeva st., Krasnoyarsk, 660049 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
In the given article, we consider the opposition of globalization processes, on one hand, and religiousnational identification, on the other. In the result of globalization processes, a certain type of person
is being formed, the person, who does not feel responsible for the destiny of the society and is bound
up in his own consumptive needs.
Our native researchers of religion consider that integration of society in the beginning of XXI century
will be connected to the restoration of religious-national traditions.
The author studies «markers of identity» on the example of «the Russian Germans» in Russia. In the
article we present the results of an expanded sociological survey. The author comes to a conclusion that
the leading factor of religious-national identity restoration process is independent from nationality
and region; and it is a traditional religious affiliation.
Keywords: social philosophy, culture, religious studies, religious-national identity.
Opinion
In the modern world, one of the most
debatable problems of social philosophy is the
research of correlation of religious-national
identification and globalization processes. We
consider the following point of view to be most
convincing and according to it, the struggle
between tradition and modernity, between the
universal and the specific makes up the specificity
of interrelations of globalization and religiousnational identification processes (Giddens,
2005).
In the modern world, this confrontation is
being escalated. In the result of globalization
processes, a certain type of person is being
*
1
formed, the person, who does not feel responsible
for the destiny of the society and is bound up in
his own consumptive needs (Gullner, 2008: 73).
Appearance of such a type of person has become
possible because of gradual leveling of cultural
(and also religious and national) traditions (Attali,
1993).
European states have already faced a mass
of negative consequences in political and social
spheres after the «consumer» type of person
has been spread («ageing» of nation, social
disintegration). «The society of egoists» is already
a reality for the most part of the population of
Germany. The reaction of national minorities
(the Turks, the Italians, the Portuguese, and the
Corresponding author E-mail address: soulrona@list.ru
© Siberian Federal University. All rights reserved
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Veronica Y. Danilova. Processes of Restoration of Religious-National Identity and Globalization in the Modern World
Greeks) has been strengthening of their own
religious-national identity (Gullner, 2008: 73).
Thereat, globalization carries also some
positive fundamental changes for the humanity,
which are first of all connected with expansion
of technologies and informational nets. Market
relations and communication system development
make a man be free in his choice of goods and
services in the planetary scale and contribute to
the international communication development.
Right in the center of the opposition of
globalization and religious-national identity
restoration there is a future of the mankind –
the choice between the globalistic unification
and the local (including national and religious
traditions).
Our native researchers of religion (A.
Kyrlezhev, A. Zhuravskij) consider that integration
of society in the beginning of XXI century will
be connected to the restoration of religiousnational traditions (Zhuravskij, 2004; Kyrlezhev,
2004). Religious and national traditions possess
a powerful resource for society consolidation, in
particular, in a situation of crisis. The appeal to
religious-national traditions allows the individual
feeling himself again a part of one, wellconsolidated collective. That is why, to the mind
of A. Zhuravskij, the growth of «nationalism»
and «fundamentalism» should be considered as
a reaction of the «national statesэ » society to the
threat of anomie, which is appearing in the course
of globalization (Zhuravskij, 2004).
As far as the processes of religious-national
identity restoration go on within the frames
of national states, consequently, to the mind of
religion researcher A. Kyrlezhev, in the nearest
future it will bring to appearance of cultural
«micro-civilizations» within the frames of
already existing «macro-civilizations», and these
«micro-civilizations» will be based on a certain
confessional tradition: «here, we are speaking
about some kind of ethno-religious and cultural-
religious autonomy, which can be taken as a basis
for a separate «civilization»... now, the difference
and the struggle among the states-nations, classes,
races, and religions are being replaced by the
division and the struggle of «civilizations», being
not at all conceived according to Toynbee or
Spengler, that is not as «macro-civilizations», but
as some communities of much lesser scale – some
sort of «micro-civilizations», which bases are
more often exactly religions or large confessional
communities» (Zhuravskij, 2004).
The world won’t become homogeneous in the
result of the sharp opposition of unification and
westernization from the part of national states,
where we observe active processes of religiousnational identity restoration – the matter is sooner
about the regionalization of the world.
Professor of sociology U. Bek, the Munich
University, suggests turning away from the
conceptions of society integration in globalization,
which have appeared earlier – cultural relativism,
multi-culturalism, tolerance, internationalism as
far as they are not efficient. Instead of them he
suggests a new approach – «cosmopolitisation» of
society. The given approach implies acceptation
of all the peculiarities existing in the world (but
not leveling them) and rendering them a positive
sense (Bek, 2008).
In recent years, the growth of national and
religious tension in different parts of the world
at the end of XX – at the beginning of XXI
centuries is a new round in the cultural opposition
of tradition and globalization. And in the nearest
future, the processes of religious-national identity
restoration in Russia and in the whole world will
apparently snowball under the influence of the
global economical crisis, which started in 2008.
Examples
As the most vivid example we can consider
the processes of religious-national identity
restoration on the post-soviet territory.
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Veronica Y. Danilova. Processes of Restoration of Religious-National Identity and Globalization in the Modern World
At the beginning of XXI century, the
processes
of
religious-national
identity
restoration in Kazakhstan brought to creation
of a new national ideology, within which frames
they presupposed a gradual assimilation of the
Russian- and Turkic-speaking minorities. Thus,
a new notion «the Kazakhstanis» has appeared
(Sadovskaja, 2001: 42-48).
The process of re-Islamisation is also
observed in one more state of CIS – the republic
of Kyrgyzstan. So, in Kyrgyzstan in 1989-1999
the share of «ethnic» Christians decreased
almost twice – from 26.7 to 14 %, and the share
of Muslims increased from 71 to 84 %. But on
the whole, the processes of religious-national
identity restoration, the same as the processes
of globalization, develop slowly in connection
with the social-economical and geographical
peculiarity of a region (Galieva, 1999).
At the beginning of XXI century, strongly
marked processes of national and religious
traditions restoration have taken place in Ukraine
as well. Its cultural sphere is the cult of glory of
Kievan Knyazes (images of St. Vladimir, St. Olga
and Yaroslav I the Wise are placed on the Ukraine
pieces of money), aggrandizement of the Ukraine
state and political figures (Petljura and others.),
attempts to force out the Russian language.
There were also made attempts to get official
recognition of autocephaly (full administrative
independence) of the Ukraine Orthodox Church
of the Kievan Patriarchate at the ceremonies of
the 1020-anniversary of the Baptism of Kievan
Russia.
Similar situation is also observed in Estonia,
which, in comparison with the countries, mentioned
above, identifies itself with Europe. In Estonia,
the processes of national identification in the
transitional period are connected with the policy
of acculturation of the native Russian-speaking
population and have already brought to separation
of generations into «the winners» and «the losers»
(Vihalemm, Kalmus, 2008: 105), to the protests
of national minorities against the revision of the
soviet past (Vahitov, 2008), to transition of the
system of education to teaching in the Estonian
language, and to appearance of the phenomenon
of mass absence of the citizenship status.
Restoration of religious identity snowballs
the contradictions among the nations, populating
Estonia, because they are devoted to different
religious traditions. Thus, Orthodoxy is
traditional for the Setus – an Estonian national
minority, which strives for its cultural autonomy;
Orthodoxy and Old Belief are traditional
for the Russians, forming about 30 % of the
Estonian population; Paganism, Orthodoxy
and Lutheranism – for the Estonians (Alexis
II Patriarch, 1999; Ponomarjova, Shor, 2006;
Chudnoe Prichud’e..., 2006).
The processes of religious-national identity
restoration have been increased not only in the
countries of the former soviet camp, but in other
parts of the world.
At the beginning of XXI century, along
with the increase of globalization, we can
observe the increase of its opposition from the
part of spreading processes of religious-national
identification, and strengthening of «the negative
identification» (i.e. in fact, we may speak about
a new round of reintegration of national states,
basing on the notion of an opposite, «foreign»
society) (Gudkov, 2000: P. 37).
In the given situation, modern researchers
try to suggest «national states» some variants of
surmounting of the society identity crisis.
According to the results of a series of
sociological surveys, in modern Russia we
observe a strong striving of population to keep
the traditions and customs of their ancestors. In
1995-1996 within the frames of the international
project «National Identity – 1995» they carried
out comparative sociological surveys according
to the general program in 25 countries of the
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world, and these surveys were directed to reveal
the conditions of local and national identities.
From Russiaэ s side, the participant of the project
was VCIOM. Most national representative data
selections were within the diapason from 1100
to 1500 respondents from the number of the
adult population (only in the Netherlands there
were 2089 people and in Ireland – 994 people).
In the result of the surveys, in Russia 82 % of
the respondents (it is 2-d place in the countriesэ
rating) spoke in favor of the position «it will be
better for the society, if the groups will keep their
peculiar traditions and customs». Thereat, Japan
has the closest to Russia position in the given
question (85 %, 1-d place) and Latvia (71 %,
3-d place), and also most of the countries of the
former social camp, where such a striving was
expressed by 50 % and more of the population –
Germany, Slovakia, Hungary, Slovenia, Bulgaria,
Poland (Gudkov, 1999: 47).
In Russia, the returning to national and
religious traditions, which began at the beginning
of 1990-s, has its own specificity.
In post-soviet Russia, the searching for
identity is directed to various historical periods:
restoration of the soviet identity, returning to
the ancient cultural roots of millenarian Holy
Russia, formation of a principally new identity
(for example, Eurasian, pro-western).
The results of numerous sociological surveys,
which were carried out in 2005-2007 by LevadaCenter, VCIOM, Ju. Sinelina, K. Kaariajnen, and
D. Furman, prove that the processes of religiousnational identification among the Russian people
have been increasing during the last years.
Restoration of identity gradually acquires the
form of a specific ideology, where the division
into «we-they», «native-foreign» becomes
stronger and stronger (Andreeva, 2008: 69).
In 1992, 1998, 2004, 2007 the Institute of
Informatics Systems of the Russian Academy
of Science carried out All-Russia sociological
surveys «Citizens of Russia: whom do they
consider themselves to be and in what kind of
society would they like to live?». These surveys
showed that the number of Russian citizens, who
identified themselves with the people of the same
nationality, was increasing (from 75 % in 1992 to
92 % in 2007), and with the people of the same
believes and world outlooks (from 73 % in 1992
to 95 % in 2007) (Gorshkov, 2008: 106). Thus,
due to Russia’s involvement into the processes of
globalization, the processes of religious-national
identity have become more intense.
In the Russian society, the sharpening of
globalization opposition is revealed in various
spheres, also including culture. In Russia, since
2003 the film distribution share of Russian films
and cartoons, including those of patriotic theme,
has been significantly increased due to the state
support («9-th Company», «Alexander Nevsky.
Total War», «1612», «Dobrynja Nikitich»,
«Alesha Popovich and the Tugarin Dragon» and
others.). In 2005, the «Nikola» kvass advertizing
campaign was started under the slogan: «No Colanization! Kvass is the health of our nation!».
In religious sphere, the overcoming of
inner controversies and supporting of social and
missionary activities in the countries and regions,
being traditional for Christian confessions, have
become one of the revelations of the growing
antagonism to socially leveling globalist
processes. In 2007, the Russian Orthodox Church
of the Moscow Patriarchate and the Russian
Orthodox Church Abroad came to a merger
(Danilova, 2007: 213-218).
To the mind of our native theologians and
religion sociologists (L. Filatov, А. Stepina),
in Russia the processes of religious-national
identification restoration have brought to
formation of regions with one-two confessions’
domineering influence according to the national
structure of each region (Filatov, Stepina, 2002:
334.). Under these conditions, the Russians, as the
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largest nation in the county, have again begun to
fulfill a role of the state-forming nation. It is also
proved by the data of sociological researches –
the people, having been born in the result
of mixed marriages in1990-s, changed their
national identification priorities in favor of the
national identification of the largest nation of the
given region, but not of the country on the whole
(Aleksahina, 1998).
The processes of restoration of Russian
identity have already gone beyond the borders
of the Russian state. In the Internet – one of the
main instruments of globalization – we observe
certain shifts towards separation and extraction
of our national components. In 2008, at the 32-d
international conference of ICANN1 the monopoly
of the Latin alphabet was broken with a direct
participation of the Russian powers – the board
of directors of this corporation took a decision
to introduce the domains of the upper level2 in
Cyrillic and other national non-Latin alphabets.
In Russia, the existing ru and su national domains
will be soon enlarged by one more domain –
рф. Now, the Internet is not only an instrument
of globalization of the mankind, but also an
instrument of the mankind’s separation according
to the linguistic criteria.
Most of the countries, having similar cultural,
national and religious traditions (countries of
the Latin America, countries of the so-called
«Islamic world») have certain tendencies to
creation of a common political, economical space.
Such a possibility is also marked by the religion
sociologist H. Casanova (Casanova, 2001).
1
2
ICANN (Internet Corporation for Assigned Names and
Numbers) – an international non-commercial organization, created on 30 September, 1998, with the support of
the USA Government in order to regulate the problems,
connected with the domain names, IP-addresses and
other aspects of the Internet functioning.
Domains of the upper level are the starting benchmarks,
which the Internet domain names start from. Some examples of domains of the upper level: .com – commercial
organizations; .org – non-commercial organizations;
.edu – higher educational institutions.
In future, there can appear new transnational
identities on the basis of these or those world
religions.
Because of its geographical situation and
historical specificity, Russia borders several strong
civilizations – European, American, Islamic,
Indian, and Chinese. That is why the processes
of identification restoration can possibly bring
to appearance of «a micro-civilization» on the
marked political space.
Being on the verge of history and culture of
two nations – Russia and Germany – the so-called
«Russian Germans» can become one of them.
There are 597.2 thousand of Germans
in the Russian Federation (2002). Their main
territories of habitation are: the Altai region
(79.5 thousand), Omsk (76.3 thousand) and
Novosibirsk (47.3 thousand) oblasts, the
Krasnoyarsk region (36.9 thousand), the
Kemerovo oblast (36.0 thousand) (Ethnic
History..., 2006: 11; Ethno-atlas, 2006).
Mass immigration of German colonists in
Russia started in XVIII century by the invitation
of Catherine II. The moving colonists did not
yet present a common nation (German nation
formation process reached its completion only at
the end of XIX century) and they were striving to
keep their traditions in Russia. Later, they created
their mono-cultural settlements in Volga region
and other regions of the Russian Empire.
As a rule, the settlements, established by
them, are not already mono-national. Thus, only
about a half of the population of the Nikolaevka
settlement of the Krasnoturansk region in the
Krasnoyarsk Kray (based by German colonists at
the beginning of XX century) is German.
In modern Russia, we should include not
only ethnic Germans, but their descendants
from mixed marriages, and also their spouses –
representatives of some other nations, in to the
so-called «Russian Germans» (Wormsbecher,
1999: 80).
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In 1990-s, we observed active migration of
Germans to the historical motherland of their
ancestors – to Germany in connection with the
disadvantageous social-economical situation in
Russia. But, at the same time, Germans from the
neighboring middle Asia republics – Kirgizia and
Kazakhstan (where the restoration processes of
religious-national identity, being traditional for
these countries, began to snowball) arrived in
Russia.
The peak of the Russian Germans’ migration
from Russia was in 1995 and its amount was
51.3 thousand people (Russia and its regions...,
2005: 516). Though, in recent years the situation
in Russia has changed on the whole – there has
appeared a tendency to reverse migration, i.e. the
Germans, who have left Russia, are coming back
(Stepanov, Tishkov, 2005: 65-66).
For example, during recent decades,
Germans in the Krasnoyarsk region have
continued to take the 4-th place in Russia
according to their number (about 37 thousand
people or 11 % of population), though during
1990-s their number decreased almost by 15 %
(Ethnic History..., 2006: P. 11.). And since 2002
their number has not changed practically at
all. In 2002, 36 850 people identify themselves
as Germans in the Krasnoyarsk region, and
in 2006 – 36.9 thousand people according
to the data of All-Russia enumeration in the
Krasnoyarsk region (Ethno-atlas, 2006).
Thus, at present time only those Germans
have left on the territory of the Krasnoyarsk
region, for whom their national identity is an
important, but not the final factor (independently
from the fact whether they have departed and
come back, or they have never left). They stick to
their religious and national traditions and customs
to this or that extend.
At present time, the Russian Germans have
to make a choice in the sphere of culture. They
are to choose among cultural traditions, which
are close to them (languages, customs, food and
so on.).
Ancestors of the Russian Germans emigrated
from Germany, when the German literary
language was only on the stage of its formation,
and that is why in the course of two centuries they
were carefully keeping their dialects in mononational settlements. Today, they have faced the
necessity to substitute their existing German
dialects for one common language, in order to
provide consolidation of the Russian Germans,
but for a different one from the Russian language,
in order not to be assimilated. At present time, the
German literary language has become the one for
the Russian Germans.
In July-August 2003 under the leadership of
V. Krivonogov they organized an ethnographical
expedition to the Nikolaevka settlement of the
Krasnoturansk region in the Krasnoyarsk Kray
in order to research preservation of German
traditions in the given settlement. The share of
Germans in the settlement is 54 % (535 people).
As the given surveys show, the German language
is used comparatively often among the Germans
of Nikolaevka: 64 % of people consider it to be
their colloquial and 89 % of people consider it to
be their native language, but rural people possess
it to different extent. At the same time, the Russian
language is used by 92 % of respondents.
Such a wide usage of the Russian language
is connected not only with migration flows, but
also with that fact, that German dialects cannot
be used as a mean of communication among all
the Germans of the given settlement. In 19992001within the frames of the international project
«Breitenarbeit» they performed ethno-linguistic
surveys, which showed that Russian Germans had
to use Russian words for communication because
of differences in the dialects in ten regions of the
Krasnoyarsk Kray (Djatlova, 1999).
In perspective, it can bring to complete
transition of the Russian Germans to the Russian
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Table 1. Frequency of National Dishes Cooking in the Nikolaevka Settlement
They cook national dishes
Correlation in the number
of respondents
Average age
of the group (years)
regularly
68 %
57
rarely
24 %
31
Do not cook
3%
22
Do not know
5%
18
language, their assimilation and termination
of German traditions and customs. The same
situation can be observed concerning national
dishes.
As it is seen in Table 1, most part of the
Germans in Nikolaevka cooks national dishes
regularly. Though, it cannot be said about the
customs. Most of the Nikolaevka Germans
know well only the funeral ceremony (71 %); the
marriage and the birth rites are less known (25 %
and 3 % correspondingly).
Though, in large cities, where Germans live
dispersed, the processes of religious-national
identity restoration are quite different. In cities,
it is not the family, which plays the main role in
consolidation of the Russian Germans (as it is in
the country area), but outer structures. First of all,
it is the national-cultural autonomy and centers
of the German culture, on which bases they learn
German free of charge and organize Lutheran
communities.
In Krasnoyarsk, Lutheranism has taken
a special place in consolidation of the Russian
Germans at least since 1994, when the first
Lutheran community appeared in the city. Even
at that time, the Russian Germans considered
Lutheranism as one of the most important markers
of their national identity.
Studying the role of the religious factor, as
one of the means of religious-national identity
restoration, in 2005 the author of the given article
carried out an expanded sociological survey in
the Krasnoyarsk Lutheran community, following
the German traditions.
In the course of this research we have
revealed the following German surnames in the
Krasnoyarsk Lutheran community (Andreas,
Bille, Post, Krikau, Matermann, Neivert, Peck,
Reich, Eisner and others), and the following
ones of the Russian and Ukrainian origin
(Stepanova, Pavlova, Danilova, Bereznikova,
Bogdanov, Belkina, Tyomnich, Petrovich,
Velichko, Kosach and others). It allows speaking
about a mixed national structure of the given
community.
Correlation of parents’ nationality, usage
of the German and Russian languages by
the representatives of German and Russian
surnames testify of mixed marriages and change
of surnames in the result of marriage. 61 % of
respondents have both parents of the German
nationality, 15 % of respondents have been born
in mixed German-Russian families and only
19 % of respondents have been born in Russian
families. 58 % of respondents have referred their
children to the Russians, 46 % of respondents
have referred their children to the Germans,
12 % of respondents – to the Ukrains, and 4 % –
to the Jews.
They use two languages as a mean of
communication, because of their mixed national
structure – the Russian language (as a mean of
integration with the surrounding foreign society)
and the German literary language (as a mean of
communication among the Russian Germans).
Bilinguism is widely spread as in the Krasnoyarsk
Lutheran community, so among the Germans of
the Nikolaevka settlement (Minasova, 2002]. Just
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the same way as in Nikolaevka, the Germans
of the Krasnoyarsk Lutheran community have
dialects of the German language.
Thereat, 12 % of respondents in the
Krasnoyarsk Lutheran community affirm, that
their German colloquial language does not differ
from the German literary language. It means that
they did not learn it in their childhood, but studied
it later (for example, in the national-cultural
autonomy or in a higher educational institution).
Thus, under the living conditions of foreign
social surrounding, the Russian Germans have to
refuse from German dialects and start using the
German literary language in the nearest future,
in order to provide their nation consolidation and
preservation.
Simultaneous usage of two (Russian and
German) languages in the course of divine
service conductions was a norm in the given
Lutheran community at least since 2002. It let
them to master the German literary language
and practice it all the time. The fact, that since
2008 in the Krasnoyarsk Lutheran community
they started again to conduct divine services
only in German, testifies that the German
literary language is strengthening its positions
in the community.
Thus,
the
Krasnoyarsk
Lutheran
community has created a sort of «fi lters» for
participation in divine services for those, who
do not possess the German language. This
fact allows confi rming, that wide missionary
service is not the main target of the Krasnoyarsk
Lutherans; their inner consolidation on the
basis of religious and national traditions is
much more important for them.
As it has been marked by E. Durkheim,
precisely the co-participation in a religious
rite is a powerful factor of group consolidation
and identification of oneself according to the
opposition line «we-they» (Durkheim). At the
same time, participation in the life of the Lutheran
community gives additional opportunities to the
national-cultural identification of the Russian
Germans. In the Lutheran community, Pastor
and his immediate surrounding act not only
as religious figures, but, first of all, as leaders
and professional organizers of various kinds of
activities for the purpose of religious-national
identity restoration.
Though, in the Krasnoyarsk Lutheran
community they regularly cook German national
dishes three times less frequently in comparison
with the population of the Nikolaevka settlement
(22 % and 68 % correspondingly).
In comparison with the Nikolaevka
settlement, people of the Krasnoyarsk Lutheran
community know less about the marriage rite,
but know much better the rite of birth. Good
knowledge of the funeral ceremony is possibly
connected with social realities of the given
settlement («aging» of the Germans of the given
settlement and their families’ low fertility).
According to the Nikolaevka inhabitants’
testimonies, the last marriages were celebrated at
the beginning of 1990-s.
All this is connected with the fact that after
their children having been born, church people
Table 2. The Degree of Rite Knowledge in the Nikolaevka Settlement and in the Krasnoyarsk Lutheran
Community
Type of rite
Nikolaevka people know
the given rite (%)
Krasnoyarsk Lutheran Community
people know the given rite (%)
Birth rite
3%
15 %
Marriage rite
25 %
7%
Funeral rite
71 %
63 %
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Table 3. Celebration of Different Kinds of Holidays by the Russian Germans in the Nikolaevka settlement and in
the Krasnoyarsk Lutheran community
Categories of holidays
New holidays
Soviet holidays
National holidays
Religious
holidays
Germans from Nikolaevka
11 %
51 %
57 %
57 %
the Krasnoyarsk Lutheran
community
37 %
26 %
14 %
74 %
christen them in the Lutheran Community. While
marriages, as a rule, are celebrated out of the
Community. It is connected with that, that the state
registration procedure of civil status acts is widely
spread and the wedding ceremony is perceived
as an additional procedure. In Krasnoyarsk, it is
connected with a strong influence of the social
marriage tradition in the city culture – but those
not numerous marriages, having been conducted
in the last decade, have been usually celebrated
out of the Community.
Mass emigration of most representatives
of the traditional national base of the Russian
Lutheranism to their historical motherland, urban
processes and inflow of non-Lutheran population
in to the settlements contribute to the weakening
of the Russian Lutheran national traditions.
Though, it has brought to mainstreaming
of the religious traditions in Russian Germans’
identification and perception of their uniqueness
under the conditions of active inclusion of
Russia into the processes of globalization. Thus,
some respondents in the Krasnoyarsk Lutheran
community were undecided to choose their native
language and, answering this question, they
denoted themselves as «the Russian Germans»;
it testifies of their perception of themselves as a
special nation, being different from the Germans
from Germany.
And on the contrary, consolidation of the
Russian Germans and their preservation in
relation to the Germans from Germany can
provide inclusion of Russian culture elements and
the soviet past in their traditions.
Knowledge
of
traditional
holidays
and participation in them is an indicator of
preservation of religious-national identity of the
Russian Germans.
In city conditions, the competition between
various cultural traditions is expressed stronger
than in the country side and it contributes to
quicker restoration of identity.
As it is sown in Table 3, religious holidays
turned out to be the most popular in the
Krasnoyarsk Lutheran community (74 %), and
3 % of respondents wrote, that they celebrated
all the holidays. Thus, under the city conditions,
the meaning of religious holidays is increasing,
while the meaning of national holidays is
decreasing, what proves that religious aspect is
domineering in the process of identity restoration
in the conditions of foreign culture environment
of the city. Some holidays in the Lutheran
calendar such as Feast of Harvest (1st Sunday
of October, Erntedankfest), Commemoration
Day of Victims of Violence, War and Terror (30
October, Gedenktag der Opfer von Gewalt, Krieg
und Terror) have Russian specificity and by their
essence are connected with the history of the
Germans in Russia.
In recent years, Commemoration Day
of Victims of Violence, War and Terror has
become widely spread (its other name – Day of
Remembrance of Victims of Political Repressions;
30 October, Gedenktag der Opfer von Gewalt,
Krieg und Terror), which is unique by itself. It
combines in itself several features – it is new
enough, it is connected with the soviet period of
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the country, and it is included into the Lutheran
calendar on all the territory of the country.
Thus, in the result of inclusion of the Russian
Germans into the processes of globalization,
they are gradually losing some elements of their
national culture or these elements are substituted
by the elements of other cultural traditions. At the
same time, their religious traditions have been
increased in the process of restoration of their
religious-national identity.
The denoted processes take place not only
on the territory of the Krasnoyarsk region, but
also in other regions of Russia, where there is a
significant population of the Russian Germans.
Processes of religious-national identity
restoration are also observed among other
nations on the whole territory of Russia. Thus,
for example, in the Tatarstan republic, one of
the subjects of Russia, there appeared a specific
national ideology «Tatarstanism» at the beginning
of 1990-s (Sultanov, 1999).
Conclusion
Basing on the mentioned above, we can
make a conclusion that processes of religiousnational identification are becoming active in
modern Russia.
Thereat, as Russian researchers V. Babakov,
V. Semenov note, religious-national identity
is based on the synthesis of traditional and
new elements (Babakov, Semenov, 1996: 30).
That is why in the process of religious-national
identity restoration, proper ethnic identification
criteria (language, living conditions and so on)
become not so important. So, those «markers of
identity» come to the foreground, which provide
trans-ethnicity, synthesis of ethnic, inter-ethnic
and foreign ethnic components (for example,
confessional affiliation) (Babakov, Semenov,
1996].
Thus, we observe the processes of religiousnational identity restoration in different countries
and regions, which are actively involved in the
processes of globalization. Coming back to
one’s own religious and national traditions is the
reaction of society to the negative consequences
of globalization – westernization and unification.
On the modern stage of development, we
can observe a fixation of the achieved level of
religious-national identity restoration in a whole
row of countries. And, the leading factor of
religious-national identity restoration process is
independent from nationality and region; it is a
traditional religious affiliation.
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 163-168
~~~
УДК 78.01(470)
Author’s «Alphabets» in Systems of Record
of Ancient-Russian Musical-Written Art Products
Nikolaj P. Parfentjev*
South-Ural State University,
76 Lenin’s pr., Chelyabinsk, 454080 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
The researchers carried out the theoretical studying of creative processes in the Ancient-Russian
musical art and connected to it decoding (translation into the modern stuff notation) and the analysis
of its products (chants) without taking into account their accessory to this or that regional school that
can not give enough exact results of research. The ancient manuscripts testify, that at the identical
tracing many complex musical marks-neumes (znamena’s) in the different areas of medieval Russia
had the various maintenance – divorce (razvod’s), and it is necessary for taking into account at the
research of products. Starting the studying the outstanding ancient Russian master’s creativity, the
first of all it is necessary to collect together their author’s divorces of melodic formulas and of the
the complex marks-neumes, scattered on numerous manuscripts. It is necessary to systematize these
divorces, to define the author’s features, having compared to the other divorces and then to take
into account the given features at the analysis chants. Data of these materials in the special tables
representing musical-intonational alphabets of the masters (schools), create a basis for more exact
decode and the analysis of the products of the ancient-Russian musical art, research of the theory of
this art and the creative processes happened in it as a whole.
Keywords: the theory of Ancient-Russian musical art, creativity of masters-melodos, neumes and
neumatic formulas alphabets, methods of chant decoding.
Interest to Russian systems of record
of musical pieces exists in a science not one
century. The attempts to present the theory of
the ancient Russian music through creation of
certain summary tables of marks-neumes of
ancient notations, including complex neumes
and formulas (popevka’s, litso’s, fita’s), it was
undertaken already by the first researchers of
musical-written art. So, D.V.Razumovsky has
made summary alphabet («azbuka») on the basis
of ancient singing alphabets and treatises, having
added to it’s the translation of neumes and formulas
*
1
on the modern stuff notation (Razumovsky,
1869). In the same key V.M.Metallov’s theoretical
generalization was executed also in, which the
author considered as the experience of a regular
management to the reading the neumes system of
«znamenniy» chants of the red («kinovar») sighs
period, that is as the handbook to perusal of the
chants which are written down by the advanced
notation of the second half of the XVII century
(Metallov, 1899). The М.V. Brazhnikov’s work
became the outstanding achievement also. He
collected the huge fund neuma (znamennie)
Corresponding author E-mail address: panp@susu.ac.ru
© Siberian Federal University. All rights reserved
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formulas and their explanations (razvods) which
have made a special management under the theory
of old Russian music (Brazhnikov, 1989).
The researchers, executing the theoretical
studying of creative processes in the old Russian
musical art and connected with it decoding
(translation into the modern stuff notation) and
the analysis of products, alongside with ancient
managements widely used the specified directory
works. But the decoding and the analysis of
products were carried out without taking into
account their accessory to this or that regional
school that could not give enough exact results of
research. The ancient manuscripts testify, that at
the identical tracing many complex musical names
in the different areas of medieval Russia had the
various maintenance explanation («razvod»), and
it is necessary for taking into account at studying
chanting (Parfentjev, 1985).
For the first time the drawing up of the
information alphabets – tables, revealing the
author’s or regional musical-intonational features
of razvods of ancient neumes and formulas, and
also significant updating of fund of formulas
due to author’s chants was undertaken by
N.V.Parfentjeva (Parfentjev and Parfentjeva,
1993; Parfentjeva, 1997). Work has shown, that
before to start research the creativity of the
ancient Russian musical-written art masters, and
especially conducting regional schools (Moscow,
Novgorod, Stroganov) masters, it is necessary
to carry out the special generalization of their
theoretical views, to create the author’s musicalintonational alphabets as tables. The application of
these tables at decoding and the analysis of chants
will give the most exact picture of development of
creative processes in the ancient Russian music.
The similar theoretical operating time and their
practical application have no analogues neither in
Russian, nor in foreign art criticism. The methods
used during these researches and approaches in
the field of studying creative processes in old
Russian musical art are new. First of all, there
is original the application of the technique of
revealing and correlation of tracings and razvods
of complex formulas (popevka’s, litso’s, fita’s) in
ancient pieces of music, the definitions of regional
features of razvods with the subsequent drawing
up of summary tables – alphabets («azbuka’s»).
It is established, that in the last quarter of
XVI century and especially on boundary of XVIXVII centuries in the record of chants the long
razvods written by «simple» signs which masters
of singing art named «fine crushing», «fractional»
or «razvodnoj» appeared on a place of in cipher
(«tajnozamknenny») tracings. In a new fashion
the melodic formulas (popevka’s, litso’s, fita’s)
began to be stated. The writing by many «simple»
signs changed graphic shape of all piece of music.
There was a process of fixation of own perusal
of complex tracings of formulas in the each large
singing center. The hardly appreciable different
interpretations peculiar singing of this or that
formula in traditions of local school of masters
appeared sometimes in the formed razvods of
these formulas. Sources testify, that this process
passed everywhere in Russia.
Hardly later razvods began to designate
according to authorship or district of an origin. One
of the canting book-manuscript of the beginning
of 1640 contains the indications on Usolskij,
Lukoshkov, Novgorodskij, Shaidurov, Moscow,
Lukin and other variants of interpretations of lines
chants from Heirmologion and Octoechos. In the
other chant manuscript of the same time Sloboda
(probably, Alexander large village), Usolje and
the Novgorod versions of melodic interpretation
of line («stroka») are given in comparison from
chant to a holiday of Jesus Transfiguration. There
are known Krest’janin’s, Lukoshkov’s, Loginov’s,
Pamvin’s, Zuev’s, Lvov’s and other razvods of
the «wise» lines allocated in structure of the
chants, written out in separate sections or on the
chanting manuscripts margins (see are known
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also numerous: Parfentjev, 1985; Parfentjeva,
1997). All these fragments of chants are the most
valuable material for research of the creative
processes happened in bowels of many singing
centres, frequently submitted by the outstanding
masters-melodos activity.
Distinctions in razvods of tracings of
the same melodic formulas could arise for the
different reasons. Before occurrence of razvods
the church chants were stated as a circuit code
«tajnozamknenny» tracings which musical
value was transferred not in writing, and in oral
performing tradition from the teacher to the
pupil. The singsongs of razvods in manuscripts
of XII-XV centuries is a unusual occurrence.
All becoming complicated tracings of formulas
prevailed in records down to occurrence the
specified lists contained the singsongs of razvods.
These tracings had various graphic fixing. Skill to
sing them the masters having uncommon musical
memory had. Clearly, that in different regions and
the singing centres there were the distinctions
caused besides imperfection of the most musical
neuma writing.
The masters aspired to follow a canon in
their activity and everyone was sure, what exactly
his teacher had a true key to understanding of
the theory of chanting. Gathering, singers with
surprise marked discrepancy of razvods of the
same formulas at different chanting schools, at
various teachers – «didascal’s». Today it seems
to us, that these discrepancies at singing hardly
should differ on hearing. But they seem extremely
appreciable and important for ancient Russian
melodos-composers and the singers representing
canonical art. Masters collected different
variants of melodic formulas and lines in separate
directories, accompanying with designations of
their authorship.
Starting studying the outstanding old
Russian melodos-composers’ creativity, such
as Vasily (Varlaam) Rogov, Feodor Krest’janin,
Ivan (Isaiah) Lukoshkov, Login Shishelov, Faddej
Subotin and others (about them, for example, see:
Parfentjev, 2005а), first of all it is necessary to
collect together their author’s razvods of melodic
formulas and the complex neumes, scattered
on numerous manuscripts. It is necessary to
systematize these razvods, to define the author’s
features, having compared to the other razvods,
and then to take into account the given features at
the analysis of chants. Such approach will allow
to receive the most true picture in an estimation
of melodiousness, studying of stylistics and
principles of creativity, at decoding author’s
products.
The initial stage in reconstruction of the
intonational alphabet of this or that melodoscomposer includes the revealing the razvods of
melodic formulas, complex neumes, the «lines»
designated by his name and placed in various
kinds of handbooks of XVII century (sections
of collections with «fit’s», «lines wise» razvods
etc.). The chants in the master’s singsong give
also some materials for the decision of this
problem. The method of reconstruction of the
melodos-composer’s intonational alphabet on
the basis of his author’s products is approved at
drawing up of the similar directory «Usolskoe
masters’ chanting», or masters of Stroganovskaja
school (Parfentjev and Parfentjeva, 1993, 230243, 272-311). The essence of this method is
those. The author’s singsongs in the most cases
are written down by a fractional signs as razvods
of code tracings. But only on the last it is possible
to define with the big share of confidence, that
these razvods are applied to definite formulas
(popevka’s, litso’s, fita’s). First of all it is
necessary to reveal lists of the given singsongs
in which records would contain both razvods,
and tracings of formulas (sometimes manuscripts
supplement each other). By comparison of all
lists there is a correlation of razvods appropriate
author’s lists, writing by many «simple» signs,
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to their tracings. Then it is important to find out
a degree of authorship of razvods for what they
are compared to the appropriate razvods of other
masters or the singing centres, and also with
anonymous singsongs occuring at the same time.
The difference of razvods of formulas or complex
neumes in the author’s singsongs with the big
degree of probability allows to count their specific
features of creativity of that master, whose name
designates chants. So, the textual method used in
a science assumes studying this or that product in
evolutionary development. However realization
of more exact decoding and the analysis of chants
need revealing formular structure of singsongs.
In some cases reconstruction of missing
tracings or razvods of formulas is necessary for
synchronous comparison of products. In ancient
manuscripts the same formula could be fixed or
ciphered (curtailed «turned») tracings, or more
simple, «fractional», the neumes-signs, forming
razvod on which only and it is possible to judge
the melodic contents of the formula. Formula-byformula comparison of chants allows to allocate
not only formulas and their razvods but also to
define the features of singsongs caused by the
author’s creativity and the regional traditions.
Data of these materials in the special tables
representing the musical-intonational alphabets
of the masters (schools), will allow to specify
singsongs’ attribution, to reveal the character of
genetic connection of prototypes and author’s
interpretations, making possible studying of the
creative process changes (also see: Parfentjeva,
1997; Parfentjev, 2004, 2005б).
To present time during studying creativity
of masters of various schools the author’s
alphabet of Feodor Krest’janin, the outstanding
Moscow master of XVI century, is the most
full reconstructed. (about him see: Parfentjev,
2003). And in this alphabet all styles of ancient
Russian musical – written art are submitted. The
alphabet shows the most extensive assembly of
the melodic formulas used by Feodor Krest’janin
in his creativity, and allows to speak about his
encyclopedic knowledge of theory of chanting.
In total the Znamenniy (Stolpovoy) singsong
alphabet include 439 formulas (Parfentjeva, 1997,
230-260, 273-292). For the first time in a science
it was possible to present Feodor Krest′janin′s
author’s «putevoy» alphabet also. Due to the
executed reconstruction the master’s theoretical
base is shown in the field of new difficult style – the
Putevoy singsong (Put). He freely wrote the tracings
of «putevoy» formulas (popevka’s and fita’s) as
razvods by more simple, «fractional» neumessigns of Stolpovoy style neumes, transferring
the skill to his pupils – the tsar’s chanting clerks
(«diak’s»). The received material has allowed to
add to the master’s alphabet 51 formulas of the
«put» (Parfentjeva, 2006). The reconstruction
of the master’s formula-intonational alphabet of
the another style – Demestvenniy (Demestvo) –
is executed also. There are while 34 formulas
which are given as code tracings and their Feodor
Krest’janin’s razvods in comparison to razvods
of Usol’skaya (Stroganovskaya) chanting school,
representing variants of a singsong of the same
formula. (In such comparison the explanations
of complex neumes and formulas Znamenniy
singsong are given in the outstanding theorist
Alexander Mezenеts’ treatise «The Notice…
wishing to study in singing» 1670). As well as
in previous, in the Feodor Krest'janin’s alphabet
of Demestvenniy singsong it is given modern
stuff notation variant of formulas razvods – the
decoding executed on hand-written sources of
the second half of the XVII century (Parfentjeva,
2007).
The author’s alphabet of another
outstanding Usolskaja (Stroganovskaja) school’s
master – Ivan Lukoshkov – represents separate
monument of musical-theoretical idea. For its
reconstruction have served both handbooks
of the first half of XVII century, and author’s
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chants – «slavnik’s»: «In the manger there was
settled» («Vo vertepo voselilsja»), «About the
blessings» («О koliko blaga»), «David proclaim»
(«David provozglasi») and stichera «I Reign
heavenly» («Tsaru nebesniy»). But the original
encyclopedia of his formulas – popevka’s, litso’s,
fita’s – variants of the all eight modes (echos) is
the cycle «Hypakoe’s sunday on eight echos».
The accessory chants of the cycle to the Big
(«Bolshoy») singsong is quite often emphasized
in indications to their different copies. Eight
scale hymns, narrating about announcement
about the Christ Resurrection, are stated by
Lukoshkov as fractional neumes-sighs of the
numerous. To define the last, whether they are
popevka’s, litso’s, fita’s , the earlier list from the
Usolskaja (Stroganovskaja) school’s chant book
has helped. In this list the code tracings are on
the place of the long razvods. So it was possible
to reconstruct 43 litso’s and 33 fita’s. The cycle
«Hypakoe’s sunday on eight echos» has given a
fixed capital of melodic formulas for the author's
alphabet of this outstanding master which to
present time totals 87 formulas in tracings and
razvods, and also in translation into the modern
stuff notation (Parfentjeva, 1997, 260-270).
The reconstruction of the author's
intonational alphabets of others outstanding
melodos of the XVI-XVII centuries are not so
extensive yet, however without them is already
impossible the studying features of creativity
of these masters and local schools which they
represented. Alphabets of razvods of some litso’s
and fita’s formulas of Novgorod master Vasily
Rogov (Parfentjeva, 1997, 220-230, 273), the
Trinity-Sergiev monastery regent Login Shichelov
(Parfentjeva, 1997, 270-271, 292-294), Usolskaja
(Stroganovskaja) school’s master Faddej Subotin
(Parfentjeva, 1997, 271-273) are executed.
The received help materials and tables
create a basis for more exact decoding and the
analysis of ancient Russian chanting, for research
of the theory of this art and the creative processes
happened in it as a whole.
Work is executed at financial support The Russian Fund of basic researches, the project
№ 07-06-96014.
References
D.V. Razumovsky, Church singing in Russia (Moscow, 1869). vol.3, 258-368. – (in Russian).
V.M. Metallov, Alphabet’s neumes – «krukovoje» singing (Moscow, 1899). – (in Russian).
M.V. Brazhnikov, Litsa and fiti of Znamennoje singsong (Moscow, 1989). – (in Russian).
N.P. Parfentjev, Usolskaja school in Ancient-Russian chanting art of the XVI-XVII centuries and
Chant of its Masters in Written Monuments, Monuments of the literature and public idea of epoch of
feudalism (Novosibirsk, 1985), 52-69. – (in Russian).
N.P. Parfentjev, N.V.Parfentjeva, Usolskaja (Stroganovskaja) School in Russian Music of the XVIXVII centuries (Chelyabinsk, 1993). – (in Russian).
N.P. Parfentjev, Outstanding Russian Musicians of the XVI-XVII centuries (Chelyabinsk, 2005а). –
(in Russian).
N.P. Parfentjev, Outstanding Moscow master of the XVI – the beginnings of the XVII centuries
Feodor Krest’ janin and his products, Culture and art in monuments and researches (Chelyabinsk,
2003), vol.2, 46-59. – (in Russian).
N.V. Parfentjeva, Creativity of Masters of Ancient-Russian Chanting Art of the XVI-XVII centuries
(Chelyabinsk, 1997). – (in Russian).
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N.P. Parfentjev. About methods of research of products of ancient Russian musical – written
art, Traditions and innovations in domestic spiritual culture: Materials of the First Southern-Ural
interuniversity scientific-practical conference (Chelyabinsk, 2004), 29-34. – (in Russian).
N.P. Parfentjev, About perfection of a method of research chants of ancient Russian musical –
written art masters , Traditions and innovations in domestic spiritual culture: Materials of the Second
Southern-Ural interuniversity scientific-practical conference (Chelyabinsk, 2005б), 4-10. – (in
Russian).
N.V. Parfentjeva, Formula -intonational alphabet of Feodor Krest’ janin, Moscow master of the
XVI century., Culture and art in monuments and researches (Chelyabinsk, 2006), vol.4, 186-197. – (in
Russian).
N.V. Parfentjeva, To reconstruction of the author’s formula -intonational Demestvenniy singsong
alphabet of Moscow master Feodor Krest’ janin .Culture and art in monuments and researches
(Chelyabinsk, 2007), vol. 5, 212-224. – (in Russian).
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 169-175
~~~
УДК 78+008.01
A Piece of Musical Art as a Creative Form
of Artistic Self-Expression of Culture
Rimma M. Shamaeva*
The Chelyabinsk State Academy of Culture and Arts,
36-a Ordjonikidze st., Chelyabinsk, 454091 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
In the given article we consider a piece of music within the modern culture. Being treated by the
author as a creative product, musical composition is creative by its nature. Musical composition
accumulates different creative potentialities, which reveal themselves in a variety of forms, and act
as an active participant of the dialogue between epochs, different cultures, and subjects of musical
communication.
Keywords: Musical composition, culture, creativity, creative product, creative sphere, musical
communication, dialogue.
Introduction
Art is one of the main elements of the
modern cultural sphere. The language of art
(and of music as well) fixes cultural matrixes in
the works of art. But in the expanding variety
of culture phenomena, music continues to be a
steady phenomenon, preserving its functions
and meaning. Penetrating into all the spheres
of the human existence, it plays a role of the
accumulating environment, having influence on
the processes as inside itself, so on the culture
on the whole. Beginning from the Romanticism
epoch, a piece of musical art has been a product
of an individual activity. In the sphere of musical
creation, a large-scale piece outstands by its
conceptuality and is a peculiar form of perception
of spiritual life of the man and the society; it plays
the role of a symbol of the epoch. Though, far
not every composition becomes symbolic and not
*
1
every piece can be called a master-piece. What
makes different one composition from another?
Why, staying in the memory of the mankind for a
long time, some compositions make people think,
analyze, and contemplate, while others are left
without attention?
Example
From our point of view, outstanding pieces of
musical art must be referred to creative products
and are an artistic form of a concrete culture selfexpression. Thanks to their creative nature, pieces
of high art are able to dialogue with epochs, and
other cultures.
The notion of creative product is very wide:
it can be technical innovations, new styles in art,
new ideas and paradigms in science, i.e. – the
new, which have not been earlier in any of its
revelations or its objectified forms. In the sphere
Corresponding author E-mail address: shamaeva_rm@mail.ru
© Siberian Federal University. All rights reserved
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of music, under the term of «creative product»
we understand pieces of musical art, new styles,
genres, forms, new performance techniques, new
instruments, and new ways of soundmaking from
the point of view of their ability to activate, to awake
the creative potential of musical culture subjects.
Understanding of the interaction, which takes
place inside musical communication, and which
presents by itself an interrelation and interaction
of the subjects of culture (the composure, the
performer, and the listener) by means of musical
composition, provides a possibility of a new point
of view of the inner mechanisms of development
of the musical culture and culture on the whole.
Thereat, every subject is involved into the creative
process of creation, performance and perception
of musical compositions (creative products).
