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80.Журнал Сибирского федерального университета. Сер. Гуманитарные науки №12 2013

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Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Æóðíàë Ñèáèðñêîãî ôåäåðàëüíîãî óíèâåðñèòåòà
2013
Journal of Siberian Federal University
6 (12)
Ãóìàíèòàðíûå íàóêè
Humanities & Social Sciences
Редакционный совет:
академик РАН Е.А. Ваганов
академик РАН И.И. Гительзон
академик РАН А.Г. Дегерменджи
академик РАН В.Ф. Шабанов
чл.-корр. РАН, д-р физ.-мат. наук
В.Л. Миронов
чл.-корр. РАН, д-р техн. наук
Г.Л. Пашков
чл.-корр. РАН, д-р физ.-мат. наук
В.В. Шайдуров
чл.-корр. РАН, д-р физ.-мат. наук
В.В. Зуев
Editorial Advisory Board
Chairman
Eugene A. Vaganov
Members:
Josef J. Gitelzon
Vasily F. Shabanov
Andrey G. Degermendzhy
Valery L. Mironov
Gennady L. Pashkov
Vladimir V. Shaidurov
Vladimir V. Zuev
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
Jānis Šķesteris
Introduction to Philosophy of Pierre Hadot Or On to Spiritual
Exercises
– 1739 –
Alexei V. Nesteruk
The Problem of Creation of the World in Cosmology and
Metamorphosis of Kantian Antinomies
– 1747 –
Yuriy V. Sobolev
Environmentalism Aesthetic Aspects: Ecology and Modern Art
– 1777 –
Serge V. Leliukhin
How Russian Rural Teachers Work: Market Trends in the
Common Education
– 1782 –
Alexander À. Valitov and Igor S. Tomilov
Residents’ Participance in the Celebration of the Tobolsk
Province in Tercentenary of Romanovs’ House
– 1787 –
Oksana A. Gavrilyuk
Understanding University Teacher Autonomy as a Mainspring
of Reforming Higher Education
– 1800 –
Irina G. Prudius
The Retrospective Composition of Jean Anouilh’s Drama
œSkylarkB
– 1816 –
Yuri Yu. Komlev
Basic Provisions and Prospects of the Restrictive Social Control
under the Conditions of Society Stratification in Terms of
œInclusive/ExclusiveB and the Growth of Recidivism Among
Youth
– 1824 –
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Consulting Editors
for Humanities & Social Sciences:
Gershons Breslavs – International Institute of Applied
Psychology, Latvia
Sergey Devyatkin – Associate Professor, Novgorod
State University
Sergey Drobyshevsky – Professor, Siberian Federal
University
Oleg Gotlib – Associate Professor, Irkutsk State
Linguistic University
Boris Khasan – Professor, Siberian Federal University
Galina Kopnina – Professor, Siberian Federal University
Natalia Kovtoun – Professor, Siberian Federal
University
Alexander Kronik – Ph.D., LifeLook.Net, LLC,
Bethesda, Maryland, USA
Liudmila Kulikova – Professor, Siberian Federal
University
Pavel Mandryka – Associate Professor, Siberian Federal
University
Boris Markov – Professor, Saint-Petersburg State
University
Valentin Nemirovsky – Professor, Siberian Federal
University
Nicolai Petro – Political Science Professor, Rhode
Island University, USA
Daniel Pivovarov – Professor, Ural Federal University
Igor Pyzhov – Associate Professor , Siberian Federal
University
Andrey Smirnov – Corresponding Member, Russian
Academy of Sciences, Institute of Philosophy RAS,
Moscow
Olga Smolyaninova – Professor, Siberian Federal
University
Vladimir Suprun – Professor, Institute of Philosophy
and Law of SB RAS
Viktor Suslov – Corresponding Member RAS, Institute
of Economics and Industrial Engineering
of SB RAS
Eugeniya Zunder – Professor, Siberian Federal
University
Suneel Kumar – Assistant Professor, Department of
Strategic and Regional Studies, University of
Jammu
Vladimir E. Shinkevich
Drug Abuse Among Young People of the
Krasnoyarsk Territory and Some Recommendations
on Countermeasures Against Drugs Use: Basing on
the Results of Social Research in the Region
– 1831 –
Eduard D. Ponarin and Veronika V. Kostenko
Attitude to Gender Equality in the Arab East
– 1838 –
Daniil V. Pivovarov
Causality, Effectiveness, Determinism
– 1847 –
Evgenia V. Ivanova
The Problem of Mysteriousness of Baba Yaga
Character in Religious Mythology
– 1857 –
Sergey. A. Azarenko
Modernity: Transformation of System of Values and
its Anthropological Aspects
– 1867 –
Olga V. Arlashkina
Staff Management as Social Interaction: Analysis and
Modeling
– 1879 –
Roman G. Shorokhov and Irina S. Ferova
Main Strategic Directions of Innovative Development
of the Krasnoyarsk Territory (Territorial and Sectoral
Aspect)
– 1887 –
Elena V. Chistova
Internet-Heuristics in
Terminology
Translation
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» (редакция 2010 г.)
Branding
– 1896 –
Olga M. Khomushku
Contemporary Problems
Syncretism in Tuva
of
– 1905 –
Свидетельство о регистрации СМИ
ПИ № ФС77-28-723 от 29.06.2007 г.
of
Ethnoconfessional
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1739-1746
~~~
УДК 1(091)
Introduction to Philosophy of Pierre Hadot
Or On to Spiritual Exercises
Jānis Šķesteris*
University of Latvia
28/30 Mārstaļu Str., Riga, LV-1050
Received 28.08.2013, received in revised form 26.09.2013, accepted 28.11.2013
By focusing on the key concepts of the French philosopher Pierre Hadot – conversion and spiritual
exercises – this article provides introduction of the views of this philosopher. Hadot’s main research
interest was ancient philosophy, and thus he has developed an innovative method for understanding
the philosophy of this period. Hadot points out that from his point of view ancient philosophy was
primarily a way of life and therefore must be understood as “spiritual exercises”. This concept is
understood as an effort in changing and transforming the self, which is called conversion in the
philosophy of Hadot.
Keywords: Pierre Hadot, spiritual exercises, conversion, ancient philosophy.
Introduction
From the very beginnings of Western
philosophy1 thinkers have given countless
defi nitions of philosophy from the position of
their doctrines. Despite the fact that there have
always existed many different interpretations
of this discipline, an established stereotype of
the philosopher as a theoretician has persisted
even until today. It is a stereotype that depicts
a professional, who is discussing abstract and
theoretical questions within the grasp of the
conceptual material known only by himself
and others of his kind, alienating this reasoning
from the on goings of the everyday life. By
exploring the views of the French philosopher
Pierre Hadot (1922 – 2010), this article will
try to describe an alternative understanding of
philosophy.
*
Pierre Hadot was a philosopher and
historian whose general research focus was
ancient philosophy. By describing his scientific
efforts, the Latvian philosopher Igors Suvajevs
points out that the works of Hadot can be divided
in two distinct parts. (Љuvajevs, 2008, 116) The
first part is translations, reconstructed texts
and commentary. Hadot has published works
of Plotinus, Marius Victorinus, Ambrosius,
Marcus Aurelius and Epictetus. The other part
consists of his own researches and reflections:
“Marius Victorinus” (1960), “Porphyry and
Victorinus” (1968), “Plotinus or the Simplicity of
Vision” (1963), “Spiritual exercises and ancient
philosophy” (1981), “The Inner Citadel: The
Meditations of Marcus Aurelius” (1992), “What
is ancient philosophy” (1995), “Studies in Ancient
Philosophy” (1998), “Philosophy as a Way of
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: janis_skesteris@inbox.lv
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Life” (2002), “Wittgenstein And The Limits Of
Language” (2004) etc.
Summarizing his conceptual frameworks,
Hadot indicates that from his point of view
philosophy must be defined as “spiritual
exercises”. (Адо, 2005, 342) In order to
successfully understand and interpret views of
ancient philosophers, this is the aspect, to be
taken into account. To the contemporary reader,
the philosophical works of this period may seem
clumsy, unsystematic, and even contradictious.
Hadot draws attention to the fact that the ancient
philosophical schools never considered theory
as an end in itself; it is clearly and decidedly
put in the service of practice. In other words,
ancient philosophy was intended to transform,
and not to inform, (Адо, 2005, 344) and these
transformations were enacted by spiritual
exercises. Further on we will try to understand the
conception of “spiritual exercises” by analyzing
the works of Hadot.
Different philosophies
When
he
described
contemporary
philosophy, Hadot often pointed out that although
we do have teachers of philosophy today, we have
no philosophers. (Адо, 2005, 310). Hadot came to
the idea of a conflict between philosophy and the
teaching of philosophy in his youth (Hadot, 2008,
278) and throughout his life he kept the belief of
philosophy as a metamorphosis between system
of beliefs and existence in it. (Адо, 2005, 17)
Guided by this belief he was skeptical towards
the modern philosophy, because philosophy
represents itself in the form of a technical
jargon addressed to specialists. Professionals are
training other professionals to be competent in
theories, to understand the terminology and to
comply with conventional standards of a given
field, considering their established and selfpreserved professionalism to be completely selfsatisfactory.
In his works dedicated to ancient philosophy
Hadot indicates that the discourse of ancient
philosophy must be understood from a completely
different position, where philosophy is primarily
a way of life, however it is a way of life, which
is closely linked to philosophical discourse.
(Hadot, 2002, 4) For instance, in “Phaedo” Plato
describes philosophy as an exercise of death.
(Platons, 1997, 106) Plato understands death
as the separation of the body and soul. In a
philosophical sense the philosopher is trying to
separate these two parts, thus liberating the soul,
by shedding it from the passions linked to the
corporal senses, in order to obtain the autonomy
of the thought. Thus, for example, epicureans
taught how to reach the pure joy of existence,
but stoics – how to get rid of the disposition for
things who do not depend on us, by becoming
sharply aware of the tragic situation to which the
human being is conditioned by fate.
With the domination of Christianity, and
the separation of theology and philosophy, when
philosophy became the servant of theology,
obliged to provide the theoretical and conceptual
material of theology, philosophy lost its original
connection with life. Philosophy became a fully
abstract discipline, but all the ancient spiritual
exercises were integrated in the spiritual
practices of Christianity. This problem was
deepened by scholastic tradition of the middle
ages and the formation of universities, when the
education ceased to focus its attention to the
development of human being, and reoriented
itself to the formation of professionals. Such
a tendency has been maintained until today.
And despite the fact that outside the university
in the time period from the sixteenth to the
eighteenth centuries in the persons of Descartes,
Spinoza, Malebranche and Leibniz, developed
a genuinely creative philosophical activity
and declared its autonomy from theology, it
still remained to be a theoretical discourse. In
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this period one theoretical discourse criticized
another theoretical discourse. As Hadot points
out, starting with the eighteenth century with
rare exceptions (for example, Nietzsche or
Schopenhauer) philosophy returns back to the
university with such brilliant personalities
as Wolff, Kant, Fichte, Schelling and Hegel.
(Hadot, 2008, 271) By continuing this tradition,
philosophy has kept its close relationship with
the university until nowadays. Starting with the
already mentioned Nietzsche, as well as Bergson
and existentialism in general, philosophy starts
to regain its primeval characteristic – to be a way
of life (Hadot, 2008, 108), however, despite the
efforts of some individual persons2, philosophy
has continued to position itself as a professional
and not a existential discipline.
Conversion
With his philosophical efforts as well as
with personal example3 Pierre Hadot stood
for philosophy in its primeval constellation.
Hadot writes: ”Undoubtly a philosopher must
be neither a professor nor a writer, but a person
that has made a certain life-choice and accepted
a certain way of life, for example, stoicism or
epicurism.” ( Hadot, 1992, 92) In other words,
philosophy is connected with some defi nite
existential choice. As Hadot explains, being a
philosopher in the ancient world automatically
implicated a contradiction with the normal
everyday life, the philosopher was behaving and
seeing things differently than everyone around
him (Hadot, 2008, 56) An interesting indicator of
this situation are the ways in which philosophers
were described by authors of comedies and
satyrs. They described philosophers as weird
and even dangerous persons. For instance,
Platonists were considered to be supercilious,
stoics – too harsh and rigorous people, and there
were rumors that epicureans didn’t eat anything,
(Адо, 2004, 156) but Socrates was called atopos,
which means “unclassifiable” in the ancient
Greek – i.e. something that can’t be classified.
According to the etymological meaning of the
term philo-sophia (love + wisdom), Socrates
was a lover of wisdom. By using the character
of Diotima, in his work “Symposium”, Plato
describes wisdom as a perfection of knowledge
which is available only to gods. (Platos, 1980, 90)
Namely, in its perfection wisdom is something
alien to the world of mortals. Socrates in his love
for the things that are foreign to people becomes
likewise foreign for mortals.
These few examples portray the gap in the
lifestyle and opinions of the common people and
the philosophers of the ancient world. This gap
implicates that there has been a moment in which
the philosopher has experienced some kind of a
transformation, which has made him different
from others. To name the process of fundamental
changes in the personality of a human being,
Hadot uses the concept of conversion.
Conversion (Latin conversio) stands for
turning back, inversion, change of direction.
Thus, this term is used to describe various kinds
of changes, transformations and rearrangements.
For Hadot this term refers to a transformation
of the mental order – from a simple alteration
of opinion to a complete change of personality.
(Адо, 2005, 199) In the ancient Greece, the
experience of conversion was mostly connected
with the field of politics or law, in which
opponents tried to win over each other for some
position or truth by using various methods
of rhetoric and persuasion. Less popular, but
more radical was philosophical conversion. An
initially philosophical conversion was connected
with politics and expressed itself in the form of
the belief – if we want to change a city, we need
to change its people. Primarily such a belief
was represented in a philosophical context by
Plato in his work “The Republic”. Philosopher
is the one who can change the city, because he
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is “turned” himself. (Platons, 1982, 125) Later
this belief was adopted by schools of stoics,
epicureans and neoplatonics, who used the
notion of conversion not in context of city, but
in a more individual sense. In a philosophical
sense conversion meant the breakthrough or
gap between common, acquainted, naturalistic
fallacy of common sense and the truth what
may be introduced by philosophy. (Адо, 2005,
210 – 211) Conversion meant the return to a true
existence, to an essential, inner freedom, to a new
and better perception of things. By developing
and accepting some defi nite system of beliefs
philosophical schools automatically considered
living in relation with this doctrine. Accepting
philosophical teaching meant both a way of life,
and a conversion. On the one hand, philosophers
lived their everyday life in accordance with a
philosophical doctrine (Hadot even comes up
with some odd and radical examples where, for
instance, the stoics discussed such questions as –
can a stoic philosopher sit cross-legged or which
share of food may a stoic eat if he is having a meal
with his father (Адо, 2004, 158)). On the other
hand, philosophers worked hard on developing
their personalities, in order to, for instance, in
the case of the epicureans, achieve control of the
passions and acquire a simple joy of existence,
or in context of the stoics, to achieve steadiness
in face of the strokes of fate. The effort in work
of conversion of self was made with assistance
of spiritual exercises.
Spiritual exercises
Understanding of the notion
Hadot defines spiritual exercises as an
effort in changing and transformation of the
self. (Адо, 2005, 343) In this constellation the
notion of spiritual exercises is defined in its
widest sense, including all the activities that
the conversion contains – physical, intellectual,
religious etc. Admittedly, Hadot talks about
psycho-physiological, sociological, religious and
philosophical aspects of the conversion, but his
main attention is paid to the spiritual exercises
in a philosophical context, and for that reason, in
case of the philosophy of Hadot we are talking
about philosophical spiritual exercises.
By analyzing the term “spiritual exercises”
the French philosopher admits that the word
“spiritual” sounds outdated (Hadot, 2008, 81)
to the contemporary reader. However, this word
most precisely expresses idea of “spiritual
exercises”. Such alternatives as “psychic”,
“moral”, “ethical”, “intellectual”, “of thought”,
“of the soul” do not cover all the aspects of
the reality that must be described. Despite the
fact that spiritual exercises are connected with
intellectual and thinking activities, as well
as contain certain ethical and moral aspects,
these exercises change the system of beliefs of
a person, as well as realize a metamorphosis
of the personality. These processes do not
include an involvement of separate potencies
of a human being, but alternatively encompass
the whole totality of his psychic world. In this
context the term „spiritual” is used, because
it reveals all the true dimensions of these
exercises.
Focusing to the term “exercises” it must
be said that it refers to the ancient Greek word
“askesis”, but not in modern sense of this word
as a restriction of food, clothing, property and
sexual life. The ancient understanding of the
word “askesis” is related to the inner activities of
thought and will. Consequently by summing up
meanings of both these components – “spiritual”
and “exercises” – we come back to a slightly
transformed definition of spiritual exercises
which was given earlier. Namely, in this context
spiritual exercises are intentional activities of
human being that in the process of transformation
of the self are directed to the whole totality of a
human’s spirit.
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Practices of ancient
philosophical schools
As mentioned above, ancient philosophy does
not represent itself as a cluster of abstract theories
or exegesis of texts, it occurs as way of life. Being
a philosopher meant to be different from the
society, by transforming your personality through
spiritual exercises and coordinating everyday
life by some form of a definite philosophical
doctrine.
A systematic treatise that codifies the
instructions and techniques of the spiritual
exercises does not exist. It can be explained both
with the loss of numerous texts and with fact that
these exercises were closely connected with the
oral part of philosophical practice. Due to the
information given by Philo of Alexandria, Hadot
is able to create an overall summary of the stoic
philosophical therapeutics in the framework
of this school. Spiritual exercises of the stoic
philosophy contained exercises of attention,
meditations and “remembrances of good things”,
as well as intellectual exercises: reading, listening,
research, and investigation, and finally some more
active exercises: self-mastery, accomplishment
of duties, and indifference to indifferent things.
(Hadot, 2008, 84)
Attention is a fundamental Stoic spiritual
attitude. It is a continuous vigilance and
presence of mind, a self-consciousness that
never sleeps, and a constant tension of the
spirit. (Hadot, 2008, 84) Meditations and
exercises of remembrance help to prepare for
the unexpected, perhaps dramatic, incidents.
By practicing these exercises, the philosopher
becomes acquainted with poverty, suffering and
death; he directly faces all of these misfortunes.
Such exercises imply the control of the inner
discourse of a human being, aspiring for an
understanding of the distinction between good
and evil within the framework of a philosophical
doctrine, as well as the understanding of things
that are outside the human’s sphere of influence.
Intellectual exercises were directed to the
simple development of the intellectual capacity.
Intellectual exercises such as reading, listening,
research, and investigation were directed to
the ability to get acquainted with the texts of
philosophers and poets, and the understanding of
ideas written in texts and spoken by teachers in
lectures. Finally, we come to practical exercises,
intended to create habits. By performing various
social activities and duties, philosophers tried to
acquire self-mastery, and get rid of the passions,
hate, etc. In context of practical spiritual
exercises Plutarch has written a large number of
treatises, for example, “On Restraining Anger”,
“On Peace of Mind”, “On the Love of Children”,
“On Garrulity”, “On Envy and Hatred” etc.
(Hadot, 2008, 86)
In
ancient
philosophy
six
main
philosophical schools were represented –
platonism, aristotelianism, cynicism, skepticism,
epicureanism and stoicism. Each of these
schools had an essential philosophical discourse,
dogmas or principles that simultaneously were a
framework for the practical life. Cynicism was
a philosophical school that didn’t pay much
attention to the development of a particular
philosophical doctrine. In their practice they
returned to the uncivilized nature, denying
both the lifestyle of the common people, as
well as the way of life that was practiced by
other philosophical schools. As Hadot points
out, Cynicism was generally considered a
philosophy; but it was a philosophy in which
the philosophical discourse was reduced to a
minimum. (Hadot, 2002, 109). It was on the
borderline of being a way of life without any
philosophy, which means that all the philosophy
of cynicism can be considered to be an exercise.
All normal conveniences accessible to people,
all products of civilization and conventions only
soften the body and the mind. This is the reason
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Jānis Šķesteris. Introduction to Philosophy of Pierre Hadot Or On to Spiritual Exercises
why the exercises of cynicism were an almost
athletic, philosophically motivated training to
endure hunger, thirst and foul weather, so that the
individual could acquire freedom, independence,
inner strength, relief from worries, and a peace
of mind, so as to be able to adapt oneself to all
possible circumstances. (Hadot, 2002, 110)
By focusing to skepticism and describing
its way of life, Hadot uses the term conformism.
The only principle of behavior for skeptics was
conformity to the laws and ways of the city. (Адо,
2004, 158) They refused to deliberately affect the
surrounding world in any way, thus acquiring
inner peace.
Aristotelians represented the “theoretical”
way of life. (Hadot, 2002, 80) Yet in the context of
Aristotle we do not speak about “theoretical” as
an opposite to practical. He uses word theoretikos,
on one hand, to describe knowledge that is
acquired only for itself, but on the other hand, it
is related to a way of life which devotes life to
such knowledge. Way of life of Aristotelians also
can be called as a “life of mind”. Such a life is
lived according to the mind, in order to find the
philosophical happiness. In this sense the theory
relates to the philosophy that is practiced and
lived.
In context of the platonist way of life, Plato’s
views of life and education in the Academy,
which consider the acquirement of philosophy to
be a lifelong process, must be recalled. (Hadot,
2002, 67) On the other hand, it is important to
mention the spiritual exercises described by
Plato in his works. For example in his “Seventh
Letter” he talks about a choice of a way of life
that consists of effort that must be implemented
every day. (Platons, 1999, 218) In “Timaeus”
Plato affirms that we must exercise the superior
part of the soul – which is none other than the
intellect – in such a way that it achieves harmony
with the universe and is assimilated to the deity.
(Hadot, 2002, 66) However, as Hadot points out,
most famous spiritual practice of Plato is exercise
of death. (Hadot, 2002, 67) As it was mentioned
earlier, death – it is separation between soul
and the body. Philosopher with his effort tries
to separate these two parts thus purifying and
liberating him of scattering and confusion what
is caused by body.
Lastly philosophy of Epicureanism can be
considered as therapeutics what tried to bring
back soul form worries of life to experience
pleasure (simple joy of existing). (Hadot, 2008,
87) This was done, fi rstly, with meditations that
helped to assimilate the dogmas of philosophy
established by Epicurus, and secondly by
practicing a discipline of desires by resigning
from all that does not apply to the fundamental
needs of basic necessity. They practiced
exercises directed to relaxation, serenity and the
art of that how to feel separate pleasures of body
and pleasures of soul.
Unfortunately because of the laconism that
is required here, we are forced to stay in the
confines of short and succinct descriptions of the
ideas represented by the ancient philosophical
school. In order to answer the question about
the motivation to join one or another separate
philosophical school Hadot points out that by
creating his own philosophy the founder of each
school wanted to come up with some prescribed
model of how to see the world and how to live
in it, mostly woken as a reaction to other,
unacceptable choices of life. (Адо 2004, 163)
Though the choice of a philosophical school has
never been a purely theoretical decision about
some firm way of life, and personal motivation
played its role by choosing one or other option of
life. In other words, there has always been some
mutual causal relationship between the theoretical
contemplation and choice of life. Likewise
theoretical reflection in philosophy has always
forged ahead only because of some fundamental
inner orientation of life.
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Conclusion
Most of the researches and reflections made
by Hadot were dedicated to the examination of the
views and lifestyles of the ancient philosophers,
and highlighted the close connection between
philosophy and life in this period. But the
question still remains – how was the philosophy
of that time influenced by the existing cultural
factors? Georgian philosopher Zaza Shatirishvili
in his essay dedicated to the ancient philosophy
and spiritual exercises draws attention to
etymological meaning of ancient Greek word
„skhole” and Latin „schola” (school) which
means “free time”. (Шатиришвили, 2010, 100)
Education meant free time from work, possibility
to sit back and collect one’s thoughts. This leads
us to the question – is the previously described
model of ancient philosophy still actual today?
1
2
3
In the description of this problem
Hadot points out that in today’s situation, an
eclectic model of thought is characteristic to
modern people. (Адо, 2004, 161). Namely,
the contemporary human being might not
accept, for instance, the teaching of stoicism or
epicureanism in its whole, but he would accept
some separate aspects from different schools.
Nonetheless, in the context of spiritual exercises
in general, Hadot points out that they do not
relate to separate social structures or material
conditions. They can be practiced in every age
and are still in use. (Hadot, 2008, 282) In relation
to this problem Hadot sums up: “Consequently,
for me the model of the ancient philosophy is
currently still important, which means that the
search for wisdom is currently still important
and possible.” (Адо, 2005, 352)
Hadot points out that we do not know if Socrates used the word philosophia in his discussions with his interlocutors, but it
is known that influenced by the personality and teachings of Socrates, Plato is the fi rst one who gave permanent meaning
to the word “philosopher”, and therefore also to the word “philosophy” in the Symposium (Hadot, 2002, 39).
It is considered that French philosopher Michel Foucault renewed the interest in philosophy as an art of living in Western
philosophy. Today his philosophy has drawn the attention of many bright authors from Germany, France, England, Latvia
etc. (Kaiza, 2001, 36).
With her studies on philosophy of Pierre Hadot Latvian philosopher Anna Kande has accented a close connection between
the life of the French philosopher and his philosophy (Kande, 2011, 41).
References
1. Hadot P. La philosophie est-elle un luxe?, Le Monde de l’education No. 191. Mars, 1992.
P. 90-93.
2. Hadot P. Philosophy as a Way of Life. Spiritual Exercises from Socrates to Foucault. Oxford,
Cambridge: Blackwell Publishing, 2008.
3. Hadot P. What is Ancient Philosophy. Cambridge, Massachusetts: The Belknap Press, 2002.
4. Kaiza F. Aktuālās vāciski publicētās dzīves mākslas filosofijas koncepcijas, Kentaurs XXI.
2001. Nr. 26.
5. Kande A. Konversijas nozīme un iespējamība Pjēra Ado filosofiskajos meklējumos. Rīga,
2011.
6. Platons. Valsts. Rīga: Zvaigzne, 1982.
7. Platons. Sokrata prāva. Rīga: Zinātne, 1997.
8. Platons. Dialogi un vēstules. Rīga: Zinātne, 1999.
9. Platons. Menons, Dzīres. Rīga: Zvaigzne, 1980.
10. Šuvajevs I. Pjērs Ado jeb Dzīvotā filosofija // Kentaurs XXI. 2008. Nr.47. 116. – 118. lpp.
11. Адо П. Духовные упражнения и античная философия. СПб: Степной ветер, 2005.
12. Адо П. Философия как способ жить. СПб: Степной ветер, 2004.
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Jānis Šķesteris. Introduction to Philosophy of Pierre Hadot Or On to Spiritual Exercises
13. Шатиришвили З. Мераб Мамардашвили и традиции созерцательной жизни // Мараб
Мамардашвили: “Быть философом – это судьба...” М.: Прогресс-Традиция, 2010. С. 98–106.
Введение в философию Пьера Адо,
или О духовных упражнениях
Янис Шкестерис
Латвийский университет
Рига, LV-1050, ул. Марсталю, 28/30
В данной статье рассматриваются взгляды французского философа Пьера Адо.
Особое внимание уделено ключевым концепциям его философии – конверсии и духовным
упражнениям. Научные интересы Адо были сосредоточены на античной философии, ввиду
чего он разработал инновационный метод для понимания философии этого периода. Адо
отмечает, что, с его точки зрения, античная философия была прежде всего стилем жизни
и поэтому должна пониматься как “духовные упражнения”. Данная концепция понимается
как попытка изменить и трансформировать свое “я”, что в философии Адо называется
конверсией.
Ключевые слова: Пьер Адо, духовные упражнения, конверсия, античная философия.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1747-1776
~~~
УДК 2-172.2
The Problem of Creation of the World
in Cosmology and Metamorphosis
of Kantian Antinomies
Alexei V. Nesteruk*
University of Portsmouth,
Lion Gate Building, PORTSMOUTH, PO1 3HF, UK
Received 29.09.2013, received in revised form 30.10.2013, accepted 02.11.2013
The paper gives a philosophical analysis of a famous attempt to model “creation” of the universe
in modern cosmology. The Hawking model of quantum cosmology is analyzed with the reference to
neo-Platonic and patristic sources, leading to the reformulation of the famous Kantian antinomial
predicament on the temporal origin of the universe, in such a way that it transforms into the antinomy
of the absolutely necessary being. The conclusion is made that cosmology cannot model creation of
the world out of nothing, but can represent a model of differentiation between the intelligible and
sensible realms in creation which accounts for the structural element of creatio ex nihilo. In this sense
cosmological models are useful to refine and explicate further the epistemological limits arising in
modeling of creation of the world.
Keywords: antinomies, cosmology, creation, difference, eternity, space, theology, time, universe.
Introduction
Modern cosmology attempts to predicate
the universe in rubrics of the given laws of
physics. In spite of the fact that cosmology does
not account for the contingent facticity of these
laws, it attempts to speculate about “creation” of
the universe as if the contingent facticity of the
material content of the universe as well as physical
laws could be explained. In this paper we discuss
one of such cosmological models proposed by
Stephen Hawking subjecting it to a philosophical
and theological critique. This critique arises from
a perennial “negative certitude” of philosophy
that the contingent facticity of the world cannot
be explained and that any speculation in this
*
respect leads to a theological stance that the
ultimate foundation of the world originates in its
otherness. The paper starts with a brief account
of the Christian concept of creation of the world
out of nothing and then a general predicament of
any scientific attempt to “model” such a creation,
referring to the first Kant’s antinomy. Then the
Hawking model is analyzed philosophically
with the reference to neo-Platonic and patristic
sources, leading to the reformulation of the
antinomial predicament not in terms of the
temporal origin of the universe, but in terms
of the absolutely necessary being. Thus it is
established that modern cosmology provides an
interesting example of the metamorphosis of the
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: alexei.nesteruk@port.ac.uk
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Alexei V. Nesteruk. The Problem of Creation of the World in Cosmology and Metamorphosis of Kantian Antinomies
Kantian antinomies, reflecting the encapsulation
of the unity of the human cognitive faculties in
the cosmological discourse.
Creation of the World in Theology
The Christian teaching on creation out of
nothing, its doctrine of creatio ex nihilo, did not
enter the cultural and spiritual environment of
the ancient world in an empty background. The
world-view asserted by Classical Hellenistic
philosophy that the world exists necessarily, that
is, there is no need for justification of the very fact
of the existence of the world, had a deep impact.
Greek thought could not cross this line of inquiry
about the nature of things that was the foundation
of all foundations in its philosophical meditation
about the cosmos. The world, according to the
Greeks, was permanent, unchangeable and,
despite all internal movements, such as the origin
and decay of things, the world as a whole was
in a state of “eternal return”; its cosmology was
cyclic. The endurance of the cosmos of the Greeks
was ontologically necessary; the premise of its
existence was an absolute fact, the last resort of
all possible philosophizing.