This way, a new reality (creative environment) is
appearing and the subjects themselves (creative
persons) are changing. New musical composition
is like an innovative product, it is «flowing» into
the culture, and starts functioning in it, actively
influencing on the already existing elements of
the cultural environment, it changes the image of
the musical culture, and it, in its turn, makes the
subjects create new creative products and activate
musical activity. Appearing in the result of
creative activity of the musical culture subjects, a
new artistic reality is a transformed surrounding
reality, having been born simultaneously with
the appearance of an author’s new creation, its
performance by the performer and its perception
by the listener. In the given context, musical
culture of the society is presented as a creative
environment, as far as interaction of all its
elements brings to appearance of new forms of
culture, gives birth to new pieces of musical art
as innovative products. Thereat, it is important to
bear in mind, that musical experience, emotions
are not equal to the emotions of our everyday life,
original emotions, and that is why the sense of a
musical masterpiece, as of an artistic creation, is
mostly sacral and presents by itself another reality.
Revealing the content structure of perception,
V.V. Medushevskij considers active assimilation
of the experience of integral attitude to life to be
the final objective of artistic perception. Singling
out two main participants of the action: the piece
and the person, or to be more precise, the life
experience, which is fixed in the artistic world
of the piece, the author marks significance of the
dialogue with the listener’s own life experience,
«being disclosed in the effects of acceptation,
identification of his positions or negation,
arguments, and struggle» (Medushevskij, 1980).
Thereat, he underlines that similar processes, but
in some other succession, are also characteristic
of the process of music composing, and in this
sense – the piece creates not only its listener,
but its composure as well (and its performer).
Having been created by the author, the piece
starts «living its own life», entering the dialogue
with its creator, performer and listener. Hence,
musical composition potentially has a conceptual
meaning, which is revealed only in the contact, in
the dialogue with the recipient. The composure,
performer and the listener become objects of
reverse impact from the part of the artistic work.
In the result of this interaction – the dialogue or,
taking into consideration a multi-level character
of the communication – the polylogue among the
musical composition, its performer and listeners,
there appears a possibility to enlarge the notion
of the musical culture essence and its integral
character. On one hand, being the most important
link of musical communication, the musical piece
is the resume, the final result of the compositional
process, a form of expression of composure’s
creative personality in the world and in the being.
On the other hand, it is the beginning of new
processes and transformations in the surrounding
reality, that one reality, where it is turns out to
be and begins its way in the history of culture.
Building into a certain cultural environment, the
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musical piece is like an innovative product – it
starts influencing on the surrounding reality
(transforming and changing it and introducing
new elements), it has an ability to awake, to
provoke and to inspire motivation. To the mind of
French scientist and philosopher C. Levi-Strauss,
«by the force of its inner and always new logics,
every piece of music will push its listener out
of his passiveness, making him merge with its
inspiration» (Levi-Strauss, 2006). As creative
products, new musical compositions, new editions
and new types of musical pieces appear in
response to new demands of the time. Innovative
piece of art puts forward new requirements to the
musical communication subjects: to the performer
(there appears a necessity in new instruments, in
new means of performance, in new sounding);
to the listener (its perception changes, becomes
finer, demanding from its listener high tension,
readiness to accept new sounds, even most
unexpected ones). As a creative product, musical
composition contributes to changing of the person
himself (everybody of the musical communication
subjects), to activation of his motivation to selfperfection and self-actualization (as a creative
person). Consequently, having entered the inner
world of a concrete person, music makes him
«find»», «disclose» something in him himself. In
the process of such a musical communication, the
person forms new kinds of attitudes towards the
surrounding reality.
As an attributive feature of the pieces of
musical art, creativity is revealed within the
frames of understanding of its cultural-historical
significance. Thus, considering organization of
the musical sphere in Bruckner’s compositions,
A.V. Mihajlov discloses the historical-cultural
situation in Austria after I World War with the
help of this separate fact (A.V. Mihajlov, Music
in the History of Culture: Selected Essays. 1998).
At the same time, through the facts, place and the
way of its perception, a separate composition can
indicate in what direction the collective wish of
esthetic satisfaction is moving. And, consequently,
«it makes the reverse process be transparent, i.e.
we can understand what the product will be in the
future.» (Adorno, 2001). Hence, the changes (of
forms, styles, genres and so on), which take place
in the musical art, have common bases with social
processes, and very often anticipate the later, as
far as sometimes, scarcely noticeable changes in
art are able to reflect just specified general cultural
tendencies earlier, than they occur in other
spheres of culture. In its turn, it allows speaking
about the musical composition as a complicated
organism, where creative potentialities are being
accumulated. These potentialities are revealed in
different variants: starting from presentation of a
historical-cultural fact and ending with rendering
of most secret inner feelings of a person by means
of a piece of musical art.
Having gone through centuries, artist’s
compositions enter the dialogue with other
cultures and epochs. And each epoch of cultural
development adds new senses to the existing
ones in the work of art, thus expanding its
conceptual sphere. Real existence of the piece
in culture makes corrections into its sounding; it
is changed in dependence on the place and the
time of its being in culture. According to H. G.
Gadamer, performance of a dramatic and musical
piece is being changed and must be changed
depending on time and circumstances of its
performance (Gadamer, 1988). Artistic work is
as an embodiment of various levels of perception
(perception of the composure, of the performer),
as soon as it has reached the listener, it is filled
with new senses. In this sense, the listener is
also as much a creator of the music, as much his
own species (spontaneously or consciously) are
generated in him. Thus, every subject of musical
communication implies his own special sense
into the musical composition: having been sent
by the composure, the message is filled with new
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senses, while passing through the participants of
the creative process. And acquiring new senses,
added by the subjects of musical culture, musical
composition each time acquires a new life, thus
prolonging its unlimited «time travel». Building
into a certain cultural environment, musical
composition as an innovative product, starts
influencing on the surrounding reality, thus
enriching it with new forms and new content.
Simultaneously, we can also observe a reverse
process of fulfilling of this very composition
with new senses of a concrete culture, with a
new sounding. Innovative musical compositions
of the modern culture are compositionsexperiments, compositions-revelations – they
change the character of interaction between
art and audience, which is appealed to an
open dialogue, to an intellectual game, cocreation, co-experience, to perception of the
processes of the surrounding reality. To our
opinion, the remarkable thought of Pablo Casals,
an outstanding musician-violoncellist of XX
century, concerning that, that the composition is
classical, if it is always topical, concludes in itself
a constructive formula of existence of musical
masterpieces in the history of culture. Topicality
of the piece of art is indirect because of the given
composition being in demand (a certain culture,
epoch, and a period in the history of the mankind
or a nation). In order to comprehend the vital
ability of a musical composition, it should be
tested by time and by the change of the sociocultural situation on the whole for the purpose
of all the extra-musical symbolical elements
could «grow» in to the musical language of the
epoch and could become an equal element of
its lexis, having ceased to be taken as something
foreign in relation to music itself (Ivashkin,
1995). In connection with all this, we would
like to recollect a composition, which has been
associated with composuring personality of А.
Schnittke for many years. The diploma work of 23
years old composure – the oratorio «Nagasaki» –
was written in 1958. After half the century has
gone, we can rightfully estimate the genius of
the author’s masterpiece. Obviously, this piece
of music can be referred to innovative artistic
achievements of XX century. In his composition,
the artist-humanist expressed the greatest tragedy
of the Japanese people, who had gone through all
the terrors of the atomic war, by means of music.
The texts of the poems belong to А. Sofronov (the
poem «Nagasaki»), G. Fere, and modern Japanese
poets Simadzaki Toson and Eneda Jejsaku. In the
world culture, this composition has been the first
experience of evocation of horror of lethal atomic
explosion in symphonic music. The inner essence
of the depicted event is a drama of the nation,
having become a victim of the hellish massacre,
expressed in the artist-humanist’s composition and
which was followed by repercussions throughout
the whole world, having left nobody uncaring.
In his continuous feeling of tragic essence of the
being, the composure became a continuer of the
mental outlook, inherited from both Dostoevskij,
and Mahler. The composure-innovator’s piece
drew everybody’s attention, making people think
over global problems of the human being.
Listening attentively to the sounding of
a new piece of art, we are trying to grasp the
author’s idea, for the first sight, to understand –
what the composure has tried to express in his
work. But, simultaneously with this process,
our efforts are also directed to formation of our
own understanding of this piece of music, of our
own reading of the musical masterpiece, and that
is conditioned by the culture, which the person
belongs to, by his individual nature, and education
(the level of his up-brining). The listener’s
belonging to a corresponding culture allows him
to anticipate the direction of the author’s thought
development to this or that extent, though such
a forestalling never completely coincides with
that, what has been conceived and realized by
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the composure. Thereat, separation of the notions
of «author’s text» and «noted text» allows
differentiating the text, created by the author
himself and reconstructed and perceived by the
performers and the audience. Hence, musical
piece presents by itself a sort of integrity, which
includes both its author’s text and the variety of
its performers’ and listeners’ interpretations.
Giving characteristics to the modern
culture, V. P. Rudnev singles out postmodernism
as the first (and the last) condition of the culture
of ХХ century, which openly has accepted the
fact that text does not reflect the reality, but
creates a new one, or to be more precise, many
realities, which do not very often depend upon
each other. As far as «any history, according
to the postmodernism understanding, – is the
history of a text creation and its interpretation»
(Rudnev, 1997). We address to the notion of
«text», which is used in the structural method of
linguistics and literature study, as far as it helps
to disclose the notion of «artistic work». Under
the text of artistic work we understand that
material (in music – sound) structure, which is
created by its author in order to express certain
content. Then, there appears a question – what
is the difference between text and composition?
Yu. Borev explains the transition of artistic text
in to a composition through the moment of text
inclusion into the processes of social functioning
(perception and interpretation). Precisely, at
that very moment, artistic text transforms into
a composition (artistic culture meta-sign). Thus,
in comparison with text, composition is «a
functioning unsealed text, having its own sense
(artistic conception) and its object meaning
(its value for the mankind)» (Borev, 2005). In
musical art, the process of text transition into a
composition is conditioned by a special peculiar
nature of the musical language. Author’s text and
noted text of the musical composition are not
identical, as far as noted text is only the means
of graphical fixation of the acoustic process.
Researchers mark that the process of music
coding is characterized by incompleteness,
because it is impossible «to render» fully a
musical sounding into a noted text, as far as
«beyond the main sense, musical phenomena
have also connotative co-meanings» (Lazutina,
2007). Thus, possessing special peculiar features,
musical composition text fixes its sounding with
the help of a special system of signs, where we
observe a special situation of understanding, and
which is characteristic of polysemy, richness
of content and untranslatableness from one
symbolic system into another. In comparison
with other cultures, understanding of the music
language in the modern culture is complicated
by the fact that there are many ways of searching
of new variants of musical expression, of
methods of influence on the listener, means of
musical speech and esthetic conceptions. Thus,
music perception process acquires a multi-level
character. A modern composure purposefully
leaves his composition unfinished, undefined.
He whether outlines its most general contours, or
variants. Creation of a composition, which will
always be only one of the unlimited numbers of
possible variants of the musical master piece,
is shifted on to the performer. In the middle of
50-s of XX century there appeared co-called
«open» compositions. The main reason of
their appearance was: the reaction to rigorous
determinacy of the serial music, enchaining the
composure with a row of obligatory rules, monomeaning, and unchangeability of electronic and
concrete music. On the whole, European music,
all its system of expressive means was drastically
changed in the artistic culture of XX century.
There observed qualitative changes of the musical
thinking (in the context of all the system of
musical means and these changes are particularly
connected with a loss of tonality). Still keeping
its certain positions, tonal music has ceased to
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be an absolute norm. While harmony stopped to
be the music basis, preserving its expressive and
form-making meaning. In XX century, a widespread reform of «new music» was overcoming
the mono-consciousness. In the conscious of
composures there vanished the border, which
divided situation in music and situation in the
world. Revolutionary innovations, contradictions,
painful processes in the art of XX century just
increased the desire to perceive the sense of the
newest tendencies of artistic creative process,
the measure of its participation in spiritual selfdefinition of the modern person. The new stage
of creative process also testifies of changing
of expectations, being elated with the creative
product, of changing of notions concerning the
ways of its perception and its influence. Languages
of the modern art have changed the character of
correlation of the composition reality and the
reality of the surrounding world. Compositions
personages lose their definiteness, truthfulness,
authors got rid of the real world objectness,
narrativeness, and detailing, what is typical of the
classics. Images of new art are multi-dimensional,
indefinite, elusive, what corresponds to modern
understanding of complexity, of the inexhaustible,
and paradoxicality of the human nature. Senses
of compositions are conditioned by the play of
contexts, they are open and that is why they are
numerous, what is on the whole meets the demands
of the Relativism epoch and the rationality
principle crisis. To the mind of music researcher
М. Raku, perception of the fact that «inter-texts
are not formed on a random basis, but under the
influence of some laws, which are dictated by
the Great Text of culture, is significant for our
understanding of the laws, which form rich sense
structure of the composition – its inter-textual
layer» (Raku, 1999). One may suppose that the
text of any composition is already stored by the
program of the Great Text of culture. Today, the
fact, that every interpretation of the artistic test
contains the striving to go out beyond the limits
of this very composition, is unconditional. That
is «composition» as «text» separates and expands
its borders, thus merging into the Great Text of
culture, beyond which horizon there is more than
culture – there is the history of society and of the
person. Text of the musical composition is a wide
field for new readings, interpretations, versions,
additions and new senses. Thus, having absorbed
all the senses of each concrete culture «and thus
going out beyond the border of this culture, into
its hazardous co-existence with other cultures,
each such a composition discloses the sense of
the culture being as communication of cultures
and as communication of persons» (Bibler, 1990).
Being an essential instrument of «communication
of cultures», art turns out to be able «to present»
the culture, it belong to, and «to open it to the
representatives» of other cultures (Kagan, 1978).
Conclusion
Masterpieces of art are forming an
indissoluble integrity with culture, completing
each other in their interrelation. Being an artistic
model of culture, the product of musical creation
process presents by itself a creative form of its
artistic self-expression. In the course of the
dialogue of the musical communication subjects
there is given a birth to creative environment,
and in connection with this the existing musical
culture sphere and culture on the whole are being
changed.
References
Т. Adorno, Philosophy of New Music [Text] (Moscow: Logos, 2001).
V.S. Bibler, From Science Study – to the Logics of Culture: Two Philosophical Introductions into
XXI Century [Text] (Moscow: Politizdat, 1990).
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Rimma M. Shamaeva. A Piece of Musical Art as a Creative Form of Artistic Self-Expression of Culture
Ju.B. Borev, Esthetics [Text] (Moscow: Rus’-Olimp: AST: Astrel’, 2005).
H.-G. Gadamer, The Truth and Method: The Bases of Philosophical Hermeneutics [Text] (Moscow:
Progress, 1988).
A. Ivashkin, Shostakovich and Schnittke. The Problem of Great Symphony [Text], The Musical
Academy, 9 (1995), 1-8.
T.V. Lazutina, The Language of Music in its Ontological Aspect [Text], The Samara State
University Vestnik, 5/2(55) (2007), 15-22.
C. Levi-Strauss, Myth-Logicians: The Raw and the Cooked [Text] (Moscow: The Publishing
House «Fluid», 2006).
M.S. Kagan, Social Functions of Art [Text] (Leningrad: Znanie, 1978).
V.V. Medushevskij, Dualism of Musical Form and its Perception [Text] Perception of Music
(Moscow: Music, 1980). 178-194.
М. Raku, «The Queen of Spades» by brothers Tchaikovsky: Experience of the Inter-Textual
Analysis [Text], the Musical Academy, 2 (1999). 9-21.
V. P. Rudnev, Dictionary of the XX Century Culture [Text] (Moscow: Agraf, 1997).
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 176-183
~~~
УДК 908
Great Siberian Highway and Process Urbanization
on Southern Ural (1891-1914 Years)
Aleksandr A. Timofeev*
South-Ural state university,
76 Lenin av., Chelyabinsk, 454080 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
There are considered urban population’s processes occurring on Southern Ural after construction of
the Transsiberian railway (Transsib) at the end of XIX – the beginning of XX centuries in clause. The
reasons of strengthening of the urbanization process , the increase of the urban population’s share
on Southern Ural were growth of industry and trade, requirement for a cheap labour. Ufa, Zlatoust,
Chelyabinsk cities, located along the Transsiberian railway, become the large railway stations.
Keywords: Transsiberian railway, Southern Ural, urbanization, modernization.
The considered period of 1891-1914 it is
possible to characterize as an initial stage the
urbanization’s transition of the Southern-Ural
region. The essence of a urbanization consists
in territorial concentration of the human
activity, conducting to the intensification and
differentiations down to allocation of new
city forms and spatial structures of population
moving. Urban transition is qualitatively
allocated, supreme stage of the urbanization’s
process, which conducts to radical transformation
of all society on «the city beginnings», that is to
transition of the society in new quality, where the
city plays a determining and dominant role. The
transition, which was stretched in time as any
multilane process.
The urbanization means process of
movement of agricultural population in cities and
concentration of economic activity accompanying
these, administrative and political institutes,
*
1
communication networks in the urbanized
territories. Modernization, «industrialization,
urbanization frequently proceed in interrelation».
In conditions of modernization of the end XIX –
the beginnings XX centuries cities concentrated
in themselves economic, administrative,
scientific, spiritual potential of all society. The
economic maintenance of modernization consists
in development industrial, transport, trading,
financial-bank systems and other kinds of not
agricultural branches.
The urbanization contacts increase of
urban population’s share, its concentration in
cities (as a result of migration of agricultural
population), with increase of the role of cities
in country’s or region’s life. The concept of a
urbanization is meant, first of all, with social
process, which environment is not only city, but
also a society as a whole. The considered stage of
the urbanization is connected mainly to extensive
Corresponding author E-mail address: a_timofeev@inbox.ru
© Siberian Federal University. All rights reserved
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factors of development (increase of a share of
urban population, expansion of cities’ network,
strengthening of the big cities’ role in the country
or region).
One of the factors of real realization of
concentration of activity as essence of process
of a urbanization is the intensification of
communications between separate regions
and branches by modernization of transport.
Transport communications have got special
value during development of capitalism when as
a result of industrial revolution qualitatively new
transport communications have appeared. Change
of transport value of city frequently determined
development of all its economy. The degree of
realization by cities of functions of the transport
centre defined a level and rates of development
their industries, trade, growth of the population,
employment of inhabitants.
The construction of the Transsiberian railway
pawned preconditions of transformation transit
position the mountain-plant zones of the Southern
Ural from the closed rear industrial enclave in an
economic nucleus of the country, using all benefit
transit position between the European and Asian
parts of Russia. The mountain-plant Southern Ural
with its mountain factories in Asha, Min’ar, Sim,
Ust-Katav receives a new pulse of development
of manufacture, so also the means of settlements’
population existence., The mountain-plant
Ural makes up for the shaken positions after
construction of the Siberian railway after crisis
of the Ural industry and the output on the first
place in industrial production of Southern area of
Russia in the second half of the XIX century.
From station Vjazovaja the branch line is laid
on Katav-Ivanovsk and Iuruzan and from station
Berdjaush a branch line is laid on Satka’s factory
and on state Bakal’s mine, maintained since
1900, and the open factory in 1901 on processing
magnesite. The stations Kropachevo, Vjazovaja,
Berdjaush, Sirostan, Bishkil, Poletaevo as the
important railway stations involve with an
opportunity of earnings by the railway the local
population, and turn to large railway settlements
of city type. The station Miass was rather large
settlement with the population 20 thousand
people. In connection with that he Miass
factory to this time was any more working, the
population of settlement turned their hands to
extreme extraction of gold. With realization of the
Siberian railway, the population of settlement has
had an opportunity to engage in trade in bread
and cattle, that allowed to receive new additional
earnings1.
For the analysis of quantitative aspects of a
urbanization, its results and development in time
and space use first of all a traditional parameter
of a share of urban population. This parameter
enables to reveal a role of the of separate territories
urbanization on micro-and macro-levels. Besides
for the analysis of the urbanization it is important
to take into account qualitative changes –
occurrence and increase in a the population’s way
of life of new forms of moving, the increasing
penetration of city’s features of a life style into a
countryside. From this point of view the data about
the quantity of cities’ population are indicative.
The population of the Ufa, Chelyabinsk, Zlatoust
cities after realization of the Siberian railway is
promptly increased and grows fast rates.
The population of the above-stated cities
grew especially prompt rates after construction
of the Siberian trunk-railway. So, the population
of Ufa in 1897 made 49.275, in 1902 – 63.393.,
in 1912 – 107.409 people. For 1897-1912 the
population of Ufa has grown on 118 %, the increase
in population averaged 7,9 % per one year. The
population of Zlatoust in 1897 made 20.502, in
1902 – 27.985, in 1912 – 35.687 people. For 18971912 the population of Zlatoust has increased
on 74 %, the increase in population averaged
1
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4,9 % per one year. In 1890 the population of
Chelyabinsk made about 9.000 , in 1897 – 19.998,
in 1902 – 26.963, in 1912 – 67.444 people. For
1890-1912 the population of Chelyabinsk has
grown on 649 %, the increase in population
averaged 29,5 % per one year (Voice Priural’ia,
1909; The Review of the Ufa province for 1912,
1914; The Guidebook to the Great Siberian
railway, 1909; Russia 1913. The Statisticsdocumentary directory, 1995. – http://www.
rus-sky.org/histori/librari/1913/1913top.htm; The
Statistical review of the Orenburg province for
1902, 1903)1. The cities which have stayed away
from Transsib showed much more low rates of the
population’s increase having kept relative isolated
from transport highways. In 1902-1912 the annual
rates of increase of the Belebey’s population
made 1,3 %, of the Sterlitamak’s – 2,2 %, of the
Troitsk’s – 4,5 %, of the of the Verhneuralsk’s –
1,7 %, of the Orsk – 7,8 %, of the Birsk’s – 2 %, of
the Menzelinsk’s – 0,9 % (Raeva T.V., 250.)
In the cities, becoming central railway
stations, connected the European Russia and
the Far East, trading activity after realization of
the Siberian railway involved active able-bodied
population. Transport position of city dictated and
defined rates and level of formation of bourgeois
economic and social structures. The cities which
have appeared away from transport ways, slowed
down the development.
Settlements and the cities which have
stayed on periphery of railway transport arteries,
weakened the positions of the centers of trade,
fairs and, eventually, these functions passed to
railway stations. For example, the big ancient
village Karachelka – on Miass river – was
earlier the large trading, administrative, medical
and religious centre of the big area. It was 72
settlements at church in arrival. With realization
1
RSHA. F.1288. In. 25. B. 75; RSHA. F.1290. In. 5. B. 212;
RSHA. Librali II. In. 1. B. 62; SARF. F. 1890. In. 1. B. 3.;
ISACR. F. I-3. In. 1. B. 811.; ISACR. F. I-3. In. 1. B. 970
of the Siberian railway – the nearest station the
Shumiha quickly develops. In result the Shumiha
prospers, the administration and medicine move
in the new centre. The same phenomenon is
noticed and in other places. Station Mishkino
develops due to village Voskresenskoe, station
Shuch’e due to village Chumljak. Before the
Transsib construction Chumljak was the big
settlement on Miass river in 90 versts to the
east from Chelyabinsk, on a population is not
less Chelyabinsk. After Transsib construction
the population of village gets over in Shuch’e,
Chumljak becomes remote village (K.N.
Teplouhov, 2001, 250.)
Till 1890th years Chelyabinsk, being away
from railways, showed a typical sample of the most
remote town population 9 thousand inhabitants.
From the external side the town looked like
trading village. In 1891 the construction of the
Great Siberian railway began, Chelyabinsk
was elected the initial western point of a trunkrailway. «In city the set of any sort people has
gushed at once, informs V.A.Vesnovsky, – to old
Chelyabinsk the end has come. The new strip
began from its history, a strip of tireless activity,
feverish life. Old ways fell, and on their place
rose new motor of all modern life – the trading
and industrial capital. The suburban large village
also grows unusually quickly. Now it totals
up to 28 thousand inhabitants. On number of
inhabitants Chelyabinsk is the biggest city in
the Orenburg province (after Orenburg). For last
decade the population has increased almost in 3
times. Trade of Siberia grows, also Chelyabinsk
naturally grows. Large villages grow: Siberian,
Nikol’sky settlement, Suburban (Prigorodnaya),
Shugaevka, Kolupaevka (Grabilovka), Port
Arthur» (Vesnovski V.A., 1902, 18.)
Number of urban population grows not
only in itself, but also concerning agricultural
population of districts. So, if in 1902 the urban
population made in the Ufa district – 14,3 %,
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in 1912 – 18,8 %; in Chelyabinsk district – in
1902 – 6,1 %, in 1912 – 11,6 %; in Zlatoustovskiy
district – in 1902 – 12,5 %, in 1912 – 13,1 %
(Voice Priural’ia, 1909; The Review of the Ufa
province for 1912, 1914; The Guidebook to the
Great Siberian railway, 1909; Russia 1913. The
Statistics-documentary directory, 1995. – http://
www.rus-sky.org/histori/librari/1913/1913top.
htm; The Statistical review of the Orenburg
province for 1902, 1903; Vesnovski V.A., 1909)1.
With the beginning of the Siberian trunkrailway construction especially sharp question
for Chelyabinsk becomes a problem of habitation.
Habitation did not suffice, first of all, for railway
employees. Excise Chelyabinsk’s official
K.N.Teplouhov, recollecting as he has moved
to Chelyabinsk per 1899, writes, that after long
searches, only has hardly found an apartment
(Teplouhov K.N., 48.)
Till 1899 in Chelyabinsk Management of
the Siberian railway settled down, this time was
«gold» for land owners. Exorbitant prices on
apartments have caused the present building boom.
In shortest time it was constructed the hundreds
houses, «which with fight undertook the fabulous
prices by the people, fed about the railway. House
owners acquired the whole capitals» (Vesnovski
V.A., 1902, 13.). Former waste grounds in city
were built up. Developing commercial and
industrial life, has caused opening in 1892 all
over again branches of the State bank, and then
and branches of private banks. Management of
railways, for the decision of a room question,
gave the railway employee on easy conditions
the ground areas from 100 up to 200 sq. sagen
(sagen – 213 centimeters), belonging to the railway
for construction of apartment houses, leased sites
(The Review of the Ufa province for 1912, 1914,
27.) The Orenburg governor on the same question
1
RSHA. F.48. In. 1. B. 151.; RSHA. F.1288. In. 25. B. 75;
RSHA. F.1290. In. 5. B. 212; RSHA. Librali II. In. 1.
B. 62; SARF. F. 1890. In. 1. B. 3.; ISACR. F. I-3. In. 1.
B. 811.; ISACR. F. I-3. In. 1. B. 970.
addressed to the Chairman of Ministers Council
with the request to help railway men with a
question of habitation for « improvements of an
economic situation and a life of employees and
workers, and for the sake of advantage of the
most railway service» (The Review of the Ufa
province for 1912, 1914, 26.) In the cities located
lengthways Transsib, after its construction, the
building boom begins. The population builds the
houses, cities are equipped.
The public, and in particular the elite of
Chelyabinsk clearly connected development
of city to iron roads. For example, when it was
solved the problem on construction the private
Troitsk’s railway around of Chelyabinsk, through
the station Poletaevo, the city administration
has spent many forces and means to not admit
it. Reports of meetings, reports of the city
administration, correspondence with Ministry of
Railways, the governor, concerning connection
Troitsk’s railway with Chelyabinsk and even
the application addressed to Emperor were
dictated by desire Chelyabinsk inhabitants that
construction of road passed through central
railway Chelyabinsk station.
In the application city head of Chelyabinsk
V.A.Semein it was specified to Emperor, that else
rather recently, the remote town of Chelyabinsk
which is taking place in far distance from provincial
city, surrounded from different directions the
Cossack settlements, – to grow began quickly,
the beginnings it is good to develop in trade and
the industry. To such fast growth, revival and
development Chelyabinsk, undoubtedly, is obliged
to a railway junction of the Siberian, SamaraZlatoust and Perm – Ekaterinburg railways.
Terminal point the Troitsk’s railway in Poletaevo
«will bring to Chelyabinsk city an irreparable
harm to convenience of passengers, reception
and sending of cargoes, economic prosperity
of city. The Troitsk’s railway solves to some
extent destiny of Chelyabinsk city in its further
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development». The head of Chelyabinsk asked
emperor direction about development of station
Chelyabinsk and to enjoin connection of Troitsk
with Chelyabinsk by builded railway»1. They and
have started up Troitsk railway by Chelyabinsk,
but from an above mentioned source is visible
the understanding of value contemporaries of
presence of railways for development of cities
and region as a whole.
On the Western- Siberian site not less
than half of building workers it was typed from
peasants of local districts. Though for peasants it
was additional earnings which was consideredby
them as seasonal works, but it gave rather decent
income on those times in 4,5 roubles per day. The
wages of railway employees for a usual working
day at 6 hours for one month (25 working days)
averaged 56 roubles 50 copecks in 1914. The
annual salary of the chief of railway station
of the first category in 1914 made 2.400-3.120
roubles. On Samara-Zlatoust railway in 1914 the
annual salary of younger employees made 360420 roubles (plus room money-132-240 roubles)
Qualified workers of the Zlatoustovskiy factory
in 1911 received up to 5 roubles per day. Millmen
of the Katav-Uruzan-Ivanjvskiy factory where
rails for railways were produced, earned in 1914
12 roubles 66 copecks per day (Littauer I.L., 1917,
39.)
The prices in cities of Southern Ural where
the Transsiberian highway, on the major food
stuffs has passed, such as bread, sugar, meat,
were lower, than on the average on Russia, and
on such products as wheat, rye, oats, potato, were
much lower, than on the average on the country.
In this respect the region was in more favourable
position, than the European Russia, thanking
«the Chelyabinsk tariff crisis ». The prices for the
industrial goods the same not too differed even
from Moscow, besides due to that Southern Ural
1
ISACR. F. I-3. In. 1. B. 970.
was connected Transsib to the Central industrial
region of Russia and the goods were delivered
by railway. In Chelyabinsk practically it was
possible to buy any goods or to order through
trading firms. For example, the manufactory
in the Chelyabinsk trading houses cost only on
5 % more expensively Moscow (The Statistical
review of the Orenburg province for 1902, 1903,
25, 117.)
The infrastructure of cities, which in the
beginning of the XX varied also in rather close
reminds modern on the value. It concerns, first
of all, accomplishments of cities, networks of
trading, household institutions, cultural centers
(theatres, clubs). The provincial Ufa city in 1904
occupied the area in 6503 sq. des’atinas (des’atina –
10900 sq. meters) 2028 sq. sagens, from them the
populated part – 1185 sq. des’atinas, 1223 sq.
sagens. In the city it was present 217 streets and
lanes, extent of 114 versts (versta – 1067 meters)
137 sagen’s (paved – 14 versts 150 sagen’s),
having sidewalks (on the one hand – 13 versts 415
sagens, from two sides – 30 versts 400 sagens).
There were 8 squares in the city, their area was
54 sq. des’atinas 1298 sq. des’atinas, there were
4 city public gardens, the area 17 sq. des’atinas
465 sq. sagens , parkways – 2, extent 350 sagens.
In city it was present residential buildings 8038,
including stone and brick – 309, wooden – 7049,
mixed (half-stone) – 688. Ufa shined 114 electric
lanterns, there was a water pipe, the water
drain2.
In 1904 the district city of Zlatoust occupied
the area of the 6940 sq. des’atinas, from them the
populated territory – 2140 sq. des’atinas. In city
there were 110 streets and 75 lanes, extent of 85
versts, 10 squares of the area 11350 sq. sagens.
In Zlatoust there was a city public garden, the
area 800 sq. sagens. The number of residential
buildings in city was 3735, including stone – 305,
2
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wooden and mixed (half-stone) – 3431. The city
was shined by the 35 kerosene lanterns, there was
a city water pipe with a stock of 8000 buckets
and 122 wells, and as mountain-plant’s pond.
The prison department was engaged in removal
of uncleanness. In Zlatoust the fire help was
located with 7 machines and 20 flanks, but also at
railway depot – 3 machines and 11 flanks. In the
city 7 insurance societies, two notary’s offices the
mountain-plant bank, the state bank, a society of
the mutual credit operated. The night house for
poor people (on 100 persons) and a shelter (on 37
places)1 were available in Zlatoust.
The district Chelyabinsk after Transsib’s
construction turns to large city to the Ural
measures. In 1909 there were in the city 1600
houses, from them 360 stone, the water pipe
was constructed, paved streets were paved in
city centre and rail-way sation’s part. The cable
and telecommunication, an electricity were
carried out. In Chelyabinsk there were branches
of the State bank, Moscow international trading
bank, Russian trading industrial commercial
bank, Public city bank and Public the mutual
credit bank, the Siberian trading bank, the
City pawnshop, Exchequer, savings banks. In
trading city there was a set of hotels: «Birgevie»,
«Warsaw», «Moscow». It was totaled 485 shops
in Chelyabinsk (Vesnovski V.A., 1902, 18.)
The rail-way sation’s part of Chelyabinsk
connected directly to railway was submitted by
huge rail-station settlement: settlement Nikol’sky,
the Suburban (Progorodniy) large village, the
Siberian large village, settlement Shugaevsky (Port
Arthur), settlement Kolupaevsky (Grabolivka).
Occurrence of the Suburban (Prigirodniy) large
village began in 1895, together with realization
of the Siberian railway, the Siberian large village
in 1897. The Nikol’sky settlement existed before
realization of the railway. The main centre
1
RSHA. Librali II. In. 1. B. 62.
where commercial, industrial and public life has
concentrated, was the Suburban large village, as
directly adjoining with railway and city. There
were administrative establishments, shops, mail,
telegraph and so forth. The area of settlement was
38 des’atinas. The settlement was occupied by
railway men, salesmen. There were settled down
Commandant’s management, the Chelyabinsk
branch police Managements of the Siberian
railway, commodity office, the traffic Department
of the Siberian railway, Service of the SamaroZlatoust railway, Chelyabinsk migration point
(the area – 10 des’atinas, 12summer barracks and
6 winter for immigrants, 107 shops where it was
possible to buy practically any goods (Vesnovski
V.A., 1902, 125.)
At the same time, the infrastructure of
suburbs of cities, as against the centre, for example
Chelyabinsk, looked not so attractive. The affinity
to city and a railway junction created for railway
station settlements distinctive conditions from
city, here there were no significant innovations.
In the Chelyabinsk railway settlement people of
all estates and trades lived: craftsmen, salesmen,
railway men and cossacks. To tell the truth,
economically the settlement had no own value,
but on the other hand was in more favorable
conditions. The strengthening of passenger
movement, wide resettlement to Siberia,
movement of armies, on three iron roads, brought
enormous revival in its life. The Privokzal’nyj
(railway station) settlement had much more
value, than other suburbs of city. Here is how this
difference was informed with local press: «While
the last [suburban settlements] drag pity existence,
our settlement [railway] shows many attributes of
life. They waken energy in the population and
force to react to them» (Voice Priural’ia, 1909.)
The suburbs of city which are not taking place
by the railway, as a rule, were not paved. There
were no neither churches, nor schools, hospitals,
very much there were few shops and stores, dirty
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streets etc. But process of a civilization of suburbs
steadily proceeded in development of the city.
In 1904 when in the Government there
was an idea of creation of new Ural province
(the Troitsk and the Chelyabinsk districts of the
Orenburg province, Zlatoustovsky district of
the Ufa province, Kurgan district of the Tobolsk
province, Ekaterinburg and Shadrinsky districts
of the Perm province), there was a question on
provincial city. Applicants were two: Ekaterinburg
and Chelyabinsk. The preference was given
Ekaterinburg.
Chelyabinsk city’s head A.F. Bejvel has written
the letter to the Orenburg governor J.F.Barabash,
in which stated advantages of Chelyabinsk in front
of Ekaterinburg. Chelyabinsk, in his opinion,
was the centre of projected province that reduced
charges of treasury. Besides this decision would
affect public value as it concerned interests of an
extensive cultural – economic entity as province.
But the most important reason is that Chelyabinsk
was unit of railways, center of customs
establishments, the large centre of the trade,
letting off up to 50 million poods (poods – 16,38
kilograms) of bread and, at last, the important
strategic point with grandiose military – stopping
establishments, and also migration point. The
reason about significance of the spare capital at
city was resulted, and construction of provincial
establishments was offered due to city treasury.
The main argument of a choice for the benefit of
Chelyabinsk, in A.F. Bejvel’s opinion, there was
that the city is located on the Great Siberian way,
as against Ekaterinburg which by then was not
connected yet with Transsib. (Borisov V., 25-27.)
This example shows, how literally for one decade
the remote Chelyabinsk has turned to the large
developing city applying already on a role of
capital of province. And all this due to that the
Great Siberian highway has passed through city.
It has transformed Chelyabinsk in the new urban
center.
The cities and the settlements located along
the Great Siberian highway, become attractive to
active able-bodied population. On the contrary,
cities and settlements which appeared away
from the railway, kept relative isolation and
traditional character of internal life. Process of
increase of a role of cities was connected mainly
to extensive factors of development, increase of
a share of urban population, occurrence of city
settlements.
As a whole to the beginning of the XX
century the process of the urbanization on
Southern Ural, in the cities located lengthways
of the Transsib , functional division of city and
a village were not completed. Nevertheless,
the urbanization which has captured region,
developed intensively. Features of modernization
were reflected with process the urbanization’s
transition of the considered period. There was
a process of colonization of Siberia along the
railway. The part of immigrants remained in the
Southern--Ural region which becomes for them
more attractive after construction of the Great
Siberian highway. In mass consciousness the
railway has turned to a symbol of commercial
and industrial progress and prosperity.
The great Siberian highway substantially
made active economic development of Southern
Ural. Railway station’s settlements arose along
the Transsiberian highway, cities were integrated,
their role raised in development of region. The
amount of educated people is increased in cities,
the public health services develops, the life equips
with modern conveniences. The Management of
railways built churches, schools, railway clubs
which promoted increase of the common cultural
level of the population. The specific sub cultural
zone is formed around of the railway. However
as a whole, at the end of the XIX – the beginning
of the XX centuries industrial – economic and
anthrop-cultural components of the urbanization’s
process were in the initial stage.
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Aleksandr A. Timofeev. Great Siberian Highway and Process Urbanization on Southern Ural (1891-1914 Years)
There were created the potential opportunities
for formation of new model of economic growth,
for the introduction in new, higher on the level
the stage of modernization in region. The
modernization gradually changed prevailing type
of a sociality. The communal relations collapsed
city rational, economic culture. These processes
proceeded slowly and had not time to be finished
by 1914. The arisen contradictions aggravated
political and social relations in the society.
Work is executed at financial support РГНФ, the project 08-01-85112 а/У.
References
Voice Priurali’a. (Chelyabinsk, 1909).
The Review of the Ufa province for 1902. (Ufa, 1903), 165 with.
The Review of the Ufa province for 1912. (Ufa, 1914), 194 with.
The Guidebook to the Great Siberian railway (from Saint Petersburg up to Vladivostok 1909–
1910). (SPb., 1909), 338 with.
Russia 1913. The Statistics-documentary directory. (SPb., 1995). – http://www.rus-sky.org/histori/
librari/1913/1913top.htm
The Statistical review of the Orenburg province for 1902. (Orenburg, 1903), 112 with.
T.V. Raeva, Evolution of the Southern-Ural city (1900–1914 years). – Diss. to. and. н. (Chelyabinsk,
2004), 212 with.
K.N. Teplouhov, Chelyabinsk of the chronicle: 1899-1924. (Chelyabinsk, 2001), 512 with.
V.A. Vesnovski, Satellite of the tourist over Ural. (Ekaterinburg, 1902), 95 with.
V.A. Vesnovski, Whole Chelyabinsk and his vicinities. The pocket directory. (Chelyabinsk, 1909),
138 with.
I.L. Littauer, About average wages and quotations in mountain and mining the industries of Ural
/ Originator J.L. Littauer // The Bureau of advice and meeting of congresses gornoproyshlennikov.
Issue 1. (Ekaterinburg, 1917), 39 with.
V. Borisov, City a head – doctor Bejvel’. (Chelyabinsk, 2004), 78 with.
List abbreviations
RSHA – Russian State Historical Archive.
SARF – The State Archive of Russian Federation.
ISACR – The Incorporated State Archive of Chelyabinsk Region.
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 184-199
~~~
УДК 78.01(470)
Principles of Author’s Art Creativity
in Ancient-Russian Church Musical-Written Chanting
of the XVI-XVII Centuries
Natalya V. Parfentjeva*
South-Ural State University,
76 Lenin’s pr., Chelyabinsk, 454080 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
Research of the principles of art creativity in ancient-Russian church musical canonical art, revealing
of their common typological features, and also receptions of their individual author’s refraction
by masters of various regional schools is one of fundamental modern art criticism problems. The
basic directions of chant-masters’ work were: creativity on the basis of archetype, creativity on
the basis of models, creation of own formulae compositions. All these directions of creative work
were penetrated by the uniform principles expressed in various kinds of formulae alternativeness
:in internal (intraformula) rhythm-intonation variation and in external-formula variation: formulareformative and formula-updating, structural-updating, combinatory. The analysis of chanting draws
a picturesque picture of incessant creative processes at a level of formulas. In their rigid frameworks
the canon left an opportunity for alive creativity and even emphasized masters-composers’ skill. The
theoretical rationality was based not on scientific mathematical knowledge, as, for example, in the
Western world, and on studying and following to a canon and tradition. The investigated materials give
bright representation about extraordinary fruitful activity of the masters in the field of development of
the ancient- Russian chanting theory.
Keywords: Ancient-Russian church chanting of written tradition, author’s creativity in canonical art,
typological properties of creative principles.
Main principle of the theory of AncientRussian church chanting is that its structural
organization is built up from a number
of formulae. Russian masters-composers
(raspevshik’s) thought not separate sounds, and
the whole melodies which made the maintenance
of formulas – popevka’s, litso’s, fita’s (the
singsong of the last could reach hundred sounds).
These formulas, which musical maintenance it
was ciphered in «coded» tracings down to last
quarter of the XVI century, also were those
*
1
ready preparations for construction of majestic
compositions of ancient-Russian chanting (our
supervision about the mechanism of creation of
author’s formulas, for example, see: Parfentjeva,
1990; these supervision is confirmed: Gusejnova,
2001).
Our research of ancient-Russian churchsinging art will be carried out on the basis of
the textual method of the structural-formula
analysis produced by us (Parfentjev, 2004, 2005а;
Parfentjev and Parfentjeva, 2008). The basic
Corresponding author E-mail address: panv@susu.ac.ru
© Siberian Federal University. All rights reserved
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attention is given revealing in ancient musical
manuscripts of author’s singsongs, to their
decoding and comparative research. Studying of
these chants at a structural – formula level allows
to reveal the general creative principles used by
masters at creation their chants of various styles,
and also the ways of their individual refraction,
that, actually, and defined in canonical musical
art a phenomenon of creativity (Parfentjev and
Parfentjeva, 1993; Parfentjeva, 1997, 2003). The
analysis and typological generalization of the
specified principles allow to receive the most true
representations about development of creative
directions (schools) in ancient-Russian music,
to understand bases of art creativity in this
field. In given clause the results of our research
are generalized about the creative principles of
Russian masters various schools and the centers,
including such outstanding masters, as Varlaam
(Vasily) Rogov, Feodor Krest’janin (Christianin),
Ivan Lukoshkov, Faddej Subotin, Iona Zuj,
Login Shishelov (about them, for example, see:
Parfentjev, 2005b).
The conducting principle of creativity,
penetrating all without exception structuraltheoretical levels of church-singing art –
popevka’s, litso’s, fita’s, lines and formula
complexes of all church chant as a whole, was
intraformula alternativeness (this phenomenon
also can be defi ned as rhythm-intonation,
or melodic, variation (alternativeness) of
the internal order) (Parfentjeva, 1989а, 4041; 1989b, 3-7; 1997. 22-36; Parfentjev and
Parfentjeva, 1993, 123-135). It was expressed
not in creation of new formulas, and in own
«razvod» by the master-raspevshik already
arisen up to him complex coded formulas which
musical maintenance was earlier transferred
orally by heart, and in a statement of these
razvods as simple, «fractional», neumes-sighs.
By comparison of different author’s razvods
of the same formula it was found out, that
distinctions between them do not mention the
mode-composite maintenance, bringing only
minor alterations in a uniform rhythm-melodic
contour. As a matter of fact, these razvods are
the variants of the same melodic model.
The first stage of written development of an
examined principle was anticipated its long, since
the most ancient period, becoming in performing
practice, when the master sang the melodic
maintenance of this or that formula on memory,
transferring also the given singsong to pupils.
Gradually in manuscripts on a place coded tracings
appeared melismatical razvods (sometimes very
long), when two, three and more neumes are set to
one syllable. Especially intensively this process of
written fixing formulas razvods was showed since
80th of the XVI century. By conducting principle
of creativity from now on and during all further
development of Ancient-Russian chanting became
the master’s skill to transfer in writing by simple
signs the musical maintenance of the formula
which melody (razvod) was kept in his memory.
Process of written disclosing of complex melodic
formulas was not the same time. Given by the
highly professional chanting centre, it accrued and
passed in some stages, found the reflection, for
example, in lists of a cycle «Sticheras evangelical»
a different degree melismata of the razvods. So,
the «Sticheras» record in Feodor Krest’janin’s
«translation», contains the most melismatical
variant in which the musical maintenance not only
popevka’s, litso’s, fita’s formulas, by simple sighs
states, but also even complex neumes (Parfentjeva,
1997, 125-132; 2003; 2005; 2006). Only the one
who had unique memory and erudition in the
field of the musical theory, could reflect formulae
razvod precisely. Outstanding masters performed
work on disclosing the musical maintenance of
formulas in traditions of their school. Therefore
in razvods of formulas different interpretations
at a level of alternativeness of the internal order
variation are observed.
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Probably, originally the withdrawal from
canonical singing traditions and records of this or
that formula occured irrespective of the masterraspevshik’s will. In conditions of canonical
art he considered, that follows unique correct,
time honored archetype. But actually as it was
already marked, the orally by heart transfer of
the musical maintenance before curtailed, coded
tracings should result in different interpretations.
Both imperfection of ancient system of the
musical neuma letter, and remoteness of the
singing centres from each other promoted to
this. Gathering, singers of different schools and
the centres marked discrepancy of razvod of the
same formulas with surprise. Meetings of singers
on a choir resulted in disputes and quarrels
(Parfentjev, 2007, 22, 35). But gradually author’s
originality of creativity of the most outstanding
masters deserved a recognition in Russia. Names
of great masters received popularity, and their
singsongs (raspev’s) were written and distributed
in numerous chanting manuscript.
As we see, at the first stage, masters solved
a task of disclosing on the letter of complex
tracings of formulas with the purpose of fixing
their musical maintenance that eventually
facilitated singing of the chants. Now it was
not necessary to hold vast extended melodies of
formulas (some of them reached 100 sounds) in
memory. The cycle «Sticheras crucify» («Stikhiri
krestnie»), including three chants, is the example
of such creativity. Their earliest records are
met in manuscripts of the XII-XIII centuries.
Already then they were frequently stated as a
sequence complex neuma formulas with code
attribute. On boundary of the ХV-XVI centuries
there was a becoming the new record «Sticheras
crucify» having significant stability during
only XVI century. There was a composition
of Big extended melismata singsong stated as
coded formulas. Occurrence of this derivative
variant was the last stage before birth the razvod
versions of the Big singsong. To one of the first
variants of the given version began a singsong
of Novgorod master Varlaam Rogov («Sticheras
crucify Varlamovskie»), another – a singsong
of the anonymous master. The razvods of these
composers correspond to the coded tracings fixed
at a level of earlier chant of the XVI century.