The message of the Bible and the doctrine
of creatio ex nihilo, which was developed by the
Fathers of Christian church who challenged Greek
philosophy and cosmology by affirming that the
cosmos cannot be regarded as a self-explanatory
being (May, 1994). Rather, it is dependent on the
existence of God and hence cannot be described
as eternal, for its dependence on God means that
the world is different from God and that its mode
of existence, being different from the divine,
is finite in all possible senses of the word (for
example, temporal): if God is infinite, then the
world is finite. The world is created by God and
in its matter is radically different from God.
The Christian message affirmed two
fundamentals with respect to the relationship
between God and the world: the world’s radical
contingency upon God, which implied that the
laws established in the world are contingent and
do not possess a status of an absolute necessity.
This implied that the act of creation of the world
by God out of nothing is a “free” act of God’s
willing kindness to the world and, because of
God’s freedom, the creation is not inherent
in God’s own being. This produces a twofold
contingency: contingency on the side of the orders
in the universe, which could not have existed at all,
and contingency on the side of the God-Creator,
who could not have created anything at all. As
a accompanying result, the dualism of Classical
Greek philosophy, in which there was a separation
between the intelligible and the sensible worlds,
was overcome: the whole universe, intelligible
and sensible, heavenly and celestial, was regarded
as creation, as penetrated through with a unitary
rational order of a contingent kind, which can be
studied only in accordance with its own nature
and yet is able through the order and harmony in
the cosmos to point to the creator.1
To summarize, Christian teaching on
creation represents an immense shift from Greek
philosophical monism toward an ontology of
the created being, which has its own foundation
in its otherness, that is, in God, whose mode
of existence is ontologically distinct from that
mode of existence of the created world. From a
theological point of view, the concept of creation
has sense as the concept of the relationship
between God and the world, rather than about
the world alone. This implies that if science
(cosmology, for example) attempts to predicate
about the creation of the universe, it can do
so only from within the immanent aspects of
the world, which are accessible to scientific
investigation. This means that it is doubtful from
the very beginning that science can provide a
model of creation of the world out of nothing
that could compete with or simply be leveled to
that of the theological teaching about creation.
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It would be a challenge for science to try to
uncover the signs of the transcendent present
in the world. This would mean that “creation in
cosmology”, understood discursively, could in
principle refer to that aspect of the theological
creatio ex nihilo that is associated with the
hidden rationality of a contingent origin, the
rationality that is inherent in God. This leads to
the conclusion that the understanding of creation,
if attempted from within science as a challenge
to a theological view, should address not only the
origination of the material universe, its evolution,
and its sustenance but also the question of its
rationality and purposive ability inherent in
humans to communicate with the universe and to
contemplate this rationality.
Cosmology can become an instrument
which helps to reveal the features of necessity in
the contingent facticity of the created universe,
but in no way it can replace the doctrine of
creatio ex nihilo for its objective is to explicate
the world structure from the point of view of
physics, that is as a-priori given set of efficient
causality. The question about the very reasons
for existence of elementary matter forms, as well
as laws which govern it, cannot be addressed by
cosmology because the laws which express the
specific and concrete being of matter cannot
enlighten the underlying causes of its very being.
The laws of nature provide us with some tools of
explicating the necessary feature of these laws,
but they cannot address the issue of the facticity
of these laws. The world is given and described
in terms of some laws, but these laws cannot
describe why this world is such as we have it,
but not the other. The coming into existence of
the universe and of its laws remains a subject
of the theological teaching on creatio ex nihilo.
Let us now illustrate this general intuition by
considering one cosmological theory attempting
to interpret “creation of the universe out of
nothing”.
Origin of the Universe:
the Dichotomy between
Cosmological Evolution
and Initial Conditions as Explication
of Kant’s First Cosmological Antinomy
We should start by recalling that cosmology,
being a part of classical physics, takes for granted
that the description of physical processes in the
universe is made in terms of space and time.
Cosmology uses Einstein’s General Relativity in
order to model the spatio-temporal continuum of
the universe (space and time are relational upon
matter content, so that spatio-temporal dynamics
in the universe is linked to matter). This implies
that if cosmology were to attempt to explain the
origin of space and time it would imply also
an explanation of the origin of matter in the
universe.
This presents a real challenge for cosmology,
for this kind of explanation would definitely
transcend physics. To explain the origination of
matter and space time from “something” which
is not matter and not space-time is probably an
inconceivable task for physics, which is based
on the classical concept of causation. In order
to explain the origin of matter and space-time
cosmology would have to model the transition
from a philosophically understood “nothing” (nothing in an absolute sense, not a physical vacuum)
to something (fields, particles, space-time).
This kind of modelling is an improper thing for
cosmology to do; it rather demands a philosophical
(or theological) logic, when the creation of matter
and space-time would be expressed in terms of
their relation to a transcendent source.
Correspondingly, in view of this general
understanding, classical cosmology experiences
difficulties when it attempts to speculate about
the temporal origin of the visible cosmos. This
problem is inherent for cosmology which affirms
that the universe experiences expansion. Since
the dynamics of this expansion is described by
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the Einstein equations (for the universal scale
factor a (radius of the universe) as a function
of cosmological time t), the extrapolation of the
solution of these equations backward in time
leads inevitably to such a point where t = 0 and
α = 0. This point in the evolution of the universe
is associated with the beginning of the universe,
the point beyond which physics and cosmology
can not proceed, for most of the classical concepts
loose their sense2.
If cosmological theory, by extrapolating
the expansion of the universe backward in time,
would predict that all physical matter and spacetime disappears at the point of the ‘beginning’,
then there would be a temptation to announce
that the point of the beginning is the absolute
origin of the universe in terms of both space
and time, that is, no thing was before this point
in terms of the cosmological time t. In reality,
however, the situation is completely opposite,
that is the values of all physical parameters (
such as density of matter, curvature of spacetime etc.) reach infi nity at the point of beginning.
It is because of this that the initial state of the
classical universe is called the Big Bang, or
cosmological singularity. Both matter and
space-time experience extraordinary behavior
at this point, which is hardly to be described by
physics, and there is no ground to claim that there
was nothing at the singularity; on the contrary
since all physical quantities are infi nite, that is,
indefi nite there, no particular specification of
the initial state is possible at all, all hypotheses
will be untestable.
The appearance of infinities in cosmology is
inevitable if one assumes the classical forms of
matter in the universe, such as radiation and dust.3
Cosmology with classical forms of matter leads
to a series of problems, which can be overcome
if one invokes the presence in the universe of
“non-classical” matter, such as quantum fields
described in modern parlance either as inflaton
(Ф), or ‘cosmological “constant” Λ. In these
models the dynamics of the universe is driven
either by decaying inflaton Ф or cosmological
“constant” Λ.4 Formally inflationary cosmology
succeeds in removing the singularity at t = 0 and
placing it in the asymptotic limit t → – ∞, so that
the problem of the beginning of the universe is
converted into the problem of its pre-existence in
infinite time. The preexistent vacuum state decays
in time driving the evolution of the universe to its
present state. The only advantage of this model
is that the average energy of the vacuum state,
which is given by Λ, is finite at all times so that
this cosmological model allows one to avoid a
bizarre conclusion about the apocalyptic state
of matter and geometry at the Big Bang. 5 It can
clearly be seen that if one talks about “creation”
of the universe in this case, this is the production
of matter not out of nothing, but out of matter
described either by Ф or by Λwhose pre-existence
is postulated.
In both cases, that is of cosmology with
classical matter or inflationary cosmology, physics
fails to explain the nature of the initial condition
for the equations which drive cosmological
evolution. The dichotomy between the laws
of dynamics and the initial conditions which
fix a specific outcome of these laws acquires
some unique features in cosmology. Since we
can speculate on the nature of these conditions
only from within our universe by extrapolating
backward the properties of the observable
universe, the ‘knowledge’ of the initial conditions
thus achieved does not tell us anything about the
genuine nature of these conditions, as if there
were special physical laws responsible for these
conditions, separated from us in the past and not
being similar to laws of dynamics. Being bounded
by the universe in which we live we cannot know
the laws of the initial conditions of the universe;
for this would require us to transcend beyond the
universe, which is impossible.
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The ideal variant for cosmologists wishing
to describe the creation of matter in the universe
would be to construct an initial state such that the
total energy of matter would be equal zero and
this requirement would be a meta-law, imposed
on the matter of the universe in the pre-existent
space and time. This kind of a model was offered
by Tryon.6 The major feature of this model is that
the universe originates in preexistent space and
time as a result of a fluctuation of the physical
vacuum (a state of quantum matter in which the
values of all observables are zero). Geometrically
the development of the universe can be presented
as a future light cone, whose apex is positioned
completely arbitrary in preexistent space and
time. This constitutes a philosophical difficulty
with this model: it is impossible to specify and
justify why the universe originated at a specific
point of space and time. The spontaneous creation
of the universe (as a result of a fluctuation) could
occur anywhere and at any moment of time.
This means in turn that the variety of different
universes could originate at different locations
of preexistent space-time, driving cosmology to
face a serious problem of the mutual influence of
different universes (See Fig. 1).
It is obvious that this kind of model has
nothing to do with creation out of nothing in
a theological sense, for space, time, quantum
vacuum as well as physics behind the fluctuation,
are all assumed to be pre-existent. It is rather
reasonable to talk here about the temporal
origination of the universe rather than about its
creation out of nothing.
It is interesting to note that the fi rst
‘scientific’ ideas on the origination of the
universe in pre-existent space and time were
proposed by Newton who intended to reconcile
the Biblical account of creation, where the
world had to have a beginning, with his view
that time could have neither beginning nor end.
Newton asserted that the visible universe was
brought into existence by God in the past which
is separated from us by fi nite time, but this took
place within the absolute and infi nite space
and time. The creation of matter is detached
in his model from the creation of time. We see
here a fundamental difference from General
Relativity, where space and time are relational
upon matter and the split in origination of
matter and time seems to be theoretically
inconsistent. 7
Fig. 1. Indeterminacy of “creation” of the universe in cosmology with preexistent spase and time
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The logical difficulty with this kind of model
is connected with our inability to locate the
moment of time where the universe originated,
from outside, by transcending beyond the universe
itself, into its imaginable preexistent «before».
We can argue about the beginning of time within
the visible universe by extrapolating its expansion
backward in time. But this will never allow us to
claim scientifically that there either was or was
not preexistent time «before» our universe came
into existence.8 This situation was described by
Kant in his Critique of Pure Reason in the first
cosmological antinomy (A 426-427/ B454-455
[ET: p. 396]):
Thesis: The world has a beginning
in time and is also limited as regards
space;
Antithesis: The world has no
beginning and no limits in space; it is
infinite as regards both time and space.
In modern terms, the thesis corresponds to
the view that the universe as we know it is unique
and the Big Bang is an absolute beginning of
the universe, as well as time and space. There
are no reasonable arguments about existence of
anything beyond our universe and ‘prior’ to the
Big Bang; the latter is the absolute beginning
of being. Any attempt to speculate about the
‘outside’ and ‘before’ the universe, would be, in
a spirit of the Kantian philosophy, an ambitious
attempt of reason to depart from the empirical
series of causation, corresponding to the visible
universe, towards purely intelligible series which
have different ontology in comparison with the
physical universe.
The antithesis corresponds to the model of the
universe with preexistent time and space, where
the visible universe is one particular realisation
of a potentially infinite number of existing
universes, corresponding to different initial
conditions at different moments of preexistent
time. Because of the impossibility of locating
the point of origination of our universe in the
preexistent time and hence of making this point
special, one cannot claim that there is no time and
space beyond the visible universe. It can originate
at any moment of preexistent time so that there
could pass potentially infinite time before the
visible universe came into being. All points of
preexistent space and time are equivalent; space
and time is uniform and infinite.
One can look at the same antinomy from
a different perspective. For example, the thesis
can be treated as the affirmation that the visible
universe is unique, whereas the antithesis
as the opposite, i.e. that the visible universe,
being finite in terms of its temporal past, is one
particular representative out of the ensemble of
the universes with different boundary conditions,
that is, at different moments of their origination
in preexistent time. In this setting the antinomial
nature of any propositions about the origination of
the visible universe in preexistent time becomes
evident: on the one hand we can not transcend
our universe in order to assert scientifically
that we are a part of the big ensemble of the
universes; on the other hand nothing can stop
us from making a Platonic-like assumption that
there is the ensemble of the universes, which
we cannot verify empirically, but which we can
affirm as intelligible entities. In this case the
whole meaning of the antinomy reveals itself
as predication about two ontologically distinct
realities, i.e. the empirical visible universe and
the Platonic ensemble of the universes.
The presence of such an antinomy in
cosmology with preexistent time points to the
fundamental ontological difference (diaphora)
between the empirical and intelligible, which is
inevitably invoked by the reason when it tries
to speculate about the origins of the world. The
antinomy points towards the conceptual and
ontological difference between the empirical time
in the visible universe and Platonic- like time in
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the preexistent, but rather conceptual universe.
The attempt to explain the origination of the
visible universe out of an ensemble of possible
universes, can then be interpreted as a conceptual
causation from the world of ideas to the empirical
world. This indicates not the creation of the
universe itself, but rather a special aspect of
the created realm, its structural differentiation
between the empirical and intelligible.
Thus one can draw a preliminary
conclusion that all models of origination of the
universe in pre-existent time will never explain
the origination in empirical, scientific terms,
rather they will indicate instead a problem of the
dualism between the evolution of the observable
universe (which follows the laws of dynamics,
testable in principle) and its initial conditions
(which are untestable in principle and which
rather belong to the realm of metaphysics). One
can refer to E. McMullin who commented that
the spontaneous, uncaused origination of the
universe, such as that proposed in the model of
Tryon, can not be a “creation” in a proper sense,
for the cause of creation, that is, a creator, (which
must be outside of the chain of spatio-temporal
events in the universe) can not be present in
the physical theory. This means that the desire
to justify “creation” in cosmology leads to
causation in a rather philosophical sense, so
that a scientist is leaning towards philosophical
ideas, or even theology (McMullin 1988, p. 46).
The unsatisfactory nature of the assumption
that the universe was created in (preexistent)
time was realised as early as the Patristic writes
who defended the concept of creation of the world
ex nihilo. Basil the Great, in his Hexaemeron
(“The Commentary on Six Days of Creation”)
I: 5, made a distinction between creation of the
intelligible world with no temporal flux and no
spatial dimension, and the creation of the visible
universe together with “the succession of time,
for ever passing on and passing away and never
stopping in its course” (Basil the Great 1996,
p. 54). Basil asserts that the meaning of the
Biblical phrase “In the beginning God created”
must be understood as “in the beginning of
time” (Ibid., p. 55), that is, God created the
visible world together with time, and it was
the beginning of time in the visible world. In a
different passage Basil argues that the creation
of the world was not a spontaneous origination,
i.e. conception by chance, but, on the contrary,
it was created with a purpose and reason (Ibid,
p. 55). In order to articulate the a-temporal
nature of “the beginning of the world”, and to
remove any causation at the beginning in terms
of time-series, Basil affi rms that “the beginning,
in effect, is indivisible and instantaneous...the
beginning of time is not yet time and no even
the least particle of it.” (Ibid., p. 55).
Similarly to Basil, Augustine in his
Confessions, XI addressed the problem of the
origin of time directly, affirming similarly to
Basil, and using quite contemporary words,
that: “The way, God, in which you made heaven
and earth was not that you made them either
in heaven or on earth....Nor did you make the
universe within the framework of the universe.
There was nowhere for it to be made before it was
brought into existence” (Augustine 1991, p. 225).
The last sentence is a proper theological reaction
to any cosmology with preexistent time. If we
attempt to talk about creation of the universe out
of nothing in cosmology, it means that we can
not use for this the cosmological models where
the visible universe originates in the “large
universe”, preexistent with respect to the visible
one. Similarly, in the City of God XI: 6, Augustine
asserts that the universe was not created by God
in time, but was created with time. Augustine
affirmed the creation of the universe and time
within it as the only consistent expression of the
Christian affirmation of the creatio ex nihilo. The
nihilo could not be something, it could not have
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any attributes of the created things, it must be
absolute philosophical no-thing. In particular it is
not in time and space.
It is clear then that if cosmology hopes to
challenge the theological teaching on creatio ex
nihilo it must at least refuse any models of the
universe with pre-existent time. In other words,
time itself must be explained as a result of
cosmological theory. This sounds suspicious at
first glance, for any physical theory assumes time
as necessary background where the dynamics and
change take place. A reasonable starting point in
this attempt, however, is to find such models of
the universe where the initial state will manifest
a global space-like singularity, so that it will not
require any assumptions about preexistent time.
The initiation of the visible universe takes place at
this singularity, so that empirical time originates
at this singularity and the universe can be said
to be created not in time but in the pre-existent
space of the singularity.
If one assumes that there is a variety of initial
conditions at the global spatial singularity, then
the “physics’ of this variety is very problematic
again. One can produce very exotic theories
about the global initial space, but it will have a
limited impact for the verifiability of this theory
in the visible universe whose initial conditions are
posed only in a tiny domain of the global surface,
and that is why any proposal for the nature of a
global singularity which covers all possible initial
conditions would be untestable from within the
visible universe 9.
At any rate the model of the origination of
the visible universe from the global space-like
singularity assumes that there was a finite time
back when the observable universe came into
existence and started to develop to its present
state. Time was brought into existence together
with the universe, and the problem of positioning
of our universe in preexistent time is not present
in such a scenario. At the same time, if the global
singularity is assumed to be in existence prior to
what we call our universe, it is difficult to assert
that the universe was created out of nothing,
for the point of origination of the universe is
positioned at the initial singularity which is not
nothing in a theological sense but preexistent
space. It is clear then that one can apply the
same argument, which we used before in the
context of an antinomial proposition similar to
the first antinomy of Kant, where the term time is
omitted. From a philosophical point of view the
difficulty of predicating the origin of the universe
in terms of different initial conditions in space
is of the same kind at it was before for models
with preexistent time. This implies that the next
logical step would be to attempt to modify the
theory in order to remove all pre-existent entities,
such as time or space, and to construct the model
of the universe, where space and time would
originate together with matter. Can this ambition
be realized in cosmology?
In order to make clearer what kind of problem
we face here, let us compare the dynamics of
particle in classical mechanics on the one hand,
and the dynamics of the universe in general
relativity on the other hand. The fundamental
difference between classical mechanics and
general relativity, is that there is no preexistent
time in the latter case. Space in general relativity
is a relational concept, its dynamics follows the
dynamics of matter, and it is a 3-dimensional
space which is the dynamical variable in relativity
and cosmology. Time emerges in relativity as
parameter which describes the change of the
3-space. The common feature of both classical
description of dynamics of a single particle as
well as the evolution of 3-space is that both of
them have a “point” of the beginning (described
as a conical singularity). In the case of spacetime it means that the 3-space has a zero radius,
for example a zero radius of the universe beyond
which all concepts such as space and time loose
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their sense. From this point of view one could
argue that this is exactly the point at which space
and time came into existence, that is, they are
“created” at this point. The problem, however,
typical for both classical dynamics, as well as for
cosmology, is that there is a dichotomy between
the laws of dynamics and initial conditions; there
is a variety of solutions corresponding to the
dynamical equations which drive the evolution
and which contain a conical singularity. The
theory can not select a particular solution, which
would be unique and correspond to the visible
universe.
We thus face a problem of how to remove
this initial point from the solutions. In classical
mechanics, it is impossible to do it at all, for time
and space do pre-exist and form a background for
development of a system. The initial condition
corresponds to a choice, made by observers when
they start to follow the evolution of a particle. In
the case of relativity the situation is much more
exciting, for the beginning of time corresponds
to some particular properties of space, when the
radius of the universe is zero, for example. This
point forms a problem for classical physics, for all
physical observables approach infinite values in
the vicinity of this point; classical physics looses
its applicability at the singularity. At the same
time, as was proved by Hawking and Penrose,
the singularity in classical general relativity is
inevitable. The presence of the initial singularities
in general relativity leads to the impossibility of
formulating in physical terms the initial conditions
of the visible universe. The dichotomy between
the initial conditions and the laws of the evolution
of the universe becomes unbridgeable. If this is
true, and we cannot specify in physical terms the
“laws” of the initial conditions of the universe, we
could not fully answer the question on the nature
of the visible universe. In this case the temptation
of a deistic kind comes to a cosmologist’s mind;
one appeals to a deity which did set up the initial
conditions and the laws of the universe, but then
left the universe to its own devices. Physics and
cosmology provide us with the understanding
of the laws of the evolution of the universe, but
they do not teach us about the foundations of
their facticity, that is, in a theological language,
what was God’s choice in setting up the initial
conditions.
From a theological point of view, which
advocates that the created order is contingent
upon God, that is, radically different from God,
and the laws of the world are free from any
inherent necessity, originating in God, it would
be ambitious to pretend to uncover the “laws”
which stand behind the initial conditions of the
universe, for the knowledge of these “laws”,
that is, knowing that the initial conditions of the
visible universe are conditioned by something
which is ontologically necessary, we would enter
the domain of the Divine reason and attempt
to apprehend God’s intentions in creating the
world. This is, however, hardly to be achieved
in cosmology on its own, so that theology enters
the scene of speculation at this point under the
disguise of a hidden theological commitment in
cosmology.
Indeed, some cosmologists argue for the
possible comprehension of the “laws” of boundary
(initial) conditions of the visible universe in
principle. Hawking, for example, appeals to the
history of science to argue that science eventually
uncovers the underlying order of things and events
which seemed to be decoherent and arbitrary
before. He believes that the same kind of order
can be found in the extreme physical situation
at the cosmological singularity: “there ought to
be some principle that picks out one initial state
and hence one model, to represent our universe”
(Hawking 1988, pp. 123,133). This belief seems
to go contrary to the result on inevitability of the
singularities in cosmologies with all pathological
features of the theory, which we mentioned above
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(infinities of all classical physical variables).
This in turn provides us with an argument that
the “law” of the initial conditions must be nonclassical, different and new in comparison with
what is known from general relativity. These
laws, if they exist, should avoid the problem of
temporal beginning, which has its root in the
asymmetry between space and time. Indeed
the conical space-time of the universe has one
particular feature, which makes the whole
geometry singular: its boundary is formed by a
conical surface plus a singular point, that is, the
apex of a cone. The new nonclassical “laws” of the
singularity, if they exist, must change our view
on space-time of the universe as a singular cone.
This means that the geometrical presentation of
the evolution of the visible universe as containing
a singular point corresponding to its alleged
beginning must be replaced by something
which has a different, non-singular boundary. In
this case the problem of the beginning of time,
according to the proponents of the “laws” of the
initial conditions will be explained away and no
explicit theistic references would be necessary
to explain the “temporal origin” of the universe.
How successful is this program?
Elimination of Real Time
in Quantum Cosmology ?
When Hawking advocates the existence
of the laws of the initial conditions, he assumes
that cosmology from being a classical view of
the universe must be transformed into the so
called quantum cosmology. The latter “theory”
represents an as yet unfinished synthesis of
general relativity and quantum mechanics,
applied to the universe as a whole. This synthesis
is a big issue in modern physics, and needs be
subjected to a long philosophical scrutiny. The
challenge of quantum cosmology is to provide
the “laws” of the initial conditions of the
visible universe, that is, to describe the state of
origination of the universe in such terms as to
condition the emergence of the empirical flowing
time in the universe. This means that in no way
must time be an a-priori ingredient of these
“laws”. At the same time, quantum cosmology
does not deny the presence of space in these laws.
In other words, space is considered as a more
fundamental ontological reference than time. The
visible universe is in space and in time; the state
which is prior to the visible universe can not be in
time, but it is accepted that it can be in space. The
existence of space which is devoid of temporality
is considered as existence forever, with no need
for an explanation “when” this space came into
existence at all. The timeless state of the universe
(as a pure space) can be considered as an initial
member in a series of temporal causation, which
itself is beyond time.
The conceptual transition from classical to
quantum physics can be understood as a change
of description of physical objects as having some
given positions in space to the description of the
dynamics of objects in terms of the so called wave
function, which is a function of spatial coordinates
and is subject to evolution in time according to
the Schrödinger equation. It is important that the
coordinates of the particle can not be observed
precisely, as occurs in classical mechanics,
but one talks about the probability of the particle
to be found in the vicinity of the point, which is
described by the square of the modulus of the
wave function. In general this probability is a
function of time and its evolution is completely
determined by the Schrodinger equation, if one
knows the distribution of probabilities at some
initial moment of time. The evolution, described
by the Schrödinger equation is reversible, i.e.
knowing the initial state one can predict all other
states in the evolution of a particle, and, vice
versa, one can restore the initial condition if the
state of particle is known afterwards. In this sense
the “evolution” is a-historical, that is, no novelty
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is generated in the system. The specificity of
the system is thus determined by the setting of
particular initial conditions. However, the most
considerable conceptual change when one turns
to quantum physics, is that the description of
physical processes is done in terms of the wave
function which is not a physical observable in
principle. As a mathematical object it belongs
to the abstract Hilbert space, whose ontology is
detached from the empirical world, and represents
rather the world of intelligible forms.
The synthesis of quantum physics with
general relativity, especially in its application to
cosmology, leads to a novel feature of the resulting
theory, which did not exist in the quantum physics
of microobjects. This feature is related to nature
of time. As we mentioned in the previous section
time in relativity is not a natural parameter in the
theory, it is rather an epiphenomenon, constructed
upon the primary dynamical variable, which
is 3-dimensional space. This means that if one
wants to construct a quantum state of the whole
universe, i.e. describe this mathematically by the
wave function of the universe, this function will
not be a function of time explicitly, it will be the
function of 3-geometry and matter (some field for
example) which is linked to geometry according to
general relativity. The state of the universe is thus
described by the wave function which is defined
in the superspace of all possible 3-dimensional
geometries as well as all possible states of matter.
Time is not present in this “frozen” formalism.
To elucidate this latter point one can make
a contrast with the wave function in the realm
of ordinary empirical time where the function
follows Shrodinger equation with time. If the
universe would be described by the wave function
following the equation like this, its evolution
would follow a simple, reversible dynamics.
This means that we can predict the state of the
universe at some moment of time t2, knowing its
state at t1 < t2. Since the evolution is reversible,
one can reverse this conclusion and predict the
past state of the universe at t1 if one knows it at
t2 which can be taken as the present. Quantum
cosmology of the early state of the universe,
however has to deal with the situation where the
temporality of the universe disappears, so that the
description of the equation for the wave function
of the universe cannot be done in terms of any
temporal dynamics. Since we want to construct
the wave function which corresponds to the
initial state in terms of classical time t, there must
be such a solution the sought wave function with
no time must be somehow matched with the wave
function which describes the classical universe
with time. The condition of this matching would
be by definition the “origination” of the visible
universe.
A possible solution for the wave function
which would provide a conical singularity, and
where the initial point would correspond to the
beginning of space and time together, is not a
good candidate for it represents a space-time
with a boundary, which is the surface of the cone
plus the point of origination. This is why the
desirable solution for 4-dimensional geometry
in the quantum domain should rather correspond
to the geometry where the 4-dimensional spacetime has only a single 3-dimensional boundary.
At first glance this kind of solution does not
relieve us from the presence of time, for the
boundary of 4-dimensional space contains a
temporal dimension. The crucial step which has
been taken in order to overcome this concern is
a conceptual change in views on the asymmetry
between space and time, which is an attribute
of experience in the macroscopic realm where
time is usually considered as an extra-dimension
of 4-dimensional space. To overcome this
asymmetry Hawking suggested that time, as
we perceive it and as it appears in cosmological
equations, to be converted into a rather a
mathematical abstraction of time – imaginary
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time, which is similar to space, but which is
principally unobservable and non-measurable.
The trick is simple technically but, however, is
not so convincing philosophically.10
One may elucidate further how the
geometrization of time, that is, its actual removal
happens in Hawking’s model. The transition
to imaginary time is dictated in quantum
cosmology by two reasons: 1) it attempts to
provide the description of the initial conditions
of the universe with no reference to anything
beyond the universe, which could condition the
initial conditions from outside; thus it is believed
that the initial conditions of the universe could
be inferred as a part of a theory; 2) in calculating
the main object of quantum description of the
universe, that is, the abstract wave function,
which is to provide a solution the geometrical
configuration of the universe, the method,
used by Hawking, involved the so called pathintegral, the mathematical object, defi ned on
the set of all possible universes (all imaginable
3-dimensional spaces). This mathematical
method, however, imposed a serious constraint
on the form of those metrics, that is, spaces,
whose paths should appear in the integral. As
Hawking writes, “It seems, therefore, that the
path integral for quantum gravity must be taken
over nonsingular Euclidean metrics” (Hawking,
Penrose 1996, p. 66), that is, over the metrics
with imaginary time. One should remember
this statement for our further analysis, for it
illustrates a remarkable inference in theoretical
cosmology: the purely mathematical requirement
for consistency and the non-singular nature
of calculations leads to a choice of the set of
geometries with no obvious reference to the
physical world. As Hawking expressed this in
his Brief History of Time “to avoid the technical
difficulties with Feynman's sum over histories,
one must use imaginary time” (Hawking 1988,
p. 134).
The crucial point now is to formulate
proper initial conditions for the space-time of
the universe, assuming that the universe in not
pseudo-euclidean, that is presented by making
explicit the difference between space and time,
but Euclidean, that is, time and space are equal
and “there is no difference between the time
direction and directions of space” (Ibid.) There are
two ‘natural’ (mathematical) choices: the infinite
Euclidean space (which incorporates time),
and the compact, finite in volume, space which
does not have a boundary. Hawking provides
some reasons in favor of the finite (compact)
space which does not contain a boundary, This
constitutes the essence of his and Hartle “The
No-Boundary Proposal”, that the path integral,
involved in calculation of the wave function of
the universe must be taken over all compact
Euclidean metrics (Hartle, Hawking, 1983). This
removes the problem of the initial conditions in
the universe because, logically, the condition
which is supposed to condition the initial state
of the universe now reduces to a tautological
statement that the universe must be initially with
no boundary, that is, the term ‘initial’ looses its
ordinary sense, for there is no special location in
the universe which could be taken as an ‘initial’
boundary: there is no boundary. The immediate
implication of such a conclusion is that the
classical solutions of the cosmological models
with non-physical infinities in the singularities do
not threaten physics anymore, so that one could
be tempted to say, that the collapse of physics at
the cosmological singularity is overcome; there
is no breakdown of physics at the edge of the
universe and hence there is no need to appeal
to the ‘laws of the boundary conditions’which,
according to classical metaphysics could manifest
the transcendent plan of the divine design. One
should remember, however, that, according to
Hawking himself, the “no-boundary proposal” is
merely a proposal, it is not a principle, which is
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deduced from any more fundamental theory. In a
way it is the ultimate premise, which can not be
demonstrated syllogistically. As Hawking affirms
“like any other scientific theory, it may initially be
put forward for aesthetic or metaphysical reasons”
(Hawking 1988, p. 136). This merely reaffirms
that the no-boundary proposal is a metaphysical,
that is non-physical proposal, which is dictated
by some indemonstrable belief in reality as “selfcontained and not affected by anything outside
itself” (Ibid.)