Thus, Varlaam Rogov, the anonymous master
were not authors of «Sticheras crucify» composite
structure. They only in own way, in traditions of
the schools, have stated razvods of formulas, not
bringing in structure Sticheras any significant
changes. The quantity, type of formulas and their
site in Sticheras were established on boundary of
the ХV-ХVI centuries. Masters-raspevshiks’ skill
was showed at disclosing musical value the very
difficult formulas (all them 113). Undoubtedly, the
masters should have unique memory, profound
knowledge of the theory of chanting to transfer
to singers sounding of so complex and extended
popevka’s, litso’s, fita’s razvods (Parfentjeva,
1997, 87-124).
There was also in a similar way the
development of the Big extended singsong of
the cycle «Sticheras evangelical». It amazes the
grandiose scope of Feodor Krest’janin’s creativity.
The master due to magnificent knowledge in
the field of the chanting theory could present in
razvods all the most difficult formula complexes
of sticheras singsong. This singsong issued still
at the end of the XV century. (Parfentjeva, 1997,
125-132). As the similar example of creativity it is
possible to note and the singsong of the sticheras
«The magicians Persian» («Volsvi persidstii») of
the Stroganov’s (Usolskiy) master Ivan Lukoshkov.
The master’s contribution to centuries-old
evolution of this singing product it is necessary
to count the disclosing of musical value of the
formulas not dissolved up to him, the statement
«fractional» sighs of already usual composition of
the Big extended singsong with numerous coded
formulas. Thus he adhered to traditions of the
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Stroganovskaya (Usolskaya), school and school
of his teacher Stefan Golysh’s school – Novgorod
(Parfentjeva, 1997, 63-70). In the chant – «slavnik»
«About the blessings» («O koliko blaga») the Ivan
Lukoshkov’s skill was again showed in skill to
open the melography value of complex coded
formulas of the Znamenniy (the kind of chanting)
style (Parfentjeva, 1997, 70-78).
In the given examples creativity of the
outstanding masters was shown first of all that
they the first wrote the coded structures, which
have been usual up to them. Creative activity
of Varlaam Rogov, Feodor Krest’janin and Ivan
Lukoshkov covers the last quarter of the XVI –
the first quarter of the XVII centuries. But also
the representatives of last generation masters
Ancient-Russian chanting, whose activity has
fallen to the middle – to the end of the XVII
century, also owned this principle of the internal
(intraformula) variation and creatively applied it
according to requirements of the epoch. As the
example the stichera’s singsong «As the arch
strategist and the helper» («Iako chinoachalnik
i posobnik») of the outstanding Stroganovskiy
(Usolskaiy), master Faddey Nikitin «the son
of» Subotin can serve that. Singing a new the
translated (edited) this stichera hymnographical
text (Parfentjev and Parfentjeva, 1988), he has
proved not as the founder of the new piece of music,
and as the editor of the chant, already occurring
for hundred years up to him in the Stroganov’s
estate – Usolje (Solvichegodsk). The comparison
of this earlier Usolskiy ore Stroganovskiy variant
with the Subotin’s singsong has shown, that their
records are almost identical in the extended
razvods of formulas. However Subotin does not
copy the record of the Usolskiy manuscript. He
uses the interchangeable neumes and wrote the
complex neumes as razvod by simple sighs. His
skill was showed in the skill to keep as a whole
the Usolskaja school’s musical version, despite
of the significant changes in the verbal text. He
could carry out this task due to skilful possession
of the universal internal (intraformula) variation
method.
Thus, the initial stage of development of
the internal (intraformula) variation principle
reflected practice of real singing of formulas and
their fixings by masters in the chants’ structure
in traditions of the conducting schools. On the
one hand, the activity of masters on disclosing
formulas represented the special kind of creativity,
but on the other – the usual individual master’s
chanting theory.
The following stage of development of the
considered creative principle has reflected higher
theoretical level. It consisted in the masters –
theorists’ judgement of the author’s originality
internal (intraformula) razvods and began from
the boundary of the XVI-XVII centuries from the
moment of marking their to this or that master. As
a rule, author’s razvods were given in comparison.
The definition of their belonging to this or that
master it was carried out by the comparative
analysis and it was designated by notes ore in
structure of theoretical handbook, ore on the
margins of manuscripts, or as version above the
basic musical-neuma text of the chants.
One of examples the early internal
(intraformula) variation definition we find in the
manuscripts from the Tsar’s singing clerks’ library.
Character of the marks made these choristers in
draft records of chants, testifies to huge authority
the master Feodor Krest’janin (Christianin) at
them. Most likely, there are entered into his
duties not only training of young singers, but also
the help to the basic structure Tsar’s chorus in
learning complex razvods of formulas, the coded
lines of chants. For what under supervision of the
master by clerks were written the special draft
records in note-books. So, on the basis of record
from November, 26, 1598 it was possible to
establish, that on the lesson with choristers as the
first task the stichera of the 8th «echos» «Useful
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for soul acted» («Dushepoleznuju sovershivshe»)
end – and the line with extended melismata
singsong of the last word (59 neumes-sighs) was
executed. Feodor Krest’janin has told the pupils
about this singsong: This is the formula named
«fita gromoglasnaya» (loudsinging). As we see,
the master showed to court singers his own
«fita gromoglasnaya» author’s razvod. Then the
Tsar’s choristers studied popevka’s, litso’s, fita’s
formulas and the complex neumes of 5-th and 6-th
«echos» under the direction of the teacher on the
example to 5-th and 10-th Evangelical sticheras
which razvods of formulas also were executed at
Feodor Krest’janina’s participation (Parfentjev
and Parfentjeva, 2006, 102-107). In record
from October, 14, 1600 the Cycle «Troparions
Jordanian», executing in a holiday of Christening,
is stated with the indication «Summers (years)
7109 [1600] октоber 14 day, it was singing at
the Feodor Krest′janin′s (classroom). Troparions
Jordanian». Then, as it was and with records
of others chants, the editing of the manuscript,
search and introduction more simple, fractional
razvods is carried out etc. The undertaken research
has shown, that in the manuscript the Feodor
Krest’janin author’s singsong of the cycle is fixed.
The features of singing chants are transferred at
the presence of the master. Their text «is edited»
(verified) under his observation. And one more
very valuable feature of the given list – for the
first time we have met here the record of author’s
razvod of a formula structure not «Znamenniy»,
and «Putevoy» style. This formula structure
was generated in 80th of the XVI centiry, it
belongs to the earliest razvods fixings before
coded tracings and it is written by a neumes of
the «Znamenniy stolpovoy» style. In the middle
of the XVII century it is fixed one more author’s
razvods Troparions Jordanian variant – «the Put
(Putevoy) monastic». Its comparison with Feodor
Krest’janin’s Putevoy variant has shown, that
they differ at a internal (intraformula) variation
level, representing razvods of the same formulas.
The analysis of different interpretations allows to
speak about of these author’s variants belonging
to different chanting traditions (Parfentjeva,
2007а, 2007b).
The majority of the specified draft records
of the educational text is executed by one
anonymous Clerk (in Russian – Diak) and gives
representation about him, as about the highly
professional chorister. His knowledge are deep,
his technique combines a theoretical level with
its practical development. In the educational text
the Diak results fragments from all four chants
the cycle «Troparions Jordanian». He carries out
razvods basing on the text «edited» under the
Feodor Krest’janin’s direction. At the same time
as the creative person he supposes the most light
deviations from the main text, affording a internal
(intraformula) variation («mine»). This filigree
alternativeness testifies to alive breath of singing
practice and is reflection of infinite creative
movement of musical-theoretical idea. Research
shows, that it is in Feodor Krest’janin’s tradition
on which the Tsar’s chorus singing clerks (diaks)
(Parfentjev and Parfentjeva, 2006, 114-128) was
brought up.
The analysis of the the Troparions’ Putevoy
singsong has shown, that the examined principle
has found an embodiment not only in author’s
singsongs of the Znamenniy style. The example
of internal (intraformula) variation’s action in
the Demestvenniy style represents the Easter
chant «Light, light, new Jerusalem» («Svetisya,
svetisya, Noviy Ierosalime»). Anonymous Tsar’s
singing Clerk (Diak) has written down it in the
Znamenniy (Stolpovaya) notation, having marked:
«My neumes, the master sang, Krest’janin,
summers (years) March, 7108 [1600] 21. In
sacred great week of Easter, Demestvo». From
the manuscript it appears, that by preparation
for Easter celebrating Feodor Krest’janin and the
Anonymous Tsar’s Diak specified a singsong of
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this chant «Light». For singing they have selected
the difficult melismata Demestvenniy singsong
in graphic fixing by Znamenniy (Stolpovaya)
neumes. The anonymous Diak on the basis of
comparison written down by him before variant of
the Krest’janin’s singsong with the his variant has
executed then one more – the «edited» singsong
which should be copied to pupils «by advice»
the Master. The musical distinctions fixed in all
three variants of record this chant are defined
at a internal (intraformula) variation’s level. We
see, that as a whole there are the variants of the
singsong belonging to uniform school, which
occurred in the environment of the Tsar’s singing
Clerks (Diaks) (that, certainly, does not exclude
Feodor Krest’janin’s authorship, who worked
at this chorus of some decades) (Parfentjev and
Parfentjeva, 2006, 107-114).
Church chanting «Be silent some flesh» («Da
moltchit vsiyaca plot») was executed on Great
Saturday on the Liturgy instead of Cherubim’
song. As well as chant «Light», it is singing in
the Demestvenniy style and written down by
Znamenniy (Stolpovaya) neumes. Found out
selection of singsongs of this church chanting
has given a unique opportunity of consideration
of masters creativity features in a context of
traditions of those schools which they represented.
This church chant is fixed in Feodor Krest’janin’s,
Ivan Lukoshkov’s, Iona Zuy’s singsongs and also
anonymous Usolskaya school masters’ and the
Trinity-Sergiev monastery’s tradition. Comparison
of these author’s singsongs has revealed different
interpretations at the internal (intraformula)
variation’s level at the uniform formula structure
consisting of 34 formulas. At the classification
of the author’s different interpretations of these
church chanting formulas razvods it was found
out, that the determining property not in quality
(the internal (intraformula) variation’s principle
is kept), and in their amount. Hardly appreciable
rhythm-intonational changes of formulas razvods
in process of their accumulation give to sites
of the author’s singsongs the original figure at
preservation of the basic musical contour. Similar
sites also will transform a tune, forming style
features of this or that author’s «translation».
Thus as a determinative quantity indicators act:
for singsongs of uniform tradition the number of
different interpretations is insignificant (about
20 %), for products of various traditions it is
increased (more than 50 %). In rigidly given
frames of structure, not changing cardinally
contours of melodic formulas, and only hardly
them concerning, masters fixed alive breath of
singing practice of various chanting schools
(Parfentjev and Parfentjeva, 1993, 123-132;
Parfentjeva, 1997, 2007c).
The theoretical analysis of the author’s
internal (intraformula) variation principle is
observed and at the level of special sections in
the chanting manuscripts, in the theoretical
handbooks. One of the chanting collections of the
beginning of 1640th contains the indications on
Shaydurov, Lukoshov, Lukin, Moscow, Usolskiy
and other variants of formulas interpretations
in the chants’ lines from Heirmologia and
Octoechos. In the other collection of same time
there are given in comparison «Slobodskaya»
(probably, Alexandrovsraya large village),
Usolskaya and the Novgorod versions of melodic
interpretation of «line» from chant to a holiday
of Transformation. There are known also the
numerous Krest’janin’s, Lukoshkov’s, Login’s,
Pamvin’s, Zuy’s, Lvov’s and other «wise lines»
razvods allocated in structure of the chants,
written out in separate sections of alphabets or on
the chanting manuscripts margins (Parfentjeva,
1997, 11.) In the foreword to the known treatise of
1671, written by well-known theorist Alexander
Mezents «Notice about additional signs»
(«Izveschenie o soglasneyshikh pometakh») it
is told, that Tsar Alexey Mihajlovich allowed to
collect masters «good at chanting and knowing
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that nemues, the «litso’s and their razvods, and
popevki Moscow, that Krest’janin’s, and Usolskie’s
and other masters». The authors of «Notice»
(and among them there were the representative
of the Moscow school, the Patriarchal singing
diak Feodor Konstantinov and Usolskiy master
Faddey Subotin) have shown this distinction on
examples of 14 «popevka» formulas. All of them
correspond among themselves at the internal
(intraformula) variation level (Parfentjev and
Parfentjeva, 1993, 131-132).
So, the theoretical analysis of author’s
razvods as original, corresponded with others
at the internal (intraformula) variation level
has taken place on boundary of the XVI-XVII
centuries. Also it is fixed in draft records of
professional choristers, in special theoretical
handbooks. Proceeding from theoretical Russian
masters views we have developed a technique
of reconstruction author’s «formula-intonational
alphabets (azbuka’s)». Usol(skie) church chanting
masters’ Alphabets, and also outstanding
composers’ Alphabets are made: Varlaam
Rogov’s, Feodor Krest’janin’s, Ivan Lukoshkov’s,
Login Shishelov’s, Faddey Subotin’s. In these
directories the author’s formulas razvods are
submitted in comparison to others author’s or
anonymous razvods with which they correspond
at the internal (intraformula) variation level. The
reconstructed author’s alphabets is the result of
generalization of the materials investigated by
the given principle of creativity (Parfentjev and
Parfentjeva, 1993, 272-310; Parfentjeva, 1997,
219-295).
As we see, the internal (intraformula)
variation developed from practical written fixing
by masters of the coded formulas tracings musical
maintenance in traditions of the school through the
theorists’ analyses of the author’s originality of the
executed razvods to their written indication and
to the explanation in the structure of theoretical
treatises. As it was already marked, action of
the internal (intraformula) variation’s principle
penetrates all creativity of the ancient composers,
being universal. This principle has found
extremely bright and full display in a number of
author’s singsongs to chants, executed in various
styles. The revealed features of realization of this
principle testify to huge value for Ancient-Russian
chanting art of the most slightly varied details.
The refined composes’ hearing distinguished,
even in extreme complicated melodic figure
of formulas’ singsongs, including extended
richly ornamented melismatical type (Bolshoy,
Znamenniy, Putevoy and Demestvenniy styles)
the finest details, characteristic for this or that
master, for the certain chanting tradition. The
picturesque art creativity’s process appears. The
stimulus of creative activity is incorporated in
the internal (intraformula) variation. The chant’s
canonical basis was defined by the uniformity
of the form and the structural parities, the
given quantity of the same formulas, the echos
and a style belonging, the musical dramatic art
predetermined by the hymnography text. But
even in rigid frameworks of a canon there was
an opportunity for alive creativity, for display of
the Russian chanting composer’ skill. There was
the original dynamics of art creativity, what static
middle-aged-traditional it would not seem at first
sight.
One more basic principle of ancient-Russian
masters’ creativity was the external formula
variation which could be expressed in replacement
with the master of this or that melodic formula
in any site of church chanting that entailed full
change of its singsong (Parfentjev and Parfentjeva,
1993, 149-150).
The formula variation of the external order
is traced in sources on all extent of development
of chanting art (in difference, for example, from
action of the internal (intraformula) variation
principle also working in singing practice from
times of an extreme antiquity, but written fixing
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received only in the XVI-XVII centuries). The
most ancient lists of the XII-XV centuries for
the majority chants are the basis of all further
development. We determine them as archetype.
The lists chronologically approached to
occurrence of author’s singsongs, we determine
as the prototype (last quarter of the XV-XVI
centuries). In the last quarter of the XVI century
the derivatives chants arise on the basis of the
prototype. They are the new musical versions
in regional tradition. In archetype, prototype,
derivative the formulas are fixed basically coded.
This long difficult way of the texts’ evolution
finally has resulted in occurrence of actually
author’s singsongs in which formulas are given,
as a rule, as razvods. The texts were existing in an
extreme antiquity and changed during centuries
at a level of formula variation of the external
order. Such evolution of singsongs we shall define
as creativity on a archetype basis.
The most brightly the principle of the
external-formula variation operated in the critical
periods of chant art development (the second half
of the XV century; 80th of the XVI centuries). At
the moment of occurrence of any new type of a
singsong the part of formulas from previous period
was kept and fixed in the text, but other part or
was in part transformed at a level of a tracing, that
was reflected in evolutional updating formula’s
structure ( formula-reformative variation), or
was replaced with others (the formula-updating
variation). The new musical-graphic material in
the case was entered. The absolute difference in
tracings of formulas assumed as well a difference
in their razvods.
Thus, the evolutional formula variation is
a partial change of the formula at a level of its
tracing, and the updating formula variation is
its full replacement. The evolutional formula
variation does not place the formula for
frameworks of uniform canonical tradition
and, probably, has intonational difference at the
internal (intraformula) variation level within the
framework of the uniform formula. Last statement
is characterized by the assumption, as formulas
razvods of the XV-XVI centuries were not fixed,
that does not give an opportunity of their exact
analysis. But the updating variation cardinally
changes type of the formula (popevka, litso, fita)
or its kind (distinctions in structure of one type),
so also the musical maintenance.
The vivid example of such variation is
found out in record of the chant by 6-th echos
«The Creator and the deliverer» («Tvorets i
izbavitel») from Octoechos of the second half
of the XVII century. The given church chanting
contains the fita «zelnaya» razvod, its tracing
with designation «Usolskaya» is given on the
margin. The alternative variant of this fita’s
tracing – «zelnaya s rogom» – and its razvod with
indication «Krest’janin’s» (Parfentjeva, 1997,
19-20) however is below given. It speaks that at
singing the chant «The Creator» the Usol’skoj
school masters sang the razvod of one tracing, and
Krest’janin and his pupils – another. Comparison
of razvods shows, that the Krest’janin fita
variant has the common finishing fragment with
Usolskiy variant – the cadance-finalis, but it was
executed on a quart above. The initial fragment
of razvods differs. The composite fita’s structure
is changed as a whole, as is the basic attribute of
a principle of the creativity determined by us as
the updating variation of the external order at
which the formula cardinally changes (tracing,
razvod). It is interesting, that in author’s Fitnik
(the fitas collection) of Feodor Krest’janin the fita
«zelnaya s rogom» it is given three times, and
its tracings and razvods are practically identical
to Krest’janin’s tracing and razvod in specified
chant «The Creator». This is the certificate exact
attribution of the fitas’ authorships.
Action of the external formula-updating
variation principle is observed and in the selection
of singsongs – Moscow, Usolskiy, Troitskiy
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(Trinity monastery) and Novgorod – the chantantiphon «Lords above people» («Kniyazi ludstii»)
from a cycle of Jesus Passions. The Moscow
singsong is stated in syllable-melismatical kind
with coded fita’s tracings and popevka-formulas.
All other versions are submitted in melismatical
type razvod with full absence of the codifying.
Research has shown, that distinctions between
the Moscow variant and the others are shown not
only at a level of internal (intraformula) variation,
but also at a level of replacement of one formulas
by others, the external-formula variation, which
should be considered as following, higher step of
art originality (Parfentjev and Parfentjeva, 1993,
132-135).
On an example separate chants the stages
of art creativity are well traced within the
framework of the external-formula variation
principle action. So, for example, Usolskie
masters at creation of the own musical version
of the christmas chant (slavnik) «In the manger
there was settled» («Vo vertepo voselilsja»)
(1580th) have processed the early typical
prototype of church chanting. Dependence on
it the received Usolskaya tradition’s derivative
chant is expressed in preservation of quantity of
neumes, in an invariance of the general quantity
of the fita’s and litso’ s tracings fixed behind the
same words, in the identical graphical diagram of
the five fitas formulas tracings, in the invariance
of the line’s partitioning principles and musicaltext communications inside lines. Constant 5
formulas from 14 are kept, transformed – 7,
completely updated – 2. Usolskoe derivative
chant has the new musical-graphic registration
of the five lines that testifies to action of the
formula-updating variation principle. Usolskie
masters’ creative work consist in the change of
neumes, litsos, fitas and on occassion and the
lines of church chanting, at preservation of the
sighs notation total and formulas total. These
graphic changes, undoubtedly, have mentioned
intonation-rhythmic structure church chanting,
namely – the structure of melodic formulas which
has undergone to processing. But the composite
structure including a sequence of formulas, as a
whole is kept.
If to address to the prototype and to
derivative variants of this chant «In the manger»
in the Moscow tradition the distinctions between
them are more significant, in comparison with
the Usolskaya version. In the Moscow variant
the general quantity of formulas is increased, the
amount of lines has made 15 (in the prototype
was 13 lines), all fitas’ tracings have changed,
some of them are replaced with litsos and
popevkas. The new fitas’ tracings at the same
time have appeared. In Moscow tradition’s
derivative variant the melismata prevalence is
appreciable, it has got features of the Bolshoy
extended singsong. And the structural both
intonation-rhythmic maintenance has undergone
in it to intensive processing. Thus, the Moscow
masters’ creativity in derivative variant chant
«In the manger» was showed in refusal of the
given structural frameworks. This reception
distinguished by the greater degree of freedom,
we shall define as the composite or structurally –
updating variation which assumes removing a
singsong for structural sides of the prototype,
than its qualitative transformation to the
«Bolshoy extended» singsong is achieved. Thus,
using a textual method of the structural-formula
analysis, we managed to establish, that in 80th of
the XVI century in singing of the chant «In the
manger» two traditions are finally formed – more
canonical Usolskaya and appreciably independent
Moscow. In manuscripts they are submitted as
derivatives from the most ancient variant – the
prototype (Parfentjev and Parfentjeva, 1993, 156166; Parfentjeva, 1997, 55-63).
The structural-formula analysis of one
more chant – slavnik «David proclaim» («David
provozglasi») (to Introduction of the Virgin in a
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temple, 8-th echos), also submitted in manuscripts
in Usolskiy and Moscow Krest’janin’s singsongs,
again has confirmed the big degree of creative
freedom in Moscow derivative. And Usolskiy,
and Moscow variants have grown from the
uniform root – the prototype of the XV century.
For Usolskiy derivative the severity, aspiration to
ancient tradition are characteristic. The deviations
from the prototype in it are not so courageous,
as in Moscow derivative. Constant in Usolskiy
derivative there were 12 formulas, are transformed
on the basis of updating a single-root tracing – 15,
completely differ – 2. The quantity of formulas
was reduced to one. Comparison neumes texts
derivative with the prototype has shown in the
Moscow tradition, that the quantity of formulas
has increased on one (the new litso is entered),
constant formulas was kept 12, transformed and
updated – 13. Moscow derivative is characterized
by a large extent of art freedom, the output for
given frameworks aside the greater extent and a
melodic originality (Parfentjev and Parfentjeva,
1993, 146-156; Parfentjeva, 1997, 47-55).
As it was marked, derivative variants were
the last step before author’s chants. At the level
derivative – author’s the master’s work consisted
in disclosing coded tracings, that as it was
already spoken, and made the main sense of
creativity, expressed basically of formula internal
(intraformula) variation. But author’s searches
went and in the other direction – at a level of
external-formula variation: formula-updating
variation, structural-updating. So, by comparison
of the derivative singsong the same chant-slavnik
«David proclaim» of the Moscow tradition with
author’s singsong number of identical formulas
has made 23, completely replaced – 2, in part
transformed – 6.
So, the formula-textual analysis of the church
chanting has shown, that the major principle of
masters’ creativity, besides universal internal
(intraformula) variation, there was the external
formula variation: updating, transformed,
composite- or structural-updating. As shows
the research, the given receptions of external
variation also are general. Topmost achievement
of each of conducting ancient-Russian chanting
school of the XVI-XVII centuries – Moscow,
Usolskaya (Stroganovskaya), Novgorod – became
creation by their outstanding representatives
the author’s singsongs to majestic cycles:
Novgorod master Varlaam Rogov – to «Sticheras
crucify», Moscow master Feodor Krest’janin –
to «Sticheras evangelical», Usolskiy composer
Ivan Lukoshkov – to «Hypakoes sunday on
eight echos». Their author’s creativity based
on universal principles and represented the
maximum step in evolutionary of the neumahymnography development of the chants’ text
at the stages archetype–prototype–derivative
(Parfentjeva, 1997, 87-124, 125-132, 142-171).
With unusual refraction of universal
principles of creativity we meet in a cycle
«Hypakoe’s sunday on eight echos». Master
Ivan Lukoshkov has completely opened here the
all melodic formulas’ musical maintenance at
a level of internal (intraformula) variation, but
not only. It is revealed two sources of creation
by the master of his own singsong. On a line of
indirect attributes we have defined these sources
as Usolskiy and, presumably, Novgorod variants
«Hypakoe». These variants were in Stroganov’s
estate in time when the master still lived here. The
reference to these singsongs is clearly traced in
an author’s cycle. Such principle of creativity can
be determined as formula-combinatory. However
the master not simply «collected» the variant
from two available. He has put before himself the
task to create a chanting cycle in uniform style
of the «Bolshoy extended» singsong sated rich
ornamented melismata. Therefore he selected
those formulas which helped the decision of the
given task, frequently endowing even adherence to
traditions of native school (hypakoe 5-th and 6-th
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echos). Lukoshkov was not the simple compiler.
He has enriched the singsongs with new, up to
him not used formulas considerably developing
melodic space of the chants. We can not tell with
full confidence, that all these new formulas are
invented by the master. However their absence
in alphabets allows us to make such assumption.
The individual maintenance of the master’s
«translation» is shown in the data «litso’s» and
«fita’s» formulas (all them 17). There, where it was
necessary to change syllable-melismata parity
of the text and a tune on melismata, he safely
used structurally-updating variation, entering
additional «litso’s» and «fita’s» formulas, using
the most difficult double «litso’s» razvods. As a
rule, the author’s individualization of singsongs
falls key, turning-points of the structure. As a
whole in the quantitative maintenance of formulas
(112) Lukoshkov’s «translation» surpasses also
Novgorod (105), and Usolskiy (107) singsongs
(Parfentjeva, 1997, 142-171).
If in «Hypakoes» Lukoshkov has solved a
problem of new structure in style of the «Bolshoy
extended» singsong creation for the other cycle
«Sticheras crucify», he, on the contrary, has
executed a singsong in style syllable-melismata
singing, having named it «Smaller neumatic
chanting». His variant is really considerably
smaller in comparison with «Sticheras crucify
Varlamovskie», executed in the «Bolshoy
extended» singsong by Novgorod master Varlaam
Rogov. Research has shown, that Lukoshkov
followed stylistics of initial church chanting
«Come honest» («Priidite verenie») which entered
the first into a cycle. In the «Smaller neumatic
chanting» Sticheras Lukoshkov has differently
approached to the decision of task on creation of
more brief variant singsongs. Type of the syllablemelismata singing, the scales and the intonational
maintenance of the first stichera «Come honest»
quite answered this task. Therefore the master
has kept the church chanting created for century
prior to him, in a constant kind, He created in
the same style two following chants, imitated
syllable-melismata parity of the text and a tune
of this stichera. If in the second stichera of the
the cycle «Today the Lord of the creature»
(«Denese vladika tvari») still it is possible to find
out echoes both the most ancient records, and
singsongs of boundary XV-XVII centuries (and
also Varlaam Rogov’s) in the third stichera «Today
the insuperable» («Denese neprestupenim»)
influence of previous singing variants is hardly
appreciable by an essence. The master, using the
formula-combinatory principle of creativity, has
created own compositions, in which melismata
«fita’s» rich ornamented singsongs are especially
brightly allocated on a background of modest
«popevka-litso» lines, becoming both formbuilding, and emotional-culmination tops of the
chants (Parfentjev, 1997, 133-141).
One more direction of Ancient-Russian
masters’ musical written art creative activity is
singing on it is similar («na podoben»). We find
out the degree of the outstanding composers
author’s participation in realization this principle
in the church chanting. Following the model
(«podoben»), that is creation of products on the
basis of steady samples-models as which the
whole church chants acted, – the characteristic
feature of medieval art going from time
immemorial. In Russia the samples-sticheras,
referred to as chanting masters «podoben» or
«podobnik».
Composers-theorists,
making
groups of the chants, each of which had known
number of lines, placed them in neuma chantbooks collections in special sections and used
at singing the hymnography texts with the
appropriate structure. These hymnography texts
had not musical neumes. The big complexity for
studying the principle of similarity is represented
with an abundance of musical versions samples –
sticheras (podoben,) which were not once and
for all stiffened musical-graphic samples. Quite
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often the canonical literary text it is similar even
in one manuscript had different neuma-graphic
records (sometimes it depends on style). It creates
difficulties at definition, which singing variant –
sample has lain in a basis of this or that stichera,
going back to sample – podoben.
Embodiment of the principle of similarity
(«singing on it is similar») strictly canonical –
as full singsong’s submission to an available
sample – almost did not leave a place to creativity.
Therefore the chants, identical given to the
model – sample and simultaneously designated
as author’s, could not exist. In the chanting
manuscripts the authorship of original products
was designated.
Having analysed the known author’s sticheras
«on it is similar» of the Usolskiy (Stroganovskiy)
masters, – seven sticheras to Christmas of
the Virgin, designated in the manuscript as
«Usolskiy translation», three sticheras «on it is
similar» «God, as at the court» («Gospodi, asche
na sudishe»), designated as «neuma, sigsong
Usolskiy», two Usolskiy master Faddey Subotin’s
celebratory sticheras – we came to the following
conclusions. In the Usolskiy singsong sticheras
the creative embodiment of the principle of
similarity consist in original refraction of the
formula-structural features of the sample-model.
And in the investigated cycles there are different
methods of realization of this principle. First of
them assumes the presence in sticheras and sample,
on which they warmed up, the same formulas in
the central moments of the composition and the
generality of the basic part of formula structure.
At the same time the features of independence
prevail in the author’s sticheras. Their originality
is shown in the individual approach to structural
decisions of the «popevka»-formula building of
chanting lines and in use new (in comparison with
sample-podoben) formulas that is caused, most
likely, Usolskiy masters’ aspiration in own way to
transfer the musical means the maintenance of the
hymnography text (Parfentjev and Parfentjeva,
1993, 135-145; Parfentjeva, 1997, 36-46). Other
method is an application already described only
to the first stichera of the cycle and creation of
the subsequent behind it on its sample; in this
case this stichera represents itself as is similar for
the others chant in the cycle (Parfentjeva, 1997,
172-176). So various receptions of the principle
of similarity creative processing testify to a high
degree of masters’ skill, about aspiration of them
to leave for frameworks of stereotyped musical
thinking.
We fi nd the creative application of the
principle of similarity and in singsongs of the
outstanding Trinity-Sergiev monastery chorus
conductor Login Shishelov. Creating the
variant of a singsong to three sticheras to St.
Nicolas on 8-th echos, master has receded from
following to the existing sample – podoben. He
has dissolved a singsong of the fi rst stichera
«On the sky streaming» («Na nebo tekusche»)
(internal (intraformula) variation) and has
complicated, having made his independent
(«samoglasniy») product. Login has achieved
it, having applied the method structurally –
updating variation. The fi rst stichera «On the
sky streaming» became a sample for other two
sticheras «By the pray songs» («Molebnimi
pesnemi») and «The Star immortal» («Zvezdu
nezakhodimuju»). The master, in essence, has
brought in the contribution to the theory of
principle of similarity chanting, having created
the sample-model. In the second and the third
sticheras he has applied the given theory
creatively, having admitted the deviation from
of the formulas following order and in the
single instances – new formulas introduction
in the singsong, but from uniform formula fund
of the sticheras. However as a whole the master
operated according to the sample created by him.
He has shown, as it is creatively possible to use
the new sample-podoben. All this has allowed
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the master to bring in the significant variety
to melodic movement, to avoid monotony in
singing the cycle (Parfentjeva, 1997, 176-180).
To sticheras St. Nicolas of 4-th echos Login
created the singsongs, practically overcoming
a principle of similarity. From sources it
appears, that at a stage of occurrence of these
sticheras the text of the fi rst was composed
by anonymous masters on the sample «As
noble» («Iako doblja»). In the second stichera
they followed the sample-podoben only in its
fi rst part, and in the second stichera – have
embodied the principle of external-formula
updating variation. The originality of creativity
in this case consists in the combination of
the sample’s fragment with the new formula
construction. The third church chanting by
anonymous masters was completely updated
in comparison with the sample and represented
the independent (camoglasen) chant’s singsong,
which nevertheless it had with the sample the
common fi rst and third formulas. By the end of
the XVI century there was the typical singsong
for each church chanting. In Login’s sticheras
and in the typical there is a significant amount
of the common formulas. At the same time the
master has introduced the new and complicated
formulas, including «fita’s». Creating the own
version of the sticheras, Login should execute
a complicated problem of one more updating
of already available typical singsong. Probably,
the master has studied originally the common
formula sticheras’ fund and, having left those
formulas which answered his task, has rejected
the others. He has also enriched this fund to
new formulas, having created the formula fund.
Due to updating formulas, and also due to full
change of the structure his sticheras’ singsongs
became more extended and it is more difficult.
The master having applied a principle of
structurally-updating variation, has created the
new products (Parfentjeva, 1997, 133-141).
Creation of the own musical compositions
which are not having analogues in the past,
undoubtedly, was the maximum display of
creativity. Given the most courageous in canonical
art the direction of creative activity is connected,
mainly, with complex rich ornamented melismata
styles – «Bolshoy (extended) znamenniy»,
«Putevoy», «Demestvenniy». At the same time on
boundary of the XVI-XVII centuries the masters
could create new compositions in stylistics of a
«Small» or «Moderate» style. It was dictated by
new tasks, as, for example, creation of more brief
singsong to «Sticheras crucify» (I. Lukoshkov)
(Parfentjev and Parfentjeva, 1993, 105-115). At the
same time this master created new composition in
the «Bolshoy (extended) znamenniy» style – the
stichera by 6-th echos in honor over the Trinity
«I Reign heavenly» («Tsaru nebesniy»). It is
important to note, that Lukoshkov one of the first
if not the first, among Russian masters, was solved
on creation of an own new formula composition
on the given church chanting text. In canonical
art it was presumed to himself only by the highly
talented and authoritative master. All means of
musical expressiveness serve here to association
of the verbal text in a uniform art ensemble. All is
directed on continuous expansion of musical idea.
But the master, creating the singsong, has not left
and could not leave from a circle of intonations and
the composite receptions inherent in his epoch.
His creativity was showed not in searches of new
musical language, and in the perfect knowledge
of tradition, in possession of technical subtleties
of a spelling of a new singsong in «Bolshoy
(extended) znamenniy» style (Parfentjev and
Parfentjeva, 1993, 170-187).
Example of creation by masters the own
musical compositions can become also stichera
on the church shrouds’ kiss «Will come, we shall
please Joseph» («Pridite, ublajim Iosifa») with
the indication «Echos 8. Usolskiy singsong», and
also two «Demestvenniy» «Wishings to Tsar of
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the many years of his life» («Mnogoletie») (one
is stated «znamenniy» style neumes, another –
«demestvenniy» style neumes) and stichera to
New summer «As nonverbally wisdom» («Ije
neizretchennoyu mudrostiu») in a Putevoy
singsong of the Usolskiy masters. Creation be
the Usolskiy masters Demestvenniy ans Putevoy
singsongs became the most free display of their
creativity. The products differ the author’s
originality, they are unique on the melody, and
sometimes and on the way of record. But also
here there was no completely free creativity in
our modern understanding. It also was based
on the certain formula structures which have
been already usual in the chanting theory
and subordinates in a line of cases also echos
belonging.
The carried out researches have shown,
that the main core of ancient-Russian churchchanting canon was formula mentality, closely
connected with echos belonging. Masters
thought not separate sounds, and the whole
melodic formulas – popevkas, litsos, fitas.
The basic directions of masters’ work were:
creativity on the archetype basis, creativity on
the basis of samples-models, creation of own
formula compositions. The uniform principles
penetrated all these directions of creative work.
The principles expressed in various kinds of
formula variation – the internal (intraformula)
rhythm-intonation, external formula-reformative
and formula-updating, structural-updating,
combinatory. The investigated materials give
bright representation about extraordinary fruitful
masters’ activity in the field of development of the
ancient-Russian chanting theory. The analysis of
the church chanting draws a picture of incessant
creative processes at a level of formulas. Original
dynamics of art creativity is formed. The stimulus
of the masters’ creative activity is incorporated
in the melodic formulas variation. In their rigid
frameworks the canon left an opportunity for alive
creativity and even emphasized masters’ skill.
The theoretical rational beginning was based
not on scientific mathematical knowledge, as, for
example, in the Western world, and on studying
and following to a canon and tradition. That, in
turn, it was counterbalanced by the irrational
beginning going from variation, reflecting the
national features of musical mentality.
Work is executed at financial support The Russian Fund of basic researches, the project
№ 07-06-96010.
References
N.P.Parfentjev, About methods of research of ancient-Russian musical – written art products
Traditions and innovations in domestic spiritual culture: Materials of the First Southern-Ural
interuniversity scientific-practical conference (Chelyabinsk, 2004), 29-34. – (in Russian).
N.P.Parfentjev, About perfection of a method of research of ancient-Russian masters’ musical –
written art products. Traditions and innovations in domestic spiritual culture: Materials of the
Second Southern-Ural interuniversity scientific-practical conference (Chelyabinsk, 2005а), 4-10. – (in
Russian).
N.P.Parfentjev, N.V.Parfentjeva, On the Structural-Formula Method of Researching Ancient
Russian Chants as Musical-Written Art, Journal of Siberian Federal University. Humanities and social
sciences. 2008, 1 (3), 384-389.
N.P.Parfentjev, N.V.Parfentjeva, Usolskaja (Stroganovskaja) School in Russian Music of XVIXVII centuries (Chelyabinsk, 1993). – (in Russian).
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Natalya V. Parfentjeva. Principles of Author’s Art Creativity in Ancient-Russian Church Musical-Written Chanting…
N.V.Parfentjeva, Creativity of Masters of Ancien-Russian Chanting Art of XVI-XVII centuries
(Chelyabinsk, 1997). – (in Russian).
N.P.Parfentjev, Outstand Russian musiciansof the XVI-XVII cent. The elected scientific articles
(Chelyabinsk, 2005b). – (in Russian).
N.V.Parfentjeva, About creative principles of masters Moscow and Usolskja schools in ancientRussian chanting art, Culture and art in monuments and researches. (Chelyabinsk, 2003), vol.3, 2950. – (in Russian).
N.V.Parfentjeva, About Some Features of Author’s Divorces Formulae (Fitas) (Under chanting
Manuscripts of the XVII century), Musical Culture of the Middle Ages (Moscow, 1990), vol.1, 137. – (in
Russian).
N.V.Parfentjeva, Principles of author’s art creativity of ancient Russian musical – written art
masters of the XVI-XVII cent., The Bulletin of the Southern-Ural state university. Social-humanitarian.
(Chelyabinsk, 2008), vol.10, 63-73. – (in Russian).
Z.M.Gusejnova, Fitnik of Feodor Krest’ janin. (St.-Petersburg, 2001). – (in Russian).
N.V.Parfentjeva, Basic directions of usolskiy (striganovskiy) masters of the XVI-XVII cent.
creativity (On materials of chanting manuscripts of Middle Ages), Writing and publishing. (Tyumen,
1989а), 40-41. – (in Russian).
N.V.Parfentjeva, Development of the Theory of Singing masters of Stroganovskaia School of XVIXVII centuries, National culture of Ural During the Epoch of Feudalism (Sverdlovsk, 1989b), 3-7. – (in
Russian).
N.V.Parfentjeva, «Stihiry evangelical» in creativity Moscow composer XVI cent. Feodor
Krest’ janin (the first stichera), Culture and art in monuments and researches (Chelyabinsk, 2003),
vol.2, 60-80. – (in Russian).
N.V.Parfentjeva, «Stihiry evangelical» in creativity Moscow composer XVIcent. Feodor
Krest’ janin (the second stichera), Traditions and innovations in domestic spiritual culture: Materials
of the Second Southern-Ural interuniversity scientific-practical conference (Chelyabinsk, 2005), 98115. – (in Russian).
N.V.Parfentjeva, «Stihiry evangelical» in creativity Moscow composer XVI in. Feodor Krest’ janina
(the third stichera), Culture and art in monuments and researches (Chelyabinsk, 2006), vol.4, 74-99. –
(in Russian).
N.P.Parfentjev, «Legend» of monk Efrosin (1651) in a context of development of musical – written
culture of the Moscow Russia, Traditions and innovations in domestic spiritual culture: Materials of
the Fourth Southern-Ural interuniversity scientific-practical conference (Chelyabinsk, 2007), 22, 35. –
(in Russian).
N.P.Parfentjev, N.V.Parfentjeva, Faddej Nikitin Subotin, Russian Composer and Musical Theorist
of XVII century, and his New-Discovered Chant, Monuments of Culture. New Discoveries. A Yearbook
for 1987 (Moscow, 1988), 138-149. – (in Russian).
N.P.Parfentjev, N.V.Parfentjeva, Chronicle of creative activity of Feodor Krest’ janin in 1598-1607,
Culture and art in monuments and researches (Chelyabinsk, 2006), vol.4, 102-107. – (in Russian).
N.V.Parfentjeva, Chanting cycle «Troparions Jordanian» in Russian hand-written tradition XIIXVII cent., Culture and art in monuments and researches (Chelyabinsk, 2007а), vol.5, 83-99. – (in
Russian).
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Natalya V. Parfentjeva. Principles of Author’s Art Creativity in Ancient-Russian Church Musical-Written Chanting…
N.V.Parfentjeva, Chanting cycle « Troparions Jordanian»of the Moscow master XVI cent. Feodor
Krest’ janin,, Traditions and innovations in domestic spiritual culture: Materials of the Fourth SouthernUral interuniversity scientific-practical conference (Chelyabinsk, 2007b), 3-20. – (in Russian).
N.V.Parfentjeva, To reconstruction of the author’s formula-intonational «demestvenniy» singsong
alphabet of Moscow master Feodor Krest’ janin (1607), Culture and art in monuments and researches
(Chelyabinsk, 2007c), vol.5, 212-231. – (in Russian).
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 200-208
~~~
УДК 94(470.5)
The Cultural – Educational Work in the Camps
of the GULAG of the NKVD During the Great Domestic War
(on the Example of the CHELYABLAG)
Ilya A. Kolomeyskiy*
South-Ural State University,
76 Lenin av., Chelyabinsk, 454080 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
In the article we consider the specificity of the organization of the cultural – educational work in the
camps of the GULAG of the NKVD during the Great Domestic war (1941-1945) on example of the
Chelyablag. Instructive and survey documents of device of the GULAG of the NKVD are compared to
the documents generated in the jails: the reports, the materials of wall and the large-circulation seales
etc. The analysis of the information allows us to draw a conclusion that the cultural-educational work
in the Chelyablag was a major factor of mobilization of the prisoners to the performance of urgent and
large-scale tasks of the rise of the national economy during the war.
Keywords: the GULAG, the Chelyablag, the cultural-educational work, camps of the GULAG of the
NKVD, the KVO, the KVCH.
The prisoners’ contribution to the victory in
the war of the 1941-1945, the patriotism and the
selflessness of the Soviet people appeared behind
a barbed wire in corrective-labour camps by the
disposition of a management of the country is not
reflected till now in spite of the huge work by the
state, scientific and the public organizations.
The Corrective-Labour Establishments
of the Main Directorate of the Camps (the
GULAG) of the National Commissariat of
Interior (the NKVD) on the territory of the
modern Chelyabinsk region have arisen in the
intense period of the Great Domestic war when
the German-fascist aggressors stood on the
approaches to the Moscow when there was a sharp
decrease of the industrial outputs of the important
*
1
for the equipment of the Red Army production.
In particular, the manufacture of the steel was
sharply reduced because of the occupation of the
industrial regions of the USSR. The necessity of
restoration of the economic potential has caused
the evacuation of some factories in the heart of
the country and creation of the new capacities on
the new mastered platforms.
The Baykal Corrective-Labour Camp (the
ITL) was created on November 17, 1941 with
the purpose of developing the iron-ore deposits
in the Chelyabinsk region. The ITL was also
called the «Bakalstroy» or the «Bakallag» in the
various documents. On this basis, in January,
1942, the ITL of the Chelyabmetallurgstroy (the
Chelyabinsk’s ITL) was formed. Then it became
Corresponding author E-mail address: kolomeyskiy@mail.ru
© Siberian Federal University. All rights reserved
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the largest chapter between the divisions of the
GULAG of the NKVD deployed on the territory
of modern Chelyabinsk region1. As of January,
1942, there were 4,237 prisoners in the Bakallag.
This figure decreased to 2,419 by March, 1942.
The quantity of labourmobilizations (basically –
the Germans) was 13,2342. The number of
prisoners that were contained in the Chelyablag
were as follows: Camp Zone № 1 (2,600 persons),
№ 2 (1,200 persons) and № 3 (500 persons). These
prisoners were kept on the territory of the basic
building site of the Chelyabinsk metallurgical
works, and also in the two camp zones near
the city of Miass (300 person) in the 1942. By
January 1, 1944 the number of the prisoners
in the camp had reached 11,482 persons3. The
ITL of the Chelyabmetallurgstroy received the
further documentary and everyday name the
«Chelyablag». It kept the largest number of
prisoners and volume of made works producing
unit with well advanced infrastructure. Archival
documents kept and ordered that. It allows to
investigate the various aspects of activity of the
camp, including the cultural – educational work.
The value of the last was connected with the
necessity of volumetric and dynamical escalating
manufacture of a raw material, industrial and
agricultural production. The habitual in the Soviet
conditions the extensive increase of volumes
was impossible because of the limitation of the
human resources and absence of the new staff for
attraction in the spheres of a national economy.
The greater duration of a working day, bad
material conditions of life, scarcity of the material
stimulus caused the search of any additional
means of influence on the labour productivity.
The basic source of its growth in all spheres
of a national economy became the personal
1
2
3
SARF. F. R-9414. In. 1d. B. 381. P. 7; SARF. F. R-9414.
In. 1. B. 49. P. 762.
SARF. F. R-9414. In. 1d. B. 379. P. 13, 57, 104.
SARF. F. R-9414. In. 1. B. 179. P. 194; ISACR. F. P-1619.
In. 1. B. 3. P. 148-149; B. 5. P. 1-37; B. 6. P. 3.
human factor. Mass agitation and propagation
in the USSR in a combination with a politics of
terror formed the feelings of labour selflessness
and unreciprocated service to the business of a
victory. Taking into account, that in the jails of the
GULAG of the NKVD, which being the specific
industrial enterprises, was 1,777,043 prisoners,
the activization of their work was represented the
important component of increasing of the labour
activity in the scale of the country on January
1, 1942 (Morykov, 2006). An appeal «All to the
battlefront, all for the victory!» was distributed
to jails also. The main form of influence on the
moral and psychological qualities of the prisoners
was the cultural – educational work.
By the 1942 the cultural – educational work
in the camps of the GULAG of the NKVD was
already built as a system, with the military, party
and industrial hierarchy, a precise regulation of
the functions, the strict reporting, the adjusted
document circulation (Kokurin, 2002, 117).
The party management was carried
out through the political departments
(politdepartments) cooperating by a verticalterritorial principle as it was accepted in the
party’s construction. The political department
of construction of the Bakal metallurgical
combine was created in the 1942, and in April,
1942 the first general building party conference
was held. In the August, 1942 the Chelyabinsk
metallurgical combine and accompanying
objects of the «Baikalstroy» was reorganized and
renamed in the «Chelyabmetallurgstroy» because
of the complication, integration and acceleration
of the decision of tasks of construction4. The
fields of activity of a political department have
accordingly changed also. There were the initial
Communist Party organizations of construction of
the metallurgical combine, housing construction
and corrective-labour camp in its conducting.
4
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ISACR. F. P-878. In. 1. B. 1. P. 1.
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Ilya A. Kolomeyskiy. The Cultural – Educational Work in the Camps of the GULAG of the NKVD During…
The functions of the political departments of
the GULAG were:
- Maintenance of education of civilian
structure of the ITL of the Department
of the Correctional Labour Camps and
Colonies (the UITLK) / The Department
of the Correctional Labour Colonies (the
OITK) in the spirit of utter devotion of a
party and the socialist Native land;
- Rallying staff around a party and its
mobilization on the ruthless struggle
against the enemies of the people;
- A management of all the complex of the
party-political actions directed on the
maintenance of the conscious attitude to
the work;
- Strengthening of the political-moral
condition of the workers of the ITL of the
UITLK/OITK;
- A management of all the culturaleducational work;
- Performance maintenance of the decisions
of a party and the government, the NKVD
orders, the operative and production plans
and tasks.
The major task of political departments
of all levels was also the organization of party
propagation, work on perfection of knowledge by
employees of bases of Marx – Engels – Lenin –
Stalin’s doctrine (Kokurin, 2002, 305).
Except for the political department of the
Chelyabmetallurgstroy of the NKVD and the
Chelyablag of the NKVD of the USSR, existed
a political department of the Management of
the corrective-labour establishments, carrying
out a party manual of the ITL’s activity and the
colonies treating in the considered period of time
on subordination to the Management of training
schools (the UITLK) of the Management of the
NKVD on the Chelyabinsk region1. There were
1
ISACR. F. P-878. In. 1-3.
initial Communist Party organizations of the
corrective-labour camp, militarized guards, the
department of the railway enterprises, camp items
and subsidiary farms in conducting of the political
department of the Chelyablag. The political
department included the party’s commission and
the komsomol branch. The political department
of the Chelyablag Submited in it’s activity to the
political department of the Central administrative
board of corrective-labour camps, work colonies
and places of imprisonment (of the GULAG)
of the NKVD of the USSR. The political
department of the Chelyablag supervised over
the party-political and educational work among
the builders, the civilian workers, the mobilized
Germans – toil soldiers, guards and prisoners.
Also it issued the large-circulation newspapers
«For Stalin’s metal» (during the 1942-1947),
carried out a political management of the run of
a newspaper «The Bulletin of KVO» (during the
1944-1949). The last one covered only within the
limits of the camp.
On the structure of the GULAG of the NKVD
existing in 1941 the cultural – educational branch
(the KVO) was allocated from the structure of
the political department and reorganized in the
independent cultural – educational department
subordinated directly to chief of the GULAG
(Kokurin, 2002, 340). According to that the
cultural – educational branches on places should
be allocated from the political departments and
are reorganized in the independent departments
of camp sector subordinated directly to the chief
of camp or its assistant either.
Separated out the structure of political
departments the KVO’ apparat completely bore
the responsibility for a condition of the cultural –
educational work in a camp.
Taking into account the special value of
mass-political work among the prisoners in
conditions of the military situation, political
departments should not only carry out the general
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management of the policy–mass work, spent the
cultural-educational apparats on places but also
to render it the necessary help. For this purpose
the political departments should allocate the
necessary number of the checked up politically
mature communists and komsomolts to work
among the prisoners to help the KVO. Also it
should strictly supervise their work, like it was
the basic party’s or komsomol’s assignment of the
allocated workers1.
The basic regulating document at the
moment of formation of the Chelyablag were «The
Regulations about the cultural – educational work
in corrective-labour camps and colonies of the
NKVD», appeared in the 1940 and commissioned
by the NKVD’s of the USSR order № 0161 which
was dated to the April 20,1940. As it was specified
in the document, the cultural – educational work
in corrective-labour camps and colonies of the
NKVD of the USSR had the next purposes:
- Re-education of the prisoners condemned
for household and official malfeasances
on the basis of high-efficiency social
activities;
- Assistance to the most effective and
rational use of work of all prisoners on
the manufacture for performance and
overfulfilment production plans (Kokurin,
2002, 117).
As follows from logic of the document it was
not supposed the re-education of the condemned
for anti-soviet activity which number made about
30% from among all prisoners in the ITL of the
NKVD. Also they were considered only as a
labour resource (Morykov, 2006).
The cultural – educational work was
recommended to make in the following ways:
- A daily explanation of bases of the Stalin’s
Constitution and actions of a party and
the Government to the prisoners;
1
SARF. F. R-9414ch. In. 1. B. 1477. P. 60.
- Inculcation to the prisoners of labour
skills during the organization among
them the labour competition, highpowered work practice and introduction
of the Stakhanov’s methods of work;
- Introduction among the prisoners of the
rules of a regime and a labour discipline
established in camps;
- Organization of political and general
educational study and the cultural leisure
of the prisoners. Strict differentiation of
propaganda, mass-political and actually
the cultural – educational work did not
exist. And despite of some terminological
difference, all the methods of influence
on the person were the ways of influence
over the human in the conditions of
imprisonment. It coincided on subjects
(contingent), and on object (a problem of
increase of labour productivity).
The basic kinds of the cultural – educational
work in camps and colonies of the NKVD were:
- Political – mass work;
- Production – mass work;
- A wall seal;
- School work; - Club-mass work;
- Library work.
Besides disclosing the maintenance of kinds
of the cultural – educational work The Regulations
established the number of staff, political and
professional requirements to employees of
the cultural – educational departments and
the cultural – educational parts (the KVCH)
depending on a post. The same Regulations
defined the order of financing of activity of the
KVO and the KVCH. The forms and terms of the
reporting were established either.
First instruction directives about the
cultural-educational work in the Chelyablag
(that was after the Bakallag) were dated January,
1942. It’s happened when the telegram of the
chief of the KVO of the GULAG of the NKVD
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of the USSR about realization in the Sverdlovsk
sectional meeting of chiefs of the KVO of camps,
constructions, the UITLK and the OITK of
the NKVD, the UNKVD, devoted to tasks of
the cultural – educational work in conditions
of war time was sent to the Chelyablag. The
telegram recommended sending of the KVO’s
chief with the report about a condition of the
cultural – educational work in the camp to
participate in meeting. Then the circular letter
told about an exchange of experience of the
cultural – educational work in the North-Ural
camp was directed in the Chelyablag1. In the
analytical review of the reporting about the
cultural – educational work including the UITLK
of the UNKVD in the Chelyabinsk region, was
specified, that in January, 1942 was carried out
129 political talk, 224 political information and
2402 loud readings of newspapers by the forces of
the cultural – educational workers and agitation
staff. Scope among the prisoners made by all
kinds of political-mass work has made 82%2.
The basic lecturing active was made by 204
persons from among civilians who have passed
preparatory courses. The major result of activity
of the KVO was strictly carried out production
targets and plans in the majority of the brigades
attached to educational political workers.
The information about the work of the
Central cultural team of the KVO of the
KRASLAG goes to the Chelyablag by the way
of an exchange of experience in December,
1942. The communication of an artwork with
industrial and household life of camp was
especially marked In the letter. As the basic
purpose of activity were mobilization of the
prisoners to performance of production plans,
a raising of labour productivity, reduction of
amount so-called «failers» – the prisoners,
refusing to come to work.
1
2
SARF. F. R-9414ch. In. 1. B. 1439. P. 6.
SARF. F. R-9414ch. In. 1. B. 1458. P. 19.
Conditions of the wartime were felt in
the documents sent from central device of
the GULAG. The telegram of the Political
Department of the GULAG was received in
the Chelyabinsk’s UITLK of the UNKVD in
December, 1942. It directed to report about
presence of cinematographic equipment which
could be transferred for needs of workers’-andpeasants’ of the Red Army.
In February, 1943 the Curriculum and
the program of fifteen-days rates – seminars
on preparation and retraining of the culturaleducational workers of the camps and colonies of
the NKVD goes to the Chelyablag. The program
consisted from the cycles, fully complying the
basic directions of the cultural – educational
work. The political cycle included the lectures
reflecting the heroic past of the native Land, the
specificity of a present situation, the maintenance
of Stalin’s speeches and reports, a state of affairs
at the warfront, the attitude of Soviet peoples
to the German-fascist aggressors and to the
fascism as ideology. The cycle of politicalmass work included the lectures concerning
not only specificity of educational work with
the prisoners, but also mass-industrial subjects,
including activity in creation of emulation in
the labour staffs. The questions of a wall seal,
library work, struggle against illiteracy were
mentioned in the program also. The questions
of planning, reporting and the account of the
cultural – educational work were an important
point. Duration of employment should make 10
hours per day, that practically corresponded to
duration of a working day in camp.
The program of rates of retraining of the
cultural-educational workers of the camps and
colonies goes to the Chelyablag in July, 1943. The
curriculum should include three cycles: political,
general educational (economic and political
geography) and special (political-education work
among the prisoners in camps and colonies of the
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Ilya A. Kolomeyskiy. The Cultural – Educational Work in the Camps of the GULAG of the NKVD During…
NKVD). The basic volume of a political cycle was
made with studying of the book of Stalin «About
the Great domestic war of the Soviet Union».
Rates were designed for duration in 20 days for
10 hours each.
The KVO’s of the GULAG of the NKVD
instruction № 42/В/422254 was received in
the Chelyablag in July,1943. It reflected the
specificity of performance of the the NKVD’s
of the USSR order № 0177-1943. This order put
a task to the cultural-educational workers of
camps and colonies. They has to development the
amateur performance of prisoners by involving
the last in various sections (mass-industrial,
sanitary – household, cultural – mass, sports and
others). It was not recommended to organize the
section of the food block in the instruction. The
letter contained instructions about selection of
candidates in the structure of sections, necessity
of a section’s protection from the influence of
counterrevolutionary elements. Further the tasks
of creation of sections were changed by the
instruction №42/369511, published in January,
1944. The role of the sections, called public, as the
forms of mass participation of prisoners in public
work in camps and colonies was underlined in the
new document1.
Requirements to observance the conditions
of a regime were contained in the sending
documentation also. So, for example, a political
department and the KVO of the GULAG
explained the necessity of use only employees of
the NKVD for lecture work with the prisoners to
the subordinate chiefs of the political departments
and the KVO in the letter dated October 14,
1943.
Absolutely not peculiar functions were
assigned to the KVO sometimes. However,
in some cases they were directed on a real
improvement of the material – household position
1
SARF. F. R-9414. In. 1. B. 1459. P. 9.
of the prisoners. So, the KVO of the GULAG of
the NKVD focused the workers of the KVO of
camps and colonies on necessity of realization
of some actions of mass character connected to
preparation of camps to winter in one instruction
of June, 1943.
The recommendations of the KVO of the
GULAG of the NKVD addressed to the chief of
the Chelyablag were received in November, 1943.
They directed to organize the competition in the
organization of the cultural – educational work
with among the prisoners between camp divisions
and a colonies. Also they has to pisk up the best
comfortable barrack, the best food block, the best
household placement.
In the November of the same year the chiefs
of the KVO of the ITL, the UITLK and the OITK
of the NKVD-UNKVD have received a command
to report in January, 1944 about realization of
the NKVD’s of the USSR circular № 69 dated
November 22, 1943. That document was about
reception of personal means of the prisoners to
increase of arms of the Red Army.
The KVO of central device of the GULAG
of the NKVD made the general management
of realization of the cultural – educational
work. It paid attention to staff, and was
engaged in administration of this work among
the prisoners. This way the 36-hour program
of rates of preparation and retraining of the
cultural organizer from the prisoners of camp
divisions and colonies of the NKVD has sent
in camp2. The program included the sections
of a production-mass work and mass-technical
training, mentioned questions of the organization
of a life of the prisoners and observance of a
camp mode, cultural – mass work, questions
of concrete realization of separate kinds of
last. For example, preparation, registration and
manufacturing of evident propaganda – slogans,
2
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Ilya A. Kolomeyskiy. The Cultural – Educational Work in the Camps of the GULAG of the NKVD During…
boards of parameters, photoshow-windows,
photonewspapers, windows of TASS, comical
lists, were considered. A lot of time was given to
the specificity of the organization of a wall seal.
The official style and absence of any panic
moods were typical for all documents of the
period of the Great Domestic war sent by the
central device of the GULAG of the NKVD. The
GULAG of the NKVD analyzed and generalized
the reporting acting from places, paying attention
of the workers of the KVO and the KVCH on
the positive device and negative moments of
various directions of activity: emulation in
labour, evident propaganda, a wall seal1. Some of
documents opened dual from the point of view of
morals character of spent ideological work. So,
for example, in the letter dated 1943 addressed to
the chiefs of the KVO which maintenance was the
requirement to give the information on the former
prisoners battling at the front, it is spoken that
many of them support written communication
with jails2. It is difficult to imagine, that the
person who has escaped from hell of the GULAG,
could write letters to the former security guards,
supervisors. However in the 1944 in the nine
months – review of the GULAG of the NKVD,
it is specified, that the prisoner of 4-th column of
the Chelyabmetallurgstroy read the letter of the
soldier of the Red Army Nuzhnenko, served a
sentence in the given division. Red Army soldier
asked to increase the labour productivity. This
way he wanted to help the warfront. Prisoners,
having joined in competition, became winners
among all columns, having provided growth of
productivity on 226 %3.
Transfer of former prisoners to the Red Army
was considered as the major result of work of the
KVO and the KVCH. So, on one of the sites of the
Chelyabmetallurgstroy has acted 410 applications
for sending on front in the first half-year of 1944.
370 of them were satisfied4.
Planning, characteristic for all socialist
system of a national economy, was distributed
to the sphere of the cultural – educational work.
So, for example, instruction from the GULAG,
asked to write the proved applications on
necessary cultural stock was sent in Chelyablag
in the beginning of 1944. There were movie
cameras, radio receivers, loud-speakers, record
players, musical instruments, including for jazz
bands, a paper, paints, a red cloth for slogans5.
In the 1944 the good organization of work
and successes in re-education of prisoners of
the Cheljabmetallurgstroy was marked in the
analytical review of activity of the KVO and the
KVCH of camps and colonies. This conclusion
were made by the KVO of the GULAG of the
NKVD on the basis of the acted reporting for the
period of 19436. In the same review it is specified,
that it was made 52 reports devoted to review
of the organization of the work, was issued 30
bulletin board newspapers, 101 «lightning» by the
workers of the KVO-KVCH. Allocation on each
object of the representative on rationalization of
manufacture was the positive experience. As a
result of it 226 efficiency proposals was marked.
It allowed to transfer 1994 persons from the
auxiliary works to the basic7.
Promoted in the Chelyablag large-circulation
newspapers «Uraletz», «For Stalin metal»
worked to mass scope by labour competition and
distribution of the best practices. Besides there
was «The Bulletin of the KVCH».
Notes to this edition were written, basically,
by the cultural organizers. They reported about
performance of the plan by members of the
brigades. Headings helped to estimate intensity of
a present situation: «The Red banner of the State
4
1
2
3
SARF. F. R-9414ch. In. 1. B. 1458. P. 150.
SARF. F. R-9414ch. In. 1. B. 1458. P. 107.
SARF. F. R-9414. In. 1. B. 1459. P. 77.
5
6
7
# 206 #
In the same place.
SARF. F. R-9414. In. 1. B. 1459. P. 1.
SARF. F. R-9414. In. 1. B. 1459. P. 26.
SARF. F. R-9414. In. 1. B. 1459. P. 80.
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Ilya A. Kolomeyskiy. The Cultural – Educational Work in the Camps of the GULAG of the NKVD During…
Committee of Defense calls us to the new labour
feats in the 1944», «Any task is feasible», «Mass
work has solved success», «Everybody work
in a front way», «To the fund of defense of the
country», «Malfunctions reduce productivity»,
«All forces and energy on performance of a
January production plan», «Labour every day»
etc.
It was difficult to find stronger motivation
for self-denying work: «the Country and the
warfront wait for the prompt start-up from us
…», «Successes of armies of the Leningrad
and Volkhov fronts inspire us on a new labour
successes». The prisoners were enabled to feel
itself as a part of struggling people: «All camp
brigades justify a high rank of the warfront’s with
honour»1.
The special subject of activity of the
KVO and the KVCH were «refusers». The
KVO of the GULAG of the NKVD has issued
and has dispatched on the places the brochure
«Returned to the life» in July, 1944. It intended
for distribution among the civilian culturaleducational workers. M.Loginov was the
cultural-educational worker of one of the
camps. He has described a forms and methods
of individual work with the difficult prisoners2.
These methods of work were recommended to
use in the work with the young employees of the
KVO. For example, an individual conversation
in which cultural worker proved the uncommon
psychologist and collective boycott.
Instruction of the GULAG of the NKVD
informed about the introduction of the cultural
organizers of brigades among the prisoners at the
camps and colonies was sent on the places in May,
19443. It was offered to pick up a prisoners among
checked up peoples showed samples in work
with the excellent behaviour in a life and active
participation in public life of camp division on a
posts of the cultural organizers. It was offered to
lead the brigade assemblies to choose the cultural
organizers within October – November. In
October, 1944 the Regulations about the brigade
organizer of the cultural – educational work (the
cultural organizer) have appeared4.
Basic local active of the KVO and the
KVCH were cultural organizers (cultorgs) of
the brigades, allocated to the aid of foremen.
A higher step on a scale of ranks stood the
cultural organizers of the columns5. The cultural
organizers which also named the cultural
agitators, chosen among the prisoners, carried
out the following tasks: the political-mass
work, the work on a manufacture, study and
individual work6. Also the number of functions
of the cultural organizers included convincing
and intelligible propagation of the grandiose
tasks of the Stalin’s five years’ plan, struggle for
performance of labour obligations, organization
of the cultural leisure of the population and
increase of the self-education7.
The maintenance of the cultural – educational
work in jails varied after the process of approach
of fundamental change in the Great Domestic
war and escalating of economic potential of the
country. It was shown 815 films and was given
383 concerts, 10 clubs – dugouts operated for a 9
months of 1945 in the Chelyablag8.
As it was marked in the report of the GULAG’
chief V.G.Nasedkin to the public commissar
internal affairs L.P. Beria called «About work of
the GULAG at the years of the war», construction
of the Chelyabinsk Metallurgical combine was
one of the major, taking place in attention of
the State Committee of Defense. All tasks of
the government and civilian staff were executed
4
5
1
2
3
ISACR. F. P-878. In. 3. B. 2, 7, 10.
SARF. F. R-9414ch. In. 4. B. 145. P. 1.
SARF. F. R-9414. In. 1. B. 1459. P. 64-65.
6
7
8
# 207 #
SARF. F. R-9414. In. 1. B. 1459. P. 65.
ISACR. F. P-878. In. 3. B. 7. P. 64.
ISACR. F. P-1075. In. 1. B. 116. P. 80-87.
ISACR. F. P-878. In. 3. B. 7. P. 37.
SARF. F. R-9414ch. In. 6. B. 28. P. 12.
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Ilya A. Kolomeyskiy. The Cultural – Educational Work in the Camps of the GULAG of the NKVD During…
(Kokurin, 2002, 117). The GULAG prepared to
the transition to the peace rails.
Thus, the cultural – educational work in
the Chelyablag of the NKVD was added to the
following forms during the Great Domestic war:
- In a production-mass part firstly there
was labour competition for banners of
the State committee of defense under the
appeal «All to the battlefront, all for the
victory!»; secondly there was a movement
of front brigades;
- In a cultural – mass part firstly there
were releases of the fighting lists devoted
to the labour successes, releases of the
satirical posters which were castigated
the «objectors» and the prisoners not
carrying out the norm; secondly there
were releases of the wall newspapers and
large-circulation devoted both victories
at the front and labour victories;
- In a political-mass part firstly there was
studying of the tasks of the following
works and speeches of heads of a party
and the state; secondly there was selection
of volunteers for transfer to a field army;
thirdly there was gathering of money
resources for transfer to fund of defense;
fourthly there was reading the letters
from the battlefront.
Set of all kinds and forms of the cultural –
educational work in a combination to patriotism
of prisoners, and also the advanced system of
forced measures has allowed, for example, in
February, 1943 – in 9 months after receipt of
the first echelon with the equipment – to finish
the first turn of construction of the Chelyabinsk
Metallurgical combine, and in April, 1943 to give
out the first melt. In the spring 1944 on a blast
furnace № 1 the first pig-iron was received. World
practice did not know such rates of construction.
References
M.U. Morykov, Truth about the GULAG from a circle of the first, Algorithm publishing house.
Moscow, 2006, 185. – (in Russian).
A.I. Kokurin, N.V. Petrov, A.N. Jakovlev, The GULAG: The central administrative board of the
camps. 1918-1960, Department of the Interior. Moscow, 2002, 117, 305, 340. – (in Russian).
List abbreviations:
SARF – State Archive of Russian Federation
ISACR – Integrated State Archive of Chelyabinsk region
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 209-214
~~~
УДК 94(47+57)
General V.M. Moltchanoff’s Oral Memoirs
Evgeny V. Volkov*
South-Ural State University,
76 Lenin’s pr., Chelyabinsk, 454080 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
The oral memoirs of General V.M. Moltchanoff, who was one of the military leaders of the White
Movement in Russia during the Civil War, are interpreted. These memoirs give new information about
the pre-revolutionary period of the Russian Army, the Civil War and Russian emigration to the USA.
Keywords: Historical memory, Oral History, the Civil War, White Movement, Russian emigration.
Victorin Mihailovich Moltchanoff is the
general of White Movement who was a very
popular person in Russia during the Civil War.
He had a very interesting biography. His name
is often mentioned in the memoirs of Russian
emigrants, writings of historians and writers.
The general didn’t leave memoirs, but he left his
recorded oral stories, which were made in January,
1970. This oral history of V. M. Moltchanoff is
very interesting. His oral stories and opinions
give new information about the Russian officers,
Russian Civil War and its consequences.
Moltchanoff was born in 1886 in Chistopol,
Volga region. He graduated form gymnasia and
entered the military school in Moscow. After the
graduation of the military school he served in
Caucasus and Far East as the officer of Russian
Army. Then he took part in the First World War.
During the Revolution of 1917 in Petrograd
Moltchanoff was at the front near Baltic Sea. In
February 1918 Moltchanoff was wounded and
captured by Germans. However, he managed to
escape and come back to the territory of Soviet
*
1
Russia. After that, Moltchanoff was demobilized
and went to Chistopol, where his mother lived.
Soon he became the leader of the peasant
detachment, that fought against Bolsheviks.
In January 1919 Moltchanoff joined Kolchak’s
Army and lead the Izhevsk brigade composed
of Izevsk’s workers. This brigade fought against
the Red Army very effectively. Later it was
reorganized into the division. After the retreat
of the White Army in Baikal region Moltchanoff
became the leader of the army corps. In December
1921 he became the commander of the army,
which occupied Habarovsk. After the defeat of
the White Army in Far East general Moltchanoff
emigrated to China. Then he went to Japan with
his family. In 1923 he, his wife and their son
went to the USA where they settled down in
San Francisco. Moltchanoff changed several
jobs. Finally, he was accepted to the post of the
superintendent of some American corporation.
The General lived a long life. He died in January
1975 in San Francisco and was buried at Serbian
cemetery in Colma (E.V. Volkov, N.D. Egorov,
Corresponding author E-mail address: evgeny-volkov@mail.ru
© Siberian Federal University. All rights reserved
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Evgeny V. Volkov. General V.M. Moltchanoff’s Oral Memoirs
I.V. Kupzov, 2003). His whole life was the life of
a Russian officer devoted to the fatherland.
The name of general Moltchanoff is
mentioned in memoirs of Russian emigrants.
Some former participants of White Movement
wrote the memoirs, where the activity of general
Moltchanoff is described and the general is
depicted as a hero (K.V. Saharov, 1923; P.P. Petrov,
1930; B.B. Philimonov, 1932; 1971; A.G. Efimov,
1975). Unlike them, Soviet historians, who studied
the Civil War in Russia, showed Moltchanoff as
the enemy of Soviet people (P.S. Parfenov, 1925;
1932: B.M. Shereshevsky, 1974; G.V. Kuz’min
G.V. 1977; M.I. Svetachev, 1983; The Civil War in
USSR, 1986; A.D. Samoilov, 1986; I.I. Kartavcev,
1988). The authors of the novels devoted to
Russian Civil War, i.e. V. Zazybrin («Two worlds»
1921) and U. Semenov («Parol is not needed»
1965) wrote about Moltchanoff too. They showed
the general as brave and clever officer though as
the enemy (V.Y. Zazybrin, 1987; U.S. Semenov,
1991). In 1967 the film director B. Grigoryev
made a movie on the basis of U. Semenov’s novel.
All the white officers in the film were showed as
enemies and Moltchanoff was among them. Thus,
studying historical records and fiction we can
find the controversial information about general
Moltchanoff.
The general didn’t write memoirs, but he
left his oral stories recorded by Boris Raymond
(B. Raymond) in January, 19701. For several
1
Boris Raymond was born of Russian parents in Harbin, China, in 1925. His father, Dimitry Romanoff, was
a young officer of the Imperial Guard during the First
World War. After the Revolution he lived in Siberia,
in the ranks of Admiral Kolchak’s White army, with
which he eventually retreated through Siberia to China,
where Mr. Raymond was born. Mr. Raymond’s maternal
grandfather, Boris Ostroumoff, played a prominent role
in Manchuria as a general manager of the Chinese Far
Eastern Railroad. Mr. Raymond was educated in French
and British schools in Tientsin, Shanghai and Saigon. In
April 1941 he came to San Francisco, where he graduated from George Washington High School in 1943. After serving in the Army of the USA and seeing combat
as an infantryman in Europe, Mr. Raymond returned to
California, where he began his studies at the University
weeks B. Raymond met with old general, talked
to him and recorded his stories. After that B.
Raymond transferred them into written form.
Now Moltchanoff’s oral history is in the archives
of California University in Berkley.
The Moltchanoff’s oral memoirs of give
valuable information about the pre-revolution
Russian army, the Civil War and Russian
emigration in the USA (V. M. Moltchanoff: The
last white general, 1972). As in many memoirs
people knowing the general in person, general
Moltchanoff looks in his own flashbacks as a hero,
having only positive features and taking only
right decisions. For example, reconstructing the
events of his service on Caucasus, he said that he
had successfully negotiated with one of the khans
without anybody’s help. In the period of the Civil
War he did a brilliant military career, from that
of a lieutenant colonel to the lieutenant-general,
becoming one of the well-known military leaders
of the White army on the East of Russia. Then, in
emigration, he became the leader of the veterans
of the revolt in Izhevsk and Votkinsk (1918). On
the whole, the image depicted by the memoirs
portrayed the general as a bold and clever officerpatriot, whose example we should follow.
Being a military man, he is bold and
sharp when characterizing military leaders
and colleagues. Speaking about the relations
between the command personnel and the
soldiers in Tsar’s army, Moltchanoff, did not
hide the truth and admitted the numerous cases
of bad behavior of officers, which oppressed
the soldiers. Therefore, Moltchanoff put some
blame for the soldiers’ revolt on the officers who
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of California, Berkeley where he received the B.A., M.A.
(Sociology), and M.L.S. degrees. In 1964 he joined the
University Library staff as Russian bibliographer. He became Assistant Director of Libraries, University of Manitoba in Canada, in 1967. Since 1972 he was a teacher
in the Department of Sociology University of Winnipeg
in Canada. Now Mr. Raymond is teacher in Dalhousie
University (New Scotland, Canada), and is continuing
his research on the history of Russian emigration.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Evgeny V. Volkov. General V.M. Moltchanoff’s Oral Memoirs
had not managed to cope with the misconduct
and abuses in the army.
The Moltchanoff’s impressions about the
moods among the officers at the beginning of the
First World War are very interesting. At that time
many officers wanted to be directed to the front,
as they were afraid the military campaign to be
soon over and they wouldn’t have the possibility
to get rewards. The general accuses the military
command of the Russian army for doing nothing
to save the officer corps. Many Russian officers
died on the fields of the First World War.
Moltchanoff mentioned an interesting fact,
which is very characteristic for the soldiers’ views
on the events of 1917. It shows their attitude to the
personality of Nickolay II after his abdication.
They suppose German wife of the Tsar is the
cause of the misfortunes in Russia.
Certainly, the greatest part of the general’s
oral memoirs is devoted to the Civil War. He
spoke much about the soldiers and officers of the
White Army. Moltchanoff was a monarchist. Even
in 1917 he was very cautious about the Temporary
Government. He considered L.G. Kornilov, who
arrested the Tsar’s family, to be a traitor, even, in
spite of the fact that afterwards Kornilov became
one of the leaders of the White Movement.
Nevertheless, with age Moltchanoff
reconsidered the monarchical views he had had
and criticized the monarchy. He underlined
many mistakes made by the Emperor Nicolay II.
The general didn’t see among Romanoff family
people able to replace Nickolay II. Certainly, we
should keep in mind that it is Moltchanoff’s point
of view that he had, having spent many years in
the USA and enough time to contemplate on the
events that took place in Russia in 1917.
The oral memoirs of the general contain very
interesting portrait descriptions of some military
leaders of the White troops. The attitude of
Moltchanoff toward the admiral A.V. Kolchak is
exceptionally positive. He considered Kolchak to
be the hero of the First World War, and as soon as
Moltchanoff got to know about the governmental
coup in Omsk in November 1918, he admitted his
power as Supreme Ruler legitimate. Moltchanoff
never mentioned he had known Kolchak in
person, though Kolchak was often at the front
and must have seen Moltchanoff and might have
spoken to him.
The general described one interesting
episode. Once Moltchanoff was asked whether
his division would be able to take Kolchak under
the guard during the defeat of White troops and
their katabasis to the East of Russia. Certainly,
Moltchanoff could not give a negative answer.
So the question, set forward by the General
Headquarters, was apparently formulated with
the participation of Kolchak and it vividly shows
the degree of Kolchak’s trust to Moltchanoff.
Moltchanoff considered general M.V.
Khanzhin, the Commander of the Western
army and the Military Minister of Kolchak’s
government, to be not a very capable leader, who
didn’t understand the situation, gave orders that
are impossible to obey. For example, Khanzin’s
order, to give the soldiers of the Izhevsk brigade a
vacation after taking their native city under control
was an indefensible mistake from Moltchanoff‘s
point of view.
Unlike many other authors of memoirs,
Moltchanoff is not so critically estimated the
activity of general K.V. Sakharov. And at times
he even praises him, underlining his abilities and
energy. For example, the unfulfilled plan of the
Red troops surrounding under Chelyabinsk in
July 1919, developed under the direct guidance
of Sakharov, Moltchanoff considered a brilliant
one. Moltchanoff sees the reasons for the negative
attitude toward Sakharov among many officers
and officials in the fact that Sakharov tried to put
in an order not only in the troops but in the rear as
well, in particular in Omsk. He made an effort to
send many officers to the front but the resistance
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Evgeny V. Volkov. General V.M. Moltchanoff’s Oral Memoirs
from the military bureaucracy turned out to be
stronger.
Moltchanoff calls in question the talents
of legendary White general V.O. Kappel
Moltchanoff, supposing that V.O. Kappel showed
his best in Povolzh’e, when he commanded the
soldiers-volunteers. Afterwards when Kappel
had to give orders to large connections from
mobilized and not reliable people, he failed. He
was not able to manage such army effectively.
Moltchanoff supposed Kappel to be an ambitious
and arrogant person. According to his opinion,
Kappel couldn’t stand the people who were more
talented than he was, and in the staff, as a rule, he
had incapable officers.
The known figure of the White Movement,
general M.K. Diterikhs, from Moltchanoff’s point
of view had a reputation of a deeply religious man
that was keen on mysticism. He didn’t pay much
attention to battle operations and as a military
leader appeared to be unprofessional.
From all the White military leaders
Moltchanoff
highly
estimated
general
S.N. Voycekhovsky. He admitted that S.N.
Voycekhovsky understood any military situation
perfectly and gave the right orders.
The general negatively spoke about
Zabaykalsk ataman G.M. Semenov. Though
considering him a brave Cossack officer,
Moltchanoff condemned the actions of Cossacks
who robbed the local population and killed the
prisoners. In the interview Moltchanoff refused
taking part in the conspiracy against Semenov.
The main reasons of the defeat of White
Movement in Moltchanoff’s opinion were
connected with the subjective factors such as the
activity of concrete leaders, who did not have
enough skills, administrative experience and
talents for victory over Bolsheviks. Moltchanoff
didn’t talk about political, economic, social
reasons of Bolshevik’s victory over the White
troops.
Social and political activity of Moltchanoff
in emigration was connected with the Society of
Russian veterans of Great War (San Francisco).
For a few years he was the member of this
organization. However later Moltchanoff argied
with the chairman of the Society – baron A.P.
Budberg, former Military Minister of Kolchak’s
government. In 1932 Moltchanoff and some of his
companion-in-arms left the veteran organization
(E.V. Volkov, 2007).
The oral memoirs of the General give a
partial answer to the question, why the veterans
had left the organization. Moltchanoff and his
companion-in-arms supposed that Budberg,
being a bureaucrat, did not take part in the acts
of war and, as Moltchanoff thought, had no right
to argue about the actions of battle of the White
troops commanders.
Answering the question of B. Raymond about
the life in the Soviet Society at the beginning of
70-s, Moltchanoff predicted the falling of the
Soviet regime when the population would rise
against it. The general counted on well-educated
and creative young people, who knew the way for
the country to go .
Moltchanoff as a supporter of hard power
considered that dictatorship could be an
acceptable regime in difficult periods of the
country development. For example, speaking
about the political situation in the United States
at the beginning of 70-s, and, in particular,
about the confl ict between president R. Nikson
and congressmen, blocking his decisions,
the general supposed that at the moment the
presidential dictatorship was the necessary
condition of further progressive development
of the country.
What didn’t Moltchanoff tell in the interview?
Certainly, it depended on the personality of the
informant. The general didn’t talk much about
the traumatic experience of his life, about the
things which are difficult to remember. He told
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Evgeny V. Volkov. General V.M. Moltchanoff’s Oral Memoirs
practically nothing neither about his first wife,
died when they lived in the USA, nor about the son.
He didn’t say a word about his second marriage,
besides a short mention while answering some
other question. The general didn’t describe the
bloody naturalistic pictures of Red and White
terror. He talked not much about the companionin-arms died during the Civil War. In his oral
interview it is impossible to meet the references
to his personal mistakes and failures, which are
quite natural for any human being. Moltchanoff
didn’t talk about them. He portrayed himself as
hero, who had a successful life, in spite of the
difficulties he had to overcome.
Certainly, human memory is unsafe and
somewhere the general mixed the confused
the names of some geographical places, the
chronology of events, the names of people he met
in his life. But on the whole at his 84 he had good
memory and bright mind, because much he had
said was confirmed by other historical sources.
There is one more thing why Moltchanoff’s oral
memoirs are interesting. First of all, they allowed
us to better understand their author, the man who
lived a long and difficult life. Experience is the
source of any memoirs. Analyzing the interviews
given by Moltchanoff we can assume that he was
a self-confident and ambitious man, who did not
doubt in the correctness of his actions and didn’t
think much about the negative consequences of
his acts. In his story he portrayed himself as a
bold, sharp, clever and at times a cruel military
leader. Secondly, Moltchanoff’s interview as
a fact of oral history can dispel the historical
myths, dominating in our society, about the prerevolution Russian Army, the First World and
Civil wars, the White Movement and Russian
Emigration. Thirdly, oral memoirs give new
historical facts for the researcher.
In that way V.M. Moltchanoff was a person
who made a brilliant career in the White Army
and became general. His biography was the life
of a brave and clever Russian officer. The name
of Moltchanoff is mentioned in the writings
of Russian emigrants, Soviet historians and
novelists. He left memoirs recorded. These
materials are very interesting for historians
and other persons who study Russian History.
I believe Moltchanoff’s oral memoirs are worth
publishing in modern Russia.
References
Volkov E.V., Egorov N.D., Kupzov I.V. Generals of White troops during the Civil War on Eastern
front. Biographic book. Moscow, 2003, 141-142.
Saharov K.V. The White Siberia. Munhen, 1923. P.152;
Petrov P.P. From Volga to Pacific Ocean in ranks of the White Movement. 1918-1920. Riga, 1930.
P. 176, 191-193, 200-201, 203, 211, 214, 224-227, 230, 233;
Philimonov B.B. Belopovstanzu. Vol. 1-2. Shanghai, 1932;
The failure of the White Far East. San Francisco, 1971;
Efimov A.G. Izhevzu and votkinzu. (The struggle against Bolsheviks in 1918-1920). Concord,
1975. P.68, 74, 87, 90.
Parfenov P.S. The Civil War in Siberia. 1918-1920. M., 1925. P. 154;
On conciliating fronts. M., 1932. P. 14-15, 106-107, 112-113:
Shereshevsky B.M. In the struggle for Far East (1920-1922). Novosibirsk, 1974. P. 119;
Kuz’min G.V. The defeat of interveners and whiteguards in 1917-1922. M., 1977. P. 387-388;
Svetachev M.I. Imperialistic intervention in Siberia and Far East (1918-1922). Novosibirsk, 1983.
P. 265;
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Evgeny V. Volkov. General V.M. Moltchanoff’s Oral Memoirs
The Civil War in USSR. / Edited by N.N. Azovcev. Vol. 2. M., 1986. P. 372, 379;
Samoilov A.D. To stand guard gains of October. (Break-up the counterrevolution in Far East).
M., 1986 P. 113, 116;
Kartavcev I.I. «And on the Pacific Ocean we finished our campaign». M., 1988. P.51.
Zazybrin V.Y. Two worlds. M., 1987. P.51,52, 69;
Semenov U.S. Parole don’t need. // Semenov U.S. Collected works. Vol. 1. M., 1991. P. 567-570.
V. M. Moltchanoff: The last white general. An interview conducted by B. Raymond. University
of California at Berkeley, 1972.
Volkov E.V. The memory about the Civil War and Society Russian veterans in San Francisco. //
The experience of world wars in Russian History./ Edited by I.V. Narsky. Chelyabinsk, 2007. P. 400.
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 215-221
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УДК 159.923+591.513
Defining Types of Learning Individuals:
a Phase Portrait Approach
Vladimir L. Gavrikov a* and Rem G. Khlebopros b
V.P. Astafiev Krasnoyarsk State Pedagogical University,
89 A. Lebedeva st., Krasnoyarsk, 660049 Russia
b
International Research Center of Extremal States of Organism
at Krasnoyarsk Scientific Center of SB RAS,
50 Akademgorodok, Krasnoyarsk, 660036 Russia 1
a
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
It has been shown in the article how the approach of dynamic systems theory may be applied to define
types of learning individuals. The approach uses an analysis of phase portraits. The so-called phase
portraits are graphical representations of a system dynamics in two-dimensional space of a value
and its time derivative. Variations in quantity and stability of steady state points (where the derivative
is zero) can easily produce different phase portraits that may be interpreted and analyzed in terms
of dynamics of learning of an individual. With the help of the analysis six basic types of individuals
have been defined and described: «all and now», degradation, non-learning, self-learning, threshold,
culture norm. Possible implications of the analysis for research of learning are discussed.
Keywords: learning, individual differences, modeling, phase portrait analysis.
Introduction
The fact of deep and significant mental,
psychological, behavioral differences of
individuals seems to be widely accepted.
The task of specific empirical researches in
every particular case is to give details on the
fact and to put in good order the variability
observed. To do the work successful, the
researchers need some theoretical basis that
would help to categorize measurements and
observations. We are undertaking an attempt
to formulate in the paper such a basis in the
form of a priori typology that may serve as a
methodological help at planning of experiments
and observations. The typology is aimed to
*
1
describe the variability of individuals in regard
to the process of learning.
The developed typology relates to two
tendencies in the modern behavioral sciences.
The first tendency refers back to at least 1950th
and consists in permanent attempts to introduce
the use of mathematical methods into the field of
psychology. The main directions of psychology
quantification comprise signal detection theory,
decision theory, psychophysics, neural modeling,
information processing approach, mathematical
learning theory (Townsend, 2008).
The approaches based on statistics and
probability theories are good developed (Bousquet
et al., 2004; Poggio, Smale, 2003) while the
Corresponding author E-mail address: gavrikov@kspu.ru
© Siberian Federal University. All rights reserved
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presentation of learning as a temporal process
is rather weak. In fact, in the modern behavioral
sciences, dynamic modeling is a seldom research
methodology. Since the time of Thorndike and
beginning of objective observation of behavior
a numerical analysis of the research results has
become a regular practice. Still most popular and
detailed manuals in psychology and ethology
tend rather to describe results of experiments
and ideas than to discuss equations on temporal
change of measured characteristics. Meanwhile,
dynamic modeling has been successfully working
for decades in other natural sciences (Strogatz,
2000), particularly in ecological studies (Isaev,
Khlebopros, 1973; Isaev et al., 1984). In our
opinion, taking into account a huge amount of
facts and ideas accumulated in studies of human
and non-human behavior, the behavioral science
is able to use some theoretical approaches of
dynamic modeling.
The second tendency is a growing interest
to individual variations in the learning process.
As a rule, the so-called «learning styles» are in
focus of researchers, with the psychological tests
being the method to identify the styles (Furnham,
2008; Chamorro-Premuzic, Furnham, 2008;
Isman, Gundogan, 2009). The outputs of such
testing are categories described rather in static
and qualitative terms than in dynamic ones.
Method
In our current study, we are implementing
techniques of phase portrait analysis into the
scope of the theory of learning. Phase portrait is
a regular instrument of the qualitative dynamic
system theory. A simple phase portrait shows
a trajectory (in fact, a lot of trajectories) of a
dynamic system in the two-dimensional space
(phase plane) of a value and its time derivative.
Besides the trajectories a phase portrait depicts
stable steady states and unstable steady states in
which points the derivative turns to zero (Fig. 1.).
Fig. 1. An example phase portrait. X stands for a
property (state variable) of a dynamic system, and
is its time derivative. A trajectory shown in the figure
crosses the OX axis in a point that is called a point of
steady state because =0 for the point. Therefore the
example system will have no change in the point. If
the system is in any other point of its trajectory it will
tend to move to the point of steady state because in this
particular case the point is stable
The value may describe any relevant property of
the system.
In our case, the «system» is an individual or,
more exact, the individual's intellectual sphere
that can be applied the term «learning» to. Let X
stand for a measure that is relevant to learning. It
may be knowledge, skill, experience, competence
etc. but also it may be a personal quality, such as
speed of perception, exactness and other qualities
that can be learned or trained.
It is naturally to suppose that X i) can be
measured and ii) changes over time. What
concerns the fi rst supposition, measuring of
knowledge levels, skills etc. is a common
educational practice. Also, during the XXth
century psychology was continuously trying to
elaborate tests, indices etc. to quantify various
individual properties and qualities. Regarding
the second one, it is commonly known that
knowledge, skill can grow; qualities can be
trained, but also all they can degrade with time.
It means that time derivative of X, denoted as
, is a relevant variable to consider. The time
derivative has the common sense of measure of
temporal change. The higher its absolute value
(magnitude) the faster the change. Positive
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values of the time derivative mean increase,
while the negative sign corresponds to decrease
of the variable.
Suppose, then, that there are two states of an
individual's intellectual sphere that can be more
or less surely recognized. Let «state 0» stand
for ignorance, lack of knowledge, inability, lack
of skill, incompetence, lack of certain quality
etc. Contrary to this, the «state 1» will stand for
competence, ability, grasp of some knowledge,
working knowledge of something, skill in
handling etc.
Results and discussion
The suppositions made above are sufficient
for constructing various phase portraits of the
learning process of an individual and interpretation
of them. But before this a preliminary note is
wishful to be done. Over centuries the development
of biological theories was heavily influenced by
the opposition of preformism and tabula rasa
concepts. Yet today it is hard to expect that the
historical argument has been completely closed.
Therefore, our typology of individual learning
cannot help bearing some signs of the opposition.
Sometimes we assume that a learning outcome is
preformed (inborn), sometimes it is considered to
develop from the scratch.
A basic typology of individuals with respect
of the way they learn is given below.
Type I. «All and now» (Fig. 2).
The type implies that some individuals
possess certain knowledge from the very
beginning, from the moment of birth and this
knowledge does not degrade.
An example that gives a good demonstration
of the case is provided by a study of hunting
behavior in ants. Reznikova (2008) studied
learning of a complicated hunting pattern in
ants. Researchers reared a population of ants
from eggs, so that they had no contact to «wild»
Fig. 2. A phase portrait of type I «All and now». An
individual from the very beginning is in the steady
«state 1» that is stable
insects. Reznikova found that there are three sorts
of individuals in the population of ants:
i) those that possess the hunting pattern
from the very beginning in spite of
that they could not learn it from more
experienced individuals. It has been
shown that the share of such ants among
others is about 5 %;
ii) those that, from the birth, possess some
fragments of the pattern and can easily
complete up the full pattern through the
learning from the experienced;
iii) those that do not have even fragments of
the pattern.
It is obvious that those 5 % of the individual
ants belong to the type I «All and now».
The type I may be quite disputable from the
point of view of psychological sciences dealing
exclusively with human because it implies that a
human newborn child can know something. What
concerns other animals, instinctive behavior
of them is accepted as norm while it is widely
believed that all specifically human things people
learn from their social environment.
Meanwhile, if to put aside oversimplified
viewpoints (e.g., that a newborn knows how
to write the letter «A») there can exist some
phenomena that require understanding and
explanations. For example, studies of creolized
languages suggest a phenomenon of inborn
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grammar. It means that a baby human may not
know a language tradition (the vocabulary itself)
but the sense of grammar relationships may be
given him from the birth (Pinker, 2000).
In any case, there is one more consideration
to include the type I into the developed typology:
we should make the picture complete. In other
words, if the approach allows a possibility it
should be enumerated and at least mentioned.
Fig. 3. A phase portrait of type II, Degradation. The
steady «state 1» is unstable
Type II. Degradation (Fig. 3).
The type suggests that an individual
possesses some knowledge, skill, quality etc.
from the very beginning (birth) but they degrade
over time. It is described so that the trajectory
for the knowledge goes from the unstable steady
«state 1» down into the range where <0.
The grounds why the type should be included
in the typology may be various, but the type II
is at least conceivable, and the picture would be
incomplete without it.
Fig. 4. A phase portrait of type III, Non-learning. The
steady «state 0» is stable
Type III. Non-learning (Fig. 4).
The description of the type may sound like a
case of pathology but it is not. There are scopes of
life that an individual just unable to master. If though
the individual is forced to learn one of those subjects
and scopes then i) the learning process will require
an immense amount of effort and ii) the learning
outcomes will spontaneously degrade with time.