Finally one can say that if the no-boundary
proposal is implemented in theoretical
calculations, it leads to a wave function of
the universe as a function of the radius of a
3-dimensional section of the 4-dimensional
compact space which incorporates an imaginary
time. The radius a satisfies the Einstein equation
which involves the distribution of matter in the
universe. The radius of a 3-dimensional compact
space a can extend indefinitely from zero to
infinity. There is however a threshold in terms of
a which marks a radical change in the behavior
of the wave-function of the universe. This
change corresponds to the transition from the
quantum state of the universe as a 4-dimensional
compact Euclidean space (with imaginary
time being a spatial dimension) to the classical
evolving universe, whose geometrical structure
corresponds in general to the curvilinear cylinder
where its vertical dimension corresponds to real,
empirical time. The change from the quantum
state of the universe to the ‘classical’ universe,
whose evolution leads ultimately to what we
observe as the present-day visible universe, is
accompanied by the transition from imaginary
time to real time. 11 Hawking proposes to present
this transition graphically in the form given
below:
This transition is supposed to describe the
‘creation’ of the visible universe. There is no
however, any temporal location, or origination
of the universe, for it originates from space,
which has no temporal properties, space simply
exists. One must be articulated once more that
the creation of the visible universe in Hawking’s
model is not creation as ‘origination’, it is rather
a transition (in a sense which we will have to
establish) from a-temporal, that is, timeless
Euclidean space, to space-time, where time is
distinct from space, and where one observes the
temporal flux of events.
Fig. 2 Hawking's model: “creation” of the universe with the flow of time from the space-like eternity
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The major achievement of the scenario,
proposed by Hawking is the elimination of the
singular states in the history of the universe,
where the physical laws break down. The absence
of temporal dimension in the boundary state of
the universe removes the problem of preexistent
time and offers a response to the paradoxes
connected with the creation in pre-existent time.
One should remember, however, that the validity
of this response is contingent upon the belief that
that the world has an imaginary dimension, that
is, the very notion of the world is imbued with the
fundamentally non-physical.
Hawking suggests that if “the so-called
imaginary time is really the real time of the
world, and that what we call real time is just a
figment of our imaginations” (Hawking 1988,
p. 139), then the entire universe is compact, with
no boundary, so that the vision of the universe
as having a beginning in the past (as well as the
problem of original creation in general) is just
an illusion of human consciousness. Hawking’s
attempt to elucidate the meaning of the word
“reality”, as he uses it, leads him ultimately to
confusion, for, according to him, mathematical
theory is just a model and there is no meaning
in questions about the ‘reality’ of time, whether
it is imaginary or real: “it is simply a matter of
which is the more useful description” (Hawking
1988, p. 139). There is, however, a positive asset
of quantum cosmology, namely the prediction of
the inflationary behavior of the universe, when it
gets off the quantum realm; for the inflationary
cosmology is a popular model nowadays, which is
capable of solving of some puzzles of the classical
Big-Bang cosmology. 12
The model, proposed by Hawking, caused a
resonance not only in professional physical and
mathematical circles, but also among philosophers
and even theologians. The reason for this is that
Hawking himself concluded his exposition of the
“history of time” in the universe in a theological
manner; he states that “the idea that space and
time may form a closed surface without boundary
also has profound implications for the role of God
in the affairs of the universe” (Hawking 1988,
p. 140). Immediately after this “theological”
claim he exposed himself as a deist, by asserting
that one needs the idea of God in order to describe
the initial conditions in the universe and to set up
the laws of the universe (Hawking 1988, p. 140).
Finally, in order to refute his own deism, Hawking
proposed to take his scenario of the “evolution”
of the universe with an imaginary time, not
only as a model (which helps with explanation
of observations in a spirit of his positivism),
but also ontologically: “if the universe is really
completely self-contained, having no boundary
or edge, it would have neither beginning, nor end:
it would simply be” (Hawking 1988, p. 141). The
ultimate manifestation of Hawking’s triumph as
a “religious thinker” is in his concluding phrase
which caused so much agitation and controversies
in scientifico-theological circles, namely “What
place, then, for a creator? (Hawking 1988,
p. 141).
Some General Comments
on Hawking's Model
Hawking builds his cosmology on the
grounds of positivistic, (according to his own
definition) methodology, i.e. in an approach
which never makes enquiries on the ontological
meaning of those “realities” which are present
in cosmological theories. He describes his
understanding of the meaning of cosmological
theories in the following words: “Theory is just
a model of the universe, or a restricted part of
it, and a set of rules that relate quantities in the
model to observations we make. It exists only in
our minds and has no other reality (whatever that
might mean)” (Hawking 1988, p. 9; also p. 139).
If one reads this passage straightforwardly
one will be puzzled by the emphasized part of
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this quotation; for it follows that cosmology,
being a theoretical enterprise, does not provide
us with any realistic vision of what the universe
is actually, but supplies only the symbolic means
for the description of what we observe here and
now. If cosmology exists only in our minds, it
is similar to any kind of science fiction with the
only difference that it pretends to describe the
entire universe in a coherent mathematical way,
which will be consistent with what we observe in
the sky. If one follows consistently this view one
must admit that such notions as the universe as a
whole, Big Bang etc. are just mental constructs
and they have no independent ontological status
apart from their remote effects in the present day
universe (this conclusion does not surprise us at
all, for we have already established the limited
sense of reality behind cosmological constructs).
Summarizing in different words, cosmology as
a theory dealing with the remote temporal past
as well as with remote parts of its space has no
ontological references, according to Hawking.
But Hawking achieved this conclusion on the
basis of the ad hoc positivism and not through
the epistemological analysis of cosmological
constructs. All its claims have a status of
conventions useful for understanding of the
observable universe in terms of unobservable
entities, that is, equations and concepts. Here he
manifests the intrinsic teleology pertaining to
the process of cosmological explanation, which
demands the appeal to the entities which allow
a coherent synthesis of the visible universe. A
particular cosmological theory is valued for its
quality to provide a more effective description
of our observations; there is no sense in asking
whether the constructs which constitute the theory
are referred to anything which we call “real”,
they just matter as useful tools of description and
no more. The ultimate description of the universe
represents a purpose of cosmological research,
but this regulative, formal purposiveness of
cosmology does not have to entail the existence
of the material pole (nexus finalis) of this purpose.
The universe as a whole, be it classical or quantum
cosmology, is not an object, for the efficient
physical causality is not applicable to it. It is
subject to that causality which relates the notion
of the universe, as a purpose of explanation, to
the faculty of reflective judgement, using Kantian
terminology.
Later Hawking reaffirmed his positivistic
approach to cosmology by juxtaposing it with
the Platonism of Penrose (Hawking, Penrose
1996, p. 121). According to Hawking, Penrose is
worried about the reality of those concepts which
are involved in quantum cosmology, whereas
it does not bother him: “I do not demand that a
theory corresponds to reality because I do not
know what it is (Ibid.). This last remark makes
the overall philosophical position of Hawking
controversial because, as we mentioned before, he
is prone to ontologically realistic commitments.
Indeed if cosmological theory does not
provide any empirical evidence for ontological
references of cosmological constructs (such as
cosmological fluid, global space-time, the wave
function of the universe, the Big Bang etc.), then
any positive or negative predication about God as
the absolute cause of the temporal beginning of the
universe, as inferred from a cosmological theory,
has only a rhetorical sense; for the construct of
the early universe which Hawking proposes as a
“true” theory of the state of the universe which
preceded that one which we observe now, is
just a construct, not an ontological entity. This
implies that if Hawking wants to use the beauty
and elegance of this construct in order to deny the
existence of God-creator, that is, the original cause
of the universe, he tacitly levels both constructs,
“the universe” and “God”, making them uniform
terms of the logical alternative which, according
to Hawking’s logic , must exist only in his mind.
If this is true, one then immediately recognizes
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that the “God” which is meant by Hawking in his
famous phrase “What place, then, for a creator?”
is just a concept, an idea of God, a mental symbol
of an uncertain deity. If Hawking thinks about
God (as a genuine positivist) as a construct, then
he can dismiss one construct (God) in favor of
another (timeless universe). But this operation of
the reason has no proper theological implications,
for the God of theology is not a construct, but
a subject of existential, that is ontological,
experience. All idols of God (even those negative
which follow from cosmology) are strictly refused
by apophatic theology.
But if Hawking believes that he can
dismiss God in an ontological sense, then one
should admit, that he falls into contradiction
with himself, for there is no chance of
comprehending the existence of the living God
while resting on a positivistic view of nature.
In the concluding chapter of his book Hawking
exposes his controversial thought by making
a correct distinction between two questions in
cosmology: a) “What is the universe?” and b)
“Why the universe does exist?”. He assumes that
his response to the question a) is provided by
his arguments throughout his book, that is, the
universe has such a particular structure, which
follows from the laws of physics and a special
no-boundary condition (we remember that this
is a positivist’s statement). But in the question b)
Hawking enquires not into the particular temporal
origin of the universe, but into the fact of the very
existence of the universe. Why does the universe,
which is described by the Hawking model, exist
at all? What is the ground of contingent facticity
of the universe. This question, by it essence is
a perennial ontological question, a response to
which can never be made on positivistic grounds.
One can say that with certainty, although negative,
that this question cannot be answered. Hawking’s
hope is associated with his vision of a complete
theory of the world, which “would be the ultimate
triumph of human reason-for then we would
know the mind of God” (Hawking 1988, p. 175).
It is still unclear whether the knowledge of “the
mind of God” in the last quotation is just a mental
construction of a positivist scientist, or Hawking
speaking about knowledge of God through
ontological communion with Him. The dream of
the final theory as a principle which could explain
the structure of the universe in self-sufficient
terms, without appeal to its contingency upon a
transcendent source, assumes that the advance
of science will stop at some stage, so that the
ultimate knowledge will give a divine power into
the hands of human beings. This could make a
real challenge to the creatio ex nihilo concept for
knowing the laws of the universe in full would
imply no necessity for a transcendent creator.
This implies that Hawking’s claims of dismissal
of a creator of the universe in a sense of an original
creation, have a much more moderate impact on
theology in comparison with his beliefs in the
final theory, be it purely positivistic or not. 13
In spite of the preceding criticism of
Hawking’s philosophical presuppositions, the
goal here is to demonstrate that his model of
creation of the universe out of nothing, which
by no means dismisses the Christian dogma of
creatio ex nihilo, can actually contribute in a quite
sophisticated way to the Christian understanding
of creation out of nothing. This assumes that one
must undertake a theological interpretation of
Hawking’s model, thus intentionally departing
from a positivistic treatment of cosmology.
However in this interpretation we follow not a
straightforward invocation of theological parallels,
but careful studying of Hawking’s propositions
philosophically, in particular through a prism of
the Kantian antinomies.
Our task now is to make an analysis of the
key concepts employed by Hawking, in order to
make a distinction among them in terms of their
ontological nature: what is empirical in his model
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and what is intelligible, what is the meaning of
the mixing of the empirical and intelligible which
takes place in his model and how this interplay
between empirical and intelligible can be used in
explication of that which theological creatio ex
nihilo proclaims. By so doing, we intentionally
interpret the theory through those philosophical
and theological ideas which are not present in the
theory itself. The meaning of such an analysis
is to support an intuition that any scientific
theory, attempting to argue on the origins of the
world (including Hawking’s as an example), will
inevitably contain the features of the dualism
between the empirical and intelligible. The
problem then is not to overcome this dualism, but
to identify this dualism as an inevitable structural
element of all attempts to treat the universe as
creation, the structural element which involves the
process of knowing the universe into antinomial
difficulty manifesting the inaccessibility of
creation on the grounds of rational enquiry.
By revealing the apophatic nature of all claims
on creation out of nothing in cosmology, the
knowledge of contingent facticity of the universe
remains an ultimate mystery pointing toward its
otherness, the otherness which points beyond
creation as such.
Imaginary Time in Quantum Cosmology
and Neo-Platonic Timeless Time
The model of Hawking is a model of the
created order (but radically different from that
one which is associated with the empirical
temporal order) which can be used for formalizing
the logic of all possible attempts to describe
creation from within the world. In words of the
Greek philosophy, with the help of this model
one can formulate the logos of creation (the
expression theological in its essence), where the
logos stands for the underlying principle, the
foundation to which we have access from within
the world. As we mentioned this before, this logos
is encoded in the dichotomy in creation between
the intelligible and empirical. This dichotomy
has a particular technical expression through the
Greek noun diaphora (difference) in creation, as
its constitutive element. In ancient Greek thought
this diaphora can be elucidated in terms of
temporality.
Indeed, recall the distinction between
phenomenal reality and transcendent reality,
which was developed in neo-Platonism and
was used by Christian theologians in order to
contrast the created and Creator. At the same time
Christianity through adapting and interpreting
neo-Platonism made a distinction between
the intelligible in creation as contrasted to the
empirical (phenomenal) in creation. This implied
that the term “transcendent” in the Christian
context was referred to the uncreated, whereas
both the intelligible and empirical were treated as
immanent with and constitutive for creation.
Neo-Platonists made a distinction between
time and eternity, which was based on the
distinction in relationship between eternity and
intelligible universe on the one hand, and between
time and visible (empirical) universe on the other
hand. In the Christian context it can be affirmed
that the realm of the intelligible has no time (in
an empirical sense), i.e. it is timeless, not eternal;
for it is still created, so that it has a beginning
in a logical sense and cannot be called eternal in
the same sense as one asserts the eternity of God.
The empirical realm, i.e. the world of senses is
always in a state of temporal flux of events and
the creation of novelty; from this perspective one
can use the Neo-Platonic terminology in order
to speak about timeless time of the intelligible
created domain as transcendent time. In this
context the adjective transcendent stands as a
contrast to empirical time, which is measured by
the flow of events.
What then is the meaning of timeless time
(or transcendent time) at all if it is detached from
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empirical, living time? The response to this
question can come from the observation that since
all sensible things, involved in temporal flux,
are “mirrored” in the intelligible realm through
the immanent aspects of their inner essences
(i.e. the logoi), the flux of these things itself
can be “mirrored” in the intelligible world as a
definite structure (e.g. logical structure), so that
this structure would represent itself as “frozen
time”, as time with no succession or happenings
of events, as a serial order stripped of process.
This “frozen time” is called timeless time or
transcendent time.
There is an interesting distinction, made
by Proclus, between transcendent time as
“unparticipated” time on the one hand, and
empirical time as “participated” time (see for
details (Plass 1966). The transcendent time is a
fixed ‘monad’ in distinction with empirical time;
it can be thought as a number (in a Pythagorean
sense), the number of cycles of the Hellenistic
universe. The temporal flux of the empirical
world proceeds according to this number, i.e.
‘temporal time’ is derivative from transcendent
time. The ontological status of transcendent time
is determined as its participation in the ousia of
an intelligible being, which is timeless. Proclus
used such adjectives as “eternal, fixed, unified”
when he referred to transcendent time. If one
appropriates transcendent time as a feature of
the created realm, it would be more suitable to
use such adjectives as “timeless” or “immutable”
with respect to it.
Proclus thought about time as an integral
concept, which unites both aspects of one and
the same being. He treated time as a two-sided
unity: on the one side time is in itself, i.e. there is
time’s inner being which is stable, immutable and
timeless; on the other side, outwardly, i.e. with
respect to the empirical world, time reveals itself
as temporal flow of events and things. The former
aspect of time is unparticipated time, the latter
one is the time which participates in transcendent
time.
Coming back to quantum cosmology, it is
not difficult to catch some similarities between
Hawking’s model of the universe and that one in
neo-Platonism. Indeed the attempt of Hawking to
make a distinction between the reality of imaginary
time of the quantum universe and the reality of
empirical flowing time, which one experiences
in macroscopic visible universe, is based on his
assumption about human cognitive faculties. He
asserts that what one experiences as real time
is just an “figment of our imagination.” This is
similar to the neoplatonic distinction between
two sides of the same time as unparticipated and
participated time. Indeed, the imaginary time in
quantum universe is undivided and unified time,
which is, in fact, just a spatial dimension, given
in its whole span across the Euclidean universe
and is described by some number, a radius of this
universe, for example. This is the inner aspect
of time, that is, it is transcendent timeless time
(timeless in a sense that the order of things in this
time is not identifiable as the flow of events in
real time). The outward aspect of this time, which
is accessible to human perception, corresponds
to temporal flow in pseudo-Euclidean spacetime. It is because of a human intellectual ability
that one can speculate that the empirical time
can be thought as imagination of transcendent
time; thus one can assert that the empirical time
indeed participates in transcendent time (but
we know about this only through an intellectual
inference).
In analogy with Pythagorean metaphysical
mathematics one can argue that the wave function
of the universe, which contains implicitly all
information about the entire structure of the
universe as a spatial and temporal continuum,
can be considered as a “monadic” property of the
universe, that is, such an intelligible totality which
is conditioned only by the laws of mathematics
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and by the metaphysical (that is, non-empirical)
no-boundary proposal. The visible universe,
as a domain in the empirical part of the created
realm, is predetermined somehow by the wave
function in the quantum domain. In other words
the “monadic” wave function of the universe, as
a part of the intelligible, contains, according to
quantum cosmology, the ground for a particular
realization of the visible universe. We do not
want to pursue this idea in order to claim that the
ontology of the visible universe is rooted in the
ontology of the intelligible transcendent time.
This would be the desire of Hawking, and it was
exactly the issue where he was criticized. Our
interpretation follows rather a dualistic approach,
based on the basic dichotomy within the created
world, the the diaphora between sensible and
intelligible creation with no desire to ontologize
the imaginary time universe as existent on the
same footing with the empirical universe. On the
contrary, the comparison of quantum cosmology
with the neo-Platonic treatment of time convinces
us that the quantum Euclidean universe in
Hawking’s model is an intellectual construction,
that is, its ontological status corresponds to an
entity from the intelligible realm of the created
world. This makes Hawking’s rhetoric on the
place of a creator in the universe unsound.
Indeed the 4-dimensional space of the Euclidean
universe, being by its epistemological status an
unobservable entity, can only be hypostasized
by the reason as intelligible reality. The straight
relation of this intelligible reality to the visible
universe, which is made along the lines of the
positivistic rhethoric of Hawking, is inconsistent.
One more note on the similarities between
Hawking’s model and neo-Platonic views on
time. There is the distinction between so called
first and second creation which can be found in
neo-Platonism. The first creation is the creation
of eternity itself, whereas the second creation
is the creation of time. In Hawking’s case it is
difficult to talk seriously about his quantum,
Euclidean universe as eternal and endless time, of
the ‘greatest time’, for in terms of imaginary time
the universe is finite. It is certain, however, that
an order in imaginary time is the timeless order
from the point of view of real time. In this sense
it recalls the difference between eternity and “the
whole time” in neo-Platonism.
The wave function of the universe can be
said to encapsulate the whole time, rather than
eternity. Indeed, the wave function satisfies the
equation which does not contain time at all; time
appears later as an internal parameter, derivative
from some particular spatial degrees of freedom.
But since by itself the wave function represents
conceptual reality, that is, it is an object from
an intelligible creation, one cannot say that it
describes in any plausible way eternity.
In analogy with neo-Platonists who assert
that the whole time is unity, which is fixed
numerically (in a Pythogorean sense), and that
the flowing time is derivative from the “whole
time”, that is, its activity (energia) is caused by
the whole time, one can see in Hawking’s model
a similar tendency of thought, namely that the
genuine ontological time is imaginary time,
and the wholeness of this time for us, human
creatures whose senses adjusted rather to the
pseudo-euclidean temporal flow, is manifested
either in the abstract idea of the wave function of
the universe (which, in fact, contains as a variable
the variety of different geometries containing
in a codified form the wholeness of their own
times), or in the image of the 4-dimensional
Euclidean sphere. The energeia of this timeless
transcendent time (imaginary time), that is, the
“transformation” of the “whole time” into the
temporal flow in real time corresponds to the
transition from intelligible timeless time to the
empirical time accessible to our senses14
The major question then is: what is the
status of the transition from imaginary time to
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real time? Either this transition is physically
real, that is, the timeless Euclidean universe is
ontologized as physical reality (which seems to be
Hawking’s claim when he argues as a physicist),
or this transition is purely subjective, that is, it
plays merely a role of a theoretical hypothesis in
justifying some observable data with no serious
reference to the concept of reality which stands
behind the scientific constructs involved (this is
again Hawking’s claim when he reveals himself
as a positivist).
With no further comments on this internal
inconsistency of the quantum cosmology of
Hawking, we are inclined to interpret the
transition from the intelligible Euclidean
universe to the visible universe which is implied
in this cosmology, not as “physically objective”,
and not as “psychologically subjective”, but
rather as a detection of the structural ontological
differentiation between the intelligible and
sensible realms of being. The difference of this
interpretation from the original Hawking’s model
as well as from its critiques by other writers,
is that the model of the intelligible Euclidean
universe with imaginary timeless time (let us
denote this universe as IU-intelligible universe)
and the visible universe with real, empirical time
(denote VU-visible universe) are both treated as
two ontologically different realms of the created
order. The transition IU → VU which stands
in quantum cosmology for the explanation of
the origination of the visible universe from the
quantum domain and which corresponds to the
diagram in Fig. 2 receives a completely different
interpretation as seen from within Christianized
Platonism, where both realms are related to the
created order, but not to anything beyond the
created being.
The reader should remember that Fig. 2
is a typical picture reproduced in many books
on quantum cosmology and its philosophical
commentaries, which explains in visual terms
what the model, based on the no-boundary
proposal attempts to say – namely, that the visible
universe (VU), associated with pseudo-euclidean
structure (that is with clear distinction between
time and space), does originate from the timeless
Euclidean region (IU), where time is spatialized,
being an imaginary spatial coordinate.15 The
Euclidean universe, not being in time, possesses
existence with no point of origin: it just exists.
The visible universe has its origin as the transition
from the quantum domain to the classical
domain. Both universes IU and VU are assumed
to be on the same ontological footing in quantum
cosmology, so that the diagram is supposed to
present the process in the physical realm.
According to our interpretation the diagram
in Fig. 2, however, corresponds rather to the
transition between two ontologically distinct
domains, so that their linking together in one
single complex, as is done in the diagram, has no
more than an allegorical sense for it unites two
ontologically different entities. The transition
IU → VU then has meaning not as a causal
transition from one physical stage to another,
but as a logical indication of the difference in the
created domain between what is given to us as
the visible universe, and what is thought of as the
intelligible explanation of what is visible.
The comparison of Hawking’s model
which affirms the universe as a closed one with
imaginary time on the one hand, and which
provides the mechanism of the emergence of
the visible universe involved in temporal flux
on the other hand, with the neo-Platonic model
of time as a dialectics of transcendent timeless
time and flowing time, has for the purposes of
our analysis the following significance. The neoPlatonic dichotomy between transcendent and
empirical time is rearticulated in the Christian
context as the polarity between the intelligible
and sensible realms of creation. In other words,
from perspective (of the dualism between
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the sensible and intelligible in creation) the
ambition of quantum cosmology to describe, by
using Hawking’s model, the creatio ex nihilo is
unjustified because, in fact, it describes rather
the “origination” of that part of space-time,
which we associate with the visible universe, out
of the timeless realm, which by its own genetic
status represents rather an intelligible world, than
anything physical, if one intends to ontologize it.
If we refine this thought further, we must admit
that Hawking’s model proposes a scenario of
some ‘changes’ in the created contingent universe
(be it intelligible or empirical universe), through
the mathematical and physical laws. The fact
of this contingency is not reflected in quantum
cosmology, which, by its methodological design is
monistic, that is, it tries to explain the structure of
the universe from within itself. The contingency,
on the contrary, if someone would like to reveal
its presence in the cosmological theory, would
mean identifying such elements in the model,
which point to the ground of the universe, its
immanent physical and mathematical laws, that
is, their contingent facticity, which is beyond
the description in terms of these laws, that is
transcendent to the universe.
Thus our next step in the analysis of
Hawking’s cosmological model is to understand
what it actually says in terms of the universe’s
contingence and this leads us again to the question
as to what is the meaning of the distinction which
appears in Hawking’s universe between the
spatialised, imaginary time-universe, where time
is effectively closed and finite, and the pseudoeuclidean space-time of the visible universe,
where the linear history of events is contemplated
by us. One possible answer comes from the
distinction between the Greek vision of the closed
universe, where there was no actual flow of time
and special dates in history. History was always
problematic for Greek cosmology; history was
thought rather as an illusion in an endless cyclic
return of the world. The Hellenistic universe has
no beginning and no end terms. It is clear now that
the model of Hawking, if one treats this model
ontologically and accepts that his imaginary time
is real (so that the universe is closed) rather stands
for the ideal of Greek cosmology and provides
the “schemata” of history as the sequence of
possible events stripped of the temporal flow. The
Hellenistic universe is characteristically nonChristian for it has no beginning and no end. This
means that the cosmology with imaginary time is
in a serious conflict with Christian eschatology,
as the progressive movement of time (kinesis)
to its rest (stasis). The biblical view of time, in
contrast to the neo-Platonic treatment of time,
does not start from the universe as enclosed (that
is, the universe existing as a totality, for example
as a 4-dimensional spatial continuum), it rather
reflects the awareness that time is the succession
of the individual events connected with the
divine economy in the world. This biblical
understanding of time does not allow any theory
of laws of time which underlie its empirical
appearance through separate events. And this is
in a strong contradistinction to the neo-Platonic
view that the whole time can be described in
spatial, overall terms. From here it is clear that
the model of Hawking, if one treats this model
ontologically, i.e. accepts that his imaginary time
is real, so that the universe is closed, rather stands
for the ideal of Greek cosmology and provides the
“schemata” of history as the sequence of possible
events stripped of the temporal flow.
If, however, we look at quantum cosmology
as a model initiating the classical universe with
a linear flow of time the whole evaluation of
Hawking’s model can change. For in this case
whatever was in the quantum temporal world
can be treated as a kind of “typology” of what
should happen later in the development of the
universe in real time. In this case the reference
to quantum state of the universe as to the “past”,
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looses its strong sense; for from the “typological”
point of view the history of the visible universe
can be treated as initiated not from the imaginary
“past”, but from the eschatological “future”. This
implies, that the “transition” from the quantum
universe to the empirical classical universe, as
depicted in Fig 1, assuming intuitively that time
is flowing to the top of the diagram, can be easily
reversed as an upside-down diagram, where time
is flowing down from the future.
The analogy which we used while talking
about the quantum universe as the concise image
of the history of the universe in real time, must
not be transferred straightforwardly into the
theological discourse of creatio ex nihilo, for we
must remember that both the quantum universe
as well the classical historical universe are both
created and contingent upon the othereness which
is responsible for their contingent facticity. What
we wanted to articulate is the created nature of
the universe, which is differentiated into the
intelligible and empirical. From this perspective
indeed the intelligible quantum universe as
“giving origination” to the visible universe neither
exist in the “past” nor in the “future” of the visible
universe, it rather exists as the parallel, intelligible
creation, which is articulated by the human being.
In this the whole meaning of Hawking’s model
changes completely, leading us to the conclusion
that this model can hardly deal with the creation
ex nihilo itself, but rather with the constitution of
the latter through the articulation of the difference
in the created world.
Quantum Cosmology and Metamorphosis
of Kantian Antinomies
In order to proceed in our treatment of the
meaning of Hawking’s model from a philosophical
and theological point of view, we should refine the
notion of the ontological difference in creation as
related to the Christian understanding of creatio
ex nihilo. We recall the words in the beginning
of the Christian Creed which affirm the belief
“in one God, Father, Almighty, Maker of heaven
and earth, and all things visible and invisible”.
What is meant by things visible and invisible. Are
these terms purely ‘technical’ words with no deep
theological foundation, or, alternatively do they
express the dichotomy in creation, its division into
two distinct realms, which are both important in
the context of religious belief? If the words of the
Creed mark an ontological difference between
two realms of the created being, what would be a
proper theological explanation of this dualism?
The affirmation from the Creed, which
we quoted above, reflects the Christian
understanding of creation ex nihilo: God created
the world out of nothing in such a way that there
was an initial distinction between two realms:
the realm of intelligible forms and the realm of
sensible reality. The intelligible realm is simply
understood as the “spiritual”, “intellectual” level
of created being. A good way of referring to this
realm is as the noetic level of creation, or kosmos
noetos. On this level God formed the angels , who
have no material body. But this level contains
also intellectual images of sensible reality, that is,
ideas. This makes the noetic realm reminiscent of
the world of Platonic ideas. Ideas as intellectual
images of sensible reality are inevitable
ingredients of scientific theories, so that it is
arguable that scientific ideas have an immediate
relation to the noetic realm which complements
the sensible realm, that is, the material universe.
The objective existence of the intelligible realm
lies in the fact that it contains the community of
living minds following from humanity’s ability
to think, rationalize, memorize and symbolize
the sensible creation in intelligible forms. The
only thing which is not so easily grasped by the
empiricist or positivist type of thinker, is that
the world of intelligible forms has an ontology
different in comparison to the ontology of the
sensible realm. It is exactly at this point that some
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modern scientific theories of the universe follow
a naive assumption that their mathematical
constructs have the same ontology as the objects
which they suppose to describe.16 In theology,
the ontological dualism between the realms of
creation, proclaimed in the Creed, is, in fact, a
structural difference in the unity of creation,
which explicates this mystery from the side of
creation. The dichotomy in creation in general
has its particular manifestation in the constitution
of human being, their composite hypostasis
traditionally described in terms of body and soul
(intellect). Theology asserts human uniqueness
exactly as “simultaneous” (joint) existence on
two levels of reality, so that only man can be a
mediator between these levels and hence be a
witness of their ultimate originary unity in the
creation.17
If one attempts to formulate the concept of
creatio ex nihilo in cosmological terms, that is, in
terms of the traces of creation in the world, one
can argue that there is a structural element in the
world, that is the difference between intelligible
and sensible, which carries in itself what the
Greeks called the logos (the underlying sense) of
creation. In other words, the distinction between
the sensible and intelligible can be used in order
to affirm that the world is created with a particular
sense. The Greek Fathers of Christian Church
used the word difference as a cosmological,
theological, term in order to articulate the creatio
ex nihilo from within the world. This term comes
as the translation of the Greek διαφορα′ (diaphora)
(this term has theological contradistinction to the
Greek word διαιρεσις (diairesis) which means
division). It was Dionysius the Areopagite who
used first the term diaphora, applying it to the
differences of all things in creation18. Maximus
the Confessor followed him and used the term
diaphora, as a characteristic of created being, its
constitutive and distinctive feature. The diaphora
is the ontological feature of the created being,
its constitutive element. This implies that the
difference in creation will never disappear. It
plays a constructive role in creation, because it
provides a common principle of all created things:
all things are differentiated in creation and at
the same time the principle of their unity is that
they are differentiated. In particular it provides a
common principle for the unity of intelligible and
sensible creation through its constitutive meaning
in the creatio ex nihilo. From this perspective
the issue of the creatio ex nihilo can never be
separated from the issue of differentiation in
creation between intelligible and sensible. The
diaphora in God's creation is an established order,
the principle of variety and unity in creation,
which is distinct from the Creator.