The spontaneity of degradation is characteristic of
the type, with speed of degradation may vary, for
example, may be rather slow.
Supposedly, the type III embraces a wide
range of situations. The experience accumulated
in the animal training practices suggests that it
is practically impossible to teach an animal to
do things that are not in their natural behavioral
repertory. In human educational practice, a term
«residual knowledge» is known that is usually
assessed through retention tests. Many things
that people learn in the secondary school will
Fig. 5. A phase portrait of type IV, Self-learning. The
steady «state 0» is unstable, the steady «state 1» is
stable
probably be erased from memory by the time of
adult age or earlier even if highest marks were
received for the subjects.
Type IV. Self-learning (Fig. 5).
A spontaneous transition from the «state 0»
to «state 1» is characteristic of the type. Initially,
the individual does not possess something
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Vladimir L. Gavrikov and Rem G. Khlebopros. Defi ning Types of Learning Individuals: a Phase Portrait Approach
that can be regarded as learning outcome but
provided the sources of information, conditions
etc. are available the individual acquires all the
knowledge or skills. The dynamics is determined
by that the point 0 is the unstable steady state and
the point 1 is stable steady state. All the process
goes according to the principle of positive
feedback: new portion of knowledge stimulates
further learning. Supposedly, the sources of
development in the case of the type may be some
inborn fragments that are being completed from
outer environment, as it was suggested by the
study of ants by Reznikova (2008).
A question regarding type IV remains
unanswered: what happens if the individual does
not find sources of knowledge in the environment?
Would the individual remain in the non-learned
state all of the life? Would still his/her potential
to learn the particular subject influence his life?
In the work «On aggression» Lorenz (1998)
discussed his theory of autonomy of instincts. An
instinct «tries» to find an opportunity to manifest
itself in behavior independently of occasional
absence of external stimuli. In this sense, the
uncompleted fragments of knowledge will force
the individual to find the lacking elements of the
knowledge.
Another
consideration
comes
from
Thorndike’s law of readiness (Thorndike,
1932). According to it, when someone is ready
to perform some act, not to do so is annoying.
From this point of view, an individual of type IV
is ready to learn something, and the individual
would strive for obtaining the knowledge in order
to avoid the inevitable frustration as Thorndike’s
law suggests.
Type V. Threshold (Fig. 6).
An unstable steady state in between the
«state 0» and «state 1» is characteristic of the
type, with the both of them being stable. It looks
like the learning process of an individual depends
Fig. 6. A phase portrait of type V, Threshold. An
unstable point Xthr lies in between the stable steady
states «0» and «1»
on a value Xthr of the knowledge, skill etc. level.
In terms of learning of a definite scope of activity,
an individual tries to master some scope of life
activity, but if the individual gives up the learning
before the level Xthr the achieved outcomes would
degrade. If the individual goes in the learning
beyond the threshold of Xthr the learning proceeds
then spontaneously, and the individual reaches
the stable steady «state 1».
It is easy to see that type V provides a
generalization for some other types. A shift of
the point Xthr closer to the «state 0» or «state
1» can yield the types IV, Self-learning or the
types III, Non-learning or II, Degradation
correspondingly.
Type VI. Culture norm (Fig.7).
In comparison to type V, the intermediate
point may play quite a different role if it is a
stable steady state. Type VI may be interpreted
as another sort of threshold, a culture norm. An
individual begins the learning process from the
steady «state 0» and relatively easy reaches an
intermediate steady state. If many individuals
in a population reach the steady state it may be
called a group norm or a culture norm, which
describes an average learning ability for the
population. The attempts to outreach the norm
remain unsuccessful because the steady «state 1»
is unstable.
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Fig. 7. A phase portrait of type VI, Culture norm. The
intermediate steady state is stable
breaks through the upper limit of the average
(Gusinski, Turchaninova 2003).
In psychology, the similar effects of
mastering of complicated activities are often
described with the help of term «insight». The
famous zoopsychologist Robert Yerkes (Yerkes,
1916) conducted experiments with monkeys and
apes trying to study their ideational behavior
and specifically their abilities to solve various
problems. One of the experimental animals, an
orangutan, first had little success but after it,
presumably, grasped the sense of the task the
number of his errors fell down to zero.
Conclusion
Fig 8. A phase portraits of type VI, Culture norm. A
transition to the trajectory leading to the «state 1»
In type VI, there is however another possible
scenario. A group of individuals can possibly
switch to quite different trajectory of learning
development that leads to the maximal learning
progress (the «state 1»). To give an emotional
description of the process one can denote it so
as if the world turns over. In fact, the trajectory
that helps to overcome the cultural norm is
turned over as compared to the «normal» course
of things.
In the philosophy of education, the
phenomena are sometimes described as the
transition from self-actualization to meaning
comprehension. While a self-actualizing person
acts according to the motto «to be not worse that
others in the field», the meaning comprehension
implies the grasp of universal sense of the activity
and the peculiarity of the personal way within the
field. The personal development goes intensively
and deep into the practice and the competence
In the research practice, it is often useful
to have an instrument allowing one to plan the
research and to bring the results in order. It is also
useful to cast a broad glance at the variability of
the object studied because a particular empirical
research is always limited by its sampling material
and measurements. The application of the theory
of dynamic systems presented in the study may
be seen as such an instrument or at least a first
step to develop such an instrument.
Initial suppositions of the study were that
there are the states «0» and «1» that can be well
recognized, and also that the progress or regress
over time of an individual between the states
can be quantitatively assessed. As a result, six
simplest learning types of individuals have been
defined: «all and now», degradation, non-learning,
self-learning, threshold, and culture norm. It is
obvious that introduction of more steady states
may result in more sophisticated phase portraits
corresponding to more complicated types of
learning individuals.
To conclude, we should make a couple of
remarks that seem to be important. The developed
typology has a sense only regarding a definite
scope of knowledge or a personal quality. It is
quite possible that an individual belonging in one
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Vladimir L. Gavrikov and Rem G. Khlebopros. Defi ning Types of Learning Individuals: a Phase Portrait Approach
learning scope to a type may belong to another
type with regard to another scope requiring
learning. Also, some questions were out of the
presented analysis. Most important seem to be a
possible age dynamics of individuals regarding the
learning types. The learning type of an individual
may change with his/her age. The importance
of the age issue comes from that the modern
economy forces people to learn longer and longer,
so fostering of learning needs the knowledge of the
age dynamics. Such evidence however can only be
obtained within a definite empirical study.
References
O. Bousquet, S. Boucheron and G. Lugosi, «Introduction to Statistical Learning Theory», in
Advanced Lectures on Machine Learning Lecture Notes in Artificial Intelligence, ed. by O. Bousquet,
U. von Luxburg and G. Ratsch (Heidelberg: Springer, 2004), 169-207.
T. Chamorro-Premuzic, A. Furnham, «Personality, intelligence and approaches to learning as
predictors of academic performance», Personality and Individual Differences, 44, 7 (2008), 15961603.
A. Furnham, A.N. Christopher, J. Garwood, G. N. Martin, «Approaches to learning and the
acquisition of general knowledge», Personality and Individual Differences, 43, 6 (2007), 1563-1571.
E.N. Gusinski, J.I. Turchaninova, Introduction to philosophy of education (Moscow: Logos,
2003). (in Russian).
A.S. Isaev, R.G. Khlebopros, «A stability principle in dynamics of forest insects’ density», Dokl.
AN SSSR, 208, No.1 (1973), 225-228. (in Russian).
A.S. Isaev, R.G. Khlebopros, L.V. Nedorezov, Yu.P. Kondakov, V.V. Kiselev, Dynamics of forest
insect density (Novosibirsk: Nauka, 1984). (in Russian).
C. A. Isman, N. U. Gundogan, «The influence of digit ratio on the gender difference in learning
style preferences», Personality and Individual Differences, 46, 4 (2009), 424-427.
K. Lorenz, Das sogenannte Boese. Zur Naturgeschichte der Aggression. (Muenchen: DTV
Deutscher Taschenbuch, 1998).
S. Pinker, The language instinct. How the mind creates language. (New York: First Perennial
Classics, 2000).
T. Poggio and S. Smale, «The Mathematics of Learning: Dealing with Data», Notices of the
American Mathematical Society (AMS), 50, 5 (2003), 537-544.
Zh.I. Reznikova, «A new form of social learning: a distributed learning», A scientific report at
the International conference «Human and non-human behavior: psychology evolution, genetics, and
evolution», 8-19 September 2008, Novosibirsk. (in Russian).
S. Strogatz, Non-linear Dynamics and Chaos: With applications to Physics, Biology, Chemistry
and Engineering (New York: Perseus Books, 2000).
J. T. Townsend, «Mathematical psychology: Prospects for the 21st century: A guest editorial»,
Journal of Mathematical Psychology, Volume 52, Issue 5, October (2008), 269-280.
E. Thorndike, The Fundamentals of Learning. (New York: Teachers College Press, 1932).
R.M. Yerkes, «The Mental Life of Monkeys and Apes: A Study of Ideational Behavior», Behavior
Monographs ed. J.B. Watson, 3, 1 (1916).
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 222-226
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УДК 008.001
Criteria of Mutual Understanding
in Cross-Cultural Communication
Natalya Ph. German*
Chelyabinsk Law Institute of the MIA,
41 Libedinskogo st., Chelyabinsk, 454081 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
In this article the phenomenon of linguacultural identity of the subject of communication is considered
as the main factor having an affect on the mutual understanding in the process of interaction.
Linguacultural identity is seen by the author as an identity being formed on the basis of recognition
and usage by the subject of communication models of discourse events accepted in certain culture and
acquired by the subject in the process of socialization. A criterion of mutual understanding is seen as
an ability of the subject of communication to transform his or her linguacultural identity.
Key words: cultural identity, communication behavior, cross-cultural communication, discourse
event, ethnocentrism, ethnorelativism, identity crisis, language consciousness, linguacultural identity,
mutual understanding, transformation of linguacultural identity.
Point of View
In various scientific works devoted to the
problem of human behavior in the process of
culture cognition, understanding and creation,
it has become traditional to speak about close
language and culture connection. It is also
accepted that language is one of the most
important indications of the person’s identity.
Culture is created in the process of interacting
individuals. This or that person belongs to a
particular culture not only due to some system
of knowledge, which he or she shares with
the other people, but also due to algorithms of
activity accepted in the community and realized
in various situations with the purpose of reaching
some definite results. Common knowledge and
algorithms of activity (or interactional knowledge)
*
1
shared by the members of the same community
provide harmonic interactivity and mutual
understanding in the process of intracultural
communication.
The problem of reaching mutual
understanding (intracultural as well as crosscultural) is usually regarded by scientists as the
problem of cultural identity of the communicants
(Adler, 1972; Assmann, 2000; Leontovich, 2005;
Sadokhin, 2005; Shemanov, 2005, Grishaeva,
2007). The system study of different works
devoted to the phenomenon of cultural identity
makes it possible to regard it as an identity set
on the basis of recognition and accepting by
the subject of cognition and communication
appropriate cultural norms and models of
behavior, values and language, on the basis of
Corresponding author E-mail address: evgeniylang@rambler.ru
© Siberian Federal University. All rights reserved
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self-identification with certain values and norms
historically accepted in culture and acquired by
the subject in the processes of socialization and
inculturalization.
The process of identification may be realized
in the frames of ethnocentrism (as ineffective)
or ethnorelativism (as an effective attitude).
Ethnocentrism is a tendency to see others and
their behaviors through your own cultural filters,
often as distortions of your own behaviors; the
tendency to evaluate the values and beliefs of
your own culture more positively than those of
another culture (De Vito, 2002). Ethnorelativism
is a behavior of acceptance and integration into
another culture without giving up one’s own
cultural values and beliefs. Each of them is
characterized by several stages.
Ethnocentrism. 1. Denial: a person doesn’t
really believe in cultural differences; a person
tends to impose his or her own value system on
others, knowing that he or she is right and the
other people are mistaken. These people are not
threatened by cultural differences because they
simply don’t accept them. Generally, people at
this stage have had limited contact with people
from the other culture. 2. Defense: a person
believes that cultural differences do exist, but
they threaten the person’s cultural identity.
A person views other cultures negatively and
prefers having little or no contact with those who
are different. 3. Minimization: People at this stage
are still threatened by differences that’s why they
try to minimize them. A person believes that the
differences are real but not especially deep or
significant because all the people share many of
the same values and beliefs.
Ethnorelativism. 1. Acceptance: a person
accepts differences as being deep and legitimate.
He or she realizes that people from the other
cultural community are different from him or
her and accepts the inevitability of other value
systems and behavioral norms. He or she still
considers some of these norms hard to deal with
or accept, but they do not threaten him or her
and person doesn’t judge them as wrong or bad.
A person does not normally adopt his behavior,
but becomes more tolerant and sympathetic
towards the other culture. 2. Adaptation and
integration: at these stages, behavior as well as
attitudes changes. A person has gone from being
neutral about difference to being positive. He
or she doesn’t only accept cultural differences,
but is willing and able to adjust his or her own
behavior to conform to different norms. He
or she is able to empathize with people from
different cultures. As a result a person becomes
bi-cultural or multi-cultural, easily adjusting his
or her behavior to suit the norms of this or that
culture. It doesn’t mean that a person gives up his
own or birth culture’s values and beliefs, but he
integrates aspects of other cultures into his or her
consciousness. In the integration stage, certain
aspects of the other culture or cultures become a
part of a new transformed identity.
Development of anthropological paradigm
in linguistics and cultural researches of the
XX century, understanding intercultural
communication as a dialogue between cultures,
development of the cognitive linguistics and the
discourse theory have provided the possibility to
consider problem of the interrelationship man –
language – culture from some other positions:
cultural identity is defined not by the language
itself but by the specific ways of its usage for
different cognitive and communicative aims in a
particular cultural and linguistic environment.
This or that language is regarded as a cultural
code and a specific channel to establish mutual
understanding among people. That suggests ability
to use a particular language in accordance with
conditions in which it is functioning as a specific
cultural code. It also means that it is impossible to
decode the sense of the text correctly having not
enough knowledge of the culture itself.
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A person realizes his or her identity being
the part of this or that culture. This realization is
fixed in language consciousness and is reflected
in communicative behavior. We regard language
consciousness as mental mechanisms providing
speaking activity, and knowledge used by the subject
of communication in the process of producing and
perception of speech (Popova, Sternin, 2002).
Communicative behavior is the sum of norms and
traditions of communication accepted in this or
that lingual culture (Sternin, 2002).
The interest towards the study of the language
consciousness has initiated specialists of human
sciences to pay more attention to discourse.
Basis
Modern approach to the discourse study
considers discourse as a socially adequate process
of speech communication described in terms of
socially significant actions and strategies fulfilled
by the members of society within the framework
of communicative situations definite and relevant
for this or that language community and culture
(Tzurikova, 2004). Each discourse has a dialogue
nature because it appears in the situation of
interaction between communicants (Stubbs, 1983).
We consider discourse event as the
most adequate unit for discourse description
and understand it as the sum of important
communicative coherent acts of speech directed
on achieving some common communicative aim
(Tzurikova, 2002).
Models of discourse events are represented
as «expectation structures» which help the
person to adopt himself to the endless variety
of real communication situations and to choose
definite discourse strategies in each particular
episode. In other words, each person has some
invariants for the definite type of interaction and
some knowledge about the principles of their
variability. On this ground schemes of mental
representation of correspondent interactions can
be accepted as specifically organized sequence of
actions which aim is to fix prototypical features
of correspondent culture (Grishaeva, 2007).
The subject of communication can recognize
this or that person as familiar or as a stranger in
his own or alien linguacultural comminity due
to person’s discourse activity. Such identity we
suggest to consider as linguacultural identity.
Linguacultural identity is an identity being
formed on the basis of recognition and usage by
the subject of communication models of discourse
events accepted in certain culture and acquired
by the subject in the process of socialization.
In the result of mass migration process of
the resent decades millions of people have found
themselves in new cultures that threaten their
linguacultural identity.
Many of them have become marginals,
according to R. Park’s definition.
The main reasons of the identity crisis in the
process of cross-cultural communications may be
considered the following:
- a person is unable to express his «self»
adequately using the means of a foreign
language;
- a person is unable to define the
interlocutor’s «self» adequately in case
that the interlocutor uses his native
language;
- interlocutors are unable to extract
culturally specific information from the
discourse activity of each others;
- a person is not ready to define correctly
his or her position in a new cultural
society (Leontovich, 2005).
Resume
Cross-cultural communication is the process
of personal interaction of individuals from
different language and cultural communities. The
wide-spread belief that people can reach mutual
understanding just because they speak a common
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language is a dangerous illusion. Being human
means working through the difficulties of mutual
misunderstanding and usage of incomparable
languages. Each language provides a uniquely
communal and uniquely individual means by
which human beings apprehend the world and
one another.
In order to understand a communicant from
the other culture a person should be aware of the
fact that there are different cultures and different
languages, different norms and values, different
ways of thinking and expressing the «self». This
awareness is defined as the beginning and the most
important stage in the process of linguacultural
transformation that provides a personality with
an ability to restore the inner balance through the
search for the correspondence of the image of the
world and the environment that has been changed.
It also helps a person to adopt himself to the
endless variety of real communication situations
and to choose definite discourse strategies and
models of discourse events in each particular
episode. Linguacultural transformation makes
it possible to define a new person’s role in the
changed communicative context and thus to save
the integrity of a person.
Inadequate choice of the models of discourse
events may course linguacultural identity crisis
and cultural shock of a person.
Thus there are two global tasks standing
before a modern subject of communication: 1. a
person has to be in a constant search for his or her
identity and has to defend it; 2. a person should
have an experience and ability of transformation
of his or her linguacultural identity when he or
she meets something strange unusual and alien. In
other words a person should be able to transform
himself and to save his own integrity.
The process of transformation beginning
from the stage of misunderstanding and even
hostility towards the other culture and discourse
activity leads to such a result that a person not only
accepts cultural differences, but is willing and
able to adjust his own communicative behavior
to conform to different norms, to empathize with
people from different cultures. Such bi-cultural
and bi-lingual person doesn’t forget the modals
of discourse events accepted in native culture but
integrates the other culture models into his or her
language consciousness. Identity transformation
gives a person an opportunity to decode specific
cultural information coded in these or those
models of cultural events, it also makes possible
to reach psychological compatibility with the
representatives of the other culture, it helps a
person to understand and sometimes to accept
new cultural norms and values. Experience of
cross-cultural communication grounded on
mutual understanding of the interlocutors gives
a person a new basis for his or her identity, and
broadens the space in which he or she can feel
comfortable and understandable.
References
Assmann, J. Das kulturelle Gedachtnis. Schrift, Erinnerung und politische Identitat in fruhen
Hochkulturen. / J. Assmann. – Verlag Beck Munchen, 2000
De Vito, Joseph A. Messages: Building Interpersonal Communication Skills. – Boston, 2002.
Grishajeva L.I. Peculiarities of the Language Usage and Cultural Identity of the Communicants
(Voronezh: Voronezh State University, 2007), in Russian
Language and National Consciousness. Questions of Theory and Methodology. Redactors: Z.D.
Popova, I.A. Sternin (Voronezh: Voronezh State University, 2002), in Russian
Leontovich O.L. Russians and Americans: Paradoxes of Cross-cultural Communication (Moscow:
Gnosis, 2005), in Russian
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Natalya Ph. German. Criteria of Mutual Understanding in Cross-Cultural Communication
Sadokhin A.P. Introduction in the Theory of Cross-cultural Communication (Moscow: Higher
School, 2005), in Russian
Shemanov A. Y. Selfidentity of a Person in Modern Culture. In: Theoretical Culturology (Moscow,
Academic Project, RIC, 2005), in Russian
Stubbs M. Discourse Analyses: The Sociolinguistic Analysis of Natural Language. Oxford:
Blackwell, 1983
Tzuricova L.V. Culturally Specific Discourse Stragedies and Mutual Understanding in Dialogue.
Redactors: L.I. Grishaeva, M.K. Popova (Voronezh State University, 2004), in Russian
Tzuricova L.V. Problem of Discourse Naturality in Cross-cultural Communication (Voronezh:
Voronezh State University, 2002), in Russian
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 227-233
~~~
УДК 008: 130.2
Axiological Aspects of Imperial Culture Development
Yuri M. Aksutin*
The centre of social, political and humanitarian education
N.F. Katanov State University of Khakassia,
90 Lenin st., Abakan, 655017 Khakassia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
This article is devoted to highly wide-spread in humanitarian study term «imperial value system». As it
is seen from contemporary public practice, this topic, due to Russian polyethnical structure, possesses
considerable potential. This work contains researchers’ ways of «imperial value system» analysis,
author’s opinion. The article is dedicated to researchers of imperial history and culture.
Keywords: Imperial culture, value system, multiculturalism, nation.
Points
The latest social transformations lead
to qualitative changes both in social-cultural
situation and in people’s consciousness.
Disintegration of multi-national states, «aboveethnical» social-cultural systems and ideologies
strained potentially conflict situation, followed
by rather painful «reappraisal of values». The
whole former social-cultural tradition, system
of values and moral aims of past fell under
doubt.
Authors remark that some ways of solving
problem exist, and the necessary choice is done.
Thus, V.S. Malakhov’s opinion: «vague image
of now-being-constructed official ideology
seems no features of cultural pluralism», that
«is evidence rather of official monoculture
construction than of effective multiculturalism
model thinking-over» (Malakhov, 2001. P. 17).
On the other side, thesis of «multiculturalism
thread» causing total ethnisation of identity and
*
1
decreasing of above-ethnical identification to a
local ethnically homogenous society, gets a great
support. (Drobizheva, 2003.)
These topics are very up-to-date for Russia
having endured for a short time test of «ideas
of ethnicion» and multiculturalism in its sharp
forms – ethnical conflicts and cultural aboveethnition reviving ideology as a conception of
«liberal empire», «net empire» and other imperial
constructors.
«Empire» in Russia is really highly
demanded for. While empire’s specific features
as economical and political system are discussed
and researched, imperial culture «thin matters»
of mental and psychological levels opened new
layers to researchers.
In author’s opinion, clarification of actual
character of the imperial culture, that is its
axiological semantic field is determined by a
number of reasons. First, methodological argues
about imperial culture phenomena, values and
Corresponding author E-mail address: aksutum@yandex.ru
© Siberian Federal University. All rights reserved
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imperial way of consciousness are still have a
place, which causes opposite opinions based
on the same data. These opinions are often
estimative. Second, due to problem extensiveness
wide topical issues (eg. imperial identity, imperial
evaluation system) are beyond researchers’ view.
Third, ideas of great differences between value
basics of European and Russian imperial cultures
are highly wide-spread in modern scientific
knowledge.
While researching imperial systems
scientists make stress on theirs’ peculiarity that
may be explained by plenty of ways to classify
empires. But, L.V. Anzhiganova notices: »human
nature itself is indivisible, so basic ways of
learning world over culture must be identical
also. Culture specific character is, maybe, not
only in speaking of different matters, but also
in speaking on the same matters, reflecting
them in one’s own way» (Anzhiganova, 2006.
P. 92-93).
Variability of social-cultural reality and
activity reflection in consciousness is explained
by strict differences in values of different nations.
That means that for better understanding of
nation’s cultural identity it’s necessary to mention
value system as a basis of its ideology (Tishkov,
2003).
So it’s necessary to defi ne what is a place
of values’ system within the culture; what
is the difference between ethnical values
and imperial ones; which values of imperial
culture determine culture generation process,
cultural expansion and creation of imperial
ideology? Which of them are evidence of
imperial disintegration and beginning of
values’ ethnisation? What is the influence of
this process on imperial ethnos?
First of all, note that «value» term means
humanitarian, social and cultural meanings of
different things. Values are functionally-meaning.
But they play a role of motive of consciousness
and are considered as value orientations. «Value
orientations» can be represented as ideological,
political, moral, esthetical and different basics for
person to evaluate environment and orientation
there. Without value orientations all values just
play a role of ideal category, and only within
valuable orientations they have their own
functional meaning. Valuable orientations are
created through adoption of social practice and
are discovered in aims, ideals, opinions, interests
and so on. During discovering of valuable
orientations we can re-create in general original
value system of nation culture, that is its real
specific character.
Looking on nowadays researchings of
imperial culture, note that it is often considered as
a problem of above-ethical societies’ analysis, that
is explained by expelling of imperial studies out
of researchers field up to 1990-th. multinational
states tried to avoid marking specific characters
of theirs’ own social-coltural situation in
imperial terms. Nevertheless, basic views on
value system of culture were put. Thus, A.G.
Vishnevskiy notes that states of empire as unided
phenomenon are mythological, so «imperial
culture» is an ideological myth. In his opinion,
empire consisted of lots of «sub-societies» and
ethnical cultures spread in different territories
and times, so imperial culture and value system
was «indifferent» (Vishnevskiy, 1998).
In A. Prasauskas’s opinion: «…durability
of multi-national states and limits of efficient
communication between groups depend on
social-cultural differencies. Their depth and
incompatibility are main cause of unstable polyethnical states and all states of imperial type»
(Prasauskas, 1997). Author comes to conclusion
that besides features which are typical for all
mankind and political institutions nothing could
join, for example, Letts and Turkmen in Russian
Empire, and Englishmen and Indians in the
British Empire.
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Followers of the third opinion suppose
that creation of above-ethnical system and selfrealizing as a member of this community supposed
collective self-recognition and smoothed meaning
of ethnical identity and ethnical value system
(Buligina, 1999; Barulin, 2000; Achiezer, 2002).
Appealing to axiological way to cultural
system researchings has a plenty of reasons.
Axiological way considers cultural values as
basic categories in spite of culture type. Cultural
structure are considered to be system unity of three
basic components, which are discovered both in
imperial and non-imperial social-cultural systems.
First, it’s value’s «core», which is created during
ethno genesis, hold culture from disintegration
and determines quantity of borrowings. Second,
«defense bell», which contains mechanisms of
culture’s conservation and development through
time and space: traditions, customs, symbols
(Anzhiganova, 2006).
Hierarchy of culture core is formed by
specific outside (spatial) and inside factors of
nation existence. So, spatial factors are territorial
specifications which determine types of economic
way of life as a way of adaptation to the Nature.
determination of territorial factor which defines
one ethnos from another, is based on the fact that
during ethno genesis all nations are in definite
territory. Environmental factors during ethno
genesis leave definite traces in ethnical image
and value system of a nation (Gachev, 1994).
Author supposes that depending on environment
three basic types of ethnical communities can
be defined: adapting (which are adapted to
environment to survive), transforming (which
are transform their own and outside nature),
reformative (which reform outside nature).
The first appear in rather unfavorable climate
conditions, which demand special conditions for
survival. Second category are nations in favorable
conditions, which do not bring real threat for
survival and do not demand transformation of
nature. It helped to develop their own nature, to
attend to spiritual self-perfection. Third category
consisted of nations which were formed in
favorable but rather strict outside conditions that
stimulated transforming forces and wishes to
become more independent from nature.
Conditions of creating and habitation of
nation are conductive to fastening of mood and
psychological patterns. It’s not hard to tell which
environment was ethno genesis of most adopting
to imperial building nations was followed by.
Empires are often met in general history, that
gives researchers opportunity to classify them
depending on criteria into marine and continental,
classical and pseudo-empires. On the other
hand, we cannot note that periods of spreading
and wellness were changed by crisis, decay and
territorial disintegration. Values of surviving
and development alternate between cultures
of basic and non-basic nations. For example,
Mongol dominion was unfavorable. But this does
not abolish its importance for Russian culture
in whole. Mongol dominion has changed into
ethnical raise and finally – into Russian empire as
a type of continental empires. For Mongols, rather
difficult age up to XIII century has changed into
Chingizids’ reign through over the Pacific Ocean
up to Eastern Europe (nomadic empire); the Great
Britain’s history had both Norman invasion and
«White empire» (marine empire type). So we can
suppose existence of very important geopolitical
factor. Here favorable circumstances are absence of
strong neighbors with «imperial ambitions» or, at
least, security, different development dynamic (one
ethnos’s prosperity during another ethnos’s crisis).
Danger of destroying which empire is
faced turns on «self-reservation» mechanism
which could be compared with an instinct; this
mechanism starts basic values: family, ethnical
and tribal ones. Nation prosperity under good
circumstances starts growth values: honor, duty,
courage, heroism.
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Internal component of nation existence
has not lesser meaning than internal (spatial)
one. Y.V. Popkov and E.A. Tugashev note that
«social cooperation constructs quite different (in
comparison with natural and climate conditions)
basis of social development, change of which
creates historical process as it is. Due to actual
historically significance social organism gets
all-sufficient
character
and
comparative
independence from the environment» (Popkov,
Tugashev, 2006. P. 128).
But it is necessary to divine dominative
values of person, ethnos and a state in whole. In K.
Kasyanova’s opinion, «in person’s consciousness
social archetype stands against stage ideology
and is a keeper of former cultures’ values»
(Kasyanova, 2003). Thus, imperial culture like
ethnical one can be observed in two levels: level
of ethnical conscious and an individual one.
On the first level positioning within the
ethnical world has place, nation’s role and place
are determined. Ethnical cultures have it in quite
clear localizations in specific field, which is
estimated superlatively: the best place, centre of
universe, space under «sky» opposite to districts
as Barbarian, cold, divided by ethical so as state
boarders. These conceptions is concerned with
necessity to consolidate heirs own ethnical
existence. The absence of clear ethnical and state
boarders is explained by necessity to spread its
own existence and wish to fulfill the whole empire.
For example, ethnical boarders of imperial core
for Russian ethnos in empire period are expressed
through categories of central, or great-Russian
provinces; for Anglo-Saxons of imperial period –
through «Little England» category and so on.
On the second level representatives of
proper superiority are fixed, which are expressed
by ethnical cultures in the statement: we are the
people, differ from the others superlatively. In
imperial above-ethnical culture: we are builders
of the new, we have the Truth, and our aim is
to bring the truth to all who are ignorant. And
this way is determined by the aim. I.e. the same
superlative exists, which is reflexed in social
statuses of non-ethnical character: «builders of
the empire» (The British Empire), «state people»
(Russian Empire), «people of long will» (Mongol
Empire); these statuses play the role of culturallyidentification models of the new above-ethnical
culture.
So, speaking of the imperial culture and a
corresponding above-ethnical identity, we speak
about cultural, social and political values (basic
categories), stereotypes and ideas (periphery and
protective belt), which differ from ethnical ones.
The essence of the imperial culture and aboveethnical identity is presence, on the one hand,
of values and ideas; on the other hand, ethnical
identity due to which classification of a person
as imperial culture and tradition representative,
takes place. Imperial values, indeed, are relevant
values during ethnical and cultural raise. These
values do not abolish nation identity but just turn
it to the second stage.
Values and cultural-identity concepts within
the empire seem to be objects for classification not
for everybody from the main ethnos at all. These
are accepted values, being adopted and integrated
into consciousness by the most energetic part of
the nation, which finally construct reigning elite.
Durability of the elite’s existence determine the
adaptation measure of newly-adopted values into
consciousness.
Example
The beginning of empires’ creation in New
times coincided with radical changes in a row of
European countries, which lead to loose of all
recent mechanisms and objects of identification
and necessity to restore the united world in the
new forms. Basic social-cultural agents – social
corporations, reflected within theirs’ own culture
basic trends of the New age epoch, were formed
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around new value concepts. On the same time,
we can tell that building of the new social and
cultural hierarchy concerned the elite mostly,
whereas a mass culture gives pale vision.
Value concepts of «serving man», «empire
builder», voluntary accepted social statuses of
«state servants», «empire singers», «pioneers»
being formed in European and Russian culture,
during imperial creation found a basis in vital
needs of the ethnos which is on the early stages
of ethnical growth. Such definitions as «honor»,
«duty», «success» and «serving» expressed strict
need not only to strengthen unique ethnos and
its elite existence, but also widespread it. These
needs increase receptivity to new exciting ideas,
changes and heroism. The role of charismatic
leaders and elite increases.
It is noted by researchers that religious
concepts of ethnos move to the background
side by side with ethnical identity and they are
often discredited. The sacred sphere of preceded
ethnical history leaves the space for new
ideological concepts.
For example, new ideology of Peter’s
reforms stood opposite to Medieval, its ideas and
values. Peter the First’s reforms were marked as
novelty, in which Russia seemed to be a «newborn» having no own history. These processes
affected a field of something symbolic. Sacred,
above-ethnical Emperor figure stood opposite
to symbols of ethnical character which were
also sacred. Idea united Russian ethnos as the
last keepers of the pure Christian faith, stood
against the idea of spreading this faith, where
the State took a great role. «Secularization of
culture takes quite a new role: it does not delight
fews (closed performances under tzar Aleksey
Michaylovich. – A.Y.), but educates society in a
whole or, at least, that only part of it which can
be reached by the hand of reign, creating new
paradigm» (Zhivov, 1996. P.65). These processes
strictly affected the elite. Russian Liberals and
Radicals up to the end of the XIX century finally
came apart the Church, considering it to be «a
support of reaction», but meant special Russian
type of spirituality. Orthodoxy is still kept as
a basis only by the most conservative party of
Russian elite and intelligentsia, thinking of it as a
value: «notion of God, eternal life aims, finality
of real life itself» (Tikhomirov, 1997. P.5). It is
the spirituality that replaces religious functions,
Orthodoxy as identity objects leaves a space for
ideology (Lotman, 1992).
The attribute of spiritual things in value
hierarchy in other culture, the British one, also was
substituted for principles of sacred ethic, racial
(ethnocultural, not anthropological meaning)
superiority and national spiritual community.
Within
«person
–
above-personal»
communication context the British spiritual
oneness were determined by distillation of
spiritual unity of Anglo-Saxon race claiming
of real racial differentiation into «the lowest»
and «the highest». Up to the middle of the XIX
century inside the mother country thoughts of
world Anglo-Saxon brotherhood as a source of
spiritual might of the country – «Little England»
were wide-spread. Artistic realization of imperial
person disposition reached its peak in works of
R. Stephenson, A. Konan-Doyle and R. Kipling
which were highly wide-spread in Russia also.
Mongol empire was not exception.
Chingizid’s empire was based on spiritual, moral
categories: «Virtues which he (Chingishan – A.Y.)
appreciated most of all were truth, devotion and
courage. Vices he disdained and hated most of
all were treachery, faithlessness and cowardice»
(Trubeckoy, 1995. P. 217). Imperial values of
Chingishan and his people, separated from relative
places adopted religious meaning as if they were
given by the God. Violation of these norms «more
scary than death for them» (Trubeckoy, 1995. P.
218). Religious and philosophical conceptions of
former epoch during prosperity of Chingizid’s
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empire were changed by ideological constructions
which do not differ belief specifications.
The aim of imperial ideology spreading within
the imperial society – ideal type of personality –
formal, controllable, having impersonal loyalty
to higher organs, based on «practical activity»
(Lebedeva, 1999. P. 105). Honor, courage, duty,
fame, exploit are claimed to be a most valuable
qualities. Practice of self-positioning with heroic
and generally useful deeds became an attribute of
specially imperial businesses.
During imperial crisis when it is necessary
to keep and develop the empire, the interest to
the religion and ethnical identification revivals.
The researchers note that among Russian and
British imperial societies in the XIX century
ideological motivation prevails (Aron, 1993). The
imperial elite actively states «imperialism», cult
of «imperial heroes» in the press and among the
population.
At the same time, the intelligentsia notes
imperial and above-ethnical ideology crisis,
necessity to keep ethnical core of the empire.
N.A. Berdyaev notes: «significant legend lies at
the basis of Russian history – legend of Varangian
vocation for reigning Russia. It is so typical for
fatal Russian unwillingness to put its life into
an order by itself! Russian people wants not free
state, not freedom within state, but freedom out
of state… Russian ethnos does not want to be a
courageous builder…» (Berdyaev, 1990. P. 5). This
unconscious obedience of Russian nation lead it,
in Berdyaev’s opinion, to creation of huge despotic
state, in which «Russian nation’s heart was not
interested» (Berdyaev, 1990. P.5). Contradiction of
above-ethnical, state and ethnical aspects shatter
empire, determine search of ideological basic of
co-existence and reservation of official nation,
imperial confederation, revives ethnition values:
order, justice, equality, safety, stability and so on.
Resume
So, it becomes evident that «to combine
state and ethnical identity, – as notes L.M.
Drobizheva, – the State must build a system of
mutual understanding and confidence» (L.M.
Drobizheva, 2003. P. 26). In this society model
every nation, ethnical group becomes interested in
consolidating state. Looking to real imperial and
cultural units, we can see that imperial culture is
formed in specific historical situation, its values
are constants of the new, imperial consciousness.
These values are expressed in ideology, in
which the elite identifies itself. Comparison of
values accepted by the empire independently of
imperial type allows to note row of coincidence:
1) collectivism (in form of property, solidarity
etc.); 2) confessional pluralism (as domination of
internal religiosity regarding imperial ideas and
symbols); 3) multiculturalism; 4) main freedom;
5) sacrificiality.
Nations, are situated into imperial area,
«settle down» to its internal processes, accept
values. Paradox is that the price of empire and
civilization (many authors seem this concepts to be
equal) is often loose of proper ethnical identity of
basic and «settled down» nations. Empire, which
was created for satisfaction value orientations
of new elite, can not reflex cultural and national
diversity of nations whose development dynamics
differ. Problem noted existed during history
of The Russian Empire, The Soviet Union and
still is faced Russian Federation while choosing
between national empire or civil society.
References
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Collection of articles.: Nations of developed Russia. (Abakan: The Khakas State University Publishing,
2006), in Russian.
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V.M. Zhivov, Speech and culture in Russia of XVIII century (Moscow: «Russian culture speeches»
school, 1996), in Russian.
K. Kasyanova, Of Russian national character (Moscow: Academic Project, 2003), in Russian.
N.M. Lebedeva, Introduction into ethnical and cross-cultural psychology (Moscow: Nauka,
1999), in Russian.
Y.M. Lotman, Culture and explosion (Moscow: Nauka, 1992), in Russian.
V. Malakhov, «Modest charm of racism» and other articles (Moscow: Modest Kolerov and «Home
of intellectual book», 2001), in Russian.
Y.V. Popkov, E.A. Tugashev. Values that created Mongolia… (Transeurasian perspective). M.:
Association of scientific KMK editions, 2006. P. 128-137.
A.A. Prasuuskas. Components of state unity, Pro et Contra. – 1997. – № 2 . P. 20-33. (in
Russian).
Trubeckoy N.S. Chingishan’s heritage. View on Russian history not from the West, but from the
East. – M, 1995. (in Russian)
V.A. Tishkov, Requiem to ethnos: Researches on social-cultural anthropology (Moscow: Nauka,
2003), in Russian.
L.A. Tihomirov, Democracy critic (Moscow: Nauka, 1997), in Russian.
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 234-246
~~~
УДК 304.2
«Concept» Notion as the Base
of Contemporary Culture Studies
Alexandra A. Semyonova*
Siberian Federal University,
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
The article is devoted to the topical notion of contemporary human science – «concept». The
main aim of this research work is the problem of methodology of research on concepts at culture
studies and discovery of mechanisms of concepts’ studying. One part of the article is a survey
of the contemporary tendencies of definition of «concept» term at discourse of the contemporary
Russian human science. The sources referred are dictionaries of culture studies issued at different
times and fi xing both the tendencies of development in the attitude to «concept» term at science and
important monographic research works devoted to concept. «Concept» notion of the discourse of
the philosophy of postmodernism is left out of the bounds of this investigation.
The other part of the research work is devoted to the methods of exploration of the concept of culture
studies. There are the following basic methods of exploration of concepts: etymological, historical,
and sociological investigations, analysis of philosophical and artistic texts, philosophical and art
critical analysis of a piece of art.
According to the suggested methods of exploration of concepts, the investigation of «state» concept
in Old Russian culture of the boundary of the 15th-16th centuries is taken as an example in the article.
In particular, there is an adduction of etymological history of «state» word in the Russian and
European languages. The ideological and religious contradictions between the Josephists and the
Judaizers, eschatological feelings of the epoch before 1492, and the theory «Moscow is the Third
Rome» are considered as the basic determinants of historical formation of «state» concept. The
architecture of the Church of the Intercession of the Holy Virgin on the Red Square is examined as
the piece of art representing «state» concept in Old Russian culture.
The conclusion of the article is reduced to a number of advantages of the methods of conceptual
investigations at culture studies.
Keywords: Culture studies, methodology of culture studies, concept, definition of «concept» notion,
methodology of conceptual researches, «state» concept, etymology, Old Russian history of the
boundary of the 15th–16th centuries, the Church of the Intercession of the Holy Virgin on the Red
Square, «state» concept in Old Russian culture of the boundary of the 15th-16th centuries.
*
1
Corresponding author E-mail address: decanka@mail.ru
© Siberian Federal University. All rights reserved
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Point of view
Conceptual researches
at contemporary human sciences
Topicality of «concept» notion
at contemporary human sciences
Concept is one of the basic notions at
contemporary culture studies and, what is
important to notice, at human science as a whole.
Concept is already a key method of such sciences
as culture studies, philology, philosophy, and
psychology in the modern scientific world,
and we can assume that very soon the use of
this method will be the main base for other
human sciences. J.S. Stepanov’s investigation
of «concept» notion (Stepanov, 2007) allows
him to claim that concept is not a mere notion
important for a few sciences already existing, but
it is an object of a new just engendered science:
«A universal human science or a new universal
anthropology uniting different kinds of art and
sections of sciences of art is being born before
our eyes. It has some synonymous designations:
«philosophical anthropology», «philosophy of
science» and others. We reserve our mentioned
term. That is a science uniting philosophy,
logics, philology, poetics, painting, sculpture,
architecture, and sciences of them, music and
musical science» (Stepanov, 2007, p. 13).
The topical issue of conceptual researches
is corroborated by a few simple facts. In the
first place, at present a number of scientific
researches on many «concepts» at different
areas of knowledge, perhaps, exceed the part
of other kinds of research. At the moment it
concerns philology most of all. There can be
given only a few examples of such investigations:
«Immortality» concept at history and theory
of culture» (Balashova, 2005), «Childhood»
concept in scientific and artistic tradition of the
20th century» (Masvlova, 2005), «AIR» concept
in the contemporary Russian language» (Bay
Son Hen, 2006), «Hero» concept in historical
and philosophical process» (Loshmanova, 2006),
«Sin» concept in the structure of a folk piece
of art» (Brilyova, 2007), «Suicide» concept at
Russian literature of 1920-1930s» (Kablukov,
2008), «Love» concept in the world culture»
(Lukov and others, 2008), etc. The list can be
filled with many more names. There is another
fact of actualization of the notion of concept in
contemporary science. The notion of concept is
interpreted just in a few words in the dictionary
of culture studies (2003): «Concept is a sense of a
name (sign), i.e. content of a notion with its extent
as an object (denotation) of that name» (Culture
and culture studies: dictionary, 2003, P. 436). The
definition of concept already takes few pages
in the dictionary of culture studies (Mikeshina,
Culture studies. Encyclopedia, 2007, P. 985-989).
It should be noted that until recently there is
an increase of a number of researches concerning
theoretical comprehension of concept – for
instance, «Concept as a constituting element
of culture» (Philatova, 2007) and «Concepts.
Pellicle of civilization» (Stepanov, 2007).
Thus, contemporary scientific investigations
convey that concept is one of the advanced
methods of the humanities as a whole.
The aim of this investigation is a definition
of specific features of concept as a method of
contemporary culture studies and character of
interaction between that method and methodology
of other human sciences.
Definition of «concept» notion
at contemporary human science
The fact that the humanities adopt «concept»
term from logics is well-known. But that adoption
is not mechanical, and concept accepts another
meaning. Concept is actually a synonym of
«notion» term at logics. The problem of notion at
logics consists of ascertainment of the scope and
limits of a certain definition as well as common
and specific features of the class of objects and
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phenomena, which the definition covers; it means
that every notion is supposed to have its volume
and content at logics. «Concept» term primarily
existed as a synonym of notion at logics, to be
precise, the term is understood only as content,
but not as volume of a notion.
«Concept» term comes to thesaurus of
the humanities in the boundary of the 20th-21st
centuries and its meaning starts changing. Thus,
let us turn to the definition of «concept» notion,
which doesn’t have any contradictions; the only
thing is that different researchers often point
at supplementary aspects of comprehension of
concepts.
In the first place, it seems to be logical to
turn to the etymological investigation of concept
carried out by philologist V.Z. Demyankov.
(Demyankov, 2001). According to V.Z.
Demyankov’s investigation, «concept» word
comes from the Latin participle «conceptus»
and is used with «conception» and «embryo»
notions in speech. It allows us to assert that
concept in its nature always keeps the meaning
of «embryo» of comprehension of things and
objects. In such a case, let us assume that concept
is actually presented as conceptive (primary)
sense of phenomena, objects and things, which
subsequently engenders existence of certain
phenomena, objects, and things in mental and
material culture. Besides, Demyankov discovers
a considerable difference between notion and
concept: «The distinction between «notion»
and «concept» terms takes the following line:
notions are something people arrange for; people
construct them to have the common language they
could discuss their problems; concepts exist on
their own; people reconstruct them in a greater or
lesser degree of confidence» (Demyankov, 2001).
Such an approach allows us to distinguish the first
characteristic of methodological investigation
of concept – that is a way of reconstruction of
«embryonic» and primary sense of the phenomena
observed in culture: «The sense of «concept»
term has an idea of «embryonic» truth laid in
Latin «conceptus» in such reconstructed and
suggested interpretations. Concept is something
obviously conceived, but actually we can make
sure of of that only in the Result of reconstruction
of «maieutic» procedure» (Demyankov, 2001).
«Some kind of fashion after «concept» term
at fiction and scientific literature of the end of
the 20th-21st centuries points out the interest in
reconstruction of the essences in human life
we run across in our everyday life without any
thought of their «true» and a priori sense. It has
turned out that «arrangement» for notions is
far from being always possible: sometimes it is
more productive to reconstruct habitual senses or
concepts and construct some new notions on the
basis of the formed ideas and former concepts»
(Demyankov, 2001).
The classical definition of concept of the
contemporary humanities and, in particular,
culture studies is suggested by J.S. Stepanov in the
book «Constants. Russian Culture Dictionary»
(Stepanov, 1997): «Concept is a basic item of
the system of culture allowing us to describe a
framework of the world as a whole. Concept is an
item of historical, common cultural, ethical, social,
and individual memory of a man and society. The
sense is kept in memory. Concept is the sense a
human being operates with in the processes of
thinking. Concepts are kept in memory as some
«quanta» of knowledge and they can be activated
by a stimulus in memory» (Stepanov, 2007).
The later researcher’s definition seems to be no
less capacious: «Concept is typical situations
of culture» (Stepanov, 2007). The following
significant and essential features of concepts are
also revealed in Stepanov’s monographs. Concept
is to have its material realization. Concept doesn’t
exist without its material embodiment at all. The
area of concepts is not merely a mental sphere,
collective unconscious inaccessible to scientific
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cognition, but the area of concepts is collective
unconscious fixed in language and material
objects and phenomena of culture (rites, rituals,
and feasts). It means that the things and words
existing in culture are the concepts, which are
in the centre of research of the contemporary
culture studies. The following important and
subtle parameter of concepts’ being is the fact
that concepts are constantly developed and
experienced, but not logically realized.