The immediate implication of the ontological
category diaphora in creation, as applied to a
scientific quest for the creatio ex nihilo, is that
any physical or cosmological model trying to
imitate the creatio ex nihilo in scientific terms,
should deal with the fact that it is not enough
just to produce a reasonable scenario of how the
empirical visible (sensible) universe came into
being from “nothing”; one should realize that
there is a “parallel” creation of the invisible world,
the world of intelligible forms or the noetic realm.
But the theory of creation of the noetic realm
would be quite problematic, because it assumes a
theory of meaning, or a theory of the intelligence
which is responsible for the models of the sensible
creation in physics and their very articulation in
the noetic realm. This demonstrates in turn that
while providing the genesis of the physical picture
of the world, one needs to appeal to realities which
are not quantifiable in the rubrics of physics. One
needs philosophy or even theology.
Science therefore can responsibly argue
only for a “half” of creation (the empirical
realm), assuming that the meaning of this “half”
is provided from outside, from the noetic realm,
which is not itself a subject matter of science (but
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rather of philosophy and theology). The noetic
realm is involved into the formation of scientific
knowledge, so that it is this realm which is the
guarantor of its expression and preservation, but
the origin of this realm is not subject to science.
Science uses logical laws and intellectual forms,
but it does not give any account for the very
possibility of this usage. In this sense science
deals with being, but it does not produce the
mechanisms of generation of being. As Heidegger
was saying: science is not thinking yet! It is
because of this that the maximum science can
claim in the analysis of the genesis of the world,
is that it found the mechanism of differentiation
in creation between empirical (sensible) and
intelligible (noetic) as seen from the sensible
perspective. This results in the fact that the
creatio ex nihilo is accessible through science
only up to the extent of ontological differentiation
in creation, but not as theological creation out of
nothing. This idea can be illustrated with the help
of the following diagram:
The quantum universe which is represented
by the Euclidean 4-dimensional sphere stands
here for the intelligible universe IU. The visible
universe, which resembles the Pseudo-Euclidean
space with a clear distinction between time and
space, stands here for the visible universe VU as
a part of the empirical realm. In contradistinction
with Fig. 2, we treat IU and VU as ontologically
distinct universes, so that instead of their literal
matching (which happens in Fig. 2) and physical
causation between them, we rather affirm the
mechanism of their differentiation in creation,
which by itself represents the constitutive element
of creation ex nihilo in a theological sense. This
means that instead of treating the model of
Hawking as the model of creation out of nothing,
we treat it as a particular theoretical scheme of
the diaphora (difference) in being.
Now we come to the climax of our analysis,
namely to the point where the dualistic scheme of
realms in the world, as a structural element of its
created nature, is to be subjected to the antinomial
analysis in the style of Kant. Our objective at this
stage is to trace that metamorphosis of Kantian
antinomies, their mutual interaction, which
is explicated in modern cosmology through
Hawking’s model. Let us rearticulate the main
strategy of our analysis.
The pivotal idea of cosmology is to explain
the observable cosmos. The idea of the universe
as a whole is invoked in cosmology in order to
operate mathematically with equations applied to
Fig. 3. Interpretation of "creation" in Hawking's cosmology as constitutive differentiation between the intelligible
and empirical universes
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the universe beyond the horizon of its visibility
for us. Yet it is assumed that the universe, being
a uniform continuum of matter and space-time
at large is subject to a scientific grasp. This
universe as a heuristic idea can be denoted as
VU-visible universe. The specific features of this
universe are supposed to be explained in terms
of simple principles of unity, which provide
the explanation for the whole variety of things
in the universe, which seems to be completely
contingent at fi rst glance (this is the telos of
cosmological explanation). The contingency
of the observable universe becomes a fi nal
target of cosmology, which hopes to replace
this contingency by some “necessary law”
which itself will need no further explanation. In
quantum cosmology it is believed that this kind
of law should exist and it is sought in the remote
past of the universe when classical physics must
be replaced by a quantum description of matter
and space-time. This implies that the universe
which is observed by us here and now as a
contingent state of affairs was not so in the past,
that is, it followed a pattern of behavior which
excluded the contingency of its further evolution
and consequently its appearance to us as it is.
The fundamental difficulty with this attempt
is that the law of the initial conditions of the
universe, as we have discussed before, does not
belong to the temporal series of causations in
the visible universe VU, that is, by definition it
transcends the universe VU. In Hawking’s model
this transcendence is achieved explicitly by
breaking the ordinary temporal series of causations
in the VU, and by appealing to the modified state
of affairs which does not contain time, that is, to
the Euclidean 4-dimensional space which, being
beyond temporal flux, and not subject to any
origination, yet initiates the “classical’ universe,
that is, the universe VU with the temporal flux.
This primordial universe was qualified by us as
the intelligible universe and denoted as IU. The
invocation of the intelligible object IU in order to
explain so to speak the empirical universe VU can
become a subject of a criticism, analogous to the
Kantian critique of the argument for the existence
of absolutely necessary being. Since IU can not
be found as an element of the empirical series
in VU, its invocation as an explanatory element
has sense only as a construct. This means that IU
which is to explain the structure of the universe
VU, in fact, departs from the field of empirical
realities and the temporal series in the universe
VU by acquiring the properties of the pure
constructs. This is the logic of the transition in
quantum cosmology from VU to IU: VU → IU. It
is quite natural, for one ascends from the variety
of data to a unified principle which is to explain
this data.
The situation changes completely, however,
when the transition from VU to IU is reversed,
that is, when the quantum universe is now treated
as a level of reality which is more fundamental
than VU, giving rise to the visible universe from
the underlying quantum structure. (This is the
meaning of Hawking’s claim that the quantum
universe with imaginary time can be more
fundamental and genuine level of reality, whereas
the visible distinction between space and time
in classical universe is merely a figment of our
imagination.) According to the logic of quantum
cosmology, the transition IU→ VU describes the
actualization of the visible universe VU out of IU;
it, however, must be understood by us, in view
of our interpretation of the quantum universe
IU, as a causation in a conceptual space, invoked
by the thinking intellect. This implies that the
mechanism which actualizes the universe VU out
of IU is itself treated by us also as a construct
with the intelligible ontology.
We observe here a kind of intellectual inversion
from causation originating in the temporal series
(VU → IU), to causation originating in the purely
intelligible series (IU → VU), the completeness
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of which is based upon existence of an absolutely
necessary cause (that is, the quantum universe).
This jump in reflection is based on an inability
to build the empirical content of the concept of
the unconditioned condition (IU) in the series of
empirical causes. According to Kant, however,
from the structure of the visible universe VU
one can not conclude via the empirical analysis
to the existence of such a necessary cause (IU)
which would not be contingent itself. And that is
why one can state that there is no an absolutely
necessary cause or being which would explain
VU. This means that the quantum universe has
no ontological references in the empirical realm.
It exists as an intelligible object, which functions
in thought only as the purpose of the logical
justification of the theory of the visible universe
VU as a contingent state of affairs involved in
temporal flux. Hawking, as we have seen, believes,
however, that IU has the same physical ontology
as VU, and that is why the causation which brings
VU into existence out of IU is sought as a physical
law (we mentioned before that Hawking claimed
that there must be laws of the initial conditions in
the universe).
The clash between the realistic treatment of
IU promoted by Hawking in spite of his generally
positivistic metaphysics on the one hand, and the
opposite claim on the same treatment following
from a simple Kantian analysis, leads us to an
antinomial puzzle, which points to the only
justifiable formula for dealing with the situation;
namely to treat Hawking’s intention to justify
the visible universe as originated from quantum
level, i.e. the transition IU → VU, as an example
of antinomial reasoning, which is similar to the
Kantian reasoning on an absolutely necessary
being expressed in his Critique of Pure Reason
in the fourth antinomy (A452-453/B480-481).
The antinomy about the origination of the visible
universe out of intelligible quantum universe can
now be formulated as follows:
Thesis: There belongs to the world
the quantum universe (Euclidean
4-sphere) IU which provides the
boundary condition for the visible
universe VU, and whose existence is
absolutely necessary for the visible
universe VU to exist; and this is a causal
condition for VU to be as it is.
Antithesis: There nowhere exists
the quantum universe IU in the world,
as the cause of the visible universe VU
(there is no connection between IU
and VU: they belong to the different
ontological realms (intelligible and
empirical) correspondingly).
The appearance of such an antinomy in the
discourse of origin of the universe is remarkable
because, as we remember, the initial motivation
of Hawking’s model was to overcome the
difficulties associated with the fi rst Kantian
antinomy on the origin of the universe in time,
that is on the beginning of the universe in
time. What happened, as a result of quantum
cosmology’s attempt to remove the problematics
of the fi rst antinomy, is very interesting: one
detects a certain metamorphosis of antinomies.
The overcoming of the fi rst antinomy led with
a sort of inevitability to the formulation of the
antinomy of the origin of the universe not in
terms of time, but in terms of the absolutely
necessary being. This shift in the explication
of the problem of origin of the universe
has taken place not purely philosophically,
but under the pressure of developments of
cosmological theory. In other words, the very
progress of knowledge suggested a concrete
scheme of that how to explicate the intrinsic
interconnectedness of the Kantian antinomies.
This shift, as we argue, reflects some general
patterns of scientific attempts to fi nd the
foundation of the world undertaken by human
subjects.
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Kant could use the antinomy formulated by
us for a negative conclusion about the empirical
evidence for the existence of an absolutely
necessary being (IU) as a cause of the visible
universe VU. His argument would be that the
quantum universe IU belongs to the intelligible
realm and does not have an independent
ontological being apart from the thought, which
brought the ideas of IU into being. However this
conclusion constitutes nothing negative, for the
antinomies, as puzzles for human reason, can
be considered as natural difficulties arising in
relating the ontology of the sensible world to the
ontology of the intelligible world and vice versa;
these difficulties point towards the limits of the
human power of knowledge. However, one can
go further and claim that the new explication
of the fourth cosmological antinomy of Kant,
in fact, refi nes the scheme of constituting of
the very human cognitive faculties. Namely,
this antinomy in its logical performance by
reason, manifests the process of mediation
between the sensible and intelligible worlds,
performed by a human subject in virtue of that
this subject is itself a complex of the physicobiological and intellectual-spiritual, so that the
mediation between the sensible and intelligible
worlds happens within this human subject. Thus
the structural similarity in the constitution of
humanity and the universe is revealed: it can be
formulated as that there is a common underlying
principle (logos) which lies in their foundation
and the content of this principle is that there is
the ontological difference (diaphora) between
the sensible and intelligible in both the universe
and humanity.
An interesting feature of modern cosmology,
which is not a philosophical discipline, is that it
reveals the unity of the human reason with respect
to two realms in the created being. This unity is
reveled through the transformation of the first
Kantian antinomy (on the temporal beginning
or eternity of the universe), into the fourth one
(on the ultimate foundation of the world), the
transformation through which the problem of the
underlying foundations of the contingent facticity
of the world is explicated in a new way. This fact
demonstrates that cosmology is imbued with
anthropology in the sense that its transcendental
consciousness reveals the antinomial difficulties
arising as soon as the understanding transcends
the boundaries of experience and endeavors to
speculate on the foundations of its own facticity.
Taking this into account, cosmology can be seen
not only as a natural science, but also as a human
science, which narrates no so much about the
external world, but rather about humanity and its
place in the universe.19
The presence of antinomies in the
cosmological discourse, where one attempts
to speculate on the creation of the universe out
of nothing in a theological sense, points to the
fundamental difference in the contingent creation
between the intelligible and sensible realms.
It makes possible for us to guess whether this
tendency of a split in theory between empirical
realities and their conceptual images, if taken
in its extreme, will always lead a scientist
to the detection of the ultimate frontier in
attempting to synthesize the variety of physical
experience in a single principle of unity, namely
to the unbridgeable ontological diaphora in
the created domain. The mediation between
intelligible and sensible, which is performed
by a philosophizing cosmologists, and which is
theologically justifiable, reflects the unification
of the divisions in creation (that, is the division
between intelligible and sensible realms) which
take place not ontologically, but on the level of
cognition.
The antinomial structure of the proposition
about the causation between the intelligible
quantum universe and the visible, combined
together with our analysis of the intelligible
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ontology of the quantum realm with an imaginary
time, leads us finally to the conclusion that that
quantum cosmology is dealing with differentiation
in the contingent creation, that is, with the basic
diaphora in creation, rather than with creatio ex
nihilo in a theological sense. However, since the
presence of the difference between the intelligible
and sensible reflects a general tendency and
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
specific feature of all scientific attempts, which
try to provide the genesis of the attributes of the
empirical universe in a single unified theory, it
becomes evident that these scientific models are
not theologically irrelevant in what concerns their
particular schemes which allow one to detect the
presence of the diaphora as a constitutive element
of creatio ex nihilo.
See, for example, Athanasius of Alexandria, Contra Gentiles 8, 34, 38, 40.
This issue was a matter of interesting discussions in the papers of J. A. Wheeler in 1960-80s. The full bibliography can be
found in his (Wheeler 1994, 351-4).
“Dust” stands here for the uniform distribution of clusters of galaxies, which are treated as noninteracting particles (similar to the concept of the ideal gas).
The bibliography on inflationary cosmology is vast, so that the reader, for example, can refer to a recent book (Weinberg,
2008).
A simple model of what has been said in the text can be found for example, in the papers (Gunzig et al., 1998, 2000).
See (Tryon 1988). A detailed analysis of this model can be found in (Isham, 1988).
E. Mc. Mullin points out that the position of Newton was a departure from the medieval Aristotelians who were not inclined to separate creation of matter and time (McMullin 1988, p. 44).
There exist some models which attempt to model the pre-Big Bang state of the universe.
Many leading cosmologists argue that the global initial conditions do not provide much use for conclusions about the visible universe. See, e.g. (Barrow, 1993; 1999, p. 26).
By leaving aside all technicalities in this trick one must be said, however that the idea to geometrize time dates back to
the developments of special relativity, where the unification of space and time in one complex was achieved through the
concept of the interval between two events, which is usually treated as a metric, that is the device which allows one to
measure distances between any events in space time, which is named as Minkowski space. The idea of geometrization of
time was not received positively among philosophers: it is enough to invoke the name of A. Bergson, who in his famous
book (Bergson, 1999) argued that this approach is philosophically damaging for taking into account various aspect of the
reality of time.
See details in (Hawking, Penrose, 1996, pp. 84-86).
See e.g. a good review paper of (Coule 2000). In this paper the healthy criticism of the creationist pretensions of quantum
cosmology is developed. The author rightly affi rms that the issues of “creation” is overstated in quantum cosmology and
its aim is to provide “quantum determination of the cosmological state” rather than to claim the “creation”.
J. Horgan in chapter 4 of his book (Horgan,1996) discusses the implication of Hawking’s cosmological model in the context of his claims about the end of physics as soon as the ultimate theory of everything will be built. Horgan accepts a view
that cosmology in the form as it is developed by theoretical physicists like Hawking, departs from any experimental base
(in comparison with astronomy for example). He calls this cosmology ironic rather than scientific, making a conclusion
that the trend it takes in its extreme speculation provides not an end of science as ultimate knowledge of everything, but
rather the “epitaph” for cosmology itself, as a scientific discipline.
Damascius offered an interesting geometrical analogy in explaining the nature of empirical time as the radiance which
circles around the intelligible center, the unity of all time, which preserves the order of time in the empirical world. See
(Sambursky, Pines, 1961, pp. 64-93).
Intelligible time in this picture is the cause of the coherent continuity of the temporal flow. This makes the empirical
time united with the intelligible one as the radii are united in the center of a circle. Damascius argues then that the whole
time exists at once as all radii exist at once at the center of a circle. He then draws a conclusion that the whole time exists
simultaneously in the same way as the whole space of the cosmos (it is interesting that this intuition is very similar to the
spatialization of time as is often done in the context of the relativity theory).
The Hawking model with imaginary time offers something similar, for its fi nite universe covers the whole span of all possible real times in a single space-like structure, whose existence, according to Hawking, is not in the flux of time, it rather
represents a hidden form of time, its encapsulated form.
The physical and mathematical problems which arise in this matching are discussed in Ch. 7 of (Hawking, Penrose
1996).
See papers of (Tegmark 2008) and (McCabe 2004-2005).
The idea that humanity acts as a mediator between divisions in creation was developed by Maximus the Confessor. See in
this respect books (Thunberg1995), (Tollefsen, 2008).
See his The Divine Names, 5,8; The Celestial Hierarchies, 4,3,1.
This point was advocated in (Nesteruk, 2011).
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References
Patristic writers:
Abbreviation : NPNF – P. Schaff and H. Wace (eds.), The Nicene and Post-Nicene Fathers.
Grand Rapids, MI: W. B. Eerdman Publishing Company, 1996.
1. Athanasius of Alexandria, Contra Gentiles, [ET: NPNF, vol. 4].
2. Augustine, Confessions, [ET: Saint Augustine. Confessions. Trans. H. Chadwick, Oxford
University Press, 1991].
3. Augustine, City of God. [ET: Augustine. Concerning the City of God against Pagans, Trans.
H. Bettenson, NY: Penguin Books, 1980].
4. Basil the Great, The Hexaemeron, [ET: NPNF, vol. 8].
5. Dionysius the Areopagite, The Divine Names [ET: The Divine Names and the Mystical
Theology. Trans. C. E. Rolt. London: SPCK, 1979].
6. Dionysius the Areopagite, The Celestial Hierarchies [ET: The Mystical Theology and
the Celestial Hierarchies of the Dionysisus the Areopagite. Godalming: The Shrine of Wisdom,
1965].
General bibliography
7. Barrow, J. “Unprincipled Cosmology”, Quarterly Journal Royal Astronomical Society, v. 34,
1993, pp. 116-34.
8. Barrow, J., Between Inner Space and Outer Space, Oxford University Press, 1999.
9. Bergson, H., Duration and Simultaneity, Manchester, Clinamen Press, 1999.
10. Coule, D., “Quantum creation and inflationary universes: A critical appraisal”, Phys. Rev. D
62, 2000, pp. 12401-12416.
11. Gunzig, E., Maartens, R., Nesteruk, A., Class. Quant. Gravity, v. 15, 1998, pp. 923-32.
12. Gunzig, E., Nesteruk, A., Stokley, M., Gen. Rel. Grav., v. 32, 2000, pp. 329-46.
13. Hawking, S. A Brief History of Time: From the Big Bang to Black Holes. London: Bantam,
1988.
14. Hawking S., Penrose, R., The Nature of Space and Time. Princeton University Press, 1996.
15. Hartle, J. B., Hawking, S. W., “Wave function of the universe”, Phys. Rev. D 28, 1983,
pp. 2960-65.
16. Horgan, J., The End of Science, London: Little, Brown and Company, 1996.
17. Isham, C., “Creation of the Universe as a Quantum Process”. In Physics, Philosophy and
Theology. R. J. Russell et al. (eds.), Berkley, CA: CTNS, 1988, pp. 313-31.
18. Kant, I., Critique of Pure Reason, 2nd ed. Trans. N. K. Smith. London: Macmillan, 1933.
19. May, G., Creatio Ex Nihilo: The Doctrine of ‘Creation out of Nothing’ in Early Christian
Thought. Edinburgh: T & T Clark, 1994.
20. McCabe, G., “The Structure and Interpretation of Cosmology”, Studies in History and
Philosophy of Modern Physics, Part 1, v. 35, 2004, pp. 549-95; Part 2, v. 36, 2005, pp. 67-102.
21. McMullin, E., “Is Philosophy Relevant to Cosmology?” In Modern Cosmology and Philosophy,
J. Leslie (ed.), NY: Prometheus, 1998, pp. 35-56.
22. Nesteruk, A. V., “Cosmology at the Crossroads of Natural and Human Sciences: is Demarcation
Possible?” Journal of Siberian Federal University. Humanities & Social Sciences. Part. 1, vol. 4, n. 4,
2011, pp. 560-76, Part 2, vol. 4, n. 5, 2011, pp. 644 -66.
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23. Plass, P. C., “Timeless Time in Neoplatonism”, The Modern Schoolman LV, November 1966,
pp. 1-19.
24. Sambursky, S., Pines, S., The Concept of Time in Late Neo-Platonism, Jerusalem, 1961,
pp. 64-93.
25. Tegmark, M., “The Mathematical Universe”, Foundations of Physics, vol. 38, n. 2, 2008,
pp. 59-101.
26. Thunberg, L., Microcosm and Mediator: The Theological Anthropology of Maximus the
Confessor. Chicago: Open Court, 1995.
27. Tollefsen, T. T., The Christocentric Cosmology of St Maximus the Confessor, Oxford University
Press, 2008.
27. Tryon, E. P., “Is the Universe a Vacuum Fluctuation?”, In. J. Leslie (ed.), Modern Cosmology
and Philosophy, NY: Prometheus Books, 1998, pp. 222-25.
29. Wheeler, J. A., At Home in the Universe, NY: American Institute of Physics Press, 1994.
30. Weinberg, S., Cosmology, Oxford University Press, 2008.
Проблема сотворения мира
в современной космологии
и метаморфоза кантовских антиномий
А.В. Нестерук
Университет Портсмута
Лайон Гэйт Бюлдинг,
ПОРТСМУТ, РО1 3НF, Великобритания
В статье проводится философский анализ известной в космологии попытки моделировать
сотворение вселенной из ничего. Модель квантовой космологии Хоукинга с мнимым временем
анализируется в соотношении с идеями неоплатоников и представителей патристики.
Анализ показывает, что современная космология представляет собой уникальный случай
продемонстрировать трансформацию антиномической трудности, возникающей при попытке
установить конечность вселенной во времени (первая антиномия Канта), в антиномию,
сходную с четвертой кантовской антиномией об абсолютно необходимом существе.
Сделан вывод, что космология не может моделировать творение мира из ничего, однако она
позволяет уточнить и эксплицировать далее структурный элемент богословски понимаемого
сотворенного мира, а именно онтологическое различие между областью умопостигаемых
форм и областью видимых вещей. Делается также вывод о том, что космологические модели
позволяют эксплицировать эпистемологические ограничения, возникающие при попытке
смоделировать творение мира из ничего.
Ключевые слова: антиномии, богословие, вечность, время, вселенная, космология,
пространство, различие, творение.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1777-1781
~~~
УДК 7.036
Environmentalism Aesthetic Aspects:
Ecology and Modern Art
Yuriy V. Sobolev*
Siberian State Technological University
82 Mira, Krasnoyarsk, 660049 Russia
Received 18.11.2012, received in revised form 21.01.2013, accepted 03.11.2013
In the present paper the author considers the problems of ecology and modern art in the context of
environmentalism aesthetics. Through nominal logical analysis, applying historic and semiotic methods
to the field of an examined problem the author identifies the main aesthetic and philosophical aspects
of the correlation between a current position of ecology and artwork. In the process of achieving
the major goal, which is stating the place of “aesthetic junction” in the context of ecologic artistic
discourse, the author consequently does the following: defines a place of ecologic range of problems
in a historic philosophical context; clarifies the main approaches to the given problem in foreign and
homeland traditions; outlines possible ways for correct entering the modern environmental aesthetics.
Theoretical material of the paper can be used in the courses of aesthetics, culturology and study of
art.
Keywords: aesthetics, environmentalism, ecology, modern art, culture.
Understanding environmental issues within
the discursive field of the philosophical tradition
is a relatively new phenomenon; today ecology
is seen mainly as one in a general range of
contemporary global issues (in particular, as one
of critical problems in history and philosophy
of science). This is one of the reasons why a
philosophical view on the ecological state of the
modern world is becoming a habitual fixation
and statement of the common (already timehonoured) idea that a human destroys the world.
Against this background, it seems as if a utopian
anachronism to retain the pathos of modern
European philosophy era, expressed in the famous
idea of Francis Bacon about overcoming nature
with the help of technical advances. However,
*
already in the first half of the 20th century, the
problem of man and world relationships became
a subject to interpretation for such scholars as
E. Mach, P. Teilhard de Chardin, V.I. Vernadsky
(Vernadsky, 1991). Later came the theory
of “deep ecology” (1973) by the Norwegian
philosopher Arne Næss. The essence of deep
ecology, which questions the “basic principles
of our society” (Næss), is to avoid the limitations
of methodological framework of modern
science. (For example, another representative of
this direction – W. Fox – suggested renaming
deep ecology into transpersonal ecology as
a certain symbiosis of deep ecology with the
eastern spiritual knowledge and experience of
European philosophical psychology). So, why
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: ysob@mail.ru
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is it philosophy which makes “ecological” issue
so topical, this very ecological issue which is
apparently inherent in ordinary research field?
To start with, the term “ecology” dates
back about the middle of the 19th century. But
only at the end of this century, the term came
to science through the agency of the German
biologist Ernst Haeckel, who in 1886 published
his work “General Morphology of Organisms”.
Etymological analysis of the concept of “ecology”
tells us that “ecology” is a “science of home and
house” and in a broader sense – a “science of
the world surrounding human – environment”.
Therefore upon any alarm (sometimes irrational!)
and translation of a problem into the humanitarian
sphere of knowledge is more than justified, when
we have to face a lexical item of “environmental
problem”, as in the language of the material
objects the “environmental problem” is perceived
as a rebellion against our own house and our own
intrinsic habitat, which is a way of aggressive
acculturation, the “winning” result of the latter
would be found in ruining the human natural
home. Therefore, economic and environmental
activities of mankind are experience they
acquired in relationships with nature. Such
experience is primarily required to identify
possible answers to the questions corresponding
to the ability to achieve human own homeostasis
in nature’s lap with the obligatory self-restraint of
human influence on natural ecosystems. And the
purpose of a human in these economic and sociocultural activities is to take reasonable decisions
in terms of awareness of the arisen management
problems of human activities.
Environmental problem as a problem of
interaction between man and nature inevitably
leads us to the broader issue – the question of
the correlation of culture and nature. In the
philosophical tradition the original statement
of this problem might have been found in the
ancient cosmological worldview without which
the environmental setting of the problem can not
be possible in principle, since the ancient Greeks
did not think of themselves as contrasted to
external nature (the macrocosm) and put out of it.
According to Aleksei Losev, “Antiquity is built on
animated, reasonable (and not just on objective,
not just objectively material and sensual) sense
of cosmology (Losev, 1988: 154-155). In this
context, we have the Socratic motto-creed “Know
thyself” as an illustration of that a human is not
just an organic substance of the macrocosm, but
a cosmic and harmonious potency, self-creating
itself in the mode of a macrocosmic habitat. In
other words, culture can not be reduced to values
as the finished results, instead it incorporates the
degree of development of the human himself, for
neither a human, nor a culture can exist in a static
state.
In connection with the aforesaid it is
appropriate to recall the concept of the noosphere,
which is based on an understanding of a human
habitat as a media of active influence on human
mind. Accordingly, the biosphere as a sphere
of wildlife, including the human culture, under
this influence is transformed into the noosphere,
the limits of which are expanded repeatedly and
determined each time by the limits of penetration
into the nature of human mind. One of the brightest
representatives of the noosphere theory – T. de
Chardin in his famous work “The Phenomenon
of Man” wrote: “Men can fully see neither
themselves outside of humanity, nor humanity –
outside of life, nor life – outside of the universum”
(Teyar de Chardin, 2002: 140). But even in an
attempt to unite into a single ontological plane
men and their cultural way of being, the highest
form of which is human spiritual activities, and
also the world around, one can not distinguish
between these two natures.
Art as the apotheosis of human cultural
activity turns out to be woven into the process and
range of problems of interaction between nature
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and society. Therefore, the main environmental
problem processes are considered not just in
the context of the global crisis state, but also
as a reflection of the dramatic and, in general,
inevitable consequence of (a product of) culture.
And in this sense the artist’s work can be thought
as a secondary reflection, as a repetition and
fixation of the act in the “failed” culture, as an
attempt to change the extemporaneous result of an
activity with a scheme “nature – culture – death
of nature” for a meaningful cultural outcome
“nature – culture – death of nature – restored
culture as art”. In other words, the aesthetic
result of an art-istic activity of an artist turns to
be functional (according to Aristotle): on the one
hand, the artist’s work is informative, as it gives
“knowledge”, on the other hand, this activity is
aesthetic and hedonistic as acquaintance with this
work gives a pleasure to the viewer (Aristotle,
1957: 48-49).
Here we should note one important
peculiarity, which determines correct entering the
problem: the aesthetic phenomenon goes beyond
the limits of art itself, and culture in general. To
put it otherwise, in the context of humanitarian
understanding of environmental issues, we can
speak about the aesthetics of nature (in this case,
about the destruction of the natural aesthetics).
The rationale for this position can be found in the
work “Aesthetics of Nature” by A.F. Losev and
M.A. Takho-Godi: “Everyone understands nature
primarily as a kind of a natural attribute that does
not require for itself any artificial properties and
any aesthetics. On the other hand, however, all
the arts, without exception, not to mention the
ordinary human consciousness, persistently point
out the beauty of nature, its existing harmony,
rhythm, and talk about the lyrical or ominous
moments, which are characteristic of certain
paintings of nature. Such phenomena suggest
that the aesthetics of nature does certainly exist
and that it is infinitely varied, capable of causing
in the human psyche both calm and excitement,
senses of grandeur and immensity, feelings of
peace and tranquility. Aesthetic impact of nature
on man arises no doubt. But the aesthetics of
nature can not be based on random impressions,
personal tastes and like any science it needs
logical definitions, categories and principles”
(Losev et al., 2006: 5).
As we can see, the aesthetic model of nature
has remained throughout human history such
a visible image that surrounds and permeates
human existence, provoking a man as an artist
to answer through the mimetic act of creation.
Strictly speaking, imitation as a key principle
of creative thought is a constituent in the whole
Western European aesthetics: from an ancient
mythologema of organic arrange-ment of the
world to Christian revelation about con-gruity
and con-forming of man into God in freedom
of creative will and expression. “God became
man so that man might become God” – this
famous formula expressed by the Reverend John
Chrysostom bears to the greatest extent certificate
of mimetic (but in this case now – ontological!)
principle of human life creation. Consequently
it is not surprising when an artist seems to have
overcome the syndrome of postmodern paradigm
by reversing (return) to nature through the
understanding of the environmental problem.
In a sense, it is the process of dialectical logical
completing the circle of the whole period of artistic
creation history: from mimesis to speculation and
back. And all creative searches of modernists,
which had their incarnations in various forms of
art, were themselves artistic acts, a social game
and escape from nature.
Aesthetic (emotional and sensual) human
intentions even in the “failed”, peripheral culture,
i.e. in trash, waste, debris, enable one to see
(and imitate, copy) the supreme example of an
artist, which is nature. As one of those cultural
phenomena of the 20th century it is appropriate to
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recall environmental art (in other cases, the term
“eco-art” is used). “The term “environment”
(derived from the English language) is polysemous.
From the point of etymological studying it means
the area surrounding something. When used in a
broader sense, this term is often confused with
“ecology”, the complex of relationships between
any object and its environment. Most of the
meanings of the term “environment” are within
these limits” (Bychkov, 2003: 606).
Representatives of environmentalism
(mainly plastic one) in different countries of the
world do not just create works from recycled
materials, but with their help attract public’s
attention to ecological problems. Consonance of
discordant sounds is informatively effectively: a
viewer, while immersing into the experience of
aesthetic, is involved in the interpretation of the
presence of a very important, but diffused, and
therefore invisible background of their own life,
which has the negative consequences of human
acculturation.
However,
the
representatives
of
environmentalism themselves are not excited
about this definition. For most of them, it is not
an art in the strict sense of the word, but a kind
of a loudspeaker, allowing “crying out” to reach
society and draw attention to environmental
issues. Same professional artists using techniques
and materials borrowed from environmentalism
call it modern art, without any additional
definitions and clarifications.
Eco-artists call to draw attention to
the problem of the spread of household
waste, including electronic one. They create
extraordinary paintings, sculptures, decorative
objects, items of clothing, upon looking at
it is not immediately clear what material
has been used for their creation. Examples
of environmentalism artworks include the
following curiosities: “House of Glass Beer
Bottles”, created by Tito Ingeneri (Argentina);
“The CD Chair” from Belen Hermosa (Spain);
“Sneakers of Electronic Parts” from Gabriel
Disho (USA); “Advertising Banner of Obsolete
Computer Displays” ( USA); “Plastic Bottle
Chandelier”(Canada), “Picture- Installation of
Discarded Phones”, created by Nigel Sielegar;
a sculpture of a huge mobile phone from a large
number of discarded mobile phones (Romania);
a house of plastic bags filled with Styrofoam
packing peanuts from Max Wallach; A couch
constructed from 20 Macintosh II computers
(USA) and many other objects.
In summary, we note the question whether
environmentalism belongs to one of the trends
in contemporary art remains unsolved. Probably,
the formulation of such a problem itself can be
removed in the result, for instance, of development
and dissemination of environmentalism as, for
example, a social movement. But no doubt that the
phenomenon of environmentalism itself (or eco –
art) is worth studying: the visual (artistic) image
implies the substantial messages about a real
universal threat – global ecological catastrophe,
and it should become a clear reminder to the
person of the existence of “first nature” and its
tragic status today, when nature is dissolved in
an alien state of concrete walls in metropolitan
cities.
Refences
1. Aristotle. On the art of poetry (Moscow, Fiction edition, 1957), in Russia.
2. Bychkov V.V. Lexicon nonclassica. Art and esthetic culture of the XX century (Moscow,
«ROSSPEN», 2003), in Russia.
3. Eko art and design (http://www.zelife.ru/ecophoto/87-ecodesigngoods.html) [Accessed 07
December 2012], in Russia.
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Yuriy V. Sobolev. Environmentalism Aesthetic Aspects: Ecology and Modern Art
4.
5.
6.
7.
Losev A.F., Taho-Godi M.A. Aesthetics of nature (Moscow, «Science», 2006), in Russia.
Losev A.F. Spirit aspiration (Moscow, «Politizdat», 1988), in Russia.
Teyar de Chardin P. The Phenomenon of Man (Moscow, «ACT edition», 2002), in Russia.
Vernadsky V.I. Some Words About The Noösphere (Moscow, «Science», 1991), in Russia.
Эстетические аспекты энвайроментализма:
экология и современное искусство
Ю.В. Соболев
Сибирский государственный
технологический университет
Россия 660049, Красноярск, пр. Мира, 82
В настоящей статье автором рассматриваются проблемы экологии и современного
искусства в контексте эстетики энвайроментализма. Путем формально-логического
анализа исторического и семиотического методов внутри проблемного поля исследования
выявляются ключевые эстетико-философские аспекты взаимосвязи современного статуса
экологии и художественного творчества. В ходе достижения главной цели – определения
места «эстетического узла» в рамках эколого-художественного дискурса – решаются
следующие задачи: определяется место экологической проблематики в историкофилософском контексте; освещаются основные подходы к данной проблеме в зарубежной
и отечественной традиции; намечаются возможные пути для корректного вхождения в
современную энвайроментальную эстетику. Теоретический материал статьи может быть
использован в курсах по эстетике, культурологии, искусствоведению.
Ключевые слова: эстетика, энвайроментализм, экология, современное искусство, культура.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1782-1886
~~~
УДК 37.06
How Russian Rural Teachers Work:
Market Trends in the Common Education
Serge V. Leliukhin*
Stolypin Volga Region Institute
23/25 Sobornaia Str., Saratov, 410031 Russia
Received 24.07.2013, received in revised form 31.07.2013, accepted 04.08.2013
Author investigates market trends in Russian common education in the contest of functioning of
profession of rural teacher. He chose neo-Weberian approach in sociology of professions focused
on the conflict and the negative aspects of the relationship between the state, the market, professions
and citizens. He used biographical method as a kind of ethnographic approach to the case study in
two different districts of Saratov region. Author conducted narrative interview with the principal and
opened interviews using the methodology of free association with the students of the school (N=20)
in the village Prokudino of Atkarsk district in November 2012. Author conducted narrative interviews
with teacher and principal; opened interviews with schoolchildren (N=8) of school number 10 in the
village of Kamensky in Krasnoarmeisk district in September 2012.
Author described two market trends in the context of theory of Bourdieu's capital. He showed the
different effects on the functioning of the profession of Russian rural teachers. The optimization of
schools led to the conversion of the cultural capital of teachers and social capital of pupils into the
economic capital. The economic capital as a way to overcome the financial barrier and social capital
of young professional environment converted in the cultural capital needed for the labor market
demanded specialist in the rural school.
Keywords: Rural teacher, Bourdieu, capitals, sociology of professions.
The optimization of the school network is
the market trend of Russia and several transition
countries, such as Armenia, Bulgaria, Estonia,
Hungary, Latvia, Romania and Ukraine (Coupe
2011). This very situation is characterized by
a multitude of very small schools and very
small classes. Many governments try to reduce
costs and would like to merge small schools as
the cost of one big school with many students
is typically smaller than the cost of having
a network of many small schools with few
students in each. The place of their residence
*
is the zone of territorial availability for 92 % of
Russian schoolchildren (Konstantinovsky 2008).
Children tend to learn where they live. Russian
parents and teachers took the real actions in
response to the threat of closure of schools
in different regions of the country: Moscow,
Ulyanovsk, Transbaikalia etc. (Chilikova
2010). Declining quality of education in some
rural schools is due to the fact that the teaching
staff in them is not staffed. Russian Ministry
of Education held a competition for graduates
in 2010 to fi x this problem. 8 winners in the
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: s.lel@list.ru
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Saratov region received grants in the amount of
500,000 rubles.
Basic theoretical and methodological
orientations of sociology of professions include
functionalist,
critical
and
neo-Weberian
approaches (Romanov 2009). Some sociologists
carry out searching for the ideal model of the
profession in the context of the paradigm of
structural functionalism. Others examine the
inequalities in the mosaic of professions and
occupations, the positions and specializations
within the critical approach. The conflict and
the negative aspects of the relationship between
the state, the market, professions and citizens
are in the focus the neo-Weberianism. Began to
study the profession of rural teachers in general
education we chose neo-Weberian approach.
Biographical method as a kind of
ethnographic approach to the case study has
become a tool of our study (Romanov 2008).
Trying to understand how optimization of the
school network affected on the functioning of
the profession of rural teachers, we identified
the adoption of children from orphanages by the
staff of the rural schools. Such manifestations
of activity took place in Chuvashia, Penza and
Saratov regions (Kuzin 2012, Kulikov 2009).
We focused on the study the experience of the
teachers of the village Prokudino of Atkarsk
district in Saratov region. We conducted narrative
interview with the principal Svetlana Zonova
and opened interviews using the methodology of
free association with the students of the school
(N=20) in November 2012. Studying the results
of the financial support for rural teachers, we
turned to the analysis of personal experience of
Elena Samarina. She is the winner of the special
contest of Russian Ministry of Education. She
graduated from the Pedagogical Institute of
Saratov State University in 2010 and began to
work as a teacher of the secondary school number
10 in the village Kamensky (Krasnoarmeisk
district, Saratov region). In September 2012 we
studied the characteristics of participation in the
contest during the narrative interview with Elena
Samarina and principal of school Valentina Soina.
We used opened interviews with schoolchildren
(N=8) to analyze the interaction of teacher and
kids.
Pedagogical Poem of Prokudino
Village Prokudino is located about 30 km
from the district center, the city of Atkarsk.
Regular buses to the village for a long time do not
go, though Prokudino is a pretty big and strong
village. Local school is new, spacious and wellkept grounds. Local media and federal channels
informed about the teachers who have taken in
orphans. The response of teachers to the content
of publications and reports was a hurt: «Why not
just write about us and did not speak. They said we
took the kids for money. They decided it was the
step of desperation to save work. They discussed
all the details from the past of kids, although we
shared the secrets. Imagine what it was like to
read to our children… We would save not only
themselves, but the whole village. Village with no
school is doomed» (Svetlana Zonova, principal).
Teachers took the decision to foster children
10 years ago. Svetlana Zonova had three of their
children and one adopted daughter. Some of
her colleagues were involved in the program of
family educational groups of local orphanage
«Dobrota». Orphans temporarily staged in the
family of teachers in this program. Seven teachers
and three school officials took the children from
the orphanage. 30 former orphans were enrolled
in the school for all the years of work with foster
children. Orphanage «Dobrota» has ceased
to exist as unnecessary due to teachers from
Prokudino.
Turning to the study of the structure of
everyday thinking of children, we proceeded from
the fact that the world appears to the individual in
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his own experience and interpretation. We used
the association experiment to understand the mood
of children. We conducted a study anonymously
so as not to highlight orphans among guys. We
asked children to compare their current internal
state to the season. Children spoke positively in
their associations. They talked about the spring,
because «my heart warm, fun. I am surrounded
by people who love me. It’s heyday, energy,
power, prosperity». They compared themselves
to the summer, when the «beautiful, interesting
life. Every day in the summer is a holiday». We
identified one case of negative associations, when
the soul of a child is autumn: «Journalists come
to the school and ask the question, how do you in
the family. Or even worse, shoot us and shown on
TV that we foster children».
We used the theory of capital Bourdieu to
interpret the data (Bourdieu 2002). Accumulation
of cultural capital in incorporated state manifested
in the form of improving teachers’ personalities.
They let orphans in the world of their families.
They overcame the difficulties of mutual
adaptation. They took responsibility for the lives
of orphans. The school as a cultural symbol in
objected state of the village has been preserved.
Prime Minister of the Russian Federation Dmitry
Medvedev have visited the school in the village
of Engels district of Saratov region and noted:
«School is modern, good. There is a school – there
is a village. Therefore, educational institutions
must be preserved; their optimization can lead
to mindless mechanical reduction of the socalled small schools» (Gorevaia 2012). He made
this conclusion after 10 years of the application
of optimization in the educational policy of the
state. Children were in families. They were able
to accumulate social capital by forming a network
of connections required for material and symbolic
profits. Cultural capital of teachers and social
capital of pupils were converted into economic
capital. Professional employment of teachers has
been saved. They prevented the negative effects
of reducing the number of students at the school.
School could lose the status of a secondary.
Teachers would have lost work because of job
cuts.
The winner of the contest
in the village of Kamensky
Kamensky village is located in the southern
part of the Saratov region, bordering with the
Volgograd region. It has existed since 1765, was
founded by German colonists and until 1943
known as Grimm. The village preserved German
artifacts: primary school, a shop with a warehouse
complex, residential stone houses with typical
northern German attributes facade. We found
that Elena Samarina learned from the director of
the school in the village of Kamensky on existing
vacancy of teacher of German language and
ability to obtain a grant. She decided to participate
in the contest.
Young teacher in the countryside, begins its
new stage of life “from scratch”, has a serious
financial problem. Their salary is less than 8, 000
rubles a month (including allowances for working
in rural areas), and the value of the house about 1
million rubles. Elena Samarina received 500, 000
rubles as the winner of contest. This money is not
enough to buy a house in the village. Moreover,
she could not use them immediately. She could do
it only after a year of work in the school and the
positive evaluation of the grant project. She had
parents in the village of Kamensky. She could
live in the family home. Without parental home,
she would not take part in contest.
We have studied the process of joining
Elena Samarina in the teaching profession. We
have systematized answers of pupils. We asked
them to continue the two phrases. Firstly, «Elena
Alexandrovna is a teacher who taught me…».
Secondly, «She is the person with whom I take
the example in the ...». We revealed knowledge
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and skills, developed with the participation of
Elena, which go beyond the study of the German
language. She contributes to the socialization of
pupils, teaching them «to respect for others»,
«to talk to older people, especially teachers»,
«to listen to what they say, which give advice».
She teaches them responsibility: «If you take the
job, then finish it to the end». She develops their
self-control: «Thanks to her in our sometimes
«furious» class appeared necessary discipline».
She teaches them how to behave: «I want to walk
like her, she walks beautifully».
We have applied the theory of Bourdieu's
capital for the interpretation of the data. We
concluded that the rural school teacher acquired
cultural capital in the institutionalized state,
having the opportunity to work in a specialty and
professional recognition. Economic capital in the
form of a grant state support and social capital
contributed to this result. After graduation she
returned to her old school, but as a colleague of
his former teachers. She began her professional
activities in the team, who knew her and
appreciated all the previous years. The school has
gained highly skilled with the financial support
of the government of the Russia.
Two market trends in the context of their
analysis using the theory of Bourdieu’s capital
have different effects on the functioning of
the profession of Russian rural teachers. The
optimization of schools led to the conversion of
the cultural capital of teachers and social capital of
pupils into the economic capital. Financial support
for young rural teachers through the organization
of professional contest was not widely supported
by university graduates for a number of reasons
identified earlier (Leliukhin 2012). The economic
capital as a way to overcome the financial
barrier and social capital of young professional
environment converted in the cultural capital
needed for the labor market demanded specialist
in the rural school.
References
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2. Chilikova L. (2010). The authorities of the Ulyanovsk region will publish a program of schools’
optimization [Vlasti Ul’ianovskoi oblasti opublikuiut programmu optimizatsii shkol]. Russian general
educational portal of the Ministry of Education and Science of the Russian Federation, available at
www.school.edu.ru/news.asp?ob_no=76197 (access 8 April 2012).
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at
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Serge V. Leliukhin. How Russian Rural Teachers Work: Market Trends in the Common Education
8. Leliukhin S. (2012). Young teacher: entry into the profession problems and how to overcome
them [Molodoi uchitel: problemy vkhozhdenia v professiiu i ikh preodolenie]. Kadrovik, (10), 114118.
9. Romanov P.V., Iarskaia-Smirnova E.R. (2009). World of Occupations: revision of analytical
perspectives. Socis, (8), 25-35.
10. Romanov P.V., Iarskaia-Smirnova E.R. (2008). Methods of Applied Social Research [Metody
prikladnykh sotsial’nykh issledovanii]. Moscow, Variant, 2008. 215 p.
Работа сельского учителя в России:
тенденции на рынке общего образования
С.В. Лелюхин
Поволжский институт управления
им. П.А. Столыпина
Россия 410031, Саратовская область,
Саратов, ул. Соборная, 23/25
В данной статье автор анализирует тенденции на рынке российского общего образования
в контексте работы сельского учителя. Для анализа был выбран неовеберианский
подход в социологии профессий фокусирующийся на конфликте и негативных аспектах
взаимоотношений между государством, рынком, профессионалами и гражданами. В качестве
этнографического подхода автор использовал биографический метод для изучения ситуаций
в двух различных районах Саратовской области. Автором были проведены индивидуальные
интервью с директорами школ, а также открытые интервью с использованием методологии
свободной ассоциации с учениками школы (N=20) в деревне Прокудино Аткарского района в
ноябре 2012 г. Также были проведены индивидуальные интервью с учителями и директором, и
открытые интервью с учениками школы (N=8) в посёлке Каменском Красноармейского района
Саратовской области в сентябре 2012 года.
Автором описываются два тенденции на рынке общего образования в контексте теории
капиталов Бурдьё. Он показывает, как профессия российского сельского учителя подвергается
влиянию различных аспектов. Оптимизация школьного образования привела к конверсии
культурного капитала учителей и социального капитала школьников в экономический капитал.
Специалистам в сельской школе требуется экономический капитал как способ преодоления
финансового барьера и социальный капитал молодых профессионалов, конвертируемый в
культурный капитал, необходимые для рынка труда.
Ключевые слова: сельский учитель, Бурдьё, капитал, социология профессий.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1787-1799
~~~
УДК 93/99
Residents’ Participance in the Celebration
of the Tobolsk Province
in Tercentenary of Romanovs’ House
Alexander А. Valitov* and Igor S. Tomilov
Tobolsk Complex Scientific Station UB RAS
15 Ac. Yuri Osipov, Tobolsk, 626150 Russia
Received 06.06.2013, received in revised form 09.06.2013, accepted 02.11.2013
The purpose of this article is the research devoted to celebration in the Tobolsk province of the
tercentenary of Romanovs’ house. Besides, participation and a contribution of inhabitants of this
region in anniversary events at all-imperial level are noted. Assistance of the population of the Tobolsk
province in preparation and carrying out actions of various character – from secular to religious and
from regional to nation-wide is revealed. The contribution of the authorities of edge, his inhabitants is
shown. The trip to St. Petersburg of archpriest Dimitry Smirnov with a gift of the Abalaksky icon for
emperor Nikolay II from inhabitants of the Tobolsk province is also colourfully and brightly described,
his personal moods and experiences are shown.
At last, reflection is found and influence of this event in the general context of celebrations, and value
of anniversary for all estates of the Tobolsk province is in detail opened.
Thus, in four years prior to falling of the imperial power in Russia, the nation was fastened by three
eyelids of monarchic traditions. As experiment of Western Siberia shows, most fully it was shown in
the provinces remoted from the center.
Keywords: anniversary, Romanovs’ house, the Tobolsk province, the Abalaksky icon, the Tobolsk
delegation, the siberian and Tobolsk diocese, an imperial family.
Work performed under the project of young scientists and graduate students TKNS UB RAS 2013
(№ M-G-13-1).
Introduction
In public life late imperial Russia the
events have come to occupy an important place
dedicated to anniversaries and memorials of
famous historical events.
Beginning of XX century was marked by
a series of celebrations of various kinds and
sizes. The researcher Cymbaev K.N. noted:
«The constant celebration of important dates is
a feature of russian life of this period, when the
*
society and the state is literally covered by the
Jubilee fever» (Tsimbayev, 2005). But on the
other hand, one of the members of the imperial
family, watching the celebration in 1913, recalled:
«I got the impression that the anniversary of
the Romanov’s House passed without much
enthusiasm ... Of course, in the theater the invited
audience shouted “Hurrah”, the band played a
hymn, but there was no mood. Everything was
state-owned, there was no feeling that everybody
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: val11@bk.ru
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Alexander А. Valitov and Igor S. Tomilov. Residents’ Participance in the Celebration of the Tobolsk Province…
of Russia unanimously celebrates his dynasty»
(Konstantinovich, 1955: 94).
At that time there were not only the
anniversaries of major historical events in
Russia, usually organized by the state. Various
political, social, scientific, cultural, commercial
interests have used the smallest reasons for
celebrating received a certain resonance. In the
last years before the First World War noncircular
anniversaries were often widely celebrated
annually tens such as the 40th anniversary of
the founder of a scientific aerodynamics N.E.
Zhukovsky, the 30th anniversary of the funeral
of General M.D. Skobelev or 45th anniversary of
the founding the Katkovsky’s school in Moscow.
Domestic
and
foreign
historians
underestimated phenomenon of anniversaries of
late imperial Russia in the early XX century.
In contrast to european celebrations, which
have been studied in detail, the russian almost had
no interest by historians. Dealt with only certain
aspects of the phenomenon, mainly related to the
war of 1812 (Nekrasov, Zemtsov, 1969). In soviet
historiography only in the article by Dyakova
there is mention of the century in the battle of
Borodino in the total number of anniversaries in
relation to their impact on the pre-revolutionary
Russian historiography (Dyakov, 1981). This
theme had not received further development
of until now. One may note only one section of
the monograph «Russia at the beginning of XX
century», dedicated to the celebrations of 19031913 years (Ulyanova, 2002). Built on a wealth of
facts and describing all the major anniversaries of
the century, this work is only a general overview
of the topic.
One of the first major research projects in
the newest national historical literature devoted
to Emperor Nicholas II, is the study of B.V.
Ananyich and R.Sh. Ganelin (Ananyich, Ganelin,
1993). The merit of the authors of a detailed
account of the monarch’s biography and an
attempt to examine his views. And anniversary’s
celebrations passes reference. However, a weak
base documentary research strikes. The work
is based mainly on the works of 1960-1970’s,
memories or diaries dignitaries, who treated
the Emperor biased or relatives. Certain factual
material about the reign of Nicholas II gives the
work of A.M. Anfimova (Anfimov, 1994).
Of foreign researchers Richard Wortman
addressed primarily to study anniversaries. The
fundamental work «Scenarios of power» belongs
to him, which remains one of a kind work,
detailed coverage of the ceremonial and festive
traditions of imperial Russia. One of the chapters
of this study specifically devoted to the 300th
anniversary of the Romanov dynasty, in which
the author describes in detail the celebration –
from training activities and erecting monuments
to the actual celebrations in St. Petersburg and
other cities (Wortman, 1989). In addition, to the
problem of perception and processing of military
and historical experience in 1912 an article
german historian K. Schneider is devoted «100
years after Napoleon» (Schneider, 2001). The
religious aspect of the anniversary celebrations
and the Church’s role in these events in detail
and thoroughly covered in a number of papers of
K.N. Tsimbaev «The Orthodox Church and state
anniversaries of Imperial Russia» (Tsimbayev,
2005). However, in all these works the regional
aspect of the anniversary celebrations affected
only indirectly, and the role of the province in the
celebration of the tercentenary of the Romanov
dynasty has never been the subject of a special
study.
«No one of the previous anniversaries
excited so many different aspirations and
hopes, as the threehundredth anniversary of
the Romanov dynasty – hopes that the majority
remained unfulfilled»1. Symbolically, it is the
anniversary fell on the last peaceful year of the
Russian Empire.
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The jubilee became popular. The patriotic
fervency felt everywhere. The threehundredth
anniversary of the Romanovs’ dynasty was not
perceived in society only as a celebration of the
ruling dynasty and its local environment. This
anniversary is an aware society as extremely
important milestone in the history of the country
for which the last 300 years have been a special
period of statehood. Historian A.E. Presnyakov
wrote, in the preface to the anniversary sixvolume «Three Centuries», that «under the
authority of the fi rst Romanovs have been
formed and are the main features of the Russian
state and social class, which dominated until the
liberation reforms of Alexander II», followed by
a period of «fighting the old with the new in the
Russian state and public life» started releasing
the peasants as serious slow transformation
of Russia into a constitutional state (Three
centuries, 1991: 9). Prominent royal bureaucrat,
Governor of Moscow in 1904-1912 years
V.F. Dzhunkovsky expressed the same thought
this way: «For three hundred years Russia has
made the work of thousands of years, turned into
two light and from obscurity Moscovy turned
into an irreversible omnipotent great power
of the Russian empire. Romanovs. Especially
it happend with the accession of Peter. Russia
moved heroic step forward and by enriching and
conquests led to world domination and whole
possession. It was created by the great and whole
Russia» (Dzhunkovsky, 1997: 145).
Preparing for the anniversary continued for
several years, and especially intensively since
1911. For coordination of the festivals special
committees and commissions were organized,
such as the Committee on the device of the 300th
anniversary of the accession of the Romanov
dynasty, chaired by A.G. Bulygin Romanov and
commission of the State Duma. Throughout
Russia, local committees operated chaired by
governors.
In celebration of the anniversary are there
three major stages – the celebration in St.
Petersburg in February 1913, «pilgrimage» of
Nicholas II and his family to the historical places
of the Romanov dynasty in the Volga cities in
May 1913, staying in Moscow in late May 1913
(Russia at the beginning of XX century, 2002:
560).
The population of the province of Tobolsk
participated in the preparation and within the
festivities.
Of the three largest cities in the province of
Tobolsk a special delegation was elected that was
to directly represent the region at the celebration
of the tercentenary of the Romanov dynasty. The
structure of the head of the deputation entered
the city: Tobolsk – S.M. Trusov, Kurgan –
F.F. Shwetov and Tyumen – P.I. Nikolsky2.
On February 10, 1913 in St. Petersburg went
delegation to participate in the celebrations and
congratulations. Tobolsk delegation drove with
them for presentation to the Sovereign Abalaksky
icon of God’s Mother, which was set up to collect
donations for the entire province3. In addition to
these persons on the anniversary of the Romanov
dynasty the representative of the Muslim
population T.S. Aytmuhametov drove.
For the prevention of disorder and drunken
revelry Tobolsk City Council banned Thursday
trade throughout the day, in commemoration of
the 300th anniversary of the Romanov dynasty
February 214.
Central authorities to unify and give
uniformity festivities on the eve of the anniversary,
the Ministry of Education has prepared a special
circular, which was clearly stated the approximate
order of the 300th anniversary of the Romanov
dynasty institutions. The local authorities adhere
to this circular in organizing and conducting
ceremonies5.
The order of the celebration in Tobolsk the
300th anniversary of the reign of the Romanov
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dynasty in Russia was identical to the ministerial
circular6.
According to the memories of contemporaries
in the morning the city is decorated with flags,
in parish churches early Masses were served,
Imperial manifesto read, pray fro, and to 10 hours
with all the Churches processions to St. Sophia
Cathedral moved, where the icon of the Abalak
Mother of God was brought before. In the square
lots of people crowded, which for lack of space of
the cathedral could not get into it.
After Mass in the cathedral, by the reading
of the manifesto and the Te Deum, in the front
area the parade a parade of the local garrison was
held.
At the parade for the first time a
military structure and pupils of the Tobolsk
gymnasium arrived. Garrison commander Lt.
Col. N. Pantyukhin first made a speech to the
representatives of the parade, and then to high
school pupils with welcoming remarks as to
future recruits.
In the evening a solemn act was held in
the People’s audience. Chairman of the meeting
Tobolsk Governor A. Stankevich, opening act,
said feelingly speech and said that an hour ago,
he and Bishop Alexis sent a telegram to Emperor,
that from all the province sentences of rural
societies and greeting telegrams are received.
The act consisted of three sections: in the
first branch three times since the beginning of the
national anthem was performed by all choirs and
pupillary present, then high school teacher A.J.
Wjalych read historical account of the Romanov
dynasty, in conclusion choruses of all educational
institutions performed cantata of M.A. Goltisona
«Glory to the House of Romanovs».
The second and third branches sang choruses
seminary, diocesan schools and gymnasiums.
Four high school students in suits read «Feat of
Susanin», a poem of K.F. Ryleeva. Participants
noted many recitations of the celebration, the
most striking of which was the performance
of student from Lizunov’s seminary – «Death
of Hermogen», of H.Gorodkov schoolboy of
IV class – «Ipatiev Monastery», of a student of
class VIII. M. Gorodkova – «The Foundation of
St. Petersburg», «Rozhkov – Who is he», of a
student of the first class Zubkova «Ivan Susanin»,
of a student of class II of Bogushevich «Moscow
Kremlin».
A joined choir of bishops, diocesan seminary
and female college has sung beautifully «Has
come true, come true in Moscow will» and
«Glory». Also public liked schools of the Diocesan
Women’s Choir «God love the King», the choir of
high school students also sang not bad «Glory»,
with the music of A.I. Krasnotovsky.
In the end there was dancing – in the lobby
of a students’ audience third grade girls’ school’s
student Gustyleva sang good an aria of Vanya
from the opera «A Life for the Tsar». The evening
was very crowded and gala – men were in dress
uniform, ladies in bright dresses.
On Friday, February 22, there was the
evening of a public meeting in girls ‘school,
on Saturday February 23, in the boys’ school.
Morning performances were arranged for the
people. In the parochial schools were literary
and vocal mornings, so for example, was in St.
Andrew School7.
The anniversary of the Romanov dynasty
was celebrated in Tyumen according to the
similar scenario. From early morning on February
21 Tyumen was decorated with national flags,
according to witnesses, «... a rare house in the
center was decorated with flags, on the outskirts
of the city, in the barns, Zarechka, Zatyumenka
and in new quarters – everywhere were waving
flags, many banners were displayed, facade of
the City Council was made with garlands of pine
needles».
In Znamenskaya church, with a vast
concourse of people, after the liturgy of the clergy
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all the local churches gathered with icons and
went to the Royal Square, where a thanksgiving
service was given. The area was packed with
people. Solemn prayers were served after the
liturgy in the all parishes.
People of other religious faiths were not
outside, so in the local church, mosque and
synagogue, prayers were served for the health of
the king and the royal family.
In the evening the city was decorated
luxuriously with illumination. According to
the recollections of local residents, «no one
remembers in Tyumen such illuminations»8.
Tyumen Police Department received the
following message on the celebration of the
300th anniversary of the Romanov dynasty
in the Tyumen district, «February 20 in all the
churches in the county a memorial service had
for the deceased kings of the House of Romanov,
and on 21 there were the solemn prayers with
the cross passages. In the village of Fominskoje
public buildings were decorated with flags and
garlands of greenery. In the night reading was
held at the college with chorus of students. School
was illuminated and a gathering parish decided
to purchase and put in the township board of an
icon of the Saviour. In Velizhanskaya parish, in
township board the spare lower ranks assembled,
filed anthem, the reading held. In Bogandinskaya
parish was also reading. In Sazonovskaya parish
in the township board outline of the major events
in Russia over the past 300 years was read. In
Gilevolinovskaya parish reading held, in the
village of Yarkovsky and Gilevolinovsky too. In
Chervishevsky parish reading was in 2 classroom
school. In the village of Tavdinsky in college
students sang the hymn, the children were given
sweets. At Trinity Parish readings took place in
schools of Kulakowsky and Lugovskoy»9.
Also the remotest villages of the province
responded and had a wonderful celebration. «In the
village Obdorskoye on 21 of February in a day of
the 300th anniversary of the Romanov dynasty, in
the Peter-Paul church there were rector of Obdorsk
spiritual mission abbot, Innokentiy the service of
the abbot Peter-Paul church, Plekhanov and two
associates on the mission, A. Kryzhanovskii and
hieromonk Nikon; conciliar Divine Liturgy with
the proclamation of the reigning House of many
years»10. The village organized a procession with
banners, icons on the main streets of the village,
which ended in the People’s House, where a short
prayer service was served.
It was in the People’s House Trust of national
sobriety, the day of the anniversary, which hosted
the festivities. Hall and other rooms have been
decorated with cloth, decorated initials, and
portraits of the Emperor. During the four hours
of the day and seven o’clock in the evening the
audience were shown new pictures, death of
Susanin, and in the evening there was the play
«Kostroma Forest» by Kolevoy, the entrance on
the show and tableaux was free to this day. On
this day in the People’s House there were a record
number of visitors in 1254 people.
Celebrating the anniversary of the Romanov
dynasty was held on the outskirts of the Russian
empire in the northern Obdorsk. Local natives:
ostiaks and samoyeds, and monks were able to
celebrate this momentous anniversary day. The
important role in organizing commemorative
events belonged to the monks of Obdorsk mission
that managed to combine and create for all
inhabitants a pleasant and useful sight. Of great
interest were attending live pictures. According
to the authorities on this day there was not a
drunk, the only drawback to the celebration was
crowded room, which was not designed for so
many people.