The context of this investigation also
makes it important to turn to the contemporary
definition of «concept» notion suggested by L.V.
Mikeshina in the encyclopedia of culture studies
(Culture Studies. Encyclopedia, 2007). «Concept
is individual ideas of senses; it is «quanta» of
knowledge on real and ideal worlds; it is a form of
processing of subjective experience by means of
classification of certain categories and classes. The
universal concepts common to the all mankind
are verbalized in many languages according
to linguistic, pragmatic, and cultural factors,
and they are organized in hierarchic, very often
associative and semantic systems represented in
different models of keeping knowledge in human
memory» (Mikeshina, 2007). L.V. Mikeshina
appeals to the research on development of the
humanities and causes of greater actualization
of the method of conceptual investigation.
There is a following explanation of the interest
in investigation of concepts in the humanities.
Initially, the humanities were always competing
with natural sciences, and for that reason the
humanities used scientific methods of natural
sciences. Pursuing for objectiveness cultivated by
natural sciences, it was developed according to the
way of exclusion of human (anthropic) factor of
scientific cognition. E. Husserl’s phenomenology
became the culmination of development of this
trend. Husserl suggested the method of stages of
purification of the humanities and their objects
of research from human subjective ideas. The
humanities gradually conceived that it was
necessary to be developed in a quite contrary
direction than that one of natural sciences. The
humanities were created in order to study the
interactions between the world and a human
being, therefore deliverance from human factors
is a deadlock for development of the humanities.
Concept is such a notion that allows us to
include human (anthropological) factors in its
structure: historical and temporal development
of concepts, correlation between concepts and
human experience, subjective human feelings,
etc. «Concept is extremely subjective, and it
is formed by speech in the space of a soul and
communication combining such mental abilities
as memory, imagination, and judgment…»
(Mikeshina, 2007).
We should distinguish verbalization of
concept in linguistic culture as its special
characteristic. A word is a material form of
concept’s existence in language. Thus, in the
first place, investigation of concepts is possible
simultaneously with investigation of the linguistic
phenomena fixing that concept. And there is a
separate sphere of philological knowledge – that
is linguistic psychology studying the object of
psychology (human mentality, emotions, and
consciousness) with linguistic methods and
ordinary language, which investigates linguistic
phenomena for comprehension of conceptual
sphere of human being. Let us remark that most of
the latest investigations of the sphere of concepts
are concentrated just on studying of different
concepts from the point of their reflection in
language. We can even assert that contemporary
science succeeds in investigation of concepts
in two trends – working out of a theory of
conceptual knowledge and a research of concept
on the base of the method of investigation of
concept’s linguistic realization with the purpose
of reconstruction of its original and present sense
actual for a certain area.
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We should pay our attention to some
assumptions and stipulations characterizing
this investigation before we resume the results
of consideration of the content of «concept»
notion. In the first place, this research work
considers «concept» notion in the discourse of
Russian human science without consideration
of foreign authors’ research works. The foreign
investigations remain out of the frames of this
article because of the difficulty of correlation of
«concept» term in Russian science with the same
meaning of that one in foreign languages. For
example, «concept» notion can be translated as
«concept», «conception», «sense», «idea», etc.
in the English investigations. Hence, a separate
research work should be devoted to a discovery
and review of specialized research works in
the English language dealing with linguistic
and cultural ideas of concept. We can mention
the article «Concept» published in «Stanford
encyclopedia of philosophy» (Margolis E.,
Laurence S., 2005) as one of the examples of the
English scientific investigation devoted to concept
as a form of thinking and process of «constitution
of thoughts» («Concepts… are the constituents of
thoughts»).
In this article, we also don’t turn to the
specific comprehension of concept in the
discourse of the philosophy of postmodernism
while this side deserves its special investigation
no less. At present the philosophical models of
G. Deleuze and F. Gvattari set forth in the book
«What is philosophy?» (Deleuze, Gvattari, 1981)
are of great scientific interest from the point of
comprehension of concept in the philosophy of
postmodernism.
Thus, the main meanings and essential
features of concept should be fixed on the base of
investigation of «concept» definitions:
1) Concept is sensibly represented realization
of collective unconscious and mental
sphere of human culture.
2) Concept exists as: a) names of concepts
sensibly represented in language; b)
verbal concepts fixed in mythological and
religious systems; c) objects of material
culture (objects of applied nature); d)
pieces of art (literature, architecture,
painting, sculpture, music, etc.) – material
things of non-applied nature.
3) Investigation of concept is a reconstruction
of a sense of sensibly represented
concepts. There are to be distinguished
a few levels of concepts’ sense: original
sense; sense actual for a certain space
and group of people, chronological
period, chosen area of use and existence
of concept (for instance, «faith» concept
in Russian culture; «fatum» concept in
the Greek drama; «Old Russia» concept
in Moscow state of the boundary of the
15th-16th centuries); present sense of a
concept.
4) Concept is to be explored according to
subjective and anthropic factors: concept
is experienced by a human being, concept
is developed in time, concept includes
human experience, concept determines
the specificity of human thinking, etc.
Methodology of investigation of concept
As far as concept is the notion uniting
different human sciences, methodology of its
investigation synthesizes methods of different
sciences.
The first triad of sciences a researcher
appeals to in his investigation of concept was
worked out and established by J.S. Stepanov in
his research work «Constants. Russian culture
Dictionary» and article «Concept».
The principal and basic method of research
on concept is etymological investigation. First
of all, as concept is fixed in culture as a verbal
expression (name), the first step of its cognition
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is studying of a word’s etymology and name in
language, and that allows a researcher to restore
the original, conceptive and «rudimental» sense of
a concept. Etymological investigation can imply
several directions of the research: a) research on
word’s etymology and reconstruction of concept’s
sense in a national language; b) comparative
analysis of origin and existence of different words
with a common sense in different languages (for
example, the comparative analysis of the words
«государство» in Russian, «state» in English,
«civitas» in Latin, «Der Staat» in German,
«L’Etat» in French, etc.) for establishment of
general and distinctive features of concepts’
existence in the world and national culture. The
important aspect of etymological investigation is
also fixation of the period of word’s origin in a
language, and that allows us to find out the origin
of the very concept in human spiritual and mental
culture. Etymological research is not to be based
only on etymological investigations on words’
origin, but, first and foremost, it is to be based
on the key words of the existing texts. Thus, for
instance, we can see that the very word «concept»
is not used in scientific and philosophical texts at
all or it is used out of its contemporary scientific
meaning (P.Abailard, D. Scott, B. Spinoza). It
comes to active use in its contemporary scientific
meaning only in the scientific researches of the
boundary of the 20th-21st centuries; accordingly,
«concept» notion appears just at that period.
The other method of research on concept
is a method of historical investigation allowing
us to observe chronological transformation and
development of comprehension of concept in
culture. In this case, the most perspective thing
is construction of historical ranges of various
material realizations of concepts. We can turn
to a short range from the ranges of changes of
the words in language in the context of this
research work: the word «land» designating Old
Russia turns into the word «state» in the end of
the 16th century – such a change of the words
signifying one and the same territory and social
phenomenon points at the change of ideas of
Russia of that period. There is a scheme of ranges
of changes of material objects having one and
the same function – for example, the popular
scientific investigations of fashion and attributes
of human way of life are structured according to
such a scheme when there is an observation of
historical development of the objects of human
clothes, and we can find out development of the
ideas of norms of behaviour in society through the
ranges of pieces of art. For instance, we are able
to observe historical development of «orthodoxy»
concept by construction of a historical range
of the orthodox churches: The Church of the
Virgin’s Assumption at the monastery in Daphni
near Athens, Saint Sophia’s Cathedral in Kiev,
the Church of the Intercession of the Holy Virgin
on the Nerl River, the Church of Trinity at St.
Sergey monastery, and Dormition Cathedral in
the Kremlin. This range of pieces of art is able
to display the transformation of «orthodoxy»
concept from its comprehension in Byzantium to
that one in Moscow Old Russia.
The third science with its methods, which are
to be applied to research on concepts, is sociology,
which allows us to study the contemporary way
of comprehension of concept and investigate
concept according to the all existing contemporary
experience.
It is important to remark that the methods
of other sciences should be also applied to
investigation of concepts. Philology makes
possible to study specific features of concepts
in certain texts. The methods of art studies are
necessary for research on concepts, for they allow
to conceive the sensibly represented essence of
a piece of art and, consequently, the nature of
some concepts at one of the stages of formation
of a religious artistic image. On the whole, we
should notice that the methods of art criticism are
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able to enlarge the idea of conceptual sphere of
knowledge, for the contemporary investigations
are concentrated more on the fact of verbal
realization of concepts while it is known that
verbal thinking is not the only way of human
thinking. Therefore, concepts can be «hardened»
in visual, audile, and kinesthetic images.
It seems to be necessary that we should
also reveal the extent of research on concepts,
but not the limits of their existence. On the one
hand, concepts exist in different ways for every
individual, but only the universal idea of concept
is of importance for the research on concept as a
display of collective unconscious. As a result, the
research on concept is determined by its existence
and importance for a social group of people (of
any number) and is finished at the point where
individual experience of concept appears.
Thus, there are the following methods of
research on concepts: a) ethnological methods; b)
the methods of historical research; c) sociological
methods; d) linguistic methods; e) the methods
of art criticism. This is an example of the most
important sciences with their methods applied
to the research on concepts, and the list of those
sciences can be enlarged depending on every of
the concepts to be studied.
EXAMPLE
Concept as method of culture studies after
the example of investigation
of «state» concept in Russian culture
Etymology of the word «state»
and its synonymous words «land»
and «country»
The word «state» appeared in the Old
Russian language in the 15th century, the official
papers contained this word in the 16th century,
and it has been used in its present meaning since
the 17th century. «State» word is originated from
the Old Russian word «sovereign», which had
been in use since the 14th century. In its turn, the
word «sovereign» comes from the more ancient
word «saviour», and the meaning of this word
is a matter of discussion for many researchers.
There are several versions: 1) «saviour» means
master, dominus, sovereign; and there is a much
rare connection with the Middle-Persian word
«master of sheep» (pastor); 2) «saviour» word
is connected with the word «Savor» and comes
from it; 3) «saviour» is a derivative word from
«justice» and «judgment» words in the Russian
language – then in such a case «saviour» is a
judge, a ruler of the judgment. «State» coming
from «saviour» word has three meanings: the
territory, which is under sovereign’s and master’s
power; the territory, which is under the Lord’s
power through the sovereign’s mediation; the
territory where the sovereign has power to give
his judgment.
It is also important to pay attention to the
fact that the word «state» appears in the 15th
century and starts to be used just in the 16th
century. Therefore, this word wasn’t used in the
Old Russian state for a period of the first five
centuries of its development at all. Let us turn to
the names traditionally used for signification of
the state by the Old Russian people – those are
«land» and «country» words (the phrase «Russian
land» is wide-spread in Ivan the Terrible’s letters,
the same phrase is also used by Joseph Volotzkyi
and others).
The word «land» is of Slavonic origin.
Primarily, land had «low» meaning, and, as
J.S. Stepanov’s etymological investigations
demonstrate (Stepanov, 1997), the notions of
«land» and «low» are always connected with the
contraposition to «high», «heavens», and «gods»
words. The word «land» had started to be widely
used in «earth», «world», «country», «estate»,
and «property» meanings since the 11th century.
Hence, the historical evolution of «land» word
undergoes the following changes: «land» and
«low» meanings as the sphere of human life in
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contrast to the divine world of heavens turned
into the meaning of the territory, which belongs
to someone (besides its direct meaning «upper
stratum of the soil»), after rejection of the pagan
world outlook in the 11th century. In such a case,
«the Russian land» is the territory, which belongs
to the Russian people.
The Slavonic word «country» comes from
the word «side», which, in its turn, is originated
from the Old Slavonic «storna», i.e. space. This
Old Slavonic word is in close relation with the
words of various origins – spaciousness, scope,
stretch, spread, etc. Consequently, in this case,
again we come across the word of spatial and
territorial characteristic.
Thus, we can come to the following
conclusion: first and foremost, the primary notion
of the Russian state was connected with some
territorial and spatial designations – space and
land. But the word replacing the words of the Old
Slavonic origin appeared in the Russian language
in the 15th century – that is «state» word, which
gave some new senses to «the Russian land»
and accentuated them. Then the presence of a
sovereign person was established, who possessed
and owned the Russian land and the Russian
people (like «sheep in a flock»); the Russian land
became the territory where a sovereign could do
his justice. As we are able to see later, this shade
of meaning is not casual: the Russian sovereign of
the 15th and 16th centuries bore the responsibility
for the Russian people on Doomsday, and that’s
why he had his right to give his judgment on
earth preventing the Judgment on heavens. The
relation between the origin and phonetic form of
«sovereign» and «saviour» words emphasizes the
sense that henceforth a man being at the head of
the Russian state is a mediator between God and
people.
The comparison of the Russian word «state»
with the same words in other languages shows the
difference in formation of the West countries and
Russia. Thus, the words «state» in English, «Der
Staat» in German, and «L’Etat» in French have
the common origin from the Latin word «status»
meaning position, posture, situation, standing,
and civil position. This is an indication of the fact
that the words «state», «Der Staat», and «L’Etat»
are associated with the process of state’s natural
establishment and formation of its positions
and institutions. The words concerned with the
government of a state appeared in the European
languages simultaneously with the process
of formation of national states in the Middle
Ages. For instance, the English words «state»,
«government», and «reign» came into existence
in the period from 1066 to 1485, i.e. after the
Norman Conquest of England and establishment
of the state system. The comparative analysis of
notions in various languages signifying state as
an organism of social unity of a nation in some
territory displays the specific character of the
Russian concept «state» in contrast to that one in
other languages supposing not status (as stature
and dignity) of a state for other nations, but
concentration of all the social unity in a person
of sovereign.
Thus, in the first place, the Old Russian
«state» presupposes a person as a mediator of
carrying out of power in a certain territory while
the European words imply the high rank and
status of state’s position (perhaps, among the other
states). As a result, «state» concept etymologically
demands compulsory personal realization of all
state’s forces in a person of a single ruler with
his most essential function of ability to do justice
over the people of the territory, which belongs
to him. While our consideration of the historical
situation, we can see the reason of inclusion of
sovereign’s judicial function as an important
characteristic in the process of formation of
«state» concept. «State» word hadn’t been used
in the texts until the 16th century: there were some
other words for signification of Old Russia such
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as «Russian land» and «side (country)». Thus,
the 15th and 16th centuries can be considered as
the period when Old Russia changes the name
of its territory as «land» and «country» for
the comprehension of it as «state». Primarily,
the «name» of the state was connected with its
territory and specific character of that territory as
spacious, wide and spreading. Some changes have
been taking place in this comprehension from the
15th century: sovereign’s personality subduing the
whole territory and people of the Russian state
becomes determinative of signification of the
Russian land.
Historical determinants
of formation of «state» concept
There are to be distinguished the following
determinants of formation of «state» concept in
the historical situation of the epoch. Old Russia
exists with serious religious contradictions in
the boundary of the 15th-16th centuries. The
most important religious trends of the epoch are
the Judaizers and the Josephists. The Judaizers
suggested Old Russia’s development by a way
of religiosity out of the Church where the base
is a doubt in all the dogmata a priori of the
Christian religion, and their doctrine represents
an effort of rational explanation of being. But
the Josephists with their doctrine formulated
by Joseph Volotzkyi (1440-1515) suggested the
conception of absolute monarchy – that means
that a tsar was acknowledged as an owner and a
person responsible not only for the human being
on earth, but also for the spiritual being of a man
on heavens and for his facing God on Doomsday.
The Judaizers’ conception was supported by
the authorities, and later on Ivan IV the Terrible
rested upon that very conception in his ruling
the country. In the period considered, there was
the formation of concept «Moscow is the Third
Rome» with penetration of the Byzantine tradition
of comprehension of a ruler chosen by God for
ruling the state. The eschatological feelings of the
people of the 15th century expecting Doomsday in
1492 are of no less importance for the formation
of «state» concept. Thus, the Russian people of
the boundary of the 15th-16th centuries were ready
for the Judgment Day, and the Doomsday, having
not taken place, allowed the sovereign «endow
himself with the right» to do justice on the
people. The process of national self-identification
of the Russian people as the only stronghold of
the orthodox faith started from the end of the 15th
century. And that was also the context of the fact
that national unity is necessary for their presence
on Doomsday when there will be judged not each
single soul, but the nations on the whole.
Thus, the formation of «state» concept
was influenced by the following historical
determinants of development of Old Russia:
1) Conception «Moscow is the Third Rome»
determined the development of Old
Russia as the empire headed by the God
chosen ruler. As a result, «state» concept
signifying the social unity of the nation
was formed as an idea of the possibility
to carry out social unity of the nation
in Old Russia only by the sovereign’s
personality heading the people and being
a representation of the whole nation in the
face of God.
2) The eschatological feelings of the
boundary of the 15th-16th centuries brought
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to such an aspect of «state» concept as the
necessity for the sovereign’s personality
in order to do earth justice, execute and
encourage the Russian people.
3) The religious situation of the boundary
of the 15th-16th centuries entailed specific
features of formation of «state» concept
in Old Russia. In the first place, the
process of self-identification of the
Russians as orthodox people brought
the character of possibility of social
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unity only on the base of the orthodoxy
in the formation of «state» concept. The
religious contradictions between the
Josephists and the Judaizers and powerful
repression of the possibility for the latter
to exist gave «state» concept a character
of intolerance to the inner contradictions,
rational comprehension of the questions of
religion and faith, and violent settlement
of the inner contradictions.
Thus, the historical situation has formed
«state» concept as follows. State is a model
of social unity of the Russian people based on
compulsory mediation of the sovereign’s person
in communication between the nation and God.
In the first place, the mediation of a ruler consists
of carrying out of the mechanism of punishment
and encouragement for his people. Social unity
is supported by the right of powerful and cruel
suppression of some inner contradictions in the
state, and the state is orientated by suppression
of development of rational bases of thinking and
appeals to the support of such people’s qualities
as obedience and faith.
Sensibly represented being
of «state» concept in Old Russian culture
First and foremost, «state» concept
presupposes a certain model of social unity.
Pieces of art are able to visualize social unity on
the level of socio-centric religiosity. The work of
architecture of the 18th century – the Church of
the Intercession of the Holy Virgin on the Red
Square (1555) – is able to be the representation of
socio-centric religiosity of Old Russia and «state»
concept as well. Investigation of the specific
character of socio-centric religiosity visualized
with the architectural forms of the church will
allow us to enlarge the discovered ideas of «state»
concept in Old Russia.
First of all, let us turn to the location of the
church – on the Red Square in front of the walls of
the Kremlin in Moscow by the place of judgment
and execution of those who broke the Russian
state’s law. The cathedral’s position in front of the
Kremlin’s walls, inside which the architectural
ensemble of the Kremlin in Moscow models the
idea of the Russian state organization, gives us
an opportunity to understand the explication of
the idea of the Russian state organization. The
situation of the cathedral by the place of execution
on the ground floor allows us to assume that the
church includes the idea of sacrifice of the Russian
people for the sake of the orthodox religiosity on
earth. The idea of nation’s sacrifice for the sake
of existence of the orthodoxy is also supported by
the symbolism of building materials – red bricks,
where each brick appears to be personification of
many human beings united by the orthodox idea.
The character of socio-centric religiosity is
modeled with the cathedral’s architectural forms
at the level of grouping of separate architectural
blocks into one whole while eight separate domeshaped churches are grouped on the one plinth
around the highest central tent-shape church, and
that means that something the one and the whole
are comprehended as something central, cardinal,
and unique.
The specific nature of Russian religiosity
accentuates the use of forms of tent-shape type
of architecture that appeared in the Russian
land. The tent-shape architecture seems to be a
representation of the Russian religious feeling of
the 16th century, i.e. especially ardent human appeal
to God. The elaboration of this architectural form
emphasizes the right of Old Russia to be named
the Third Rome, for Old Russia proceeding with
the Christian history brought a new type of church
in the history of the Christian religion like the first
two Christian empires.
Thus, analysis of the pieces of art allows us
to study the specific features of «state» concept
in Old Russian culture of the 16th century. The
architecture of the Church of the Intercession of
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the Holy Virgin models «state» concept in the
following way. «State» is a social whole where
multitude is necessarily to be submitted to the
central and unique thing relative to that multitude
in order it could carry out the sacred mission of
sacrificial continuity of the laws of the orthodox
religiosity on earth.
Resume
In conclusion of this research, we should
summarize the specific features of concept as
a method of investigation of the problems of
culture studies and we should also outline the
advantages of use of the methods of investigation
of concepts.
Concept is the human consciousness realized
in a language or culture. The aim of investigation
of concepts is a possibility to study typological
structures of human consciousness, development
of knowledge of a man and the mankind as a whole,
and reconstruction of the forgotten senses of
human culture. The research methods of concepts
are etymological investigation of a «name» of a
concept in its national language; consideration
of historical determinants of concept’s formation
and historical development of ideas of a concept;
sociological investigation, which allows to
conceive the present content fixed in a concept;
investigation of specific features of concept’s
existence in philosophical, religious, artistic and
other kinds of text; analysis of a pieces of art as
concept’s representations.
The advantages of research on concepts at
culture studies are the following:
1) Consideration of concepts allows us to
distinguish the basic principles of human
being as an object of knowledge;
2) Concepts study allows us to integrate
methods of the humanities (etymology,
history, sociology, psychology, philosophy,
linguistics, philology, art criticism, etc.)
as a whole to investigate the problems of
culture studies;
3) Realization of concepts in names of a
national language allows us to conceive
the history of origin not only of a word in a
national language, but the mental content
of a word-concept in human culture;
4) Etymological analysis of names in a national
language allows us to reconstruct the
primary and long forgotten sense of objects
and phenomena in culture. Thus, research
on concepts is a scientific restoration of the
sense of typical in a human life;
5) Historical science, philosophy, and
philology help us find out the determinants,
which formulated concept’s content in a
certain period of history;
6) Art criticism allows us to investigate a
concept as sensibly represented artistic
images;
7) The indissoluble connection of a concept
and its sensibly represented realization in
objects of culture allows us to consider
concept’s sphere not with abstract and
theoretical notions, but with categories of
concreteness and logics;
8) The fundamental comprehension of a
concept as a developing phenomenon
allows us to consider a concept according
to human feelings, knowledge, experience,
etc. and human factors influencing on
concept’s formation with a human being
left inside scientific knowledge.
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 247-258
~~~
УДК 130.2
Henrich Rickert’s Methodology and its Application
for Solution of the Problem of Cultural Values
in Contemporary Theory of Culture
Natalia P. Koptzeva* and Anna A. Makhonina
Siberian Federal University,
79 Svobodny, Krasnoyarsk, 660041 Russia1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
The article is devoted to consideration of the problem of cultural values in contemporary theory of
culture.
While searching for the ways of solution of the problem of definition of «cultural value» concept and
its importance for the sphere of the humanities, the authors apply philosophical and methodological
systems of H. Rickert and those ones of many Russian researches such as Ilyin V.V., Plotnikov V.I.,
Pivovarov D.V., and others.
Comprehension of cultural value as some special kind of ideal is suggested to be a base of scientific
classification and methodology of explorations of nature of cultural values in contemporary theory of
culture and humanitarian knowledge as a whole.
Keywords: culture sciences, methodology of culture studying, H. Rickert’s theory, cultural values,
ideal.
Point of View
The contemporary crisis state of the
humanities is stipulated by the problem of their
position at culture and by the methodological
problem of humanitarian knowledge consisting of
the necessity of search for methodological unity.
The necessity of elaboration of methodology of the
humanities was particularly keenly predetermined
by Positivism of the first half of the 19th century,
which refused the humanities to have a special
scientific status and set methodology of natural
sciences as a basic scientific and methodological
system. But there are some philosophical
researches quite thoroughly showing belonging
of humanitarian knowledge to science and
*
1
scantiness of application of natural scientific
approach to methodology of the humanities. This
point of view is represented by the philosophical
theory of Neo-Kantianism Baden School’s
founder Henrich Rickert (1836-1936).
The main aim of Rickert’s philosophical
investigation is stated by the philosopher as
consideration of specificity of methodology of
the humanities presupposing comprehension of
object’s individuality and peculiarity in contrast
to methodology of natural sciences aimed at
generalization and revealing of some general
principles and laws. Following W. Windelband,
Rickert denies the classification of science into
«sciences of nature» and «sciences of spirit»
Corresponding author E-mail address: decanka@mail.ru
© Siberian Federal University. All rights reserved
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thinking of the definition «sciences of spirit» as
a rather inexact one. But some formal principle
is taken instead according to which some
sciences deal with search for new laws and their
formulation and others are sciences of events
and explore separate facts as something unique,
which doesn’t have any analogues and which
can’t be reduced to a law.
Like W. Windelband, who had distinguished
two basic scientific methods – «nomothetic»
(based on general laws), explaining general
and repeated things, and «idiographic»,
describing peculiar features, Rickert suggests
«generalizing» and «individualizing» methods.
According to Rickert, the sphere of scientific
cognition is formed with two fields – natural
science and history. Natural sciences explore an
object with generalizing method and the field of
the humanities is explored with individualizing
methods of history.
Rickert thoroughly considers specificities
of this methodological model in his works «The
limits of natural scientific formation of concepts»
(1896), «Sciences of nature and sciences of
culture» (1911).
Having worked out methodology of
historical sciences of culture, philosopher
finds out a following contradiction: there is a
conventional opinion that a single and individual
thing is not an object of science, for science is
not aimed at exploration of facts from the point
of view of individuality and peculiarity. But
Rickert gives a convincing refutation of this,
taking notice of «reality» concept. The point is
that reality is always much wider and deeper than
any concepts, which are abstract from reality
and convey just only some few aspects of reality
in schematization and generalization. Rickert
notices that «empirical reality represents immense
variety increasing for us as far as we deepen in it
and start to divide it into component elements, for
even «the smallest» part of it contains more than
a finite man is able to describe, to comprehend
in his concepts and, thus, in his cognition and
infinitely scanty in comparison with what he has
to leave aside» [17, p. 61]. According to Rickert,
generalization means «escape from reality» [17,
p. 68], for there is no any notion able to cover
reality, which always lies not only in individuality
and peculiarity. Generalization and explication of
reality into concepts considerably make scanty the
content of reality, which demands not systemized
generalization and dead schematization, but
comprehension of individual, peculiar and
essential features of a phenomenon or an event,
and the humanities are the closest science to such
comprehension. There is always simplification
of reality and its becoming finite and loss of
its wholeness in immanative comprehension
of reality and transformation of an event. As a
result, a concept of generalizing nature discovers
its impotence at the effort of precise scientific
representation of reality.
Every concept of every science conveys
only few object’s aspects or qualities abstracted
and selected from its real content according to
that point of view some science is guided by.
Depending on the method a searcher uses, reality
takes an appropriate form: reality considered
with generalizing method becomes nature, and
if it is considered with individualizing method, it
becomes history.
If establishment of general principles of
everything existing is characteristic of natural
science, then, according to Rickert’s point
of view, representation of single and unique
events once happened is important for history.
The essence of an individual or an event in its
singleness, unique and peculiar nature is explored
with individualizing method defined by Rickert
as «every synthesis of essential elements of some
reality» [17, p. 89]. Historical science in Rickert’s
philosophy is knowledge of past as knowledge
of unique facts, personalities, and phenomena,
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but not their general principles. Thus, there was
raised the problem of individualizing method and
elaboration of individualizing concepts within
the frames of Neo-Kantianism, in particular, in
Rickert’s philosophical conception.
According to Rickert, there is a special
contraposition between sciences dealing with
concept and sciences connected with exploration
of reality, which «lies in peculiar and individual
features» and which «can’t be constructed from
general elements by no means» [17, p. 73]. Rickert
writes: «… In order to achieve two purely logical
concepts of science and nature, which doesn’t
mean two different realities, but the only one
considered from two different points of view, I
have tried to formulate the main logical problem
of classification of sciences according to their
methods, and, in this very sense, I contrapose
individualizing method of history to generalizing
method of natural science» [17, p. 75]. Rickert
gives an explanation of the essence of natural
science which is to embrace many different
processes in its notions while «historical science
tries to adapt its exposition to one object different
from the others» [17, p.78].
Rickert’s methodology is based on the
argument that natural science is not the only
possibility of cognition of reality, for the main
methodological instrument of natural science is
abstraction and its object is general things which
appear only as a result of logical abstraction.
Reality is out of abstraction and much wider
in contrast to deadening schematization and
systematization. But Rickert doesn’t deny the
importance of generalizing method at cognition
of reality defining its role as auxiliary for the
humanities and historical sciences. Rickert
remarks conditional character of application of
these two methods and supposes that «natural
scientific concepts formed with scientific
generalizing method will be of more importance
and they will be used more successfully at
historical science in future than now» [17, p. 83].
The problem of historical sciences of culture is
not only individual peculiarity of a single event
or some concrete single historical whole, but the
question is of the peculiarity uniting a whole group
of objects. Thus, Rickert affirms that «there is no
any science of culture which couldn’t operate
with many grouped concepts» [17, p. 106].
Rickert finds that the identity of approach
of natural scientific knowledge and that one
of the humanities is impossible because of the
essential difference of formation of concepts of
natural science and history. Thus, the philosopher
remarks: «As far as the culture value of an object
is taken into consideration as a whole, it is not
based on the features common with the other
realities, but it is based on its difference with
them. Therefore the reality we consider from the
point of view of its relation to cultural values is
to be also considered from the point of view of
peculiarity and individuality. Often, the more
cultural significance of some phenomenon, the
more appropriate cultural value is connected with
its individual aspect» [17, p. 89]. At the same time,
single, individual and peculiar qualities don’t
mean something isolated in Rickert’s theory:
the object of history and culture makes a single
indissoluble whole with historical context. In this
connection, historical whole is not something
general, but it has individual and peculiar nature
in its singleness.
Rickert is guided by «reality» concept at
elaboration of individualizing method of history.
While plunging in the concept, he proceeds from
the idea of value. As Rickert points out, if there
was found a very precise definition of the object
of natural sciences – that is nature describing
the specific character of natural sciences, then
the concept of value is for the humanities. Value
is a determinative concept of culture, which is
to be culture as far as it receives and preserves
some appropriate values for the sake of them.
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The «value» concept is determinative for the
distinction between the humanities and natural
sciences. The appearance of value in the sphere
of culture and humanitarian knowledge can be
explained by the fact that, in contrast to a naturalist,
who is guided by many axioms, theorems, and
already existing schemes of knowledge from
the very beginning, a researcher of the sphere
of the humanities in his work with reality faces
the choice of the most important and essential
thing for a concrete event and process at the very
concrete moment. The value related to an object is
objective while it turns into a subjective valuation
in its interaction with a subject. Using the base
of Kant’s philosophy, Rickert shows that just
subjectivity of the point of view of a searcher of
historical sciences of culture is a methodological
support of the objectivity of scientific formation of
notions. But at the same time, there is a necessity
of objective critical approach in the substantiation
of subjective selection of methods of cognition in
the attitude to a concrete historical and cultural
object. The requirement of that selection is a
compulsory premise of value and significance.
Rickert maintains that culture and humanitarian
knowledge deal with generally important values
obtaining not facts, but significance, while
everything rising out of value belongs to nature
and to the sphere of natural scientific research.
Thus, the philosopher works out individualizing
method on the base of axiology, and the
concept of value is determinative of Rickert’s
philosophy of culture and philosophy of history.
Rickert’s axiology has transcendent nature, and
it is expressed in the philosopher’s doctrine of
independent realm of values, which corresponds
to neither the sphere of objects nor the sphere
of subjects and is determined as «sense above
any being». Only value allows to divide all the
processes taking place in reality into «essential»
and «non-essential», and that determinates all
the things that happens in reality as historically
important individuals or diversified being within
the frames of historical sciences of culture [17,
p. 90]. Rickert’s principle of value is a cardinal
criterion of distinction between cultural processes
and phenomena of nature at scientific cognition.
In this connection, historical and individualizing
method is defined by Rickert as a method of
correspondence to value in contrast to natural
science, within the frames of method of which
appropriate connections are established ignoring
cultural values and correspondence of object of
natural sciences to them [17, p. 93].
Values are not reality, but they are its
significance, not its facts, and they determine a
subject’s actions in his selection of appropriate
events and facts for a concrete context. Axiological
method allows to construct a hierarchy of values,
in which Rickert distinguishes 6 spheres:
- scientific cognition;
- art;
- pantheism;
- ethics;
- the good;
- theism, belief in personal god (truth, the
beautiful, super-personal holiness, morals,
happiness, and personal holiness).
The contrast of generalizing and
individualizing methods of historical and natural
sciences and estimative and non-estimative ways
of thinking based on Kant’s doctrine of antinomies
allowed Rickert to make a classification of the
existing sciences consisting of 4 classes:
1) generalizing and non-estimative sciences
(classical natural sciences);
2) individualizing and non-estimative
sciences (evolutional biology, geology);
3) generalizing and estimative sciences
(economics, sociology called by Rickert natural
scientific interpretation of social and spiritual
human life);
4) individualizing and estimative sciences
(history).
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In this classification, Rickert gives the
preference to history as science most adequately
exploring the processes of reality, for the object
of history is a single and separate event. Though
Rickert’s antithesis «reality – values» gives birth
to the ethical antithesis «existent – due», and
philosophy becomes science when it explores the
world of values.
According to Rickert, reality is represented
as something permanent and various. The
foundation of value can be seen in the fact that
cognition, in particular scientific cognition
of reality, inevitably makes «cuts» in its way,
some intermittence of continuous reality, some
special transformation of «various continuity
into intermittence» [17, p. 64]: there is to be
a premise or some a priori in method allowing
a researcher to distinguish an essential thing
from an inessential one. According to Rickert,
carrying out of operation of distinguishing of
an essential thing from an inessential one brings
forth the formal principle, which allows to make
clear the notion of scientific form. The formal
principle allows to make out a formal content of
reality and that thing, which called the essence
of things (Wesen) [17, p. 64]. Rickert sees the
process of transformation of heterogeneous air
into intermittence in the process of formation of
a scientific notion; a notion as though puts the
limits over one or another fragment of reality [17,
P. 62-63]. According to Rickert, the first science
making that intermittence is mathematics.
Generalizing method doesn’t assume
correlation between an object and value, for
nature doesn’t deal with valuations, but with
facts. According to Rickert, the objects of the
humanities can’t be considered with generalizing
method because it destroys the unity and vital
wholeness of an object and makes cognition of
individuality and unique features impossible and,
as a consequence, comprehension of true essence
of an object of humanitarian knowledge. Rickert
substantiates the impossibility of synthesis of the
two methods with the fact that spiritual life as
an object of the humanities in contrast to nature
determined by the causation can’t be brought to
appropriateness to any laws, for the very notion of
appropriateness to law contradicts to the notion of
freedom, and spiritual life looses freedom as its
main essence within the frames of appropriateness
to law. Rickert draws a conclusion that there is
to be a method quite contrary to generalizing
method of natural sciences, «the base and value
of which is consideration of an object as a whole»
[17, p. 73]. If generalizing method brings natural
scientific knowledge to system, individualizing
method of history diverges from systematization
based on generalization and it is not founded
on conformity to natural laws and repetitions.
Rickert’s conception is criticized by positivism
from that point of view, but Rickert substantiates
the point of view that the essence and significance
of one or other cultural and historical processes
are founded on their difference, peculiarity and
individuality. History explores singleness, the
things that happened one day but that would
be never repeated again. Then the problem of
comprehension and uniqueness of cultural and
historical whole in the past and present becomes
the cardinal scientific aim of a historian and a
student of culture.
In his characterization of the main difference
between natural sciences and history, Rickert
remarks that an object and method of natural
sciences are indispensable – that is «nature»,
being and existence free from correlation to
value. Accordingly, the aim of natural sciences
is to study general and abstract relations and
laws spreading on those being and existence. The
only particular thing at natural science can be
«specimen», one from a great number of objects
of this or that kind or class, and there is no any
of those objects avoiding the influence of natural
scientific method. Correspondently, Rickert
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defines nature as totality of reality comprehended
from the point of view of generalizing method
and out of relation to values [17, P. 100-101].
On the other hand, Rickert notes the
necessity of search after an appropriate concept
and method of historical sciences of culture,
an analogue of the precise concept «nature»
at natural science. «Culture» can be such a
term. According to Rickert, the cardinal aim of
individualizing methodology is elaboration of
the one and objective concept of culture, which
would stipulate for the unity and objectivity of
sciences of culture as well as the unity, objectivity
and significance of the established values [17,
p. 125]. The philosopher argues for the direct
dependence of development of objectivity’s index
of sciences of culture on «the progress at working
out of objective and systematically sectioned
notion of culture» as a measure of approaching
to the system of significant values. Rickert tells
of two basic concepts of individualizing method:
those are «cultural values» at sciences of culture
and «individuality» meaning every single and
particular reality and presupposing consideration
of a single development in its particularity and
uniqueness. Rickert puts a notion «historical
individual» in force for a historically individual
event, person and phenomenon. Since historical
individuals have their aims, historical formation
of concepts has teleological nature within the
frames of Rickert’s individualizing method
of history. Cultural value methodologically
determines the formation of notions of historical
sciences, for «only the things having significance
for the dominant cultural value in their individual
peculiarity are essential for them» [17, P. 100-101].
The significance of cultural processes is based
on their peculiarity and distinctive specificity,
and the idea of individual’s cultural personal
unity, individual whole is represented as one of
the trends of Rickert’s methodology [17, p. 103].
Research of individual essence and meaning
of an event, person, and process on the base of
axiological and subjective approach and with the
help of individualizing method demands a single
and individual character of relation of a researcher
to a historical and cultural object. Thus, Rickert
exploring the concepts of singleness, particularity
and individuality appealed to the theory of Hegel
and Neo-Hegelianism.
The problem of being of cultural values is
one of the most actual theoretical problems at
culture studies, which can be successfully solved
by appliance of Rickert’s methodology.
Example
The problem of cultural values is very
complicated for research. From the one hand, it
is stipulated by the fact that the actual and living
state of culture and its current processuality
«Here» and «Now» are to be explored. The
notion of cultural values in the research literature
is very often determined by turning to more
universal categories, which are to be precised
in the context of specificity of cultural values.
The definition of cultural values from the point
of view of a work of art is characteristic of the
contemporary science. As a rule, these definitions
are based on UNESCO «Convention on the
Protection of Cultural Property in the Event of
Armed Conflict» edited in 1954, where values
are understood as monuments of architecture, art
or history, religious, secular, and archeological
dispositions, architectural ensemble f historical
or artistic interest, works of art, manuscripts,
books, and other objects of artistic, historical and
archeological importance as well as scientific
collections or important collections of books,
archival materials or reproductions of the things
mentioned above. Besides, Convention includes
the buildings in the structure of cultural values,
the main and real purpose of which is conservation
and exhibition of movable values: museums, big
libraries, archival depositories, etc.
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In this context, cultural values are defined
as «property values of religious or secular nature,
which are of historical, artistic, scientific or some
other cultural importance: pieces of art, books,
manuscripts, incunabula, archives, components
and fragments of architectural, historical, and
artistic monuments, and also monuments of
monumental art and other categories of objects»
[4]. It is easy to notice that such comprehension of
cultural values can be applied to every artifact of
culture, but nothing clearing up in its essence of
cultural values, therefore it is not philosophical in
the strict sense of the word.
The contemporary researchers emphasize
that the very definition of the term «cultural
value» becomes a great problem. Thus, the term
«value» is quite wide-spread in philosophical and
sociological literature, and it indicates individual,
social and cultural significance of some certain
phenomena of reality.
The most wide-spread definition of value
interprets it as «a special social relation owing
to which the necessities and interests of an
individual or a social group are transferred to
the world of things, objects, spiritual phenomena
giving them some certain social qualities, which
are not directly connected with their utilitarian
purpose» [19]. The whole variety of objects of
human activity, public relations and phenomena
of nature included in their circle can be «objective
values» as the objects of valuable relations. The
methods and criteria as the base of estimation
of appropriate phenomena are fixed in social
consciousness and culture as «subjective values».
Thus, «objective» and «subjective» values serve
as some kind of two poles of valuable attitude of
a man to the world.
Nevertheless, the very notion of value is
applied in various meaning in philosophical and
culture studying literature, which brings to the
quite contradictory ideas of culture. While there
is significance of value of culture, the role of
values in structure and function of culture makes
nobody doubt. Literature as a social phenomenon
is very often distinguished only by valuable
orientations.
There has been formed a number of specific
approaches to definition of «value» concept:
1) value is identified with a new idea
represented as an individual and social
orientation;
2) value is comprehended as a wide spread
subjective image or idea of human dimension;
3) value is synonymous with cultural and
historical standards;
4) value associates with the type of
«dignified» manner and with a concrete life
style.
Ilyin V.V. in «Axiology» [6, p. 16] writes that
values include variety of trajectories of subjective
systems (phase points) determined by intentions
(original conditions).
The author considers the values of cognition,
politics, civilization, existence, PR, church,
education, social activity in the chapter «The
World of Values».
In his research work «The Russian cultural
values abroad» [7], Kovalevskyi P.E. determines
cultural values as the Great Russian culture in
all its displays – literature, art, science, religious
creative activity, and the whole totality of the
great nation’s life.
In the course «The Golden Age of the Russian
Philosophy: the Problems of Human Being» [11],
Nekrasova E.N. concentrates upon the problems
of spiritual culture and those moral, aesthetic and
religious values, which formed and still form the
possibilities of realization of a human being as
personality, help him with orientation in difficult
social conditions, discover his sense of existence,
etc.
O.Y. Markova’s article «Education in the
system of values of culture of contemporary
man» [10] sets forth the problem of education in
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educational theory and practice, which consists of
the constantly reproducing contradiction between
the object of knowledge stored by the humankind
and individual personal abilities and necessities
for their adoption and use.
Bolshakov V.P. writes in his work «The
problems of studying of valuable aspects of
life in Russia» [2] that the further destiny of
Russia and the whole world depends on what is
happening with culture and inside culture. The
reappraisal of values has entailed changes both
in civilization and culture. The author argues
about the fact that culture doesn’t suffer the
global crisis, nothing cardinal has happened. The
greater part of population doesn’t know how to
use even limited freedom. And at the same time,
«spiritual development of the new generation
takes its course in the situation of absence and
domination of any valuable orientations, but with
semi-cultural and anti-cultural influences alien to
the Russian tradition».
Having taken place in all the spheres
of social life, the changes influenced on the
forms of socialization of a man, changed social
preferences and values. These changes are
connected with penetration of the «western»
valuable orientation, but conservation of values
and ideals characteristic of the Russian society
also takes place. The problem of loss of values and
conflict of generations is very important today,
for values as actual senses considerably influence
on an individual life and they are of importance
in function of society. The author’s conclusions
consist of the point that such values of culture as
the Good, Beauty, Truth, Freedom, Love, Faith,
etc. are eternal. Values of culture do not become
past, but only some forms of their realization
may change, and that will help both society and a
concrete man to achieve a high level of culture, to
be cultural, but not seem to be.
A number of researches dealt with study
of values of culture: Boguslavskyi M.M. «The
destiny of cultural values» [1]; Tonenkova M.M.
«The spiritual wings of Russia» [20] (social and
cultural and spiritual essential values); Krivtzun
O.A. «The values of culture and destiny of art» [8];
Losskyi N.O. «The values and being» [9]. Besides,
thesis of Pustovalova E.V. «The system being of
values of individual subject» (Barnaul, 2005) [15]
and thesis of Hudyakova N.L. «Ontological base
of appearance and development of the valuable
world of man» [5] are devoted to the problem of
cultural values.
The various aspects, which can be used for
analysis of one or another artistic phenomenon,
are revealed in many researches of the concept
«value». But the thorough philosophical
investigation of the problem of values carried
out by Russian philosopher Plotnikov V.I. is of
the most methodological importance, for the
philosopher constructs a synthetic theory of value,
which can be a theoretical and methodological
source for exploration of cultural values and their
mechanisms.
Plotnikov V.I. defines value as «formed
in conditions of civilization and directly
experienced form of people’s attitude towards
those universal specimens of culture and extreme
possibilities, on realization of which every
individual’s ability to project future, estimate
«other» and keep past in memory depends» [3,
p. 1001]. The valuable attitude of a man towards
the world as a principally new universal form
of projection of human behavior both on social
and individual levels appears inside civilization
for the first time. Plotnikov V.I. remarks that
«the new form of projection of people’s real
life and their aspirations for future with regard
for generic experience and personal destinies of
individuals was in need of balanced mechanism
of concordance of individual initiative and social
conditions of their realization, the perspective
common to all mankind and personal form of its
assimilation, social and cultural specimens and
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orientation of generations replacing each other in
time to those specimens. Such a difficult form of
universal projection spontaneously appearing is
value» [ibidem, p. 1003].
The philosopher distinguishes the system
of valuable relation of many levels pointing at
personal and mass levels of function of values.
The following structure of valuable relation
is characteristic of personal level: 1) primary
layer of desire, expectations, and preferences
formed on initial stage of person’s ontogenesis
and forming initial level of public conscience;
2) vital (not game and imaginative) choice
of an individual between orientations to the
nearest aims (with their directly obvious profit)
and orientation to the remote life perspective
(with its psychologically attractive value); 3)
individual’s consciousness of the fact that the life
choice is not an act of a moment, but a continual
life state; 4) transformation of choice of values
into the base of estimation of every «other», i.e.
orientations chosen by other people [ibidem, P.
1003-1004].
As Plotnikov V.I. writes, the integral structure
of valuable relation «is an evidence of its being as
projective reality, i.e. the reality formed on the
foundation of signs directly merging individual
and mass consciences, subjective and objective
realities together, and it turns out to be brought
neither to cognitive activity nor to practice»
[ibidem, p. 1004].
The following statement is very important for
this thesis research: values don’t only appear in the
process of life choice of value, but they become
objective reality as a practically significant
specimen. After the life choice is determined,
value gets its ideal form subjectively existing
as an inner base and regulator able to compare
positive and negative (estimation), qualitative
and quantitative (worth), practically achievable
and doubtful (benefit), supreme and inferior (the
Good). Plotnikov V.I. writes that value is such a
field of possibilities realized in public activities
or returned to the sphere of ideal interrelation
of people in the universal social and cultural
sphere of life [ibidem, p. 1004].
The idea of value worked out by V.I.
Plotnikov as a form of people’s attitude towards
the universal specimens of culture becomes
the base of our assumption that contents of
the concepts «ideal» and «cultural value» are
extremely close to each other and have their own
specificities at the same time.
V.I. Plotnikov emphasizes the projective
nature of value; he supposes that valuable attitude
exists as a projecting reality «formed on the base
of signs and directly connecting subjecting and
objective realities; and it turns out to be brought
neither to cognitive activity nor to practice». The
philosopher accentuates that there are no any
values for an individual out of his life choice.
By correlation between this interpretation
and definition of ideal (as a result of dialectic
relation of subject and object, and there appears
something
«concrete-and-general»
(D.V.