Even persons deprived of their liberty were
able to see the ceremonial event, in the Tyumen
prison on February 20 in the prison church was
a memorial service, on 21 of February after the
prayer and the liturgy reading was about the
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major events of the reign with the distribution of
pamphlets and illustrations to the prisoners. In
addition in the main building of the prison had
been arranged with reading prison choir.
Tobolsk province was thoroughly decorated
for the holiday. So, on the occasion of the 300th
anniversary of the Romanov dynasty were
decorated with flags three days 21, 22 and 23
February, in the evening bright lighting burnt
daily.
Contemporaries noted that «Tobolsk was
in many places very beautiful with illumination
especially city government stood out, prison,
wine store and the building of the provincial
administration, where a huge banner burned,
hosted by the Exchequer»11. In Tyumen, «especially
luxurious with illumination were home at the
Royal and Sadovaya street. Superiority in this
respect, of course, belongs to the Land-Building
Party (the house of Bryukhanov). On the balcony,
decorated with carpets, green, electric lanterns –
beautiful banners were burning in the windows
that were put initials of all the Kings and Queens,
a very elegant monogram on the balcony of the
Shadrin’s house burned luxurious, facade was
decorated greenery and city council with lanterns,
monograms were not bad on the building of Police
and balcony of Prikazchichiy’s club. If the houses
on Sadovaya street were not abundant, there was
the mass burning fires. Thousands of people were
walking down the street, looking in Tyumen at
unprecedented illumination»12.
By Imperial manifesto a partial amnesty
was for the province, so 62 people were released
from office in Tobolsk convicts, 17 people from
the prison of the castle, five from the city police.
Amnestied got the pass certificates and went
to the place they have chosen to live under the
surveillance of police.
On 21of February 119 people were freed out
from Kurgan’s prison of 400 people in prison. 25
people were released from the home of detention.
Amnestied already have served two thirds of the
imposed sentence, and all those arrested in the
administrative procedure13. In Tyumen, on 21
of February more than 70 people were released
from the local prison on the basis of the Imperial
manifesto. And there were more than 10 people
children14.
The newspaper «Prishimye» reports that
farmers were looking forward to Feb. 21, when,
according to them, the peasants great favor will be
given, such as the addition of arrears, forgiveness
of repayable loans. Reduction of salaries of land
taxes, etc. as well as collecting taxes actually
went on at a rapid rate, among the peasants had
the belief that local authorities rush to tear man
arrears, so that they are not covered manifesto15.
The involvement of other inhabitants of
the province of Tobolsk in the celebration of the
300th anniversary of the Romanov dynasty – is
the involving in the national events in the capital.
Here, Archpriest Dimitry Smirnov took a direct
representation from Tobolsk diocese too.
In January 1913, at the invitation of the
Governor of Tobolsk A.A. Stankewich Bishops
House in the presence of the bishop of Tobolsk
and the Siberian Alexis was a meeting of
representatives of all departments and agencies
of Tobolsk to discuss the celebrations in Tobolsk
anniversary of the 300th anniversary of the reign
of the Romanov dynasty in Russia on February
21 and bring to participation by all segments of
the population. At this meeting, the bishop was
invited to bring from the Orthodox population of
Tobolsk diocese to Emperor in the anniversary
celebration Abalaksky icon of the Mother of
God (Smirnov, 1913: 1). All present agreed
unanimously to the proposal Archbishop. And
the archpriest D. Smirnov was elected as the
representative of the diocese for presentation of
icon.
It is known that the Emperor Nicholas II, when
he was still the crown prince, driving through
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Siberia, on the way back from circumnavigation
was in Tobolsk, and on July 10, 1891, prayed in
the cathedral before Abalaksky the Mother of
God (Smirnov, 1913: 2).
A special created commission began to
work immediately, discussed the size of the
icon, decoration and value, and the firm has been
chosen to make icons. It was decided to order the
icon in size of 12 by 10 inches, in a silver artfull of chasuble with gold crowns on the image
of the Mother of God and Savior, with inserts of
Siberian stone, and one solid Moscow firm «PI
Olovyanishnikova Sons» was elected to the Order
and the value of the order was defined in 1000.
Chairman of the Commission made the order on
the manufacture of icons to speed up the case on
the telegraph.
The day after this Governor informed
the bishop that there will not be the offering of
congratulations to Emperor. Then His Eminence
addressed by telegraph to the Procurator of the
Holy Synod V.K. Sabler for permission to present
Nicholas II icon in the anniversary of celebrations
and to come to St. Petersburg for the archpriest
Dmitry Smirnov. Before the receiving a response
to the telegram order was suspended. After 8
days there was a positive response, and the order
of the icon was restored. Under the terms of order
this icon was to be delivered to St. Petersburg
on 15 February to the store the same firm after
manufacture in Moscow. And in the morning on
February 6, D. Smirnov went from Tobolsk and
on the 12th arrived in the capital (Smirnov, 1913:
3).
Registered (as a priest, except registration
passport book to the police, he had to show his
ticket to registration in the spiritual consistory,
in the office of the chief procurator of the Holy
Synod and by the Dean of the visitors clergy),
archpriest made visits to relatives and friends, as
well as being in Petersburg Tobolsk’s governor A.
Stankevich.
Gently on the appointed day the firm sent
the icon to St. Petersburg. The field and the
background of the icon «were covered with silver
gilt garment with matte color, the wreaths are on
the Savior and the Mother of God of gold, over the
crown of the Virgin crown is of fine lace work,
and in the tops of the crown there are five inserts
of various Siberian stone inserts of little size, of
the same size are on the crown» (Smirnov, 1913:
4). The back of the icon was covered with a dark
brocade forged antique, and silver gilded plaque
was attached with the inscription: «His Majesty
Blessed All-Russian Autocrat Nicholas II on the
day of the tercentenary of the Romanov dynasty
in blessing from the Tobolsk’s church». The icon
was placed in a folding, upholstered in red silk.
From the icon, according to the optional seminary
rector, some pictures were made: 6 shots of icons
and 6 shots in folding.
The next day, the archpriest Dmitry Smirnov
visited the metropolit of St. Petersburg Vladimir
and Procurator of the Holy Synod V.K. Sabler that
were not against of the presentation of the icons to
Emperor. In addition, V.K. Sabler recommended
me to introduce the vice-director of his office of PI
Ispolatova and to tell him my address for sending
tickets to enter of the Kazan Cathedral and the
Winter Palace. Smirnov received these tickets
only on 20 February and only after intensified
trouble with his hand.
About 9 o’clock on February 21 the priest
went to the Kazan Cathedral in advance to get in
it. On the way there was an interesting episode.
The driver, drove the Archpriest, obviously
touched by decoration of the capital and enjoying
the sunny morning, said: «What a beautiful day,
the Lord has given to holiday today. And not
for nothing. Because we have to wait for three
hundred years this festival!» (Smirnov, 1913: 5).
On the streets of St. Petersburg at the time
was an unusual move «fun, festive mood of
the crowd, rush to the Festival Centre – Kazan
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Cathedral and Nevsky Prospekt, on which the
royal cortege will follow from Zimny Palace to
Kazan Cathedral, to catch even a glimpse of their
King. Troops moved on to music and arranged to
destinations along the Nevsky Prospekt, forming
a trellis along the way of Sovereign. Processions
went to the ringing of bells. On Nevsky Prospect
tram and car traffic was stopped in the morning.
Only those cab drivers and crews were allowed
who had special permits to travel to Kazan
Cathedral tickets issued from the office of the
mayor to the persons entitled to enter into it with
a ticket. These tickets were attached to their hats»
(Wortman, 2002).
In the early 10 th of a hour D. Smirnov
arrived to Kazan Cathedral, filed a ticket and
entered the temple through the west entrance of
the Kazan street. Here on the west and south sides
was arranged many temporary hangers, some of
which were delivered to the lower military ranks to
remove and to clean up clothes and posing labels.
The were not many people in the Cathedral else.
Now, the whole question was, where it is more
convenient to be, to see everything and everyone.
Some Archpriests and priests, and members of
deputations, including representatives from the
Tobolsk diocese archpriest D. Smirnov, went to
the altar of the left aisle of the cathedral, and
there have been allowed to become a sacristan
solea of this chapel, which was located near the
main southern entrance to the cathedral from the
Nevsky Prospekt. Here, standing on a hill, you can
see most of the cathedral and people in it, and the
proximity of the main entrance made it possible
to see the Emperor and his family, grand dukes
and duchesses, senior officials of the Empire,
which also included by this cathedral entrance.
The place was so profitable that the sacristan
came and removed from solea others people once
during the liturgy (Smirnov, 1913: 6).
About 10 o’clock the metropolitan of the
Cathedral of St. Petersburg and Procurator of the
Holy Synod V.K. Sabler arrived at. According to
the meeting and garbing of metropolitan reading
was started, during which the profits processions
arrived with icons of Jesus Christ from the house
of Peter the Great and Our Lady of Pochaev. Then
the Divine Liturgy began, which four metropolitan
committed: of St. Petersburg, Kiev, Serbian and
Tripoli with the participation of six archpriests,
two archdeacons -of St. Isaac’s and Kazan
Cathedral and archdeacon of Nevsky Monastery.
At that time, the choir sang on the right of the
court chapel, on the left – the combined choirs
of the metropolitan and the Kazan Cathedral
(Smirnov, 1913: 7).
But this all was not without some problems.
«At the beginning of the liturgy, and especially
during the readings, the cathedral was even
slightly noisy because of many deputations
arriving on-site, and speaking. But then, when
the vast majority of people came to the cathedral,
was put into it’s place, and when the Court of
Ceremonies took a role, pointing newcomers
the places in the cathedral, this noise calmed
down and stopped» (Smirnov, 1913: 8). During
the liturgy dignitaries of the empire, foreign
ambassadors and grand dukes and duchesses were
arriving to the main entrance of the cathedral
gradually. Among the high personages to the
beginning of the liturgy profits there were Grand
Duchess Elizabeth Feodorovna and Grand Duke
Ivan Konstantinovich.
And the witness does not forget to enjoy the
film opened to him. «By the end of the liturgy
Kazan Cathedral represented an imposing sight:
it brought together representatives of the vast
Russian Empire and the representatives most
of the world. Here at the very solea of the main
chapel on the right side are seen to us gold chairs
made and prepared for Empress and showing
Imperial place, then –there are grand dukes and
duchesses, court ladies, foreign ambassadors,
dignitaries of the empire: the first and second
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grades of Court, ministers, members of State
Council, Senators, Speaker of the State Duma
of the city of Rodzianko, members of the State
Duma, from the left side in front of the cathedral
to the south entrance of the cathedral there
are military representatives of the world, and
then from the middle of the temple to the west
entrance there is a sea of heads from all classes of
all over Russia. The gold embroidery, the glitter
dresses,the variety of uniforms were striking and
blinding us provincials, who hasn’t seen these
meetings».
Finally, the choir sang «O Lord! By thy
King shall rejoice «that heralded the arrival of
the king». From the street, one heard cheers of
«Hurrah», welcomed the monarch and his family,
coming to the cathedral. Higher clergy, led by the
Patriarch of Antioch Gregory came to the entrance
to the cathedral to meet the emperor. Nicholas II
went with the Empress Alexandra Fedorovna and
Maria Feodorovna, followed by high Cossack
carrying the heir Alexis, and four great princesses
went, the daughters of the Emperor. Patriarch
brought to King St. cross to kiss, metropolitan of
St. Petersburg Vladimir sprinkled it by St. water,
and welcomed a brief speech. Then the governor
and his family, preceded by church dignitaries,
entered the cathedral, they were greeted by a
respectful bow of those assembled, which they
passed. Then the royal family has stood on the
right side of the main limit of solea (Smirnov,
1913: 8).
Archpriest said that «all this made us so
welcome to an experience not to be blotted out
all my life, all that fills the hearts of even more
boundless love and devotion to the Emperor
and his dear native land, a desire to serve them
until the end of his life hard, so hard honestly,
without hypocrisy and willingness to put his life
for them».
Archdeacon after meeting the Emperor even
before a prayer service began reading Imperial
manifesto, in which the monarch recalled the
merits for the dear homeland over the past 300
years, «of all the children of the Russian upper
classes to the laborers». Then it was quite normal
in this case prayer of hierarchs of the Russian
Church, headed by the Patriarch of Antioch and
the representatives of the clergy of the capital,
there were only on the left side in two rows. «The
patriarch of Antioch uttered the exclamations
prayer in Greek, he had read the Gospel in
Arabic, and then metropolitan of St. Petersburg
in Slavonic, metropolitan of St. Petersburg read
prayer kneeling on 21th February 1913 too». It is
needless to say, that at this time all of us in the
cathedral together with the emperor joined the
event (Tsimbayev, 2005).
After the end of the prayer service the
emperor and his family kissed to St. cross, then
to the main shrine of the Cathedral of the Kazan
to Icon of the Mother of God and to the brought
shrines – the image of the Savior from the house
of Peter the Great and Pochaev Icon of Our Lady
(Smirnov, 1913: 10). Then all went to the door of
the cathedral (Smirnov, 1913: 10).
There was in the temple of shrines a strong
crush and distress, the people behind made hardly
their way to them. Meanwhile, at the entrance of
the cathedral a kind of traffic jam formed – the
procession went off with the icon of the Mother of
God of Pochayev, which was accompanied by the
members who came from Volhynia monarchist
organizations with their flags and banners.
In the ticket, which was given to participants
to celebrate the entrance to the Winter Palace,
February 22, was noted, that the Congress was
appointed for an audience with the emperor until
10 o’clock in the morning. Therefore, about half
of the 10th in the morning on February 22 Dmitry
Smirnov was on Jordan entrance of the Winter
Palace, taking with the icon in a box. «On the
stairs to the second floor the court lackeys stood,
and paired sentries were at the door. There were
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many people, all housed in the Nicholas Hall and
avant-hall. The clergy was invited to pass into the
room and placed on the left side».
With the icon as a gift to Emperor was only
one Tobolsk archpriest, so she called the true
interest: many came and asked what this icon,
why the images of St. And St. Nicholas. Mary
Magdalene, from whom brought near the icon,
how much, etc (Smirnov, 1913: 11).
Before the royal reception was still time that
D. Smirnov quietly spent in conversation with the
other priests.
Soon the «Ceremonies were on the list and
began to examine and set the deputation. I was
entered in the queue after the deputation from
the St. Petersburg church of One Hope . It was
explained that anyone coming to the Sovereign, to
do him a nod, saying nothing, and then approach
the Empress Maria Feodorovna (Empress
Alexandra Feodorovna in the day was not at the
reception), bowed to her, kiss her hand, and go to
the portrait gallery» (Smirnov, 1913: 11).
Finally, the doors opened to a nearby concert
hall, where stood the Emperor and the Dowager
Empress Maria Feodorovna, a little behind them
on a chair sitting heir to the crown prince, were
daughters of the king, they were surrounded by
dignitaries of the Empire and suites.
«It started bringing congratulations.
Deputations unbroken chain moved into the
concert hall. Anyone coming to the Emperor,
stayed and did obeisance to him, and the master
of ceremonies on the list aloud called rank,
title or position, name and surname, Sovereign
also posted a bow, then everyone would go to
the Empress Maria Feodorovna, and acted as
previously indicated» (Smirnov, 1913: 11).
When approaching a queue Tobolsk Fr he
«felt an unusual peace joyful mood of happiness
and some confusion with the excitement». Master
of Ceremonies reported: «Cathedral archpriest
Smirnov from Tobolsk to Abalaksky icon of the
Mother of God of the population of Orthodox
Tobolsk diocese.
- Consecrated icon? – Asks the Sovereign.
- Consecrated, Your Imperial Majesty, – I
answer» (Smirnov, 1913: 11).
Then the head of the empire of the cross,
kissed the icon and again asked from whom icon.
After receiving an explanation, he turned to
Archpriest Dimitry Smirnov, with the following
words: «give my heartfelt thanks to all». Bowing,
representative Tobolsk diocese gave the icon to
one of the Emperor’s entourage, then also bowed
to the Empress Maria Feodorovna, kissed her
hand and went to the Portrait Gallery. Here all
the members received an invitation to one of the
palace hall for breakfast, which «welcoming host
Russian land» treated his subjects, brought him
congratulations. «Long in the entire room lined
with tables were covered with the most diverse
and delicious snacks, bottles of grape wines,
fruit and vases with fresh flowers, which were
immediately dismantled and a souvenir snack.
There were given coffee, tea. In view of the
carnival for the clergy was arranged by a special
branch table, where all the snacks were of fish»
(Smirnov, 1913: 13).
At the exit of the Nicholas Hall has one of
the officials of the Court with drawer, in which
there were a lot of satin boxes. Each retiring he
handed one of these boxes, explaining that it is the
anniversary badge zhaluemy sovereign emperor
to bring him the memory of all congratulations.
Badge must be worn on the right side of the chest
above all other icons and can be transmitted to
offspring.
Coming out of the palace, D. Smirnov
immediately sent a telegram to the Archbishop
of Tobolsk and the Siberian Alexis, sharing only
past events (Smirnov, 1913: 14).
«In conclusion, I would like to share an
experience that on me, though small, part in the
celebrations which took place in St. Petersburg
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300th anniversary of the Romanov dynasty on 21
and 22 February 1913.
Hours and minutes I spent in the Kazan
Cathedral and the Winter Palace, will be the
lightest and welcome in life and not be blotted out
from the rest of my heart, though – maybe – and
short life. They lifted my spirit revived several
starts to weaken faith in the affinity with which a
very young age, he considered holy to his heart,
which he considered to be the very first moments
of the conscious life of irrefutable axiom, and
ignited under piles of smoldering ash and the fire
of love for their country, for their King and his
family.
Now is not russian, so-called intellectuals
began to engage in self-flagellation and selfspitting long since it denies and mocks folk beliefs,
expectations, hopes and ideals of the russian
person. But in recent years from such a degenerate
negative relationship between the intelligentsia
of all things Russian sludge, scum, scum floated
out, pour a variety of ways throughout the broad
face of the Russian land and closed quite popular
soul – with what more people live, with what our
State still stands and holds.
Sometimes started thinking – if they faint
not hesitate to whether these principles, these
are the basics? Sometimes you look around
yourself, you notice only part, faintly, remain
in dark corners, but not hot Detecting bright
display of faith and love for his native country,
and selfless devotion to the monarch – and
bitterly think: what is the same, our Holy Mother
Russia and what she comes? Is it absolutely
necessary to the devastation that it experienced
300 years ago?
All the talk about him and his august family –
as the most near and dear to us substantially all
interests have focused on how to get information
on how to spend these great days of the Emperor,
where he was, what he did, what he said, which
issued orders to the occasion of the festival, and
so on and so forth ... The streets through which
he had to pass, were just chock full of people.
People stood patiently for hours waiting for him,
patiently endured and packed and crowded, just
to see him a little, did not complain to the sides
dented and damaged costumes» (Smirnov, 1913:
13).
Results
Thus, the celebration of the 300th anniversary
of the ruling House of Romanov held widely in a
big way, not only in the heart of the Empire – St.
Petersburg and central provinces, but also in the
periphery, in the remote corners of the country
(one year, due to the outbreak of World War II, it
would hardly be possible.) Moreover, as numerous
sources evidenced, the activities were really with
the active participation of the people and society
(Wortman, 1989). Though I must admit that
the initiative of all kinds of celebrations come,
however, from the top. However, this fact did not
stop to meet adequately in 1913 across Russia
as a significant event, which has not passed
by the province of Tobolsk. Throughout the
region – from the North to the southern border –
put in order settlements (decorated buildings,
cleaned streets), in the cultural sphere witnessed
performances, masquerades, and plays ball in the
evening, in the religious life committed countless
prayers, vigils, liturgies, processions etc. In St.
Petersburg Home empire-wide celebrations were
sent two delegations – from the province and
diocese with very symbolic gift – a list of the icon
of Abalaksky Mother of God.
It is interesting to note that the preparation
for the anniversary has already been since 1911!
Of course, all this was done with the pomp
and glamour – the inhabitants of the province
and the authorities wanted to meet worthy the
three centuries of dynasty, keeping up with the
leading cities of the empire. Therefore, the source
contains a lot of inspirational phrases. Hardly
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anyone could have predicted that before the end
of the board, «adored by all the crowned family»
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
is just four-plus years, and that this end will be no
less bloody than its beginning.
Russian school. 1913. (3). Р. 92.
City Chronicle (1913). Siberian page. (8). January 17. P. 2.
City Chronicle (1913). SP. (11). January 24. P. 2.
City Chronicle (1913). SP. (21). February 17. P. 3.
City Chronicle(1913). Siberian trade newspaper. (9). P. 2.
City Chronicle (1913). SP. (22). February 19. P.2.
City Chronicle (1913). SGT. (44). P. 3.
City Chronicle (1913). SGT. (44). P. 3.
City Chronicle (1913). SGT. (48). P. 3.
Correspondence (1913). SGT. (59). P.3.
City Chronicle (1913) SP. (24). February 23. P. 1.
City Chronicle (1913) SGT. (45). P. 3
City Chronicle (1913) SP. (26). P. 2-3.
City Chronicle (1913) SGT. (43). P. 3.
City Chronicle (1913) SGT. (55). P. 2.
References
1. Ananyich, B.V., Ganelin, R.Sh. (1993). Nikolay II. History’s questions, (2), 58-76.
2. Anfimova, A.M. (1994). Reign of emperor Nikolay II in figures and the facts. National
history,(3). 58-76.
3. Gabriel Konstantinovich, the Grand Duke. V mramornom dvorche. Iz khroniki nashei sem‘i
[In the marble palace. From the chronicle of our family]. New York, 1955. 384 p.
4. Dzhunkovsky, V.F. Memuary [Memories] V.2. Moscow, 1997. 688 p.
5. Dyakov, V.A. Borodinskie iubilei i ikh vozdeistvie na dorevolitcionnuiu istoriografiiu
[Borodinskiye anniversaries and their impact on a pre-revolutionary historiography Problems of
history of the russian social movement and historical science]. Moscow, 1981. pp. 302-312.
6. Nekrasov, M.A., Zemtsov, S.M. Otechestvennaia voina 1812 g. i russkoe iskusstvo [Patriotic
war of 1812 and russian art]. Moscow, 1969. 120 p.
7. Yakovlev, A.N. Rossia v nachale XX veka [Russia at the beginning of XX century] Moscow,
The new chronograph, 2002. 744 p.
8. Archpriest Dimitry Smirnov. Moe poezdka na Pomanovskie prazdnestva v Sankt-Penerburg
[My trip to the Romanov festivities in St. Petersburg]. Tobolsk, 1913. 15 p.
9. Tri veka [Three centuries] (Reprint). V. I. Moscow, 1991. 283 p.
10. Ulyanova, G.N. Natsional‘nye torzhestva(1903-1913). Rossia v nachale XX veka [National
celebrations (1903-1913). Russia at the beginning of the XX century]. Researches. Moscow, 2002.
11. Wortman, R.S. (1989) “Invisible Threads”. The Historical Imagery of the Romanov
Tercentenary. Russian History. (2 – 4), 389–408.
12. Wortman, R.S. Stsenarii vlasti. Mify I tseremonii russkoi monarxii [Scenarios of Power. Myth
and Ceremony in Russian Monarchy, Vol. 2 . From Alexander II to the Abdication of Nicholas II].
Princeton New Jersey, 2000. 797 p.
13. Tsimbayev, K.N. (2005) Orthodox Church and state anniversaries of Imperial. Russia National
history, (6), 42-51 .
14. Tsimbayev, K.N. (2005) 300th Anniversary of House of Romanovs anniversary of 1913 as art
action (prolog). Historian and artist, (1), 181-195.
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15. Schneider, K. (2001) 100 years after Napoleon. Russian lands acclaimed war experience
Jahrbucher for history of Eastern Europe 49 (1). 45-66.
Празднование юбилея дома Романовых
в Тобольской губернии
А.А. Валитов, И.С. Томилов
Тобольская комплексная научная станция УрО РАН
Россия 626150, Тобольск, ул. ак. Ю. Осипова, 15
Целью данной статьи является исследование, посвященное празднованию в Тобольской
губернии трехсотлетия Дома Романовых. Кроме того, отмечено участие жителей данного
региона в юбилейных событиях на общеимперском уровне.
Выявлено содействие населения Тобольской губернии в подготовке и проведении
мероприятий различного характера – от светских до религиозных и от региональных до
общегосударственных. Показан вклад властей края, его жителей. Также красочно и ярко
описана поездка в Санкт-Петербург протоиерея Димитрия Смирнова с подношением
Абалакской иконы в дар для императора Николая II от жителей Тобольской губернии,
показаны его личные настроения и переживания.
Подробно раскрыто влияние данного события в общем контексте празднований и значение
юбилея для всех сословий Тобольской губернии.
Таким образом, еще за четыре года до падения императорской власти в России нация была
скреплена тремя веками монархических традиций. Как показывает опыт Западной Сибири,
наиболее полно это проявилось в отдаленных от центра губерниях.
Ключевые слова: юбилей, Дом Романовых, Тобольская губерния, Абалакская икона, тобольская
делегация, Сибирско-Тобольская епархия, императорская семья.
Работа выполнена в рамках проекта молодых ученых и аспирантов ТКНС УрО РАН 2013 (№
М-Г-13-1).
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1800-1815
~~~
УДК 378.4
Understanding University Teacher Autonomy
as a Mainspring of Reforming Higher Education
Oksana A. Gavrilyuk*
Krasnoyarsk State Medical University
named after professor V. F. Voyno-Yasenetsky
1 P. Zheleznyak Str., Krasnoyarsk, 660022 Russia
Received 30.08.2013, received in revised form 02.09.2013, accepted 13.10.2013
Continuing the efforts to define and describe teacher autonomy as an essential factor of teacher
professionalism and self-development, this study expands the understanding of perceived university
teacher autonomy through investigating the content of this complex personality attribute in a context
of today’s transformation of Russian higher education. Taking into account self-determination theory,
competency-based approach, theory of a rational performance and the Tuning approach to university
teacher professional activity, this paper proposes an integrated definition of perceived university
teacher autonomy as teacher generic competency ensured by a dynamic complex of teacher personality
attributes and work-related competencies. The content of perceived university teacher autonomy is
represented in a conceptual model. This study shows perceived university teacher autonomy potential
as a mainspring of enhancing teacher professional self-development, teacher performance and job
satisfaction, as well as his effective coping with different types of teaching-related stressors in a
context of Russian higher education reform.
Keywords: higher education, university teacher, personal autonomy, perceived autonomy, selfdetermination, intrinsic motivation, professional self-development, locus of control, goal setting,
decision making, making choices, mindfulness.
Introduction
In Russia today, major transformations
and innovations are having an effect on higher
education. This trend has led to an increasingly
significant role for university teachers to play
within their educational institutions and has called
for their innovative contributions to the effective,
progressive development of the education system
of the country. New expectations for university
teachers’ performance and accountability make
teachers face new challenges and develop new
knowledge and skills. The work of teaching in
*
high school comprises today a plenty of activities
that include teaching, learning new information
and skills, keeping abreast of technological
innovations, dealing with students, parents, and
the community.
All these factors have given rise to growing
concerns about teachers’ well-being and increasing
attention to perceived teacher autonomy, which
has been actively investigated in the USA and
in Europe (Allwright, 1990; Little, 1994, 1995;
Voller, 1997; Benson, 2000; Smith, 2000; Aoki
2002 et al.) and is becoming one of important
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: Oksana.gavrilyuk@mail.ru
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educational issues in Russia, especially in the
field of foreign language education (Tambovkina,
2000; Koryakovtseva, 2001; Nosacheva, 2010 et
al.). Over the last decade, several researchers have
emphasized that the notion of teacher autonomy
is a necessary and complementary part of the
learner autonomy concept (Little, 1995; Smith,
2000; Benson, 2000; Aoki, 2002). Autonomy has
also been identified as necessary for a teacher’s
sense of professionalism (Ingersoll & Alsalam,
1997; Hanson, 2003; Little, 2002; Pearson and
Moomaw, 2006).
With all the efforts to emphasize this
relatively new concept, the question of what
particular work-related competences and
personality attributes are required for teachers to
be autonomous remains open.
This problem compels us to focus on
solving several issues reflected in the following
organization of the study: the next section contains
a literature review of the construct of teacher
autonomy. It is followed by the discussion of
research methodology applied in this study. Then,
the content of the phenomenon is discussed and
represented in a conceptual model. And finally,
results and their interpretations are discussed.
Conceptions of teacher autonomy
The phenomenon of teacher autonomy
takes its rise in the philosophical conceptions
of “freedom” and “autonomy” as well as in the
psychological concept of personal autonomy.
A review of definitions of personal autonomy
reveals both diversity and commonality. It is often
described as a state of relative independence,
based on the person’s being self-directing and
self-governing (Ryan & Deci, 2006). Bernard
Berofsky associates personal autonomy with
positive freedom. He sees the latter as a set of
personal traits which are essential or highly useful
to the satisfaction of a wide range of activities and
decisions, both short- and long-term. According
to B. Berofsky, autonomy encompasses relevant
knowledge, including self-knowledge, and a
variety of intellectual and physical competencies.
Among intellectual competencies, he indicates
capacities for memory, perception, calculation,
reasoning, information processing, and the
elimination of irrational and inconsistent belief
sets (Berofsky, 1995). This view reflects on
A.S. Arseniev’s idea about “freedom for”, which is
more positive in respect of personal development
and self-actualization than freedom “from”
(Arseniev, 1999). G. Dworkin assumes autonomy
to be a global property referring to a person as
a whole, not to particular acts (Dworkin, 1988).
Thus, personal autonomy is meant as a trait that
individuals can exhibit relative to any aspects of
their lives (Dworkin, 1988).
In general autonomy theory has been
explored across domains as varied as health
care (Davis, et al., 1987; Grandjean et al., 1986;
Williams & Deci, 1996; Kutner, 1984), education
(Assor et al., 2005; Kuznetsova, 2009; Vallerand
et al., 1993), and business (Herzberg, 1966; Sarata,
1984, et al.). Thus, Herzberg saw autonomy as
the condition in which employees experience
personal responsibility for work outcomes
(Herzberg, 1966). Sarata considered autonomy
as the freedom an individual has to decide how
and when to undertake a work activity (Sarata,
1984).