Pivovarov’s term) as a result of that relation,
a model combining material appearance and
spiritual senses (knowledge of this model is
extrapolated to supersensible reality)), we are
able to represent a definition of cultural values as
a methodological base of music art studies in this
research context.
Cultural value is a special kind of ideal
formed in civilization and a form of people’s
attitude towards the universal models of
culture directly experienced by people, which
has a nature of projecting reality and exists
in the situation of life choice of one or other
practically significant models.
There can be distinguished such cultural
values among their diversity as those ones which
maximally supply with optimal conformity
between stability of social existence, a large
variety of culture and free individual development.
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Masterpieces of art are the carriers of cultural
values.
The importance of masterpieces of art as
ontological carriers of cultural values can be
deduced from the conception of culture as ideal
formation. It is necessary to answer the question
of philosophical comprehension of the content of
ideal by consideration of the content of culture
as ideal formation, i.e. creation and translation
of models (examples) of human activity at
individual, social and cosmic levels. The content
of ideal in general is a unity and wholeness of a
person (with himself, a concrete social group, the
whole society, and cosmos).
The notion of wholeness is connected with
acknowledgement of this quality of every object,
phenomenon, event, process, and action, which
reveals a concrete definiteness of that object in
itself, phenomenon, event, process, and action,
and it is not to be brought to a sum (system)
of separate elements. That whole, which is
always much more than a sum of its parts, is a
mere simple concreteness at the same time. For
instance, a family has to be a whole, but not a
group of people connected with each other by
the place of residence, ties of relationship, etc. A
family will have a function of juridical and legal
notion without that wholeness, but it will not be a
social and cultural reality. And at the same time,
wholeness is modeled by many ways, one of them
has been fixed in postmodernism model.
The realization of the sought wholeness is
certainly to be accompanied by comprehension
of the content and method, which help it to be
achieved. Theoretical and cultural analysis of the
contemporary conceptions of culture provides
with possibility to look at ideal as a complex
cultural phenomenon, find its place in the
ideological system of a concrete type of culture.
Social ideal is a complex phenomenon where the
wholeness of social life finds its completeness.
Ideal is a special way of reproduction of integral
characteristics of objective reality in the forms
of social consciousness, a way characteristic
of interrelation of subject and object. Ideal as
a universal form of purposeful activity is an
integrated base of different social and cultural
types of society.
D.V. Pivovarov points out that the process
of ideal formation is revealed in the subjective
and objective conception of ideal. It is defined
as «mutual reflection of object and subject»
with its indispensable components: 1) an object
distinguished in some sensibly perceptible
objective air, which is acknowledged as a relatively
complete, exemplary, and representative subject;
2) position of that model («sign of concealed
essence») in individual’s subjective world with
interiorization of a devised scheme of actions
with a pattern; 3) extrapolation of empirical
knowledge of model’s concrete characteristics
in a much wider reality very often inaccessible
to direct experience and then super sensible
reality. As D.V. Pivovarov remarks, the choice
and acknowledgement of a model as well as its
invention can be stipulated mainly either by
individual factor or social forces [14].
Ideal formation as creation of cultural values
can be considered as an invariant of modeling of
social wholeness in the actual field of culture.
Concerning this, the definition of artistic culture
I.A. Panteleeva suggests is worth to be considered:
artistic culture is a «sphere inside the space of
culture where specific ideals are produced,
distributed and consumed» [12, p. 13]. Though
the researcher states that just the sphere of fine
arts appears to be the most representative ideal,
there is a conclusion that «the cardinal section of
the system of representations of artistic culture
are pieces of art, in the specificity of which single
and general are revealed» [12, p. 14]. Some chosen
pieces of art among a great number of works of
art – «masterpieces» or «exemplary ideals» of
artistic culture – are revealed («visible», «audile»,
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etc.) ideals representing the ontological spheres
most important for some culture – nature, society,
a man, God [ibidem].
Thus, from the point of view of identification
of content of the concepts «ideal» and «cultural
values», culture forms ideal and idealized values
and works out ideals carrying the function of
stimuli and purpose for formation and selection
of aims in human life. Culture has a function of
purpose formation; it makes aims typified, works
out their content and makes them be achievement
of society.
Conclusion
1. Rickert’s individualizing method is to
reveal the essence of historical and cultural
whole in displaying of its basic distinctions from
other historical and cultural objects. Research of
peculiarity of different cultures in the world today
allows to explore the specificities of their dialogic
interrelation. Thus, Rickert’s individualizing
method applied to historical sciences of culture
is able to solve the problem of formalization
and prognostication both particular and global
and historical processes of the world today by
exploration of essence of a phenomenon in its
individual and unique nature.
2. Appliance of Henrich Rickert’s
methodology allows to distinguish the very
problematic area of culture studies and consider
the concept of cultural values as an independent
notion of culture studies with its own content and
methodical set of instruments.
3. There can be constructed the following
definition of cultural values by application of H.
Rickert’s methodology. Cultural value is a special
kind of ideal formed in civilization and a form
of people’s attitude towards the universal models
of culture directly experienced by people, which
has a nature of projecting reality and exists in the
situation of life choice of one or other practically
significant models.
References
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
Boguslavskyi, M.M. Destiny of cultural values. Moscow, 2006. – 208 p.
Bolshakov, V.P. Values of culture and time (some problems of contemporary theory of culture).
Great Novgorod, 2002.
Contemporary philosophical dictionary. Ed. prof. V.E. Kemerov. London, Frankfurt am Main,
Paris, Luxembourg, Moscow, Minsk, 1998. – 1064 p.
Glossary.: http://www.glossary.ru/cgi-bin/gl_sch2.cgi?RKzr;yzwt:l!.lttuxyo
Hudyakova, N.L. Ontological base of appearance and development of the human world of values:
abstract of thesis. Omsk, 2004. – 40 p.
Ilyin, V.V. Axiology. Moscow, 2005. – 213 p.
Kovalevskyi, P.E. Russian cultural traditions abroad. San Francisco, 1966. – P. 78-83.
Krivtzun, O.A. Aesthetics. Moscow, 1998. – 429 p.
Losskyi, N.O. Value and being. Moscow, 2000. – 864 p.
Markova, O.Y. Education in the system of values of culture of a man today. St. Petersburg, 2004. –
Vol. 2. – P. 177-187.
Nekrasova, E.N. The golden age of Russian philosophy: the problems of human being: course.
http://www.homo.fizteh.ru/programs/culture/nekrasova.htm
Panteleeva, I.A. Representative quality of works of fine arts in artistic culture: abstract of thesis.
Krasnoyarsk, 2004. – 21 p.
Philosophical encyclopedic dictionary. Moscow, 1989. – 815 p.
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14. Pivovarov, D.V. Culture as ideal formation // Culture and artistic culture: a book of collected
articles. Krasnoyarsk, 2000. – 235 p.
15. Pustovalova, E.V. System being of values of an individual subject: abstract of thesis. Barnaul,
2005. – 21 p.
16. Rickert, H. Philosophy of life. Moscow, 1998. – 512 p.
17. Rickert, H. Sciences of nature and culture. Moscow, 1998. – P. 44-128.
18. Rickert, H. The limits of natural scientific formation of notion: logical introduction in historical
sciences. Moscow, 1997. – 534 p.
19. Slozhenkina, N.S. Philosophical analysis of truth at fine arts: abstract of thesis. Magnitogorsk,
2006. – 23 p.
20. Tonenkova, M.M. Spiritual wings of Russia – social and cultural and spiritually essential values.
Moscow, 2004. – 320 p.
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 259-266
~~~
УДК 378.147.013.83
International Project-based Educational
Functions Developing Scientific, Infrastructural
and Professional Competences of the Researchers Involved
Natalie M. Edwards*
Siberian Federal University,
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
The academic capitalism has inspired advanced requirements to academicians and researchers,
globally. To meet them, both universities and R&D organizations have to modify paradigmatically
and to prepare their researchers to efficient and economically expedient R&D work. Appropriate
competences may be achieved in formal, non-formal and informal education frameworks. This
paper considers an informal-based approach to the development of researchers’ infrastructural and
professional competences through involvement to international projects and thus, their educational
functions.
Keywords: competence, learning by doing, international network projects, infrastructural skills,
FP6/FP7.
Point
Since the «Iron Curtain» fall, the Russian
science paradigm has being transformed
alongside with European science in new economic
environment. It is well investigated and described
by many Western and Russian researchers. While
considering the Russian science today’s hardships
and challenges, it looks reasonable to accept a
constructive approach by A. Grudzinsky who
regards them as «challenges» requiring rethinking
of institutional and economic modes of research
activity, rather than «losses» or «deprivations»
(Grudzinsky, 2004). From this point of view,
we could interpret the meaning of international
research cooperation, as well as preparation to
this mode of activity.
*
1
Contemporary researchers fail to provide
any clear evaluation of economic profits gained
by the Russian economy from international
contacts. Still, we agree with the Russian
researchers L.M. Gohberg and A. Yu. Chepurenko
who state that wide contacts between Russian
research organizations or separate researchers
and international foundations or programs are a
necessary prerequisite for their competence and
professional development aimed at integration to
the international research community.
Today, neither research, nor educational
environment of any country separately is able
to stay isolated from global-scale problems to
be solved as they are common challenges in the
present. Under globalization conditions, many
Corresponding author E-mail address: klimnatal60@yandex.ru
© Siberian Federal University. All rights reserved
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research activities are implemented within the
framework of large-scale programs funded by the
government or the commonwealth, for instance
the European Commission (EC) in the format of
joint projects, predominantly by multinational
consortia of several countries (Atkinson, 2006).
In the European Union, the Framework Programs1
successfully resolve the task of research idea
preliminary development (Grudzinsky, 2004;
Bellemin, 2005). A joint project development
based on a research idea demanded by the
European community is considered to be the first
step of a single commercialization consequential
chain for a RTD product or technology (Sijde
and Cuyvers, 2007). Framework Programs in
Europe are a strategic tool in its competitive
activity against the USA and Japan, in the hitech
market. The Framework Program initiatives
are supported by inter-governmental tools of
technology transfer and provide a substantial
support to research and manufacturing teams at
the stage of experimental prototype coupling to
a marketable product. For the Russian researcher,
this Seventh Framework Program is the fourth
one available for participation within a multinational consortium (Schavan, 2007).
This paper is an attempt to concentrate on
international project-based educational function,
which includes research, infrastructural and
professional competence development of the
Russian researcher, by example of Framework
Programs. Besides, many Russian science
investigators underline the statement that this
kind of participation enables to diminish the
1
«Framework programs» (FPs) have been the main fi nancial tools through which the European Union supports
research and development activities covering almost all
scientific disciplines. FPs are proposed by the European
Commission and adopted by Council and the European
Parliament following a co-decision procedure. FPs have
been implemented since 1984 and cover a period of five
years with the last year of one FP and the fi rst year of the
following FP overlapping. The current FP is FP7, which
runs up to the end of 2013 (CORDIS: http://cordis.europa.eu/fp7/faq_en.html#1).
risks associated with potential «brain-drain» of
the Russian researchers and to attract overseas
investment for RTD activity and through further
RTD product commercialization (Batigin, 2000;
Sinitskaya, 2007).
Examples
Since January 2000, the EC has implemented
a concept of «European Research Area (ERA)»,
where participation of emerging or transitional
economies, including Russia is of special
importance (Akulshina, 2007; Schavan, 2007).
Framework Programs serve as a realization tool
for ERA. From the point of view of European
experts, network long-term projects are the
most resultant ones (Burger, 2004; Kelm, 2007;
Taylor, 2007). They enable to share knowledge
and skills, to train starting researchers within the
network, as well as to consolidate the resources
from the whole partnership network and therefore
to avoid parallelism in research activities, which
is costly and senseless in the era of information
technologies. In this way, resource saving
including the costs on researchers’ training is
provided for a number of countries. The Russian
researchers have been involved in the programs
since the Fourth Framework Program in 1994,
within international research consortia. EURussia Cooperation Agreement on Science
and Technology was signed on the 10th of May
2001 and renewed by common Agreement in
October 2003 at the EU Summit in Rome. At
a point of the Sixth Framework Program (FP6)
ending (2002-2006), about 600 million Euros
from the total budget of the FP6 were spent for
funding projects with participation of third (nonEuropean) countries including Russia, and 285
million Euros from this budget was spent for
the international cooperation (INCO Program,
3 thousand projects) in thematic areas. A half
of participants out of 8 thousand of research
teams (40 thousand researchers) were from third
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30
25
20
15
10
mobil
ity
SM E
***
*
Innov
ati o
J RC*
INCO
Citiz
e ns
e
Airs p
ac
Pr od
uc t
ev
Sus t.
D
Nano
li fe s
c.
0
IST
5
Fig. 1 Quantity of projects with the Russian participation funded by FP6 in 2002-2006, by thematic areas.
Note:
* IST –information society technologies
** – JRC – joint research centers
*** – SME – small and medium-size enterprises
countries in early 2000. The Russian participation
in Framework Programs is represented by 600
joint projects (1994-2006), and 572 projects more
have already been financed during the initial
two years of FP7 (2007-2013), predominantly in
thematic areas: life sciences, information society
technologies, nanotechnologies and advanced
materials, sustainable development, airspace
sciences and international cooperation.
The above diagram (Source: NIS-NEST
Newsletter of January, 2007 by P. Jamet) shows
that the major portion of joint projects with the
Russian participation belongs to IST thematic
area. That is also determined by the policy of
the European Commission, which testifies of
the funding trending towards information and
communication technologies. In particular,
statistics of FP6 indicates that 32 out of 300
participating organizations were Russian (11%)
and the Russian researchers obtained 4.5 out of
30 million Euros (15% of the total IST budget).
In nano-electronics, photovoltaic science and
MEMS themes, 36 projects with the Russian
participation obtained 40% of the total thematic
budget funding (Burger, 2006).
Richard Burger, the Science & Technology
Counselor Delegation of the European Commission
to Russia, accentuates the European dimension of
the Framework Programs, which implies that all
the projects and initiatives available for support
within its scope i.e. financed from European
taxpayers’ budget, should include at least several
European states. But at this, international
cooperation is a major component of the Seventh
Framework Program (FP7) and participation
of third countries is welcome and fostered. In
2007, summarizing the FP6 outcomes the EC
presented the proof for interest in and support
for the Russian participation in the prior FP6:
in the aggregate participants in all the Program
blocks, Russia and former USSR countries (their
participation is minimal in comparison with
Russia) takes the first position (Kelm, 2007).
First, Russia is ahead of other third countries in
FP6 funding. Second, the Russian participants
are considerable in quantity, if compared with
non-European countries (Akulshina, 2007). The
below diagram represents statistics by Richard
Burger on non-European countries participation
in FP6 INCO Program in various thematic areas,
where Russia takes the leading position by the
quantity of projects with its participation.
The next diagram provides some statistics
on non-European participants of IST program
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400,
350,
300,
250,
200,
150,
100,
50,
0,
Associated
countries
Asian
Latin
American
IINCO
Mediterranean
Russia and
NIS
Western Balkans
Thematic area projects
Fig. 2. Quantity of projects with the Russian participation in European Framework Programs in 2002-2006.
Source: Richard Burger, Science Counsellor Delegation of the European Commission to Russia, Moscow,
23/06/2006
600
500
400
300
200
100
oth
ers
Au
str
al.
Ind
ia
Ca
na
da
Br
az
il
oa
tia
Gr
ia
Se
rb
US
A
Ru
ss
ia
Ch
ina
0
Fig. 3. Quantity of projects with participation of non-European research teams in IST Program, 2002-2006.
Source: Richard Burger, Science Counsellor Delegation of the European Commission to Russia, Moscow,
23/06/2006
within the Sixth Framework Program (FP6),
where Russia holds the second position by the
quantity of IST projects surpassed only by China,
whereas the USA, Canada, India and others fall
behind tangibly. The diagram author Richard
Burger notes that the Russian researchers were
more noticeable in infrastructural projects.
Therefore, the Russian research teams have
revealed their complete professional competence,
competitiveness and prognostic abilities in the
major and now more demanded FP thematic area
of IST, which made it possible to define and apply
the points for the greatest research efforts.
Some positive aspects of the Russian
researchers’ participation in European Framework
Program projects with a high percentage of
the participation can be now considered from
educational point of view, i.e. their competence
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development, training and preparation function
aimed at efficient integration into the global
research area.
1. It is the European expert’s opinion that
network projects appear as an efficient form of
multi-level training and advanced training for
the researchers involved. It is determined by the
objectives and the character of this type of activity.
These projects represent virtual infrastructures
of many R&D teams integrated into a research
network and sharing the participants’ resources.
The European Commission both renders support
to existing international infrastructures, and
provides funding to establish new research
infrastructures. The EC’s information of 2006
states that two the thirds of all FP6 projects funded
were network ones. The distinguishing features of
these projects are: rationalization of R&D activity
through the team consortium on the base of
common platforms, which eliminates parallelism
in R&D activities; sustainable development of
the infrastructure established is provided by
the end of the project, i.e. international research
cooperation is long-lasting; the projects of this
type work due to a flexible schedule and practice a
flexible approach to replacing researchers within
the consortium if necessary; they work during
48-60 months; consortia consist of 6 -12 teams
from various countries and get up to 25 million
Euros from the EC. The activity is concentrated
on a long-term integration of facilities and
RTD efforts in addition to existing state-ofthe-art in a specified research area. Realization
instrument for these projects is called «Networks
of Excellence» or experience exchange networks,
where integrated activity is the system-building
component. Integrated activity is aimed at a
wider and effective access and employment of
R&D infrastructures in European countries,
associated with EU countries and third
countries, when necessary. The basic feature of
the integrated activity is a possibility to unite a
diversified consortium of the parties interested
into a specific infrastructure class. In that case,
the actors should simplify the development
of joint activities and additional benefits and
provide a wider access to R&D. For example, the
actors and users must be prepared to advanced or
unforeseen RTD activities in their research field,
e.g. employment of up-to-date instrumentation
based on a higher level of coordinated approach.
In a wide sense, a closer interaction between large
numbers of researchers working within and close
to specific infrastructures will encourage multidisciplinary efficiency and a wider knowledge or
technology exchange in research areas, between
research communities and the industry. With
respect to researchers’ scientific and professional
development, integrating activity is of particular
value since it is capable of combining the following
models of infrastructure integrated initiatives:
1) networking activity;
2) transnational access and/or services;
3) joint research/technological development
activity.
These three categories are obligatory in
network projects because they are expected to
provide the activity synergy effect. In the course
of these project activities, the researchers obtain
a valuable experience through informal learning,
i.e. learning by doing and knowledge exchange
within the R&D infrastructure.
2. Another group of projects with a high
percentage of the Russian participation is
Coordination and Support of Actions in one of
ten thematic areas of Framework Programs. The
educational effect of the Russian researchers’
participation in these projects is expressed in
mastering the R&D methodology and acquiring
partners in project activity in order to promote
and support R&D activity at European and
international scale. This cooperation mode
focuses on coordinating R&D teams around one
thematic area. Coordination forms are diversified
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and depend on the consortium initiatives: specific
R&D events, such as international thematic
conferences or workshops, study and analyses
of research subject matters, operational support
and useful experience or results dissemination,
informing events, research staff exchange,
establishment of regional/national information
or contact points, thematic portals and other
information and methodical resources to render
assistance to researchers in various countries.
Far from being research ones, these projects
undoubtedly create favorable and supportive
environment for researchers and are aimed at a
wider involvement in the development of joint
international projects in the future. Apart from
the Russian researchers, many Europeans not
acquainted with the Framework Programs or
other European initiatives, benefit from these
project initiatives, because they are introduced
and involved into international research area and
are provided with information and methodical
support unavailable in their own organizations.
These projects are based on a long-term
strategic investment in the cooperation networks
established, work due to a fixed schedule and
a consortium of 1 to 26 teams from various
countries with duration of 1 to 30 months, and
get up to 2 million Euros from the EC (for the
establishment and management of the network
and events/initiatives implementation only).
3. Conventional research projects hold a
special place within the Framework Program
structure where a high activity rate of the Russian
researchers is observed. These are specific
targeted research projects, which suppose the
development of a new knowledge or technology
(Bellemin, 2005). It is known that these projects
are the most attractive for the Russian researchers
because of understandable and known format as
they think it to be, i.e. a conventional research
and development (R&D) format. The realization
instrument for these projects is a «joint project»
and it is supposed to resolve a specific problem in
a specified research or technological field. They
are aimed at obtaining a new deliverable through
employment of acquired or existing resources
(resource integration). This project category
is strongly practice-oriented and accentuated,
which is already revealed at the stage of project
proposal writing by each consortium member.
Practical and end-user-oriented character of the
future research is the most difficult part of the
proposal for the Russian researchers, because as
a rule they are not skilled or trained in the field
of market research or research idea feasibility
study. Traditionally, the Russian researcher is
oriented exclusively at the R&D area of interest
and believes that specific services should fulfill
these activities, e.g.: possible applications study,
search for prospective industrial partners and
users, coupling with related research fields
where the target R&D product could find another
application (for instance, that was the case with
laser applied to surgery, which was not supposed
initially). On the contrary, the European
researcher widely practices this approach,
because they he is research idea bearers and is
the crucial link in the chain «from science to
business». This problem is resolved through
plenty of European workshops for the researchers
starting their project activities, and this practice
requires conception in Russian researchers’
training being a part of adults’ educational area
(Gromkova, 2005). A joint project usually works
10 to 60 months, obtains up to 25 million Euros
and its consortium includes up to 15 research
teams from various countries.
Alongside with progressing dynamics
of the Russian participation in international
research projects, some negative effects upon the
scientific community should be also remarked.
As investigations by Russian science researchers
(Dezhina, 2001; Gohberg, 1997; Batigin, 2000;
Strihanov and Sheregy, 2006; and others) state,
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the research nature is strongly modified in R&D
institutions as a result of researchers’ growing
dependency upon the Russian and international
foundations. A small research team turns as the
basic research unity. Research tends to be more
short-term in duration. The researchers tend to
schedule their long-term activities to a lesser
extent. The Russian investigator I. Dezhina stated
in 1995 already that about 24% of the Russian
researchers involved in grant-funded research
have a negative attitude to the idea of grant-based
funding. One of the reasons explained there was
discredit to proposals selection instruments (14%
of respondents).
Many sociologists observe negative changes
in research teams involved in grant-funded
R&D programs (Gohberg and Shuvalova, 1997;
Batigin, 2000; Grudzinsky, 2005, and others).
The researchers also state that their colleagues
tend to be less sociable and do not share new
research ideas. Competitiveness aggravates,
which is seldom accepted as a strong initiating
factor fostering the R&D society development.
Another negative effect resulted from
the Russian research community integration
into active international cooperation era is
research community stratification, which is well
investigated by A. Grudzinsky, E. Balabanova,
O. Pekushkina, G. Batigin, and others. This
phenomenon is treated by them as the «processes
of inequality intensification in the research
sphere» when «participation in international
programs intensifies processes of social separation
inside the research community and some initially
existed inequalities, which were smoothed by the
government funding provided to research, are
now cumulated in character. On the one pole there
are young researchers from the capitals actively
participating in international cooperation, and on
the other pole we can see excluded researchers of
older age, which lagging elevates and chances to
raise to the «leaders» go down».
Conclusions
1. Internationalization of science and research
implementation format takes place as a fact and
represents an actual task not only for the Russian,
but also for the researchers globally who realize a
new globalization paradigm in this human activity.
A wide number of established international R&D
foundations (hundreds), the ERA concept, and
successful functioning of the European Framework
Programs with participation of third countries and
Russia in particular, are the proof.
2. The fact should be admitted that a
significant (though the level of the Russian
participation does not completely reflect our
scientific capability) quantity of research teams
are involved in the European Framework
Program international projects (600 projects
in 1994 to 2006). That testifies of a high and
growing potential for the Russian researchers
and a growing educational need in training and
preparation of appropriate researchers.
3. The researchers involved in international
projects during some years, benefit from a highly
valuable, varied informal education through
actual activity. Participation in European network
projects simplifies the development of joint
cooperation, eliminates investigation parallelism
and creates additional opportunities and access
to research. These projects perform a valuable
educational function of research, infrastructural
and professional competence development for the
Russian researchers through the activity phase.
4. Participation in international projects
is cooperation without «brain-drain», because
it provides academic, economic, social and
educational advantages for its participants. They
enable both commercialization of RTD products,
and integration into the global research area as an
equal partner, which tangibly diminish academic
emigration intents.
5. It is our position that both training
and involvement of a higher number of the
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Russian researchers and R&D teams in research
integration is the only reply to enforced research
community stratification of excellent researchers
who has no infrastructural skills required in an
international consortium as an integral part of
their competence.
References
A. Akulshina, «Russia and the European Union: Reinforcing Collaboration in R&D», RTD Info,
on European Research, special edition «Inside the Seventh Framework Programme», (2007), 30-31.
Yu. Avraamov, «Consortium as an Effective Innovative Form of Continued Education, Additional
Professional Education, 1 (2004), 7-11, in Russian.
J. Atkinson, «Science and Technology: Bridge between Cultures and Countries» [Electronic
Source]: E-journal USA (2006) // Access:
http://usinfo.state.gov/journals/itgic/1006/ijgr/atkinson.htm.
G. Batigin, «Invisible Border: Grant Support and Restructuring of the Research Community in
Russia, Expert’s Remarks», Science Investigation, 4 (2000), 67-79, in Russian.
L. Bellemin, «Europe as a Partner in World Science», RTD Info, special edition «INCO
(International Cooperation)», (2005), 4-6.
K. Berg, «Towards a Novel Education Concept», International Cooperation, 2 (1996), 9-10, in
Russian.
R. Burger, «Mobility and Research Partnerships» [Electronic Source]: Proceedings of the
International Workshop «Support for Research Career Development and Academic Mobility between
the RF and EU», (2004), Novosibirsk //Access: http://www-sbras.nsc.ru/ws/fp6/.
M. Gromkova, Andragogics: Theory and Practice of Adults’ Education (Moscow: UNITY-DANA
Press, 2005), in Russian.
A. Grudzinsky, «European Technology Transfer: Cooperation without Brain-drain», Sociology of
Science, 11 (2004), 123-131, in Russian.
Kelm, G. «Russian Participation in IST FP6» [Electronic Source]: European Commission
Report, 2007, Moscow // Access: http://www.authorstream.com/presentation/Pumbaa-19194-KelmRussian-Participation-IST-FP6-Outline-Coop-3rd-Countries-2003-2006-Russia-FP6FP6-Exampl-asEntertainment-ppt-powerpoint/.
A. Schavan, «FP7 Ushers in New Era for European Research Policy», European Commission
Report. CORDIS Focus Newsletter, 275
(2007), 11.
Van Der Sijde, P.C., R. Cuyvers, «Training Researchers to Commercialize Research Results»,
Industry and Higher Education, Vol. 17, 1 (2007), 29-37.
N. Sinitskaya, «Participation in International Projects as a Factor for Additional Professional
Education Development», Higher Education in Russia, 5 (2007), 50-56, in Russian.
Taylor, F.W. The Principles of Scientific Management: Classics of Organization Theory (Fort
Worth: Harcourt College Publishers, 2001)
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Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 267-279
~~~
УДК 65.0:336.581
Real Options in Management of Modern Corporation:
Perspectives of Usage and the Problem of Valuation
Gennadiy F. Kayachev* and Valeriya S. Peksheva
Siberian Federal University,
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
In the given article the approaches to the core of strategic management of company are showed, the
role and meaning of various indexes for estimation of corporate strategies effectiveness are analyzed.
On the basis of characteristic of modern conceptions about management effectiveness of corporation
the interconnection of corporations’ strategies with method of real option valuation is revealed, the
objective necessity to use this method is disclosed with the aim of increasing the company’s valuation
and effectiveness of individual project. The nature of adequate estimation of option value is shown.
Though the scientific activity in the given area is very active, there is no method of valuation, which can
give precisely the quantitative formula of management decisions, built on the base of real options. For
valuation of real options the three main methods are in usage, they are: the Binominal Option Pricing
Model, the Black-Scholes Model and the Monte Carlo Method. In the given article the following is
presented: the core of the approaches, their benefits and drawbacks and the picture of calculation of
Real Option price. In the Conclusion part the resume and recommendations are submitted those of
choosing this or that method of valuation.
Keywords: strategic management, corporate strategies, competitive strategies, management
effectiveness of corporation, Company’s capitalization, Real Option, the Binominal Option Pricing
Model, binominal lattices, Portfolio Replication Method, Black-Scholes Model, Monte Carlo
Method.
Introduction
In the conditions of increased economic
instability, high volatility of fi nancial markets
and meaning review of traditional methods and
management technologies the actuality of search
and usage of new tools for effective management
of Modern Corporation increases. It refers to
the choice of tools both for realizing corporate
strategies as a whole and for individual projects,
which realize the strategic aims of corporation.
The strategy of corporation can be presented
*
1
as a combination of its strategic projects
(business-projects, investment and etc.), or the
projects, the realization of which provides the
aims’ realization of different owners’ groups
in prospective in the conditions of instability.
Accordingly, valuation of a certain project
success is roughly determined by that fact how
effective the strategic aims are being realized.
In its turn the Company’s strategy effectiveness
depends on the moment, how in planning
effects of every projects the owners’ aims have
Corresponding author E-mail address: kayachev@mail.ru
© Siberian Federal University. All rights reserved
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been taken into account and realized, and on
the possibilities of corporation management to
react flexibly and operationaly upon the new
challenge in the area of technologies, markets,
methods of management, human resources as
well. It is evident, that reserves of corporative
effectiveness are directly connected with
the possibilities of tools usage that decrease
the level of instability and increase dynamic
capability of the Company.
The evolution of Modern Corporation has
defined the nature of changes in approaches to
the core and type of strategic management of the
firm (Katkalo V.S. made a fully enough analysis
of stages in the theory development of strategic
management in fundamental monograph
«Evolution of Strategic Management Theory»
(Katkalo, 2008). The ideology of resource approach
succeeded in the school of positioning, strategy
of competitive advantages in markets, which had
been dominating for a long time, as priority the
strategy of leadership, anticipatory management,
innovative management, network conception
of strategic management are being developed.
Competitive strategies do not disappear, as
competition, as an essential feature of market
system, cannot disappear. But the matter and tool
of strategies are changing. Determinant things
in firm’s strategy become its internal potential,
unique possibilities as of dynamic organization,
effective management, which is capable to take
into account the complex interests’ structure
of corporation subjects (also stockholders) and
react on the changing situation. It is evident,
that new approaches to the core of strategic
management have changed the conception about
effectiveness valuation of realizing strategies.
The combination of taking into account effects
is becoming more varied. Calculation in strategic
or project management of effects in the form
of minimization of costs, dynamic of financial
indexes is expanded by calculation of new effects
in the form of possibilities to manage the risks,
innovative potential, and other intangible assets,
which have a great influence on Company’s
valuation.
One of the methods, capable to raise
considerably the effectiveness of strategic project
and the Company’s valuation, to create additional
effects for its development, is the inclusion of
real options’ tools in the system of corporation
management.
About the valuation
of management effectiveness of corporation
Role and limited nature
of effectiveness valuation
on the base of financial indexes
The appearance of the method of real options,
built into the Company’s strategy or its individual
project and which creates additional possibilities
in the process of making management decisions,
is the reaction on the limited nature of other
management tools and insufficient valuation role
of financial indexes. The main cause of financial
indexes’ limited nature in modern researches is
being connected with their static nature (Katkalo,
2008). In the settled for the given date indicators,
for example, made firm’s potential, capable
to create preference in future, is not taken into
account.
Together with that, in combination of
financial indexes other factors are not reflected
as well: specific character of the stage in the
Company’s life cycle, the type of dominating
owner, various interests of different owners’
groups.
The effectiveness of corporate strategies
is firstly determined by the character and the
direction of dominating owner’s actions. An
effective and dominating owner is certainly
different things. Historically, two forms of an
action display of owner, who has a control or
blocking stockholding can be pointed out, which
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as a whole reflect various stages in Company’s life
cycle. The first one is an owner, who is oriented
on the growth of Company’s sizes, dynamic of
absolute financial indexes: sales targets, value of
control assets. This approach is mainly peculiar
to extensive stage of business development. The
effectiveness valuation with the help of similar
indexes can actually distort the valuation of real
financial Company’s condition and effectiveness
of its strategies.
The other form of owner’s actions according
to market transformation of economy directs
towards the changes of relative indexes, that is
dynamic of profits to the personal capital, a capital
turnover, break-even of capital investments, etc.
In other words, orientation on the rational usage
of Company’s resources is typical for the given
form.
The both forms of controlling owners’
actions present in Russian Economy (certainly,
in clear form they can be pointed out in the
context of theoretical analysis, it is spoken about
tendencies). If, in the first case, the owner is
interested in the growth of gross indexes, sooner
or later the corporation will face the problem of
competitiveness. Such approach an of owner to
the results of the Company’s activity is often
accompanied by preservation the functions of both
strategic and operational management by him. In
the second way of corporation development in the
direction of effectiveness growth, the detachment
of propriety from the functions of management
is typical. The owner aims at the effectiveness,
delegating the functions of active control to
management, remaining the functions and
power of the strategic development of business.
Thus, Company’s effectiveness is based on the
professionalism of an owner and professionalism
of management.
According to the processes development
of propriety division from management and
complicating the structure of joint-stock
propriety into another level the problem of
corporation effectiveness is transferred. On the
one hand it can be presented as a problem of
stockholders and managers’ self-identification
as subjects of economy, as a determination and
effectiveness of using the function in corporation
management by him in the interests of the latest
one. On the other hand, the problem of corporation
effectiveness becomes more complicated by
the presence of various stockholders’ groups
with their specific interests. The corporation
effectiveness for various stockholders’ groups
can be presented as a rule of fi nancial indexes,
which are not connected between each other.
Thus, the more adequate way of valuation is
the method of Company’s capitalization, partly
taking away the contradictions in aims of
various owners’ groups. However, the growth of
Company’s valuation as an effectiveness index
of realizing strategies is mainly determined by
the mechanisms of stock market. In the condition
of high market volatility and fi nancial shock the
value index of capitalization for owners roughly
decreases.
Including of nonmarket criteria
in valuation of effectiveness
The results of corporation, being oriented
on the interests and needs of all the subject
of corporation, cannot be fully described in
terms of market effectiveness. The structure of
interests, based on corporate groups is not only
varied, but it is not reduced to the system of
market indicators. The interest of majority and
minority of stockholders can be presented not
as an absolute meaning of market parameter,
but with the help of hierarchic structure of
preference according to the level of importance.
The market criteria are not identical to the criteria
of economic effectiveness. The criteria of market
effectiveness integrate only those preferences and
interests, which can become apparent in market.
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The economic criteria include also interests of
separate corporate groups, which do not interfere
in the system of market indexes. So, if aspiration
of management for the expansion of control
function can be presented in market indexes of
economic company’s growth, expansion of market
share, in this case its interest in growth of activity
professionalism implies introducing the indexes
of quality of corporate management, corporate
culture, etc. Consequently, it is necessary to
use another measure system of management
effectiveness of corporation. Market indexes
incorporate only a part of interests of different
stockholders and managers’ groups.
One more reason for criteria’s nonidentity
of market and economic effectiveness is the
presence of contradictions between interests of
various corporate groups. For example, making
effective market decisions by the control owner
(via the Board of Directors or the meeting of
stockholders by means of «forcing through» this
decision) may bring response actions from the
side of other stockholders, which are exposed to
the legitimacy attack of made decisions. That is
why, bearing in mind the complicated structure
of interests, to the problem of corporation
effectiveness it is impossible to come up from
the side of only market criteria. It is necessary to
take into account the possible level of costs from
opportunistic movement or individual groups of
stockholders or managers.
Estimation based on the method
of real options
In condition of contradictoriness of
financial indexes for valuation of corporate
strategies’ effectiveness conception of real
options is proposed in modern Russian literature
(Bukhvalov, 2004). Formation and presence of
real options contribute to increase of Company’s
valuation for its owners, and the usage of method
of real options allows putting into the valuation of
strategy effectiveness of Company calculation of
such effects, which considerably influence on the
company’s valuation (the value of human capital,
flexibility in management, new technologies in
management of projects and production, etc).
Especially, this method of real options is important
in the condition of increasing economic instability
and decreasing the role of financial markets in the
estimation of company valuation.
Real option valuation
The Core of the real options
Distinguishing the method of real options
as a tool of corporate strategy, we define a real
option as a management right (or a combination
of rights) to realize effects, which belongs to the
corporation in the form of various, together with
economic (level of costs, label productivity),
additional effects. In particular, real option is
the manager right to display his management
flexibility, which will influence on the course
of strategic project realization and reflect on the
valuation of its effectiveness. Thus, the method
of real options is the effective way of project
protection from various risks, and also it is the
regulator of corporate strategies in different areas
in accordance with emergent conditions, which
have not been determined clear before.
In fact, real options in context of Company’s
management or its individual project are the
presence of exclusive additional possibilities
in the process of project realization, which
has strategic status. These possibilities are
connected with management flexibility, presence
of alternatives to make changes in the course of
strategy or project realization. In other words, the
Company’s possibility to influence on the course
of strategy realization becomes an additional
asset for it. Together with that the question of
formalization of these possibilities, calculation of
their valuation in the form of real option valuation
remains difficult and controversial.
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Approaches to the estimation
of real option valuation
Despite the enticing features of such a
method, its hand-on application presents a certain
difficulty. It is connected with the discussion on
objectivity of calculation records. По мнению
отдельных авторов, There is a suspicion that of
prospective exceeding of real option valuation,
especially it could possibly occur with developing
markets where information supply for decision
taking is lower than on the developed markets
and the experience of forecasting is less. The
method of real options is deployed when taking
strategically significant decisions, so even minor
faults could bring financial losses.
To use this method as a tool for valuation
of corporate strategy effectiveness, which is a
portfolio of real options, and for realization of
strategic management aims and management of
individual project as well it is very important to
chose a suitable method of real option valuation.
Real options are valuated via Option Pricing
Models. However, the valuation process is
extremely cumbersome. Any of the approaches of
financial option valuation could merely provide
precise estimation. To settle the dispute on what
method of real option valuation to choose it is
helpful to be aware of the core of every method
calculation type, its benefits and drawbacks which
the method incurs for the records. The present
article discusses the three methods in real option
valuation, they are: the Black-Scholes Model, the
Binominal Option Pricing Model and the Monte
Carlo Method.
Let us take a detailed look at each model
separately.
model implies the existence of only two variants
of the project development in the following time
interim for every meaning of the value which it
could have taken in the prior time step.
In 1979 Cox, Ross and Rubinstein devised
the standard Binominal Option Pricing Model.
At these times Rendleman and Barter applied
the model for valuation. For the purpose of real
option valuation the Binominal Model started
to be used only in 1990 and just from the very
outset it entered into vast application scope.
Primordially, in the given approach brackets
the estimation was conducted through drawing
«the binominal lattices», later they suggested the
Portfolio Replication Method. Let us examine
each of them.
The Core of the Method
When drawing the «binominal lattices» for
every variant of the project development it is
determined the likely change rate of the value
of the underlying asset. Then «the lattice» itself
is to be drawn and the movement along which is
launched on the basis of valuation of real options.
The lattice drawn could be binary and multilink
as well.
Symbolically, the algorithm of drawing the
binary tree could be displayed in the following
fashion.
Firstly for the project PV of the money
inflow of the project is calculated. Then on the
assumption of standard volatility and time-steps
in the lattice the prospective volatility rate in
business value is calculated taking into account
optimistic and pessimistic scripts accordingly.
u
Possibilities
of Binominal Option Pricing Model
d
The Binominal Option Pricing Model is
considered to be effort-consuming but with its help
one could derive really precise records. This very
eV
1
u
T
where u – is volatility rate in business value under
an optimistic script;
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d – is volatility rate in business value under a
pessimistic script;
T – is time to option expiration
Then «the binominal lattice» is to be drawn,
where S – is current value of the underlying
asset and Su and Sd are – value of the underlying
asset under optimistic and pessimistic scripts
accordingly.
Su
S
Sd
1 r T
Pu
Pd
f
d
u d 1 Pu
where rf – is risk-free rate;
u – is volatility rate in business value under an
optimistic script;
d – is volatility rate in business value under a
pessimistic script;
e – is time to option expiration.
The option value, which is calculated through
the method of «a binominal lattice» is determined
in the following way:
Fig. 1. Option Underlying Asset Lattice.
When in a project a separate risk factor gives
a more number of variants of events development,
if there are a few sources of uncertainty or a great
number of dates of decision taking multinominal
lattice is being drawn. Under such conditions
the sources of uncertainty are considered not
simultaneously but sequentially.
One should point out that to apply a discount
rate, which is adjusted through investment risk
provision (as a rule WACC), is wrong for the
project on the whole, because while using real
options, the project risk is on change. That
is why while moving along «the lattice» the
discount rate is to be adjusted (Arnold and
Crack, 2004).
To avoid the necessity of constant
reconsideration of a discount rate it is needed
to substitute risk-neutral probabilities for all
probabilities of events outcome. Application in
calculation of the concept of the neutral attitude
of the investors towards risk causes one more
assumption, namely, the necessary norm of returns
for investors equals risk-free rate according to
which all cash flows are then discounted.
The formulas of transition from objective to
risk-neutral probabilities Pu and Pd look like this:
Max(0;Su-I)=ɋu
ɋ=?
Max(0;Sd-I)=Cd
Fig. 2. Option Valuation Lattice
C
ɋu * Pu C d * Pd
(1 r f )T
where Сu – is the option value under an optimistic
script;
Сd – is the option value under a pessimistic
script.
In the given model brackets it is possible
to enjoy the Portfolio Replication Method. This
method implies that on the prospering fi nancial
markets there is a total equivalent for the real
option, so called «twin-security» which with
its rate of utility has equal appeal and value
for an investor as well as it has the same risks
features as the project possesses, as far as it
has totally correlated expected cash flows
under the project. Thereby, we make option
payoff equal to the value of some investment
portfolio. This portfolio implies the purchase
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of a certain quantity of twin-securities which
have the value of the underlying asset of the
company at the current period of time for the
money borrowed:
Then we substitute the gained results for the
reference formula and calculate the option value
(Damodaran, 1999).
Advantages and disadvantages
ɋ
mS B
where C – is option CALL payoff (the 100% value
of the company shares);
S – is the value of the underlying asset at the
current period of time;
m – is the share of the underlying asset in a
replication Portfolio;
B – the sum of the debt in a replication Portfolio.
Under execution of an optimistic script
the price for the twin-security will rise and the
Portfolio payoff will equal:
uV0 B 1 R f
Under execution of a pessimistic script the
price for the twin-security will decrease and the
Portfolio payoff will equal:
dV0 B 1 R f
The sum of the debt is adjusted by (1+R f ),
as far as the money borrowed is charged.
Here it is necessary to settle the system of
equation:
°­umV0 B 1 R f
®
°̄dmV0 B 1 R f
Cu
Cd
Under this system of equation one could
make a conclusion that parameters for m and B
are derived from the following correlation:
m
B
Cu C d
S u d dmS
1 R f
Making the calculation more complicated
could be provided through the American origin
of the option but not via the European one,
because the American option could be executed
at any time before the expiration period. In this
case the analysis of every lattice of the binominal
lattices is conducted on the basis of the latter, that
is the former execution of the option cancels the
execution of the latter (Brandao et al., 2005).
In case when under the realization of the
project the interest and dividends are charged to
the capital assets, they should be deducted from
the value of the capital asset.
The Binominal Option Pricing Model is
one of the most applicable model for the purpose
of providing the estimation of the real option
valuation. Its absolute advantage is the simplicity
of calculation and a simpler interpretation of the
value reached. It also allows to provide a clear
picture of a decision taking process through the
movement along «the binominal lattice» from
one to another lattice from the starting point of
the option launch to the time of expiration on the
option. It provides the opportunity to understand
tentatively the way to act at a certain time-step.
As far as the Binominal Option Pricing Model
is based on the risk-neutral approach, as well as
the Black-Scholes model which will be looked at
further, it doesn’t necessitate to adjust the rate
of earnings yield, but in contrast to the BlackScholes model, it could be applicable to the more
complicated real options.
Pertaining to the disadvantages of the
Binominal Option Pricing Model, the name of the
model itself reflects its main pitfall. In the realworld situation the number of likely project scripts
could be much more than two as well as the project
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could be influenced by more than one risk factor at
a time. On the other hand, frequently the two wellprepared scripts, executed in line with the decision
taken, could substitute the large number of the
events development variants which don’t differ
from one another greatly. (Limitovskiy, 2004)
their compatibles for applicacation in the theory
of real options (Tab. 1). (M. Limitovskiy, 2004)
In line with the Put-Call Parity Theorem,
the value of the option could be displayed in the
following way:
P
C S o Xe rt
Possibilities of the Black-Scholes model
The Black-Scholes model, suggested by
Fischer Black and Myron Scholes Robert in 1973
and which then was improved by C. Merton, was
awarded the Nobel Prize.
The core of the method
The core of the model is that the number of
time-steps is aiming at an infinite quantity, at this
time the time scale between the steps is greatly
small.
The formula to determine the current price
of the European CALL option, derived from the
risk-neutral approach with the provision that the
profit for the underlying asset is not charged, is
the following:
C0
S N(d1 ) - X e -rt N (d 2 ),
V S
d1 [ln ( ) (r 7@>V 7 @
X
2
d dV 7
where С0 – is a current price of the CALL
option;
S – is current value of the underlying asset;
Х – is a strike price;
r – is a risk-free interest rate corresponding to the
life of the option;
T – is a life to expiration of the CALL option;
σ – is annual mean-square volatility of the
underlying asset;
N(d) – is a standard normal cumulative distribution
function.
As far as the parameters value is indicated
for the financial options, it is necessary to give
The Black-Scholes Model is the development
of the Binominal Option Pricing Model, that is
why the determinants of value in these models
are the same – the current value of the stock
price, the variability in stock prices, the time to
expiration on the option, the strike price, and the
risk-free interest rate. The principle of replicating
portfolios that is used in binomial valuation
also underlies the Black-Scholes model. In fact,
embedded in the Black-Scholes model is the
replicating portfolio. (Damodaran, 1999).
C0
S0 N (d1 )
Buying N(d1) shares
Xe rt N (d 2 )
Borrowing the
necessary quantity
The N(d1) and N (d 2) probabilities yield the
likelihood that an option will generate positive
cash flows for its owner at exercise, i.e., when
S0>X in the case of a CALL option and when
X>S0 in the case of a PUT option. The portfolio
that replicates the CALL option is created by
buying N(d1) units of the underlying asset, and
borrowing X e-rt N (d 2). The portfolio will have
the same cash flows as the CALL option and thus
the same value as the option (Damodaran, 2002).
Advantages and disadvantages
The strongest point of the Black-Scholes
Model is not only its feature to provide real
option valuation but it also reveals the factors
which make an impact on the project efficiency.
The influence of factors is displayed in the table
below (M. Limitovskiy, 2004) (Tab. 2).
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Table 1
Parameter of the Black-Scholes model
S0 – current value of the underlying asset
Compatible for the theory of real options
Current value from expected investment cash flow
Х – strike price
Current value of needed investment into real assets
σ – annual mean-square volatility of the
underlying asset
Mean-square deviation of the company share; mean-square
deviation n the industry
T – life to expiration of the CALL option
Time during which one could enjoy the investment opportunity
rf – annual rate of risk-free profitability
Risk-free profitability rate; quasi-risk-free profitability rate,
which displays risk-free rate with the country risk
Table 2
Model parameters influence on the project
S0
Х
δ
T
rf
The more the value of the underlying asset (in the case of a real option it is business value), the more
the CALL option payoff and the less that is of a PUT one. In the case of real options it means that the
value of a likely dissolution, when the price of the business itself is rising, is decreasing and on the
contrary the value of further development prospects is increasing.
As the strike price is escalating, the CALL option premium is decreasing, and the PUT option
premium is rising. In case with real option it means that the more capital investment business
development requires, the less is the value of the opportunity of such development. And the more price
the business buyers are ready to pay for its assets when dissolution, the more valuable is business or a
project.
As the standard volatility is increasing (measure of risk), options payoff is also in rise, both of CALL
and PUT options.
The more the life to option expiration is, the more opportunities there are, those of profitability of
the option execution in future (even if its execution could be give no gain). Therefore as the life to
expiration is rising, any option value is more expensive under other equal conditions.
In economy the more the risk-free rate is, the more the CALL option price is, and the less is that of the
PUT option.
The disadvantage of the model could be
considered as the ability of application only to
the European options. But it could be partially
balanced with the acceptance of the conservative
option valuation, that is the price of the European
option is the lowest limit for the price of the
American option with equal issue conditions (M.
Limitovskiy, 2004).
Apart from this the Black-Scholes
Model could be applied in a limited way due
to preconditions in its basis. Therefore, for
understanding and then application of the BlackScholes Model it is of a primary concern to get
insights into its reference assumptions. The major
prerequisite is the assumption that of market
efficiency, which is provided with the sporadic
price volatility, because the time difference
between information circulation and its impact
on the price is minimal. With the provision of
neglecting this assumption, as is a regular case
with a number of real options, the Model is sure
to underestimate the option valuation, the price of
execution of which is much bigger (for the CALL
option) or smaller (for the PUT option) than the
current market price of the asset which is on the
basis of the option.
Moreover, the Black-Scholes Model
implies that the standard volatility is known
and unchangeable along the option life. This
assumption carries sense for the short-term
options with converting shares. However the
theory of option pricing is applied to the long-term
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real options which makes invariance and stability
of standard deviation prejudiced. No doubt, there
are modified versions of option pricing models
which allows some change in standard volatility,
but they demand that the process in which
changing standard volatility could be observed,
is to be carefully planned.
As the Black-Scholes Model is based on
the theory of Portfolio Replication, which in
its turn has the basis of buying the underlying
asset against risk-free borrowing, it is necessary
for the underlying assets, which is on the
basis of the option, to be quick and ready to
be traded on the stock exchange. Whereas this
assumption is fully lawful when talking about
stock exchange options with converting shares,
the given assumption doesn’t work for the nontrading underlying assets for the arbitrage is not
applicable in the case. In some fields, such as gold
mining or petroleum production, the underlying
asset is negotiable on the stock market, giving
the chance to establish Replicative Portfolio.
However, the Black-Scholes Model requires
not the chance but the necessity of Replicative
Portfolio establishment. There is no information
if any company has such Replicative Portfolio at
its disposal.
One more limitation for the Black-Scholes
Model application is the assumption of the instant
option execution, because for the execution of
real options complicated manipulations could be
required, for instance, such as buildings or oil
derricks rising (Damodaran, 1999).
Possibilities of the Monte Carlo
simulation Method
The core of the method
Also the option valuation could be provided
through the application of the Monte Carlo
simulation Method.
Simulation models may be used to give
numerous possible path of evolution for underlying
state variables from the present to the final date
in the option. In the commonly used Monte Carlo
simulation method, the optimal strategy on each
path is determined and the payoff is calculated.
(Amram and Kulatilaka, 1999)
For this purpose, firstly, the prospective
asset value, which is created using Geometric
Brownian Motion, is simulated. That is, starting
with an initial seed value of the underlying asset,
multiple future pathways are simulated out using
random number generation.
GS t
S t 1 r f G t VH G t
That means that the change of the asset
value δSt at the t time illustrates the asset value
at the previous period St-1which is multiplied
by the formula which determines Brownian
Motion
r G VH G f
t
t
where rƒ – is a risk-free rate,
δt – time step,
σ – standard volatility,
ε – the simulated value from a standard-normal
distribution with mean of zero and a variance of
one.
The first step in imitating simulation
through the Monte Carlo Method is the decision
on a number of steps to simulate and a number of
simulation trials performed in each one
In theory, when the number of time-steps
in a binomial lattice is large enough, the results
approach the closed-form Black-Scholes results.
Similarly, if the number of simulation trials is
adequately increased, coupled with an increase in
the simulation steps, the results stemming from
Monte Carlo simulation also approach the BlackScholes value.
The change in value from this initial value to
the first period is seen as
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GS1
S 0 r f G t VH G t
Hence, the value of the asset at the first timestep is equivalent to
S1
S 0 S 0 r f G t VH G t
S 0 GS1
The procedure is then repeated for each
time step. Notice that because ε changes on each
simulation trial, each simulation trial will produce
an entirely different asset evaluation pathway.
On completion of every approach the
maximum value from random generated numbers
is chosen. That is, the price of the European
CALL option for the t time-steps and the number
of performed trials i is equal.
>
Max S t ,i X ,0
ɋt ,i
@
After some thousands of simulations we
could compute the average value of all simulated
prices of options which is discounted up to the
initial time-step under a risk-free discount rate
(Mun, 2006).
NPV
Average * e
rf T
Monte Carlo simulation also provides the
maximum and minimum option values obtained
during the simulation, which represents the best
and the worst scenario for the option (Korn K.
and Korn E., 2001). So, for the 95 % confidence
step the formula is seen as:
>C
t ,i
r 1,96V
@
Advantages and disadvantages
The Monte Carlo Method has a number of
strong points opposing the previous models. The
major advantage of the model under consideration
in comparison with both the Binominal Option
Pricing and the Black-Scholes Models is the
feature to be able to take into account a certain
number of uncertainty sources. None of the project
could possess the only uncertainty resource. The
Monte Carlo Method is able to factor into all their
simultaneous impact. There is one more weighty
difference comparing the above-considered
methods is the opportunity of American option
valuation.
The disadvantages of the method could be
considered as the requirement to have powerful
computing tools, and the inflexibility in topmanagement acceptance of the method. To
justify the disadvantages there could be given
the following arguments: modern computing
programs could easily solve the problem, the topmanagement deals not with the method, with the
help of which the research was conducted, but
with the records of an analytical report.
However, it is worth paying attention to the
fact that the optimization method is targeted at
maximization of the parameter set through the
selection of arbitrary combinations, that is the
method based on the random number generation
principle and it could seek the numbers irregularly,
which doesn’t maximize the parameter set at full
capacity. Therefore, the most significant factor
influencing the record, as it has been before
mentioned, is the number of time-steps and the
number of researches conducted at each time-step.
Conclusion
In the article the directions of changes
in approaches to the determination of core of
strategic management have been considered, the
characteristic of various indexes of effectiveness
valuation of realizable corporate strategies has
been given. As evolutionary and complicating
feature of market system raises the demands to
the valuation of strategy effectiveness, valuation
methods and tools are changing. In the modern
literature as a method, which takes into account
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the influence of various effects on the value of
company for strategic behavior valuation in
condition of unstable market system it is supposed
to use methods of real options. The possibility to
apply this method into practice directly depends
on the choice of a certain method of value real
option valuation.
In the article the major methods of real option
valuation have been considered. The advantages
and pitfalls are examined. Also through the
pictures the calculation of every method is under
inspection. The values, which have been derived,
are nearly equal. It differs much from a realworld situation, it hinges on the initial data and
the features of a method to take into account all
of the project peculiarities.
Opting a certain method is dependable on
a number of factors, they are: characteristics
of a project, its input parameters and terms
and conditions of the implementation, and
the experience of an analyst as well. Despite
all the assumptions, in a real-world situation
the Binominal Option Pricing Model is of a
wide application thanks to its simplicity and
visualization, also the Monte Carlo Method
is greatly applied in practice due to its
feature to grant the opportunity to consider
all the sources of uncertainty, to determine
the valuation of the American Option, and
to get the minimum and maximum option
valuation. The Black-Scholes Model is the
most inconsistent method of real option
valuation, for it was created for the effective
market and then it is adjusted for the market
of venture investment and volatile economic
conditions.
Ignoring all the disadvantages, the aforeconsidered valuation methods are justified
to be applied into practice. Once having the
quantitative characteristic of a managerial
decision expression at the disposal, it is useful to
bear in mind that this record is of a rough value.
It is not true to the full extent. Frequently one
deals with the overestimated records expected.
However, such value real option valuation
provides the chance to establish the company
strategy, to set a certain frame of mind, so called
«an option way of thinking».
References
M. Amram and N. Kulatilaka, «Real Options: Managing Strategic Investment in an Uncertain
World» (Cambridge: Harvard Business School Press, 1999)
T. Arnold and T. Crack, «Using the WACC to Value Real Options» Working Paper available on
the Social Science Research Network (2004)
F. Black and M. Scholes, «The Pricing of Options and Corporate Liabilities», Journal of Political
Economy, 81 (1973), 637-659
L. Brandao, J. Dyer and W. Hahn, «Using Binomial Decision Trees to Solve Real-Option Valuation
Problems», Journal of Decision Analysis, 2 (2005), 69-88
A. Bukhvalov, «Real options in management: classification and applications», Russian Journal of
Management, 2 (2004), 27-35
A. Damodaran, «The Promise and Peril of Real Options», Working Paper (New York: Stern
School of Business, 1999)
A. Damodaran, «Investment Valuation: Tools and Techniques for Determining the Value of Any
Asset» (New Jersey: Jonh Wiley&Sons, 2002)
M. Limitovskiy, «Investment project and real options on upcoming markets» (Moscow: Business,
2004), in Russian
# 278 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Gennadiy F. Kayachev and Valeriya S. Peksheva. Real Options in management of Modern Corporation…
V. Katkalo, «Evolution of Strategic Management Theory» (СПб.: Высшая школа менеджмента,
2008), in Russian
E. Korn and K. Korn «Option Pricing and Portfolio Optimization: Modern Methods of Financial
Mathematics» (Washington: AMS Bookstore, 2001)
J. Mun, «Real Options Analysis: tools and techniques for valuing strategic investments and
decisions» (New Jersey: Jonh Wiley&Sons, 2006)
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 2 (2009 2) 280-291
~~~
УДК 502.3 (571.5)(091): 061
Establishment and Development of Departments
of All-Russian Society of Nature Conservation
in Eastern Siberia (1946-1991)
Sergey T. Gaydin*
The Krasnoyarsk State Agrarian University,
90, Mira, Krasnoyarsk, 660049 Russia 1
Received 23.03.2009, received in revised form 30.03.2009, accepted 6.04.2009
The given article considers the problems of establishment of departments of All-Russian Society of Nature
Conservation in Eastern Siberia. The author explains the role of the Communist party, of the Young
Communist League and of trade union organizations in establishment of Conservancy Society’s primary
organizations and in increase of industrial workers’ membership. The researcher also describes the
problems of Conservancy Society’s departments and primary organizations formation and management
and determines their place in the control system of the Communist party’s state environmental policy.
Keywords: All-Russian Society of Nature Conservation, Eastern Siberia, protection, Conservation
Society’s primary organizations, individual and common membership, section, social-technical
committees.
Introduction
Salvation of ecological problems, upon which
survival of the mankind depends, is impossible
without wide public involvement. For this very
purpose in the course of XX century there were
formed public organizations of environmental
orientation in different countries. Already in
1924 there was organized All-Russian Society of
Nature Protection Contribution and Population
Centers Beautification in the RSFSR, and in
1961 it was renamed in to All-Russian Society of
Nature Conservation (ASNC).
Some aspects of ASNC’s activity in 50-90-s
were analyzed by N.V. Gonina and N.V. Savchuk
in their historical surveys on the example of
the Angara-Yeniseisk region: (Gonina, 2002;
Savchuk, 2006, 2007, 2007а). Though, they did
*
1
not consider the methods of Society’s membership
increase and the work of its departments on all
the territory of Eastern Siberia, beginning from
the first post-war years. The main goal of the
given article is to research the activity, which
concerns organization of departments of AllRussian Society of Nature Conservation on
the territory of Eastern Siberia in 1946-1991,
according to the growth of its rows and formation
of its management structures, being responsible
for ecological problems salvation in the sphere
of industrial production. This work has been
written in accordance with the approaches and
traditions of ecological history, which originated
in 70-s, XX century in developed countries, and
which survey results were started to be published
in Russia in the series «Modern Tendencies in
Corresponding author E-mail address: story@kgau.ru
© Siberian Federal University. All rights reserved
# 280 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
the Historical Science»: (The Man and Nature:
Ecological History, 2008).
In September, 1946, the activity of AllRussian Society of Nature Conservation was
activated, after the Council of Ministers of
the RSFSR had signed Resolution «On Nature
Conservation on the Territory of the RSFSR»
and proclaimed «Stalin’s Plan of Nature
Reorganization». In this connection they started
creation of Society’s regional departments in the
European part of the country and in the course
of two years, beginning in autumn, 1949, the
number of its members was increased from 90
to 136 thousand people: (Barishpol and others,
1984: 59). But, in 40-50-s this process was not
widely distributed in Eastern Siberia. Though,
one of the first municipal departments of the
Krasnoyarsk region was organized in Bogotol in
autumn 19461.
But, our acquaintance with the periodicals
of Eastern Siberia gives us a possibility to affirm,
that already in the post-war period they carried
out certain work in the region in order to form
younger generations’ love of nature, which was
sooner connected with the up-brining of patriotic
feelings in spite of the fact that there were no local
departments of ASNC. For this purpose, they
practiced many-days’ journeys on foot for school
classes and groups of schoolchildren of different
age, what gave teenagers the opportunity to learn
much about nature and to reveal themselves upon
extreme natural conditions. Mass media were also
engaged in formation of the population’s solicitous
attitude to nature, and, at the same time, were
fulfilling the order of the Communist Party for
up-brining a person – nature transformer. Thus,
in February 1948, the novel «Swans’ Friendship»
by writer N. Ustinovich, having been published
in the «Krasnoyarsk Worker» newspaper, was
subjected to criticism from the part of ideological
officials. The novel was qualified as «backslide of
mistaken judgments», which were condemned by
the Party in the CC CPSU Resolution (the Central
Committee of the Communist Party of the Soviet
Union), being published in «the Zvezda» and
«the Leningrad» journals. There, they accused
the author of that that he led his readers away in
the world of birds and considered the nature to be
more perfect, than the humane society2. But, if we
abstract away from the ideological settings of that
period, then today we may attach N. Ustinovich
to the ecologically mature-minded publicists.
After the war, Eastern Siberia began to
receive scientific literature, which influenced the
formation of population’s ecological knowledge.
They began to sell subscriptions for the works of
coryphaeus of Russian agricultural science such
as I.V. Michurin, K.A. Timirjazev, V.V. Viljams,
and V.V. Dokuchaev3. The nature of Eastern
Siberia was reflected in the oeuvre of painters,
and most of them became famous as masters of
landscape painting. Love to the Siberia nature was
formed by means of cinema and work of Regional
Museums of Local Lore, History and Economy.
They regularly demonstrated documental films
from «Cinema-Atlas of the USSR» in cinemas
and country clubs. In 1948, by the order of the
Ministry of Cinematography of the USSR,
documentary films about Kara Sea and Taimyr
Peninsula were shot in Eastern Siberia4. At the
same period, educational films «At Lake Baikal»
and «Gold Mining in Siberia» were shot in the
region by the order of the Ministry of Education
of the RSFSR5. Eastern Siberia departments of
2
3
4
1
A. Antonov. Nature Conservation Society in Bogotol
/ А. Antonov // The Krasnoyarsk Worker. – 1946. – 28
November.
5
# 281 #
Discussion of the novel «Swans’ Friendship» // the Krasnoyarsk Worker. – 1946. – 2 March.
R. Makarova, Books of Russian Biologists to kolkhoz
workers / R. Makarova // the Krasnoyarsk Worker. –
1949. – 14 January.
Cinema–Atlas // the Krasnoyarsk Worker. – 1948. – 17
November.
New educational films // the Krasnoyarsk Worker. –
1949. – 26 August.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
All-Russian Society, which were responsible for
political and scientific views outreaching, were
actively engaged in propaganda of «Stalin’s Plan
of Nature Reorganization».
Today, one’s attitude to this plan can be
skeptical or negative, but nevertheless, it played
a certain role in attracting the public to nature
study, to planting of greenery and beautification
of population centers, establishment of tree
belt areas and fruit gardens in the post-war
period. Propaganda of the Plan through the
newspapers made some part of the population
suggest measures concerning greenery planting
of the cities, natural forests conservation, and
careful usage of natural riches of the region. It is
impossible to over-estimate the meaning of such
an attitude, as far as it testified of the people’s
readiness to participate in nature protection, and
that prepared conditions for a change to more
active forms of environmental activity. Though,
in comparison with European countries, where
environmental organizations were formed owing
to union of like-minded people, chief decision
makers of the USSR chose the already existing
All-Russian Society of Nature Conservation as
an organizational form of society integration on
the territory of the RSFSR.
The resolution on formation of the Irkutsk
Oblast Council of ASNC was signed in 1954,
and on formation of the Krasnoyarsk Krai
Council of ASNC – in May 1956. A new impulse
to establishment of Eastern Siberia ASNC
departments was given in 1960 due to adoption of
«The Nature Conservation Law in the RSFSR».
Towards the beginning of 1966 there were already
ASNC departments in the Irkutsk and Chita
regions and in the Buryat ASSR. At that time, in
the Krasnoyarsk Krai there were 16 municipal and
regional departments of the Society and 15 out
of them had been organized only in 1962-1963,
they controlled 434 primary organizations and
united 65 thousand people. Though, 22 regions of
the Krai did not have departments of ASNC yet1.
At that time, the Irkutsk Oblast had 33 municipal
and regional departments of the Society, which
controlled 250 primary organizations and
united 45 thousand people 2. The Chita Oblast
Organization of ASNC was formed only in 1961,
but there they possibly used all the experience
and the arsenal of means for members’ increase,
which they had got in other regions. Towards the
beginning of 1966, it consisted already of 203
thousand members, what overgrew the indicators
of the Krasnoyarsk Krai and the Irkutsk Oblast,
being more populated3. But, the European part
of the country significantly exceeded Eastern
Siberia in such indicators of ASNC departments’
work evaluation as the share of population, which
was involved in their rows, and the payments
of membership dues. If in the middle of 60-s,
12-14 % of the European part population were
members of the Society, then only 2 % were its
members in the Irkutsk Oblast, and 3,2 % of all
the population – in the Krasnoyarsk Krai4.
We are to admit the fact, that in the course
of all the given period the main increase of the
Society members was due to involvement of
schoolchildren and of students of elementary
and intermediate professional education and of
higher educational institutions. This task was
solved on the level of directors of schools and
colleges and higher educational institutions
rectors, when pupils and students were
automatically included into the rows of «nature
preservationists». That is why managers
of ASNC regional departments in Eastern
Siberia paid special attention to involvement
1
2
3
4
# 282 #
The Record Office of the Krasnoyarsk Krai. Fond Part –
1386. Register 1. Doc. 3755. List 26-28.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 19. List 100.
The Record Office of the Chita Oblast. Fond Part -2429.
Register 1. Doc. 1. List 45.
The Record Office of the Irkutsk Oblast. 3018. Register.
1. Doc. 19. List. 72; The Record Office of the Krasnoyarsk Krai. Fond Part – 1386. Register 1. Doc. 3755. List
26-28.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
of precisely this very category of population in
annual socialist obligations.
The matter was more complicated when
it concerned the involvement of workers of
industrial enterprises, regional forestry and
timber industry enterprises into the Society’s
rows, as far as they needed weighty arguments to
deal with and to motive them to join ASNC. For
example, towards the beginning of 1966 adult
population of the Chita Municipal Organization
was a little more than 3 thousand people, or
27 % from its total number1. In the Irkutsk
Oblast Organization it was also schoolchildren
and students, who prevailed, while the share of
adult population was only 15 thousand people, or
about 30 % of all the Society’s body2. It could be
explained by the fact that municipal departments
of the Society were on the stage of becoming. For
example, in the Irkutsk Oblast: there were only
196 adult members in the Taishet Organization
of ASNC, 220 – in Bratsk, 300 – Sljudjansk.
Only the Angarsk municipal Organization of
ASNC stood out against the background of
other departments, as far as it united in its rows
3900 workers, clerks, and engineering-technical
employees3. But, already on the initial stage of
ASNC departments’ formation, their primary
organizations were sooner established with the
help of administrative methods. That is when
some part of people, being included into the
lists of registration, was not even aware of their
membership. In its turn, it created the problem
of payment of membership dues. In particular,
in 1965 the dues were paid only by 11 % of the
active roll of all the members of the Irkutsk
Oblast department of ASNC 4.
1
2
3
4
The Record Office of the Chita Oblast. Fond Part -2429.
Register 1. Doc. 2. List 9.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 19. List 95.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 19. List 95.
The Record Office of the Chita Oblast. Fond 3018. Register 1. Doc. 19. List 72.
Responsibility for the Society’s membership
increase and for the growth of report indicators
on the all-Russia level made regional councils
of ASNC and party organs, being responsible
for their work, take bureaucratic measures to
increase ASNC numbers. Thus, in March 1966
the Cabinet Council of the Buryat ASSR directed
executive committees of regional and aimak
soviets of people's deputies to begin working and
to establish primary organizations of ASNC, to
involve collectives of industrial enterprises in
to the rows of the Society5. In April 1966, the
Nature Conservation Permanent Commission
of the Krasnoyarsk Regional Soviet of People's
Deputies addressed to the chairmen of regional
executive committees with the same kind of
directive. But, executive committees did not help
everywhere. In August, 1966, in the letter to the
Oblast Party Committee, the General Committee
of the Irkutsk Oblast Council of ASNC wrote
about the avoidance of chairmen of the Irkutsk,
Ziminsk, Nizhneudinsk, and Ust'-Kutsk municipal
executive committees and most regional executive
committees of the oblast from contributing to the
Society’s departments formation. That is why at
some regional enterprises the task of formation
of ASNC primary organizations was delivered
to primary party organizations. For example, in
December 1966, at the Sherlovogorsk Mining
and Processing Combine they made a decision
on creation of Combine’s ASNC primary
organization and its bureau election at the
Combine party conference, which was entirely
dedicated to the consideration of this question6.
Later on, in the Eastern-Siberian Region they
also practiced to use the possibilities of party
organizations, executive committees of soviets
of people's deputies in order to create ASNC
5
6
# 283 #
The National Record Office of the Buryat Republic.
Fond Part -49. Register 1. Doc. 64. List 2.
The Record Office of the Chita Oblast. Fond Part -1703.
Register 1. Doc. 81. List 58.
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Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
primary organizations in industrial collectives,
in organizations and institutions. Management
organs of ASNC regional departments paid
special attention to admission of not individual,
but collective members in order to increase
the numbers of the Society’s membership. For
example, in March 1968, just in the course of one
meeting, Presidium of the Irkutsk Oblast Council
of ASNC admitted 152 regional enterprises to
its collective members, and among them there
were the Irkutsk Micaceous Factory, the Irkutsk
Aluminum Plant, and the most part of regional
forestry and timber industry enterprises of the
Oblast1.
In 1966-1970, organizational measures,
having been undertaken by the party and soviet
organs, allowed to increase significantly the
number of members in All-Russian Society of
Nature Conservation. During these years the
number of ASNC members in the Krasnoyarsk
Krai grew up to 165 thousand people and made
up 5.1 % from the total population of the Krai. At
the beginning of 1971, there were 1478 primary
organizations and 690 collective members2. In the
Irkutsk Oblast, in the course of the 8-th five-year
plan, the number of ASNC primary organizations
grew from 250 to 844, and the number of ASNC
members – from 45 to 138 thousand people3. In
the Buryat ASSR, the number of members of
ASNC Republic Organization increased form 34
to 64 thousand people during the period of 19661970, thereat the main growth was provided due
to increase of the number of collective members
in 108 times – from 3 to 325. But, even upon such
a «collective» approach, to the beginning of 1971
the number of adult members of the Republic
Organization was almost in 11 times less, than the
1
2
3
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 19. List 93; Fond 3018. Register 1. Doc.
41. List 163-165.
The Record Office of the Krasnoyarsk Krai. Fond Part –
1386. Register 1. Doc. 4671. List 16.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 19. List 100; Register 1. Doc. 43. List 3.
number of schoolchildren and students4. At that
time, most numerous organizations in industrial
centers of Eastern-Siberian were: the Norilsk
Municipal Organization of ASNC, which grew
almost in ten times for that period and consisted
of 30 thousand people, the Bratsk and the Angarsk
Municipal Organizations, each of them consisted
of more than 40 thousand people5.
In 70-s, as far as the country’s environmental
policy was activated, they took measures
for ASNC membership increase, using the
possibilities of other public organizations. In
January 1972, Presidium of the Irkutsk Oblast
Council of the Trade Union Committees obliged
the Oblast, Territorial and traffic trade union
committees to form primary organizations of
All-Russian Society of Nature Conservation in
all the enterprises and institutions of the region.
This action was carried out under the motto
«Every member of the trade union is the member
of the Nature Conservation Society»6. In spring
1973, such an action was carried out in the Buryat
ASSR, where the main role was given to the
collective of the Handagatajsk Timber Industry
Enterprise7, and in other regions of EasternSiberian.
In Norilsk, in June 1974, the Norilsk
city committee of CPSU, the city executive
committee, the city committee of AULYCL,
the territorial trade union committee and
the directorate of the Norilsk Mining-andMetallurgical Integrated Works adopted a joint
resolution in order to activate the growth of
ASNC members. This resolution required to
establish primary organizations of the Society
4
5
6
7
# 284 #
The National Record Office of the Buryat Republic. Fond
Part -49. Register 1. Doc. 145. List 1; Doc. 147. List 1.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 3755. List 29; Doc. 43. List 4; Doc. 60.
List 13.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 62. List 137, 139, 140.
The National Record Office of the Buryat Republic.
Fond Part-49. Register 1. Doc. 126. List 18.
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Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
in all the industrial enterprises, institutions,
organizations, and educational institutions, and
to form there public-technical committees and
control posts of nature protection1. In November
1974, the party committee of the Baikalsk Pulpand-Paper Plant directed the secretaries of the
shop party organizations and the chairmen of
trade union organizations to establish ASNC
primary organization and its public-technical
committee at the plant2. And in January 1977, the
rows of ASNC primary organization at the
Angarsk Cement-Mining Combine were also
increased out of the members of its trade union,
and elections of its new council were carried out
directly at the report-and-election party meeting
of the combine.
Taking into consideration youth system of
the BAM constructors, establishers of primary
organizations of All-Russian Society of Nature
Conservation on the territory of the Baikal-Amur
Mainline were widely using the possibilities of
Komsomol organizations. In 1975, only in Ust'Kutsk region of the Irkutsk Oblast they contributed
to creation of 12 primary organizations and
recruited more than ten collective members in
to the ASNC rows. They created the Council
of Nature Conservation of the BAM western
district, which was affiliated to the Ust'-Kutsk
city committee of AULYCL3. Similar work was
also carried out in the Buryat and Chita districts
of the Baikal-Amur Mainline.
As far as the councils of Eastern-Siberian
regional departments of All-Russian Society of
Nature Conservation consolidated their position,
they began to use their increased influence in
order to enlarge the number of Society members.
For example, in July 1973, Presidium of the
Irkutsk Oblast Council of ASNC suggested the
Oblast Woodland Management and Association
«Irkutsklesprom» to establish ASNC primary
organizations in all new forestry and timber
industry enterprises of the Oblast4. In 1974, the
Chita Oblast Council of ASNC made a similar
appeal to construction organizations, working at
the Chita district of the BAM5. And since 1975,
the Council paid special attention to collectives
of industrial enterprises of Eastern Transbaikalia.
At that time, as far as the Nature Conservation
plans had become an obligatory part of annual
plans of work of enterprises, directorate of these
enterprises had to collaborate with ASNC. And
in 1975, using that fact, the Council set a task to
establish ASNC primary organizations in 60 %
enterprises of the Oblast 6.
At the end of the 9-th five-year plan, the
number of Society members in large industrial
enterprises of the Region was significantly
increased in the result of the work, having been
done by party and Komsomol organizations,
trade unions, and ASNC councils. Thus, there
were more than 500 members of ASNC in the
Timliujsk Cement Plant7, more than 2.5 thousand
members – in the Ulan-Ude Locomotive-CarRepair Plant 8, about 3 thousand members – in
the Baikalsk Pulp-and-Paper Plant9, and more
than 4 thousand members – in the Association
«Angarsknefteorgsintez»10. ASNC organization
of the Nerchinsk Polymetallic Combine was also
referred to large ones: in its rows there were more
4
5
6
7
1
2
3
The Record Office of the Krasnoyarsk Krai. Fond Part5117. Register 52. Doc. 18. List 217.
The Record Office of the Irkutsk Oblast Contemporary
History. Fond 5958. Register 1. Doc. 69. List 88.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 165. List 31, 35; Register 1. Doc. 169.
List 3.
8
9
10
# 285 #
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 17. List 21.
The Record Office of the Chita Oblast. Fond Part -2429.
Register 1. Doc. 22. List 52.
The Record Office of the Chita Oblast. Fond Part -2429.
Register 1. Doc. 27. List 2; Doc. 31. List 4.
The National Record Office of the Buryat Republic.
Fond Part -475. Register 1. Doc. 1889. List 89.
The National Record Office of the Buryat Republic.
Fond Part -49. Register 1. Doc. 141. List 16.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 169. List 70.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 62. List 187.
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Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
than 40 % of all its collective, almost half the
collective of the Bratsk Aluminum Plant were the
members of the Society, and more than 80 % of
all the workers of the Angarsk Cement-Mining
Combine were in the rows of ASNC primary
organization1. And all in all, in the period of
1971-1975, the Buryat Republic Department
of Nature Conservation increased its numbers
up to 176 thousand people, the Chita Oblast
Department – up to 240 thousand people, the
Irkutsk Oblast Department – up to 258 thousand,
and the Krasnoyarsk Krai Department of ASNC
increased its rows up to 410 thousand people 2.
Thus, having been worked out in the region,
the system of population involvement into the rows
of All-Russian Society of Nature Conservation
allowed continuously increasing the numbers of
the Society. Towards the beginning of 80-s the
Buryat Republic Department of ASNC increased
the number of its numbers up to 221 thousand
people, 43 % out of them referred to the adult
population, thereat almost one fourths of ASNC
organization numbers worked for industrial
enterprises, forestry and timber industry
enterprises3. The Irkutsk Oblast Department
consisted of 258 thousand people, and 33 % out
of the total number of ASNC members worked
for industrial enterprises, forestry and timber
industry enterprises 4. In the Chita Oblast, the share
of people, working for industrial enterprises and
timber industry, was a little more than 14 % of 300
1
2
3
4
The Record Office of the Chita Oblast. Fond Part -2429.
Register 1. Doc. 31. List. 22; The Record Office of the
Irkutsk Oblast. Fond 3018. Register 1. Doc. 62. List 197.
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 165. List 97; The National Record Office
of the Buryat Republic. Fond Part-49. Register 1. Doc.
137. List 3; The Record Office of the Chita Oblast. Fond
P-2429. Register 1. Doc. 26. List 6; The Record Office of
the Krasnoyarsk Krai. Fond Part – 2232. Register 1. Doc.
12. List 1.
Calculated according to: the Buryat Republic Department of ASNC is appealing to XXVI Communist Party
Congress. – Ulan-Ude, 1981. – P. 14, 15.
Calculated according to: The Record Office of the Irkutsk Oblast. Fond 3018. Register 1. Doc. 308. List 49.
thousand people of the Chita Oblast Department
of ASNC5. At the beginning of 80-s, the largest
organization in the region was the Krasnoyarsk
Krai Department of All-Russian Society of
Nature Conservation. It consisted of more than
470 thousand people, among whom children and
youth prevailed. Towards the beginning of 1985,
the Krasnoyarsk Krai Department of All-Russian
Society of Nature Conservation increased its
rows up to 620 thousand people 6. By that time,
the Buryat Republic Department united almost
30 % of more than one million population of the
autonomic republic7.
Along with the work concerning the
growth of ASNC rows, party organs were also
engaged in recruitment of executive structures
for its regional departments. There were created
councils in order to govern ASNC departments
of the Krasnoyarsk Krai, the Buryat Republic,
the Irkutsk Oblast and Chita Oblast, and there
were correspondingly formed municipal and
regional councils of ASNC departments in
cities and region. Supervisory control of ASNC
departments was performed by Councils’
presidiums; scientific-technical councils were
engaged in development of the main types of
activities of the regional councils, and scientifictechnical commissions dealt with municipal
and regional councils. Within the councils
there were created sections, which headed
conservation work in concrete directions,
such as protection of water, atmosphere air,
subsurface resources and others. This work was
performed with more success in those cases,
when to the places in councils, commissions
and sections they «elected» specialists, who
were connected with salvation of the same
5
6
7
# 286 #
Calculated according to: The Record Office of the Chita
Oblast. Fond Part – 2429. Register 1. Doc. 47. List 28.
The Current Record Office of the Regional Department
Council of ASNC. Council Reports for 1984.
Ju. Budaev. In Response for the Nature / Ju. Budaev //
Pravda of Buryat. – 1987. – 6 March.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
problems at their key jobs, for which they were
socially responsible according to the party line.
Due to their job positions, these specialists had
an access to certain necessary information and
had administrative opportunities to involve
the institutions and organizations, which they
administered, to the work of social structures,
which they headed. Thereat, their social work was
a segment of their official professional activity.
Thus, for many years V.R. Ogloblin, the head of
the Watershed Inspection, was the head of the
water conservation section of the Irkutsk Oblast
Council of ASNC, and the section of atmosphere
air conservation of the Chita Oblast Council was
administered by I.A. Zil’bershtejn, the director
of the Oblast Hydro-Meteorological Observation.
The work of the section of subsurface resources
conservation of the Chita Oblast Council was
administered by A.S. Babikin, the head of the
Geological Administration, who for many years
was also elected as a chairman of the constant
commission of the Oblast Nature Conservation
Council of Peoples’ Deputies. He put into
practice co-joint meetings of the constant
commission of the Oblast Nature Conservation
Council of Peoples’ Deputies and the section
of subsurface resources conservation of the
ASNC Oblast Council. Using the possibilities
of all three structures, being headed by him, he
managed to use his position for the better of each
of them. Many times the section co-inspected
the work of enterprises of the Oblast nonferrousmetals industry together with the officers of the
people’s control, of State Mining and Safety
Organization, and with social inspectors. At their
co-joint meetings, they summed up preliminary
results of inspections, which afterwards were
passed for discussion to the constant commission
of the Oblast Nature Conservation Council of
Peoples’ Deputies, and in case of necessity to
consideration of the Executive Committee of the
Oblast Council of Peoples’ Deputies. Thus, they
achieved making of decisions, being necessary
for environmental protection. In the result, they
inspected the work of all the ore mining and
processing organizations of the Oblast and took
measures for enhancement of mineral resources
loss, complex usage of crude ore, and restoration
of disturbed lands. And, when there were reelections to ASNC department councils for the
next period, they used to recommend specialists,
who were capable to provide efficient work of
these or those directions of the Society, because
of their official position.
Formation of ASNC municipal and regional
councils was carried out according to the same
principle, as the formation of republic, regional
and oblast councils of All-Russian Society
of Nature Conservation, i.e. in dependence
on specialization of the national economical
complex, on the territory of cities and regions
and on presence of qualified specialists for
establishment of sections and committees. Mostly
complicated was the problem of recruitment
of scientific-technical commission members in
small towns, where there was only one townforming enterprise. Usually, being elected to a
scientific-technical commission, specialists of
such enterprises were guided by departmental
interests and official subordination at their key
jobs. And that is why having been established
under the pressure from above, some part of
scientific-technical commissions of municipal
and regional councils of ASNC turned out to be
legally incompetent and ceased their existence.
Thus, at the beginning of 80-s there had been
left only 10 scientific-technical commissions,
working in the Chita Oblast1.
Since the moment of their organization,
the main activity lines of department councils
of all the levels of All-Russian Society of
Nature Conservation in Eastern Siberia were
1
# 287 #
The Record Office of the Chita Oblast. Fond Part – 2429.
Register 1. Doc. 52. List 1.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
the formation of population’s environmental
type of thinking, diagnosis of air and water
basins conditions, identification of the natural
resources utilization level, working up proposals
and recommendations as for the party and soviet
organs, so for concrete enterprises, organizations
and institutions, concerning their environmental
work improvement and involvement of primary
organizations’ members into a concrete work
for natural environment protection and rational
utilization of natural resources.
One of the main directions of sections’ work
was to reveal the real state of things at separate
enterprises, branches and populated areas, as far
as organization of appropriate environmental
activity was impossible without it. For example,
in the middle of 60-s, the forests conservation
section of the Irkutsk Oblast Council of ASNC
found out, that on all the territory of the Oblast
there were used only not more than 20 % of all
the felling funds, thereat, one could observe an
over-usage of the felling area in the transportassimilated part of the Oblast1. In its turn, the
inspection of water utilization at the Krasnoyarsk
Krai enterprises, which was performed by the
waters conservation section, showed that, in the
period of 1964-1968 the usage of recycling water
at the Krasnoyarsk enterprises was increased in
five times, though more than 1.6 million м3 of
waste waters were disposed into water reservoirs
still untreated or under-purified2. For the first
sight, ASNC activists revealed obvious facts, but
at the beginning of 70-s, before the main line of
the state ecological policy was announced, such
a piece of information was an internal affair of
the directorate of branch enterprises and was not
the matter of high priority, demanding urgent
salvation. But now, having been analyzed by the
specialists and been brought to the attention of
1
2
The Record Office of the Irkutsk Oblast. Fond 3018.
Register 1. Doc. 19. List 78, 79, 83.
The Record Office of the Krasnoyarsk Krai. Fond Part –
1386. Register 1. Doc. 4097. List 1, 57.
the party and soviet organs, the information was
becoming the one, which demanded necessary
salvations and control over their execution.
The work of the section of ecological
situation control was simultaneously creating the
conditions for its normalization, as far as in the
course of inspections, the section collaborated
with the organs of people’s control, sanitary
and epidemiological service, State Mining
and Safety Organization and other controlling
organs, which had a right for imposition of fines
on environmental legislation breakers. According
to the results of inspections, the top-managers of
enterprises were handed out corrective measure
directions, and that gave an opportunity to solve
some problems immediately. And in case of their
refusal to follow the directions, the inspection data
were brought up for discussion at the meetings of
party and soviet organs, and, in their turn, these
organs addressed the government of the country,
ministries and government agencies, impose
political sanctions on the top-managers and
raised questions concerning the degree of their
service adequacy. Thus, management structures
of All-Russian Society of Nature Conservation
were quite quickly involved into the co-joint
activity with party and soviet organs and became
a part of governmental system, being responsible
for concrete lines and sections of environmental
activity. In the region, they practiced to involve
ASVC councils and their sections for working
out party and soviet organs’ resolutions, which
concerned ecological problems salvation.
One of the main lines of All-Russian Nature
Conservation Society’s activity was to attract
rank-and-file members to personal participation
in salvation of ecological problems. It was
achieved by means of collaboration of ASNC
councils with those organizations, which had had
the experience of involvement of workers and
engineering and technical specialists in concrete
individual and collective works. From this point
# 288 #
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Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
of view, collaboration with departments of AllUnion Society of Inventors and Efficiency Experts
(ASIE) and with branch councils of the ScientificTechnical Society was most resultative. It gave a
possibility to announce annual competitions for
the best inventions or rationalization proposals
of environmental character, as on the level of
separate enterprises, so on the level of regions.
Thus, in 1968, the Krasnoyarsk Krai and the
Chita Oblast Councils of ASNC and ASIE
announced a competition for the best proposals
for improvement of gas and dust collecting
devices in the Krai and for mineral resources
loss enhancement in the process of mining in the
Oblast.
Though, analysis of the environmental work
of the Eastern Siberia industrial enterprises in
60-s proved that directorate of the enterprises
allowed the activity of ASNC primary
organizations only in those forms, which did
not contradict their industrial interests. It was
explained by the fact, that in order to eliminate
the regulation breaches, having been revealed in
environmental legislation, they needed to invest
significant sums of money, to carry out industrial
modernization, to change their technologies, to
improve their employees’ qualification and other
expensive measures.
Creation of social-technical committees on
the basis of primary organizations was a certain
step forward to organization of systematic
environmental work of public at the enterprises.
Already since the end of 60-s, Presidiums of all
the regional councils of Eastern Siberia required
to form them everywhere. But only in 1975
directorate of the enterprises had to agree with
the necessity of their formation, when ecological
sections were included in to the working plans of
industrial enterprises. In the result in 1976, such
committees were managed to be created at 13
enterprises of the Chita Oblast and 14 enterprises
of the Irkutsk Oblast. Toward 1981, more than 180
enterprises of the Krasnoyarsk Krai had socialtechnical committees (Savchuk, 2007: 183), there
were such committees almost at 60 enterprises
of the Irkutsk and Chita Oblasts, at the Aircraft
Factory and the Locomotive-Car-Repair Plant
in Ulan-Ude, at the Timliujsk Cement Plant, at
the Seleginsk Pulp-and-Paper Plant and some
other enterprises of the Buryat ASSR1. Though,
even in the middle of 80-s many enterprises of
Eastern Siberia did not have social-technical
committees.
Sometimes, creation of social-technical
committees, being responsible for the
development of the main lines of the enterprises’
environmental activity, brought to intersection of
their competency sphere with the competency of
the enterprises’ directorate. There was found the
following way out of the situation: most socialtechnical committees were headed by the leading
specialists of the enterprises. And afterwards,
they began to perform the functions of technical
councils of the enterprises, which managers
and employees were personally responsible
for the ecological component of their work. In
spite of the fact that their working plans were
approved by ASNC primary organizations and
by the directorate of enterprises, social-technical
committees were mainly an instrument of the
directorate, because they developed and brought
to life environmental protection measures
by the agreement with branch ministries and
within the frames of appropriated financing.
Moreover, working plans provided usage of the
ASNC primary organizations’ potentials. Socialtechnical committees had freedom of action in
those cases, when ecological problems could
be solved at the expense of organizational and
technical possibilities, which did not demand any
1
# 289 #
The Record Office of the Chita Oblast. Fond Part – 2429.
Register 1. Doc. 42. List 11; The Record Office of the
Irkutsk Oblast. Fond 3018. Register 1. Doc. 198. List 5;
Technical Headquarters of Nature Protection // Pravda of
Buryat. – 1980. – 11 December.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
significant financial expenditure. Especially those
actions were praised, which were simultaneously
of economical and ecological effect.
Organization of social-technical committees
can be considered as a consummation of
formation of the management structure of
regional departments of All-Russian Society of
Nature Conservation, which consisted of socialtechnical councils of the Krasnoyarsk Krai, the
Buryat Republic, the Irkutsk and Chita Oblast
Councils of ASNC, social-technical commissions
of municipal and regional ASNC departments and
social-technical committees of ASNC primary
organizations. It allowed involving engineers and
other technical workers of the enterprises, activists
of primary organizations to ecological problems
salvation. Though, analysis of the archive
materials concerning the regional departments’
activity all though the considered period let us
affirm that in spite of a large number of All-Russian
and regional ASNC actions, being carried out in
Eastern Siberia, most part of Society’s rank-andfile members were still not involved. The only and
really mass event of the environmental character
was ASNC members’ participation in greenery
planting, beautification and imposing of sanitary
order. But, as a rule, these actions had seasonal
pattern and were conducted under the guidance
of the party, soviet and administrative organs.
And the participants of greenery planting usually
identified themselves with work collectives, but
not with their membership in All-Russian Society
of Nature Conservation, and when they were
asked about their participation in ASNC primary
organizations’ work, most of the respondents
hardly knew what to answer.
Conclusions
The given research work allows us
affirming that creation of departments of AllRussian Society of Nature Conservation in
Eastern Siberia and growth of its numbers were
connected with the necessity of involvement of
population in realization of the environmental
policy of the party and the state. Having been
formed in the region, management structures of
the Society’s local departments were involved in
collaboration with the party and soviet organs and
became a part of management system, which was
responsible for concrete directions and sections
of nature protection work, they were controlled
by these organs and reported to them. Society’s
primary organizations were defined as a concrete
form of society mobilization in order to fulfill
certain environmental tasks. In most cases, they
did not appear as a result of integration of people,
sharing common ideas, but as a consequence
of task-oriented actions of the party, soviet and
other organs. That is why under the conditions of
perestroika, ASNC dissolution, first of all, began
from the closedown of the most part of its primary
organizations, when influence of the party
organizations became weak, those organizations,
which had played the leading role in creation of
ASNC regional departments in Eastern Siberia,
in increase of their membership numbers, and in
the organization of Society’s activity. And, since
then and up to the collapse of the Soviet Union,
environmental activity of the regional people
was mainly in the sphere of personal interests
and demands, as it used to be in developed world
countries, but not in the sphere of industrial
activity, as it had used to be in the USSR.
References
I.F. Barishpol. The Nature has Millions of Friends / I.F. Barishpol, V.G. Larina. – Moscow: Forest
Industry, 1984. – 160 p.
N.V. Gonina. Historical Experience of Environmental Management in the Angara-Yenisei Region
(1945-1970) / N.V. Gonina: thesis synopsis of Cand. Sc. {History}. – Krasnoyarsk, 2002. – 29 p.
# 290 #
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Sergey T. Gaydin. Establishment and Development of Departments of All-Russian Society of Nature Conservation…
N.V. Savchuk. The Angara-Yenisei Region: Social-Ecological Problems of Economical
Development (1950-1990) / N.V. Savchuk. – Angarsk: AGTA, 2006. – 294 p.
N.V. Savchuk. Social Sphere of the Angara-Yenisei Region under the Conditions of Ecological
Instability (1950-1990) / N.V. Savchuk. – Angarsk: AGTA, 2007. – 200 p.
N.V. Savchuk. Social-Ecological Problems of Economical Development of the Angara-Yenisei
Region (1950-1990) / N.V. Savchuk: thesis synopsis of Doc. Sc. {History}. – Irkutsk, 2007. – 50 p.
The Man and the Nature: Ecological History/under the general editorship of D. Aleksandrov, F.-J.
Brjuggemajer, Ju. Lajus. – St. Petersburg: the St. Petersburg European University; Aletejja, 2008. –
349 p.
Sources
The Record Office of the Irkutsk Oblast (ROIO)
The Record Office of the Newest History of the Irkutsk Oblast (RONHIO)
The Record Office of the Krasnoyarsk Krai (ROKK)
The Record Office of the Chita Oblast (ROCO)
The National Record Office of the Buryat Republic (NROBR)
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