While personal autonomy was found to be
important in many works, it was rarely examined
in relation to teachers and teaching. A review of
the foreign education-related literature reveals
that teacher professional autonomy is not strictly
defined and may be presented in a variety of
forms. Teacher autonomy is often defined as
“control one’s own work environment” (Pearson
and Hall, 1993 : 173),“freedom to make certain
decisions” (Short, 1994: 490-491), teachers’
capacity to engage in self-directed teaching,
including detachment, critical reflection,
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decision-making and independent action
(Little, 1995; Tort-Moloney, 1997); the capacity,
freedom, and/or responsibility to make choices
concerning one’s own teaching (Aoki, 2002) or
teachers’ autonomy as learners (Smith, 2000,
Savage, 2001). Friedman’s paper suggests that
teacher autonomy involves “encouraging and
strengthening the power of teachers” (Friedman,
1999 : 60). Following this approach, Pearson
& Moomaw believe that autonomy in teaching
implies teachers’ freedom to make professional
choice (i.e., to decide appropriate activity for their
students or choose their own teaching style) as
well as freedom to participate in decision-making
(Pearson & Moomaw, 2005). This corresponds
to W. Littlewood’s perception of an autonomous
person as one who has an independent capacity
to make and carry out choices which govern
his or her actions. According to W. Littlewood,
“this capacity depends on two main components:
ability and willingness…” (Littlewood, 1997 :
428).
Some researchers regarded teacher autonomy
as teacher’s work in isolation (Willner, 1990,
et al.). However, this viewpoint was disputed
in the more current research (Gabanska, 1995;
Littlewood, 1999; Smith, 2000 et al.), indicating
that autonomy implies interaction. Indeed,
this point of view in its essence complies with
the opinion expressed by A.G. Asmolov who
pointed out that qualities of a human being that
characterize one as the system element “open”
only in the conditions of interactions within this
system (Asmolov, 1986).
In Russia, having been viewed for a
long time as a negative thing associated with
individualism, the concept of personal autonomy
was often replaced by some other terms, as, for
example, independence and freedom. Thus,
discussing the issues connected with person’s
independence from external factors, Russian
researchers often use the concept of “freedom” /
“personality freedom” (Ball, 1997, et al.). In the
context of teaching they emphasize “pedagogical
freedom” as an important part of civil democratic
development” (Kuznetsova, 2009 : 109).
Nowadays, the problem of personal autonomy
seems to attract more attention of Russian
researchers (Dergacheva, 2005; Kalitiyevskaya,
Leontiev,
2004;
Koryakovtseva,
2001;
Kravchenko, 2008; Leontiev, 2006; Makarova,
2000 et al.). Studying the psychological aspect
of autonomy, O.E. Dergacheva proves in her
work that there is a correlation between personal
autonomy level and such personality attributes
as locus of control, self-empowerment, and risk
taking (Dergacheva, 2005 :118), and this idea
seems to be indicative of the competency-based
approach potential. Investigating the educational
context, L.N. Makarova believes autonomy
to be teachers’ personality trait, which allows
them “to determine the frameworks for creating
their own character and style subject to their
own domestic rules and resisting to external
destabilizing pressure” (Makarova, 2000 : 14).
N.Y. Tambovkina explains teacher autonomy
as “ability to think and act in one’s profession
independently from foreign will, circumstances,
one’s own fears; to make one’s own choice and
important decisions through creating one’s own
goals and working out individual strategies for
meeting these goals’ objectives” (Tambovkina,
2000 : 63). This approach reflects the ideas of
Russian researchers which consider responsibility
and mindfulness to be key elements of teacher
autonomy (Leontiev, 2006; Nosacheva, 2009;
Tambovkina 2000 et al.).
Recent Russian works on teacher autonomy,
though few in number, investigate the phenomenon
in a large context of teacher personal development.
For instance, N.F. Koryakovtseva views teacher
autonomy as “a requirement for effective
personal development and self-actualization in
a broad sociocultural context” (Koryakovtseva,
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2001: 12). G.P. Sharapkina considers autonomy
to be “the basis for professional socialization”
and states that “its development is one of the top
targets of teacher training process” (Sharapkina,
2004: 148).
Generally, most of the existing definitions
made by foreign and Russian researchers point to
one common aspect, which stresses that teacher
autonomy requires being self-governed and is
based on the recognition of greater power and
freedom to the teachers in their professional
activities and capacity for self-directed
professional development.
In this research teacher autonomy is defined
in terms suggested by Kamii (Kamii & Housman,
2000) who has referred to the fact that autonomy
is an ability, not a right to be self-governing.
On this basis we use in the presented paper the
term “perceived teacher autonomy” which seems
to prevent confusion between “provided” and
“perceived” autonomy and correspond to the
Myers & McCaulley’s definition of perception as
“all the ways of becoming aware of things, people,
happenings, or ideas” (Myers & McCaulley, 1985:
1). Following the above mentioned Arseniev’s
idea about two types of freedom, we consider
perceived teacher autonomy as “freedom for”
which implies social interaction, personal
development and self-actualization.
This approach, firstly, allows us to consider
perceived teacher autonomy as a complex of
teacher professional competencies and personality
attributes which make his/her teaching
autonomous. Secondly, it makes us broaden
understanding of teacher autonomy through
considering it as an important factor promoting
teacher personal and professional development
and preventing teacher attrition.
Research methodology
The investigation of perceived teacher
autonomy content required a more detailed study
of R. Ryan & E. Deci’s self-determination
theory, in which self-determination is considered
as feeling and realization of freedom in person’s
choice of behaviour and existence in the world
independently from external environment and
inner-personal processes effects (Ryan, Deci,
2006). The results of theoretical and applied
research conducted within the framework of
Self-determination theory (SDT) of R. Ryan &
E. Deci demonstrate the benefits of developing
personality traits for the improvement of people’
life, the enhancement of their psychological wellbeing and the prevention of burnout syndrome
(Ryan, Deci, 2006). Generally personality
traits are considered as permanent, socially
important psychological attributes, relations and
actions, which allow the person to behave as a
responsible actor. Personal autonomy seems to
be one of these personal traits which are now
attracting attention of educational researchers
both in Russia and abroad. In the frameworks
of this theory perceived teacher autonomy can
be described as teacher personality attribute
ensuring teacher self-determination as realizing
of autonomous behaviour. According to Selfdetermination theory, the need for autonomy is
the central need of an individual and is a need
to have a choice and act with self-determination;
it is the universal need to feel like an agent or
an initiator; it is linked to one’s purpose in life
and to one’s actions as they are in agreement with
one’s integrated “I”. Satisfaction of this need
is an important condition, which determines
psychological well-being, optimal functioning
and healthy development of a personality;
frustration of this need, on the other hand, leads
to the decrease of psychological well-being and
the degradation of activity (Ryan, Deci, 2006).
Ryan & Connell (1989) have demonstrated
that different types of behavioural regulation
can be located on a continuum of perceived
autonomy, which they associated with perceived
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locus of causality (PLOC) (Ryan & Connell,
1989), and suggested five types of perceived
motivations: external, introjected, identified,
integrated and intrinsic. The latter, intrinsic
motivation, defined as the doing of an activity
for its inherent satisfaction rather than for some
separable consequence, is considered by the
authors to be autonomous because it satisfies
personally relevant goals and services the innate
psychological needs for autonomy, competence,
and relatedness. When intrinsically motivated, a
person is moved to act for the fun or challenge
entailed rather than because of external products,
pressures or reward. Besides, intrinsic motivation
is associated with increased engagement and
persistence in tasks (Ryan & Deci, 2000: 56). A
person with autonomous motivation is thus an
agent that pursues its own agenda for reasoning
and behaviour in accordance with its intrinsic
motivation.
Enlarging these outcomes and extrapolating
them into the context of teaching, Pearson
and Moomaw define teacher autonomy as “a
common link that appears when examining
teacher motivation, job satisfaction, burnout,
professionalism, and empowerment” (Pearson
& Moomaw, 2005). The authors believe that
intrinsic factors of teacher autonomy include
“desire to assist students to accomplish goals,
desire to make a difference in society and sense
of achievement when students learn” (Pearson &
Moomaw, 2005 : 39).
Consequently, we can regard the complex of
the above mentioned teacher desires and sense of
professional achievement as intrinsic motivation
to professional achievement.
Taking into account that in the context
of modern higher education in Russia being
autonomous often requires teacher’s mastering
new skills and competences to deal with new
challengers, an autonomous teacher should
also be a lifelong learner (Gavrilyuk, 2010). On
this basis, motivation to autonomy in teaching
should involve not only intrinsic motivation
to professional achievement, but intrinsic
motivation to teacher personal development.
Drawing on Kunda’s work on motivation
in psychology (Kunda, 1990), we assume that
autonomy in teaching is ensured by intrinsic
motivations to professional achievement and
personal development, which can lead to the
generation and adoption of teacher professional
and personal development goals and affect the
outcome of the reasoning or behavioural task
intended to satisfy those goals.
Meanwhile,
Taylor
identified
five
personality characteristics associated with need
for achievement including high levels of self
confidence, the ability to set clear and challenging
goals, an understanding of risk taking, a strong
internal locus of control, and problem solving
ability (Taylor, 1985).On this basis, teacher
intrinsic motivations to professional achievement
and personal development seem to underlie a
better performance in teaching. Indeed, this
idea has been proved in a number of studies
considering the more autonomous motivations
as related to positive outcomes and the more
controlled motivations as associated with
negative outcomes across domains as varied as
health care, education, politics, etc. (Assor et al.,
2005; Ryan and Connell, 1989; Vallerand et al.,
1993; Williams & Deci, 1996).
Considering perceived autonomy as
teacher’s ability, not a right to be self-governing
makes appropriate studying this phenomenon in
the framework of competency-based approach.
The latter is known to represent a researchsupported approach based on the primary goal of
defining the critical behaviours needed for effective
and superior individual and organizational
performance. Competencies are often associated
in up-to-date pedagogical literature with different
types of skills or abilities, ensuring professional
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behaviours. Thus, the Bologna process documents
define competencies at the level of higher
education institutions as a dynamic combination
of knowledge, understanding, skills and abilities.
Being presented in the context of competencies for
adults working as professionals in the training and
performance sector as evaluators, instructional
designers, instructors, and training managers,
competencies are regarded by The International
Board of Standards for Training, Performance
and Instruction (IBSTPI) as statements of
behavior which often reflect attitudes, but are not
personality traits or beliefs. Generally, IBSTPI
defines a competency as “an integrated set of
skills, knowledge, and attitudes that enables one
to effectively perform the activities of a given
occupation or function to the standards expected
in employment” (Richey et al., 2001).
This paper adopted the above-mentioned
definition made by IBSTPI as the operational
definition which seems to be broad and reflect
the context of our research. Such approach means
that competencies does not represent but do
underlie behaviours. As Gronczi et al. pointed
out, comparing competence and performance,
“competencies were defined as combinations of
attributes that underlie successful performance”
(Gonczi et al., 1993). The authors stated also
that “performance is what directly observable,
whereas competence is not directly observable,
rather it is inferred from performance” (Gonczi
et al., 1993).
Such approach means that perceived teacher
autonomy, representing an underlying enduring
personality characteristic and determined
by a teacher’s motivations, intents, attitude
and values, is not easy to be observed and
measured, though it can be measured through
observation and measuring of a set of teacher’s
behaviours. Perceived teacher autonomy can,
thus, be regarded as teacher’s ability to work
autonomously across many workplace situations.
In other words, this generic characteristic can
predict a teacher’s behavior in different workrelated situations (i.e., autonomous teacher
sets challenging goals, he / she is ready to take
calculated risks, is able to make free choices, to
take sound decisions despite uncertainties, to
create his / her own teaching style subject to his
/ her own domestic rules, to resist to external
destabilizing pressure, etc).
It appeared that the idea of regarding perceived
teacher autonomy as a competency is relevant to
the Tuning approach, which has been developed
by TUNING Educational Structures in Europe to
(re-)designing, develop, implement, evaluate and
enhance quality of higher education institutions
programmes. According to the Tuning approach,
ability to work autonomously represents one of
generic (transferable) competencies, necessary to
all the professionals. In the context of the Tuning
approach, distinguishing three types of generic
competencies (instrumental, interpersonal and
systemic), perceived teacher autonomy can be
regarded as one of systemic ones, as it is reported
to represent a combination of understanding,
sensibility and knowledge and requires prior
acquisition of both other types.
The idea of enhancing quality of performance
in higher education, central in the Tuning approach,
is also relevant to the theory of a rational
performance (Tareva, 2001), which characterizes
the individual as a free and responsible agent,
who is intrinsically mastery oriented (being a
student) or intrinsically motivated to professional
achievement (being a teacher). Meanwhile, the
above mentioned qualities are similar to those that
describe an individual that is autonomous (Ryan
& Deci, 2000). From a theoretical standpoint, it
would seem that an individual having a rational
activity style will be more autonomous, and a
more autonomous individual will have a rational
activity style. Taking into account that rationality
underlies a better performance, we can assume
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that autonomy will also improve the quality of
action.
Generally, the theories and approaches,
discussed above, seem to be perspective in
the context of our research because they allow
us to investigate perceived teacher autonomy
with respect to university teacher professional
activity through defining a set of teachingrelated autonomous behaviours that impact job
performance, can be measured against established
standards, and can be improved through training
and development.
Teacher personality attributes and workrelated competencies ensuring perceived teacher
autonomy
It is reported that autonomy involves
increased engagement and persistence in
tasks or goal commitment defined as one’s
determination to reach a goal (Lau, 2012,
Locke & Latham, 1990). As D. Little et al. (Little
et al., 2002) assume, the development of teacher
autonomy entails a process of internalization
or personal agency also defined as the sense
of personal empowerment / psychological
empowerment / self-empowerment, which
implies self-belief, trust, and self-leadership
and involves both knowing one’s goals and
having what it takes to achieve them. The
term “empowerment” is often reported as an
individual’s belief in his/her ability to exercise
choice. Meanwhile, the capacity of the person to
make choice proceeding from the information
received from the environment and from the
processes occuring inside of the person entails
the concept of will which is closely connected
in the psychological literature with the concept
of self-determination (Deci, 1980 : 6; Gabanska,
1995).
Most definitions of empowerment focus on
issues of gaining power and control over decisions
and resources that determine the quality of one’s
life. Rappaport (1987) defined empowerment as
a process by which people, organizations, and
communities gain mastery over issues which are
of concern to them.
Extrapolating these ideas into the context of
teaching, we can assume that university teacher
personal empowerment is the expansion of his
freedom of choice and action in the university
educational area; it involves increasing teacher’s
authority and control over the resources and
decisions that affect his teaching practice.
Exercising real professional choice, the person
generates great efforts which are accompanied
by feelings of vitality and energy. Accordingly,
perceiving his engagement in various
teaching tasks as interesting and meaningful,
autonomously-motivated teacher experiences
less exhaustion, feels more competent and
gains increased control over his work. We
believe, however, that as the sense of personal
empowerment doesn’t mean that a teacher has to
always be right. It means a teacher is inwardly
prepared to face whatever professional context
serves up. Being self-empowered, teachers know
their professional goals and can use their own
judgment in achieving them. In other words, selfempowered teachers know they have an active and
important role in the educational process, and this
quality allows them to reduce the number of the
stressors they have to cope with and contributes
to job satisfaction.
This approach reflects the psychological
aspect of personal empowerment, which has
been regarded as an individual’s cognitive state
characterized by a sense of perceived control,
competence, and goal internalization. From
this point of view, personal empowerment is
considered as a multi-faceted construct reflecting
the different dimensions of being psychologically
enabled, and is conceived of as a positive integrate
of perceptions of personal control, a proactive
approach to life, and a critical understanding
of the socio-political environment, which is
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rooted firmly in a social action framework that
includes community change, capacity building,
and collectivity (Oladipo, 2009: 121). Analysis
of psychological works on self-empowerment/
personal agency allowed us to argue that selfempowerment/personal agency makes people
more open, questioning, actively looking for
solutions and developing their self-esteem (selfconfidence) and self-efficacy (great trust in one’s
own abilities). That’s why self-empowerment/
personal agency is also considered one of the
requisites for personal growth and success, better
psychological well-being (Oladipo, 2009).
Campion et al. define personal empowerment
as the employees’ ability to make decisions
and to accept responsibility for the outcome of
those decisions (Campion et al., 1993). However,
the processes are reported to be directly related
to personal autonomy (Ryan, Deci, 1985) and
to teacher autonomy in particular (LaCoe,
2008). Meanwhile, lack of participation in
decision-making is reported to be linked to
depersonalization and considered as a significant
predictor of burnout syndrome (Lasalvia &
Tansella, 2011: 279). Indeed, when teachers
perceived that they lack of participate in decision
making, they would feel that they are in condition
which is uncontrollable, so they feel helplessness
and feel uncertainly of their teaching practice.
In order to cope with the situation, teachers will
depersonalize their relationships with colleagues
and students.
In the context of up-to-date social and
economic changes and Russian educational
system ambiguity, marked by novelty, complexity,
insolubility and lack of structure, teacher’s
capacity to decision making extends its meaning
through transformation into “decision making
under ambiguity”, which implies the ambiguity
tolerance (tolerance for ambiguity).
Referring to an individual’s ability to
accept ambiguity, lack of structure, complexity,
insolubility, etc., or to “a person’s ability to
function rationally and calmly in a situation in
which interpretation of all stimuli is not clear”
(Chappelle & Roberts, 1986: 30), the ambiguity
tolerance is reported to be linked to risk taking
because those who can tolerate ambiguity are
more likely to take risks (Ehrman & Oxford,
1995).
This approach makes the ambiguity tolerance
extremely important for modern teachers who
need experiencing positive emotions even in
stressful, ambiguous, problematic situations
through transforming them into the challenges
for self-development. Teachers who are tolerant
of ambiguity seem to be more willing to take risks
and open to change. Accordingly, they can perceive
and accept new information without frustration
and without appeals to authority even though this
information involves many unknown elements.
As we can see, being tolerant of ambiguity
makes the agent to be more autonomous. On this
basis, we consider the ambiguity tolerance to be
one of the crucial components ensuring teacher
professional autonomy.
The ambiguity tolerance is also regarded as
an important issue in personal development and
is considered to be correlated with creativity and
(Kirton, 2004). Meanwhile, creativity involves
the ability to create one’s own ways of proceeding
(constructivism), the latter being reported to
be one of the important attributes of personal
autonomy (Gabanska, 1995).
The internal locus of control (or innerdirectedness) is another personality trait that is
expected to be related to goal commitment, job
attitudes and, subsequently, one of the important
features of an autonomous person (Stajkovic,
Luthans, 1998). Dormann, et al. believe that
locus of control represents a belief in oneself
relative to one’s environment (Dormann, et al.,
2006). In recent research on management theory
locus of control is represented as the degree to
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which people believe that their actions influence
what happens to them (Williams, 2007). Thus,
individuals with high internal locus of control
(internals) believe that what happens to them,
good or bad, is largely a result of their choices
and actions. As for individuals with high external
locus of control (externals), they believe that what
happens to them is caused by external forces
outside of their control. Internals are reported to
have a strong belief that outcomes such as rewards
are under their control (Spector, 1988), to be able
to adopt proactive, problem-solving means to
change the environment, and they are more likely
to engage in goal-directed activities (Hoffman
et. al., 2003). Studies also suggest that locus
of control is strongly related to job satisfaction
(Leone, Burns, 2000; Spector, 1988). In this
respect it should be pointed out that following the
ideas of E.L. Deci and O.E. Dergacheva (Deci,
1980; Dergacheva, 2005), we do not consider
the term “internal locus of control” to be a
synonym to above-mentioned “perceived locus
of causality”, because “internal locus of control
doesn’t necessarily involve intrinsic motivation
and self-determination” (Dergacheva, 2005 :
86).
Based on these ideas, we believe that the
presence of internal locus of control is important,
but not sufficient to make the teacher act
autonomously. As for perceived locus of causality,
it is often regarded, as it was mentioned above, as
a continuum of perceived autonomy, the highest
level of the latter (self-determination) being
ensured by intrinsic motivation (Ryan, Connell,
1989; Ryan & Deci, 2000). Indeed, the concept
of “self-determination” is often considered as a
synonym to “personal autonomy”, but the latest
research indicates that personal autonomy is often
defined as a broader phenomenon (Dergacheva,
2005; Pearson & Moomaw, 2005).
Drawing on the above mentioned Pearson
and Moomaw’s definition of teacher autonomy
(Pearson & Moomaw, 2005) and taking into
account the context of university teacher
professional activity, we assume that perceived
university teacher autonomy can be involved in a
wider range of processes than self-determination
alone.
With regard to the above-mentioned and
to the context of teaching, the perceived locus
of causality seems to be an important teacher
personality attribute which can ensure teacher’s
perception of work-related autonomy together
with some other personality traits and workrelated competencies.
It should be added that we consider the degree
of perceived locus of causality (Ryan, Connell,
1989) to be central feature that differentiates the
terms “autonomy” and “independence”, which
have often been used as synonyms in Russian
pedagogical science. We assume that perceived
teacher autonomy involves a higher level of
independence, where the teacher decides not only
how to reach the established educational goals
but establishes new goals himself according to
his own perceptions of the educational context.
Conceptual Model
of Perceived University Teacher
Professional Autonomy
Based on the above-mentioned ideas and
drawing on Arseniev’s idea about two types
of freedom (Arseniev, 1999) and Leontiev’s
psychological theory of personal autonomy
(Leontiev, 2006), this study regards perceived
teacher autonomy as the core of “freedom
to”, which 1) implies professional interaction,
personal development, self-actualization, selfempowerment and work engagement, 2) is
ensured by intrinsic motivations to professional
achievement and personal development, and a
complex of such personality attributes (internal
locus of control, professional responsibility,
creativity) and competencies (ability to goal
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setting, ability to decision making, ability to
make choices, pedagogical mindfulness), 3) leads
to better performance, job satisfaction, increase
of self-esteem and work-related self-efficacy. In
this interpretation perceived teacher autonomy is
represented as a high-level competency, ensured
by a set of teacher personality traits and leading
to better performance.
We consider autonomous activity to be
related to comparisons between self-generated
teacher professional goals and the extent to which
they are reached in practice. These comparisons
seem to characterize the degree of perceived
teacher autonomy.
As a result, a review of the professional
literature with respect to SDT, Competencybased approach, the Tuning approach and the
Theory of a rational performance allowed us
to pose the following definition of perceived
teacher autonomy: Perceived teacher autonomy
is determined by intrinsic motivations to
professional achievement and development,
professional responsibility, creativity and
relative independence from external factors
generic competency, that underlies successful
performance across different teachingrelated situations through creating one’s own
professional goals, taking intellectual and
moral decisions, making free choices, and selfmonitoring one’s own professional experience.
With regard to this definition, an
autonomous teacher seems to always be ready
to deal with challenges which appear in the
changing educational environment. In other
words, an autonomous teacher is able to deal with
his stress positively through transforming the
existing stressors into the factors of his own selfdevelopment. Subsequently, for an autonomous
teacher teaching generally represents a wide
range of experiences and relationships with joy,
fascination and satisfaction rather than risks for
frustration and disappointment. This viewpoint
corresponds with the idea proposed by Priebe &
Reininghaus (2011) who turn from the negative
stress model to an approach that emphasizes
the positive sides of work – i.e. the factors
that promote “work engagement”, a positive,
fulfilling, effective-motivational state of workrelated well-being (Bakker et al., 2005). The
above mentioned ideas are relevant to ‘positive
psychology’, a new research and application field
that describes aspects of the human condition that
lead to happiness and fulfillment to determine the
factors that better one’s life (rather than trying to
prevent negative situations) (Ryan, Deci, 2000,
Ryff, 1995, Caprara et al., 2010).
Our investigation allows us to reveal
the benefits of promoting perceived teacher
autonomy through development of teacher
intrinsic motivations to professional achievement
and teacher personal development, together with
teacher personality attributes (internal locus of
control, professional responsibility, creativity)
and work-related competencies (ability to goal
setting, ability to decision making, ability to make
choices, pedagogical mindfulness), ensuring
perceived teacher autonomy (Fig. 1).
The research model investigated in this study
as shown below in Figure 1 implies that being
intrinsically motivated to professional achievement
and personal development, and having a complex
of such personality attributes (internal locus of
control, professional responsibility, creativity)
and competencies (ability to goal setting, ability
to decision making, ability to make choices,
pedagogical mindfulness), an autonomous teacher
is able to deal with any educational environment
challenges positively through transforming them
into the factors of his own self-development.
This activity implies professional interaction
and pro-social behavior, self-actualization, selfempowerment and leads to personal development
and job satisfaction, promoting work engagement
as a positive, fulfilling, effective-motivational
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Fig. 1: Conceptual Model of Perceived University Teacher Professional Autonomy
state of work-related well-being considered above
as the antipode of teacher burnout. Engagement is
related to better performance which leads, in its
turn, to the increase of teacher self-esteem and
professional self-efficacy. This helps the teacher
to constantly keep and develop his personality
traits ensuring his professional autonomy. In other
words, an autonomous teachers is well adjusted
with the possibility of high job satisfaction since
there is always a chance for a positive change
in his/her value orientation which results, in its
turn, in more autonomous behavior. Accordingly,
perceived teacher autonomy may allow him / her
to tolerate occasional frustrations and setbacks,
and prevent exhaustion as one of three main
burnout components. In the context of new social
and professional demands, perceived teacher
autonomy, thus, helps the teacher to keep his
/ her individuality in each act of his / her selffulfillment.
The proposed approach to investigate
perceived teacher autonomy reveals its special
potential as a mainspring of higher education
reform, ensuring pedagogical research, effective
implementation of new educational technologies,
teacher influence on university policies, teacher
professional development and self-actualization.
Resume
In this paper we showed several theoretical
approaches able to become the methodological
bases for investigating perceived teacher autonomy
phenomenon. Among them SDT, competencybased approach, theory of a rational performance
and the Tuning approach to university teacher
professional activity, based on which we have
proposed an integrated definition of perceived
teacher autonomy.
We consider perceived teacher autonomy
as teacher generic competency, determined by
intrinsic motivations to professional achievement
and development, professional responsibility,
creativity and relative independence from external
factors and underlying successful performance
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across different teaching-related situations
through creating one’s own professional goals,
taking intellectual and moral decisions, making
free choices, and self-monitoring one’s own
professional experience.
At the conceptual level of our research it
means that a teacher himself, his desires, his
process for forming the desires and the resulting
actions are all the sorts of things that could be
regarded as autonomous.
The proposed aspect of understanding
perceived university teacher autonomy reveals
its crucial role in providing a new type of higher
education through allowing pedagogical research,
effective implementation of new educational
technology, ensuring teacher psychological wellbeing as well as teacher professional development
and self-actualization.
Finally, implications for future research are
based on the conclusion that University teacher
autonomy cannot be understood without studying
teacher motivations, personality traits and workrelated competencies in a broad socio-cultural
context. We hope this work will set the stage for
research initiatives investigating the potential
of perceived university teacher autonomy as
an important factor which must be taken into
account to prevent teacher burnout.
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Автономность преподавателя университета
как движущая сила реформирования
высшего образования
О.А. Гаврилюк
Красноярский государственный медицинский университет
им. профессора В.Ф. Войно-Ясенецкого
Россия 660022, Красноярск, ул. П. Железняка, 1
Продолжая попытки определить и описать автономность преподавателя как существенный
фактор его профессионализма и саморазвития, данное исследование расширяет понимание
освоенной автономности преподавателя вуза посредством изучения содержания этой
сложной личностной характеристики в контексте современных преобразований в российском
высшем образовании. С учетом теории самодетерминации, компетентностного подхода,
теории рационального стиля деятельности и тюнингового подхода к профессиональной
деятельности преподавателя вуза эта работа дает интегрированное определение
освоенной автономности преподавателя вуза как его метакомпетенции, обеспечивающейся
динамическим комплексом личностных характеристик и профессиональных компетенций.
Содержание понятия «освоенная автономность преподавателя вуза» представлено в
концептуальной модели. Исследование раскрывает потенциал освоенной автономности
преподавателя вуза как движущей силы профессионального саморазвития педагога,
повышения его профессиональной активности, удовлетворенности работой, а также его
умения эффективно справляться с различными типами профессиональных стресс-факторов
в контексте реформы высшего образования в России.
Ключевые слова: высшее образование, преподаватель вуза, личностная автономность,
освоенная автономность, самодетерминация, внутренняя мотивация, професиональное
саморазвитие, локус контроля, целеполагание, принятие решений, осуществление выбора,
рефлексивность.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1816-1823
~~~
УДК 82-2:821.133.1(091)-792.2Anouilh-Jean
The Retrospective Composition
of Jean Anouilh’s Drama “Skylark”
Irina G. Prudius*
Moscow State Pedagogical University
1 M. Pirogovskaya Str., Moscow,119991 Russia
Received 03.10.2013, received in revised form 17.10.2013, accepted 22.10.2013
A French writer, Jean Anouilh, is one of the most famous innovators in the sphere of drama of the twentieth
century. His drama is rightfully called intellectual: in its basis there is the ideological confrontation
of two worlds: a conformist and a non-conformist one, the stand of the latter the dramatist supported
over the period of his creative development. Therefore one and the same problems, one and the same
ideas pass through Anouilh’s works. The play “Skylark” is one of the summits of Jean Anouilh’s drama
creative work. In the article – “The Retrospective Composition of Jean Anouilh’s Drama “Skylark” –
the composition peculiarities of this play are considered as well as the retrospective method used by
Anouilh as fundamental for the creation of the play.
Keywords: dramaturgy, french literature, Anouilh Jean.
Point
During the whole 19 century problems in
drama are growing. In its last third H. Ibsen’s
drama, which can be related to the drama of
ideas, appears. In drama of the 20th century,
starting with B. Show’s works, idea subdues the
structure. Besides the term “the drama of ideas”
the term “intellectual drama” comes into service.
In our opinion there is no distinction in kind
between them. Only a varying degree of structure
subordination to the idea might be considered.
The writers transfer the conflict of the play
to the intellectual sphere and in connection with
it they reconsider their attitude to the structure
of drama itself. A.G. Obraztsova wrote about
B. Show’s works: “The collision of ideas in
Show’s dramas is so consuming, that it entirely
subdues the plot, the dialogue, the characters”
th
*
(Obraztsova, p. 68, 1965). These words can refer
to the intellectual drama in whole.
Drama often became “non-dramatic”;
intrigue (if it had been) could fade away right in
the first act (in case if the play was divided into
acts at all). B. Show was right when remarked: “I,
as well as our leading dramatists, am constantly
praised for our old professional stunts… As
for our real achievements, they are either not
noticed, or condemned for “non-dramatism” or
some other nonsense of that kind” (Show, p.492,
1963). M.S.Kurginyan writes that drama should
be enriched with “epic comprehensiveness, that
a mass hero, not an individual one, should be put
into the foreground; the whole epoch should be a
storyline, not just separate episodes” (Kurginyan,
p.165, 1989). Therefore the drama structure is
built via the clash of the main idea and the ones
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: m-i-g@yandex.ru
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opposed to it, like “crossing” at which different
points meet and from which they move away”
(Kurginyan, p.166, 1989).
But besides the transference of conflict
into the intellectual sphere, drama of the 20th
century reveals itself also in compositional
transformations. And, as M.S.Kurginyan
correctly remarked, “innovative forms of the
contemporary drama <…> are born in works of
progressive-minded dramatists influenced by
the new problems of the new epoch <…> for all
the variety the search is united by one common
tendency: the breach of those general principles
and specific drama laws , followed as obligatory,
by their predecessors” (Kurginyan, p.165, 1989).
A French writer, Jean Anouilh, is one of
the most famous innovators in the sphere of
drama of the twentieth century. His drama is
rightfully called intellectual: in its basis there
is the ideological confrontation of two worlds: a
conformist and a non-conformist one, the stand of
the latter the dramatist supported over the period
of his creative development. Therefore one and
the same problems, one and the same ideas pass
through Anouilh’s works.
The play “Skylark” is one of the summits of
Jean Anouilh’s drama creative work. In our work
the composition peculiarities of this play are
considered as well as the retrospective method
used by Anouilh as fundamental for the creation
of the play.
P.Pavies, a French researcher of theatre art,
defines retrospection as “a term <…> for indication
a scene or a motif in a play, prior to the performed
episode” (Pavies, p. 322, 2003). And further:
“This method <…> reminds an introduction to a
play at the height of the action, the plot of which
sends us then to the prior events” (Pavies, p. 322,
2003). G.N.Khrapovitskaya defined the functions
of the retrospective method in “new drama”:
“Retrospections – descriptions – epic elements
in a drama are one of the reactions of the form
to a changed content. At the same time it is the
reaction of that part of the form which is called
composition” (Khrapovitskaya, p.191, 1979). And
further: Presence of retrospection creates the
illusion of time extension of the events, so does
an open ending” (Khrapovitskaya, p.194, 1979).
In the 20th century drama structure is getting
more and more complex. P.Pavies in his “Theatre
Dictionary” writes not only about retrospection,
but also about its forms: “retrospection within
retrospection” (crossing of two or more past
times) or “cascade of retrospections” (number of
retrospections in characters’ cues following one
another). P.Pavies stated that it was necessary
“to define the moment of retrospection for the
audience to understand what was going on. <…>
It should always be definite, limited with distinct
“frames” for adequate perception: retrospection
within retrospection or moreover cascade of
retrospections can only disorient the audience.
But the methods mentioned above are reasonable
when the principle of linear and objective narration
is deliberately broken and there is a stake on the
overlaying of realities” (Pavies, p. 322, 2003).
M.G.Merkulova remarked that “the specific
character of retrospection functioning in drama
is first of all connected with “resurrection of the
past” as a representation on the stage, therefore
the realization of retrospection at the levels of
action, character and conflict formation inherent
to drama literary kind is particularly significant”
(Merkulova, p. 55, 2006).
In Jean Anouilh’s works the retrospective
method is more than just reasonable. Retrospection
within retrospection is the author’s constant
compositional trick for drawing the audience
in the stage reality. “Skylark” is the brightest
example of the retrospective composition in
Anouilh’s drama. Two thirds of the play consist
of retrospection: it is the performance of Jeanne
d’Arc’s life before the trial, though the play begins
with the bringing in the verdict. With the help of
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Irina G. Prudius. The Retrospective Composition of Jean Anouilh’s Drama “Skylark”
retrospection the whole Jeanne’s life is shown,
uncovering plenty of hard events, which couldn’t
crush her determined character.
Example
In Anouilh’s drama works the division into
acts is often absent. The same situation is with
“Skylark”. Directors had to decide themselves
when to set an intermission so not to harm the
notional goal of the author, who hadn’t intended to
make any break in the stage action. So “Skylark”
came out extremely integral with Jeanne’s past
and present inseparably interwoven.
The tense plot intrigue (if Jeanne will be
sentenced, if she’ll die or not), the end of which is
well-known, steps back and gives place to actionreflection in the heroine’s mind, which is though
not always represented as a monologue, oftener
as a dialogue, but attracts readers’ and audience’s
attention to the very process of the formation of
the thoughts.
Jeanne. Cela aurait été mieux, n’est-ce pas,
si j’avais été brulée?
Warwick. Je vous ai dit que pour le
Gouvernement de Sa Majesté, l’abjuration est
exactement la meme chose...
Jeanne. Non. Pour moi? (Anouilh, pp. 176177, 2009)
(Jeanne. Tell me, would it be better, if I were
burned?
Warwick. I have already told you that for
His Majesty’s government it is one and the same
thing...
Jeanne. No. For me?)
To make the audience understand how
difficult it is for the character to make their
decision, Anouilh uses the retrospective
composition to extend the time frames of the stage
action. Almost the whole play is the narration
about Jeanne’s life before the trial. Before that the
author put the stories of characters’ past into the
mouths of these or those personages. In “Skylark”
the retrospective action is performed directly on
the stage. All the personages from Jeanne’s past
life (before the trial) appear and tell their stories
themselves.
For example, the scene of the first meeting of
Jeanne and Charles, the king of France, happens
before the trial, but is shown on the stage. So this
scene in the play is already retrospection.
It is performed after the dialogue between
Warwick and Cauchon, discussing Jeanne’s
grandeur and solitude, who they have been
forcing to sign the deed of repudiation for
nine months. Warwick knows, that Jeanne will
lead the French army, but suggests Cauchon
watch the scene of the meeting of the king
and Maid of Orleans, since “little coward
Charles” has always “amused” him. Charles’s
image is already brought down to the level of
retrospection.
With the help of retrospection within
retrospection (Charles’s narration about the
family) Anouilh “deheroizes” the king of
France as much as possible. Even in Warwick’s
words we can see the author’s negative attitude
to the king, but to emphasize that, Anouilh
doesn’t put the story about Charles into the
mouth of one of Jeanne’s judges, but lets the
personage come to the stage and reveal himself
to the audience.
Charles is depicted as a “nasty boy” or “little
Charles”. In comparison with Jeanne he looks
pathetic and not capable to take any resolute
actions, moreover he realizes that.
In the dialogue with Iolanthe (Charles’s
mother-in-law), which is more alike a monologue,
the king accuses his generals of being deceitful, of
the war being more like a fair, where everything is
sold and bought. His private life itself resembles
the war: Charles complains to Iolanthe that he is
tired to fight for his budget with his wife and his
lover, who care only about new fashionable caps
for appearing in society. At this moment Anouilh
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brings the retrospection: the king recollects his
grandfather – Charles the Great, who, in his
opinion, became famous, because “in his time
there was no such scarcity”. Charles also tells
about his parents, who “have spent the entire
treasury on food”. Though the king tries to set
himself right with not only Iolanthe, but also the
audience, his image is falling even more.
Charles. Quand comprendrez-vous, tous,
que je ne suis qu’un pauvre petit Valois de rien du
tout et qu’il faudrait un miracle? C’est entendu,
mon grand-père Charles a été un grand roi; mais
il vivait avant la guerre où tout était beaucoup
moins cher. Et d’ailleures, lui, il était riche... Mon
père et ma mère ont tout mangé; il y a eu je ne
sais combien de dévalutions en France, et je n’ai
plus les moyens d’etre un grand roi, moi, voilà
tout! (Anouilh, p.76, 2009)
(Charles. When will you all understand that
I’m just a worthless offspring of the Valois, and
at least a miracle will be needed to make your
dreams come true? Of course, my grandfather,
Charles, was a great king, but he lived before the
war, that time there was no such scarcity. Though
he was rich... My father and my mother have
spent all the money on food ; in France there
have been so many devaluations that I can’t even
remember, and I personaly don’t have means to
become a great king, and that’s all!)
Charles excuses his failure to act during the
war with absence of money. But in the conversation
with Jeanne it already becomes evident that the
king is also coward and just weak-willed. In this
dialogue Jeanne promises him to reveal the secret
of always being brave. The king supposes that
Jeanne is a witch, but he assures her that he won’t
tell anybody. And just at that moment he utters
such words:
Charles. Les supplices, j’ai ça en horreur.
Une fois, ils m’ont emmené voir bruler une
hérétique. J’ai vomi toute la nuit. (Anouilh, p.97,
2009)
(Charles. Tortures, to me, they are horrible!
Once they dragged me to watch how a heretic
was burned. I had been vomiting all night.)
He doesn’t want to give up Jeanne to the
Inquisition not because he admires the heroine,
but because of his own reasons – in order not
to watch the tortures. Anouilh, spontaneously
giving an insignificant retrospective element,
intensifies Charles’s deheroization, depicting his
weak character.
Anouilh uses the retrospective method
and at the moment of Jeanne’s crucial choice.
After she has signed the deed of repudiation,
the heroine is being conducted to the dungeon,
where Warwick comes to support her. In the
dialogue with Warwick Jeanne’s cues sound
aloof, they are more alike a monologue, within
which she is still hesitating, not knowing which
decision is more right for her. And so Jeanne,
having whispered incomprehensibly, cries that
she doesn’t want to linger, as most people do.
Recollections about the voices (retrospection),
having foretold her a great future, make her
refuse the almost forced agreement, made at
the trial, and accept the execution, but remain
herself – the real Jeanne d’Arc, for who no
compromise exists.
Jeanne. Messire saint Michel! Sainte
Marguerite! Sainte Catherine! <…> Je ne suis
née que du jour où j’ai fait ce que vous m’avez dit
de faire, à cheval, une épée dans la main! C’est
celle-là, ce n’est que celle-là, Jeanne! <…> Pour
ce qui est de ce que j’ai fait, je ne m’en dédirai
jamais. (Anouilh, pp.172-173, 2009)
(Jeanne. Archangel Michael! Saint Margaret!
Saint Catherine! <...> I was born on that very day
when you talked to me for the first time. I began
to live since the day, when I had done what you
had told me to accomplish astride, with a sword
in my hand. That is the real Jeanne, only she is
the Jeanne! <...> I will never repudiate what I
have done.)
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Retrospective elements are brought
unexpectedly, are closely interwoven with the
stage action – the court session, and then again
unexpectedly come to the direct action on the
stage.
The intrigue dies when Jeanne signs
the deed of repudiation (of all her ideas and
deeds). And so she is allegedly safe and has
to spend the rest of her life in the nunnery, but
the audience knows, that Jeanne d’Arc will be
burned at the stake, even before the beginning
of the stage action. So the concentration of the
action is in the heroine’s mind. But the conflict,
consisting in the confrontation of conformists
and non-conformists, which passes through all
of Anouilh’s plays, focuses not only on the main
heroine. The confrontation between Jeanne and
the surrounding world, embodied in her judges,
is important. And if Jeanne makes the only
possible and right decision for her (which turns
true for the author too), the other personages
(excluding the Inquisitor) are not so defi nite in
their choice. Her main opponents – Warwick
and Cauchon – are constantly hesitating about
Jeanne’s verdict. In their recollections some
lyrical notes can be heard. For Cauchon she is
“a poor girl”, “a child”, an innocent victim. For
Warwick – the heroine, with whose help the
French got their victory.
Cauchon. Nous avons ergoté neuf mois
avant de vous livrer Jeanne. Neuf mois pour faire
dire «oui» à une petite fille abandonnée de tous.
<…> La santé de la mère <…> nous préocpait
seule et nous avons de bonne foi sacrifié l’enfant
quand nous avons cru comprendre qu’il n’y avait
pas autre chose à faire. (Anouilh, p.65, 2009)
(Cauchon. We had been arguing for the
whole nine months, before we gave up Jeanne to
you. The whole nine months to persuade a poor
girl, left by everyone, to say “yes”. <...> We are
concerned solely about health of the mother [the
country] <...>and we scarified the child when we,
as it seemed to us, had understood that there was
no other way.)
And then it is Warwick who names Jeanne
the skylark, which proclaimed the French victory
over the Englishmen.
Warwick. C’est cette petite alouette chantant
dans le ciel de France. (Anouilh, p. 111, 2009)
(Warwick. This little skylark sang in the
skies of France.)
In the dialogue between Warwick and
Cauchon, taking place before the episode with
Charles, everything, referring to the present – to
the trial, is performed stiffly, as if enumerating the
facts. As for the recollections, the retrospective
elements, they are on the contrary full of warmth
and sympathy to the main heroine.
Jeanne embodies the ideas of freedom of will
and mind, when her judges – subordination to
the dogmata and system. If everything referring
to Jeanne is the truth, then that, referring to her
opponents is lies and doubts. Here we can talk
about the problem of faith. Jeanne’s belief in God
is absolute, it goes from her heart, but she also
believes in the Man, their willpower, capacity
to cope with all life difficulties and resist in any
situation.
Cauchon. Ainsi, Jeanne, tu excuses l’homme?
Tu le crois l’un des plus grands miracles de Dieu,
voire le seul ?
Jeanne. Oui, Messire. (Anouilh, p. 121,
2009)
(Cauchon. Well, Jeanne, do you excuse
the man? Do you believe that he is the greatest
miracles of God, if not the only?
Jeanne. Yes, Monsieur.)
Before the execution Jeanne asks for a
crucifi x, the English soldiers bring it to her –
they, her recent enemies, admire her strongwilled character. The Inquisitor is afraid that
the Englishmen might come down on her
side. Her story becomes eternal, her name – a
legend.
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Jeanne’s judges don’t have any veritable faith
either in God, or in the Man. They have only the
law and settled scheme of behaviour, which are
impossible to neglect. Any rebel is a traitor. In the
speeches of Jeanne’s antagonists there are only
cynicism and an attempt to persuade the heroine
to take their side, in comparison with Jeanne,
who doesn’t try to convince anybody of the truth
of her words. The Inquisitor is her most vehement
accuser. He says that she is worse than devil.
L’Inquisiteur. Plus notre ennemi est petit
et fragile, plus il est tendre, plus il est pur, plus
il est innocent, plus il est redoutable... <…> La
chasse à l’homme ne sera jamais fermée... <…>
et qui humiliera encore une fois l’Idée au comble
de sa puissance, simplement parce qu’il dira
«non» sans baisser les yeux. (Anouilh, p.123-124,
2009)
(The Inquisitor. The weaker and the more
fragile our enemy is, the gentler, the purer and
the more innocent it is, the more dangerous it
is...<...> The hunting of that one will never
end...<...> who once more will humiliate the
Idea, having reached the summit of might,
humiliate by just saying “no” without casting
down their eyes.)
Here one more conflict is marked – the
confrontation of the idea of implicit obedience
to laws, embodied at the highest pitch by the
Inquisitor, and the idea of humanity, which
is embodied in Jeanne herself and to which
Warwick, Cauchon and ordinary people are
prone. The final of the play proves the triumph of
humanism over laws. Thus, Anouilh yet believes
in the human ability to overcome the frames set
by the society and the state.
In the final of the play Jeanne, who
consciously dooms herself to death, doesn’t
perish. The dramatist with the help of a ridiculous
personage Baudricour stops her execution at the
stake, saying that at the trial the most important
episode in Jeanne’s life was forgotten – her
presence on the coronation of the king of France,
Charles.
So the play finishes with the retrospective
final, which happens before the beginning of
the stage action, – before the trial. The play is
structured so that in the final it closes up with
the absolute triumph of Anouilh’s main heroine,
having said her “no” to the world, but not with
Jeanne’s death.
Charles. La vraie fin de l’histoire de
Jeanne, la vraie fin qui n’en finira plus, celle
qu’on se redira toujours, quand on aura oublié
ou confondu tous nos noms, ce n’est pas dans sa
misère de bete traquée à Rouen, c’est l’alouette
en plein ciel, c’est Jeanne à Reims dans toute sa
gloire... La vraie fin de l’histoire de Jeanne est
joyeuse. Jeanne d’Arc, c’est une histoire qui finit
bien! (Anouilh, p.188, 2009)
(Charles. The real end of Jeanne’s story,
the real end, which will never end, which will
always be retold even when our names have been
forgotten or confused, – this story is not about
the troubles of a creature, coursed in Rouen, but
the story of a skylark in the skies, it is Jeanne in
Rheims, in the prime of her glory. The real end
of her story is a happy one. Jeanne d’Arc it’s the
story with a happy ending!)
In the world, where the compromise rules,
there is no life for Jeanne, and she chooses
death. But, as we have already said, the fi nal
scene of the play is not the heroine’s execution
as it should have been expected. Anouilh, using
retrospection, in the end of his work presents
his favourite heroine flourishing – on Charles’s
coronation, where only she was allowed not to
kneel. She turns her eyes to the skies, “as she is
depicted in pictures”.
Resume
“Skylark” is one of the best Anouilh’s
plays. Though he used the retrospective method
in his earlier works, in “Skylark” the dramatist
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applies not only retrospection, but also its form –
retrospection within retrospection – the characters’
past reflects not only in their cues, but also it is
performed directly on the stage. Anouilh mainly
uses the very retrospection within retrospection
to show the past events and their influence on the
present – the trial of Jeanne – more objectively. In
“Skylark” the retrospections are often performed
in the form of a dialogue, though they are taken for
monologues, as the personages, being absorbed
in their past, stop paying attention to their
interlocutors (for example, in Jeanne’s speeches).
Sometimes retrospection appears suddenly, as a
spontaneous recollection (Charles’s cue about the
tortures), what focuses audience’s attention on
this very detail, on this very moment. The past is
interwoven with the present, and by their crossing
the drama conflict is brighter represented – the
contradiction between Jeanne and her judges,
between the ideas of freedom of will and humanity
and the idea of implicit obedience to the rules, set
in the society. The retrospective end affirms the
victory of humanism and freethinking over the
law.
Thus, with the help of the retrospective
method in “Skylark” Jean Anouilh created
one of his brightest works, which is still being
performed.
Reference
1. Anouilh J. Skylark [L’Alouette]. Paris, La table ronde, 2009. 192 p.
2. Khrapovitskaia G.N. Osnovnye puti razvitiia norvezhskoi dramy vtoroi poloviny XIX –
nachala XX vekov (Ibsen, B’ernson, Gamsun, G.Heiberg) [The Main Ways of Development of the
Norwegian Drama of the Second Half of the 19th Century – of the Beginning of the 20th Century (Ibsen,
Bjørnson, Hamsun, G.Heiberg)]. Moscow, Publ. MGPI after V.I.Lenin, 1979. 894 p.
3. Kurginian M.S. Chelovek v literature 20 veka [A person in the literature of the 20th Century].
Moscow, Publ. Nauka, 1989. 248 p.
4. Merkulova M.G. Retrospekciia v angliiskoi novoi drame kontsa XIX – nachala XX veka:
istoki i funktsionirovanie [Retrospection in the English new drama of the end of XIX – the beginning
of XX centuries: origins and functioning]. Moscow, Publ. Prometey, 2006. 184 p.
5. Obraztsova A.G. Dramaturgicheskii metod Bernarda Shou [Bernard Shaw’s drama method].
Moscow, Publ. Nauka, 1965. 313 p.
6. Pavi P. Slovar’ teatra [Theatre dictionary]. Moscow, Publ. house GITIS, 2003. 516 p.
7. Shou B. O drame i teatre [About drama and theatre]. Moscow, Publ. foreign literature, 1963.
639 p.
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Irina G. Prudius. The Retrospective Composition of Jean Anouilh’s Drama “Skylark”
Ретроспективная композиция
в драме Ж. Ануя «Жаворонок»
И.Г. Прудиус
Московский педагогический государственный университет
Россия 119991, Москва, ул. М. Пироговская, 1
Французский писатель Жан Ануй является одним из самых известных новаторов в
области драматургии XX века. Его драма по праву названа интеллектуальной: в ее основе
идейное противостояние двух миров – конформистов и нон-конформистов, с позицией
последних драматург был солидарен на протяжении всего творческого пути. Поэтому
у Ануя из произведения в произведение переходят одни и те же проблемы и одни и те же
идеи. Пьеса «Жаворонок» – одна из вершин драматургического творчества Ж. Ануя. В
статье «Ретроспективная композиция в драме Ж. Ануя «Жаворонок» рассматриваются
композиционные особенности данной пьесы и использование Ануем приема ретроспекции как
основополагающего при создании данного произведения.
Ключевые слова: французская драма, интеллектуальная драма, Ануй Жан.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1824-1830
~~~
УДК 343.9
Basic Provisions and Prospects of the Restrictive
Social Control under the Conditions
of Society Stratification in Terms of “Inclusive/Exclusive”
and the Growth of Recidivism Among Youth
Yuri Yu. Komlev*
Kazan Law Institute of the Ministry of Internal Affairs of Russia
35 Magistralnaya Str., Kazan, 420108 Russia
Received 24.07.2013, received in revised form 31.07.2013, accepted 04.08.2013
The article outlines the basics of the theory of restrictive social control. We consider the possibility of
preventive restrictive social control to limit the negative deviance of youth under the stratification of
Russian society by «inclusive / exclusive» and the growth of recidivism.
Keywords: inclusive, exclusive, recidivism, social control, “the crisis of punishment”, deviance,
restriction, restrictive social control.
1. Introduction
2. Statement of the Problem
The problem of social control over the
massive social and personal dangerous destructive
deviant behavior in today's society is a subject
for permanent attention of different scholars:
sociologists,
psychologists,
criminologists.
Social control over such negative manifestations
of deviance as: crime in all its manifestations,
alcoholism, drug addiction, prostitution, gambling
and suicidal behavior acquires the status of an
extremely important scientific and practical
problem, especially in the context of public
and personal safety. Its theoretical, applied and
social significance increases markedly in the new
social context of globalization, migration and,
in particular, the stratification of “ultra-modern
capitalism” in terms of “inclusive / exclusive”
(inclusion / exclusion).
The concept of “exclusion” was initially used
in academic sense by French sociologists of the
second half of the twentieth century to describe
those who find themselves on the sidelines of
economic progress in terms of “new poverty”.
As is known, in the context of stratification in
Western societies the “inclusion / exclusion”
meta-code describes the growing gap between
the increasing well-being of one part of people
and the “worthless others. In this case, the
exclusion of the poor from social prospects in the
developed countries is done gradually through
the accumulation of difficulties, social ties
breaking, suspension, identity crisis, the growth
of deviance.
In Russia the exception of large masses of
the population, and mainly young people, took
*
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: komlev_yu_yu@mail.ru
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place rapidly at the turn of the 21st century as
a result of the shock therapy by Gaidar and
Chubais privatization, as well as an outcome
of the string of subsequent market reforms,
formation of oligarchy and state-bureaucratic
capitalism. The process of exclusion is taking
place even today: in our country the poor
are becoming poorer, the rich are becoming
richer, the gap between the rich and the poor is
becoming deeper. The stratification of the social
structure in terms of “inclusion / exclusion” has
created new preconditions for the determination
of multiple negative deviance, complicated the
situation with social control and public safety.
It has proved to be especially harmful for the
juvenile environment. The “excluded” teenagers
and young people are often homeless, socially
unattended, increasingly commit not only acts
of street hooliganism, ordinary theft, but more
latent socially dangerous crimes, vandalism and
extremism, hate crimes and xenophobia. Many of
these torts remain latent, but even recorded crime
rate shows evidence of the crisis of social control
over the negative deviance among youth. The
phenomenology of the crisis in the field of social
control not being capable of deterring crimes is
often referred to by criminologists as “crisis of
punishment” (T. Matisen, N. Kristi, Ya. Gilinsky,
etc.).
In the community of the excluded without
effective social control the scope of the constructive
activity of young people becomes significantly
narrow and, along with the “intermittent” deviant
careers there is a growing risk of “intensive” ones
in the way of recidivism and professionalization
of crime. It is no coincidence that the highest
percentage of recidivism is recorded in the age
group of 22 to 24 years. Thus, according to
statistics from the Ministry of Internal Affairs of
Russia, along with the general crime rate in the
country being reduced in 2010 repeated crimes
increased by 40 %. Structurally a half of repeated
crimes are serious and high crimes, more than
60 % of the total repeated crimes are theft,
robbery, brigandage and hooliganism – types of
crimes that create the greatest threat to personal
and public safety (I.V.Petrov).
Along with the criminal behavior selfdestructive forms of deviance in youth community
become increasingly widespread: alcoholism,
drug addiction, and gambling. Since 1990, rates
of drug abuse in Russia, according to S.G. Olkov,
began to grow with exponential acceleration.
According to statistics, the incidence of drug
abuse among teenagers in Russia is about two
times and abuse of inhalants is about eight times
higher than the drug abuse rate for the population
in general. At the same time, many domestic
researchers note the continuing “rejuvenation”
of drug use (E.A. Koshkina, N.A. Sirota, 2001;
Yu.Yu. Komlev, 2005; M.E. Pozdnyakova,
2007).
It is pretty unlikely that some of the
youngsters decide to change their deviant
biography, and become law abiding citizens
under the conditions Russian rigid mentality, the
“crisis of punishment”, incapability of certain
institutions of socialization and social control to
perform their functions.
It is well known that, the “crisis of
punishment” in Russian conditions was
strengthened by increased incapability of law
enforcement agencies to perform their functions
in the society divided into the “included”
and socially excluded, convincing evidence
of that is “Evsukov Syndrome”, “Kazan new
phenomenon in the “Dalny” police station, and
many other systemic disruptions in the work
of law enforcement with reference to ensuring
public and personal safety. Dysfunctions of
police departments revealed themselves in the
alienation of law enforcement agencies from local
communities and society as a whole, the loss of
public trust in law enforcement, in the absence of
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civilian control in the field of legality and law and
order, in the corruption of some of the soldiers
and officers, in hypertrophic centralization and
bureaucratization of the Interior Ministry.
The entry into force of the Federal Law (2011),
“On Police”, FL (2011) “On the Administrative
Supervision of Persons Released from Prison,”
the adoption of other laws and regulations, the
development of the draft of the Federal Law
“On Principles of Prevention of Crime in the
Russian Federation” , presentation of proposals
to further reforms of the Interior Ministry in the
format of the “Road Map” largely determined
socially oriented vector and conceptual legal
framework of the reform of Local Police
Departments as key institutions of social control.
However, the actual practice of law
enforcement is still going the same way: reactive,
repressive measures against, especially socially
excluded dominate over proactive forms of
control. Despite a slight decline in recent years,
according to the Federal State Statistics Service,
the proportion of juvenile crime age group of 14
to 30 years in the structure of the perpetrators of
the crimes remains extremely high. In particular,
according to the statistics service of Tatarstan, it
is stable at about 50 %. Moreover, against the
background of general decline in recorded crime
in the country as a whole, and the Republic of
Tatarstan, in particular, there is a high percentage
of repeated crimes in adolescent youth. Briefly
speaking, the “crisis of punishment” continues.
In modern conditions, the majority of
Russian scholars, who investigate deviant
behavior, believe that the issue of improving
the efficiency of social control over the negative
deviance in Russian society, which is being
stratified according to the model of “inclusion /
exclusion”, needs a thorough academic analysis,
needs a new “crazy”, according to Ya. I. Gilinsky,
theory of deviant behavior and social control
(Ya. I. Gilinskiy 1998).
3. Methodology
and Methods of the Research
The department of philosophy, political
science, sociology and psychology of Kazan
Law Institute of the Ministry of Internal Affairs
of Russia for quite a long time from 1999 to
2010 fruitfully conducted empirical studies
on specificity and scope of “norm-breaking”
behavior among young people, resulting from the
use of psychoactive substances, drugs, alcohol,
and committing misdemeanors. In addition to
the empirical generalization of deviant behavior
facts within integrative perspective analysis there
were theoretically synthesized basic tenets of the
theory of restrictive social control (TRSC) over
the negative deviance among adolescents and
young adults.
The main methodological assumptions that
shaped the conceptualization of the restrictive
social control are as follows:
1. It is a commonplace that the global
and domestic deviant behavior studies highly
presuppose a number of fundamental points: on
the negative and positive deviance, on relativity,
constructedness, complementarity of social
norms and deviations, the functionality of deviant
behavior, of social control as a set of tools and
methods to influence the society and state of the
negative forms of deviance to minimize them.
2. Modern deviant behavior studies and
criminology widely use theoretical integration.
Proponents of the integrative approach believe
that it is more important to focus on different and
complementary aspects of deviance and control.
According to G. Barak modern criminology needs
to develop “an integrated paradigm” (A.E. Liska,
1989).
3. The objective of theoretical integration
is to identify common positions of two or more
theories in order to make their synthesis into
a single restated theoretical model with higher
explanatory potential than it is for a separate
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theory. Theoretical integration is usually
based on thoughtful options of combining two
or more closely related theories. A. Liska in
1989 identified and described these types of
theoretical integration, such as: conceptual,
propositional,
single-level,
cross-level
(A. E. Liska, 1989). Conceptual integration is
a type of synthesis for combining concepts,
provisions of the one and the other theories
that overlap in its meaning. Propositional
integration connects the complementary
adoption of different theories. Single-level
integration requires only association of micro
theories or theories of macro-level. Cross-level
integration describes the synthesis of structural
and procedural theories.
4. The foreign scientific sources contain wide
evidence of different versions of the above types
of theoretical integration, developed in the 70-8090-ies of the 20th century. Examples of conceptual
integration theory are “conceptual absorption”
by R. Aykers, theory of “integrative conceptual
framework” by F. Pirson and N. Wayner. D. Elliot,
M. Kron, G. Kaplan, T. Thornberry, Ch. Tittl,
A. Liska developed propositional integrative
models. In the 1990-s the problems of theoretical
integration were tackled by T. Myth and R. Meer,
B. Tatum and G. Barak. T.V. Shipunova was one
of the first in Russia to propose a synthetic theory
of crime and deviance on the basis of a unifying
concept of social injustice.
4. Discussion
On the basis of foreign and domestic
experience of constructing theories of social
control and deviant behavior, summarizing
original empirical data, using the methodological
principles of complementarity and polyconceptuality TRSC is being conceptualized as
an open methodological framework (Komlev,
2009). Its structure consists of selected consistent
and complementary concepts related to a number
of mono theories of social control on the three
levels of social restraint: institutional, group and
personal. First of all, these are provisions of the
preventive control concept by T. Parsons, Walter
C. Reckless deterrence theory, theory of relations
by T. Hirschi, M. Gottfredson and T. Hirschi’s
theory of self-control. The experience of
integration of theoretical knowledge at three
levels in models of control is presented in the
works of G. Barak, where he emphasizes the
possibility of combining cultural interactions
between individuals, social ecology and the
relationship of institutions (G. Barak, 1998).
Within the framework of TRSC at the
institutional level in order to determine the
mechanism of deterrence it is proposed to
proceed from the Parsonian position that, in
reality, no social system is in a state of perfect
balance. The factors that influence deviation
are always active and they are so stable that
they cannot be completely eliminated from the
motivational system of actors. The mechanisms
of social control do not eliminate these factors,
and only serve to limit the consequences of
their actions, provide a rebalancing of deviance
by opposing forces. Hence, when modeling
preventive counter negative deviance one should
consider both functional and dysfunctional states
of socialization institutions.
The group level departs from the view of
the theory by T. Hirshi about the power of social
networks that turn an individual to the model of
conformal behavior for implementing specific
conditions of juvenile deviance deterrence
(attachment,
commitment,
involvement,
confidence). Theoretical and empirical value
here relates to such a deterrent condition as
involvement in social contacts with the group.
Meanwhile this involvement appears to be seen
in two ways: as a manifestation of the social bond
with a group of negative deviants, and with the
group in which conformal behavior is normal
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or norms are focused on creativity and positive
deviance.
The personal level of control upholds a
standpoint of M. Gottfredson and T. Hirschi’s
theory of self-control, which emphasizes the
role of effective preventive self-control as a
general factor in the mechanism of deviance
deterrence. It absorbs a standpoint of Walter
C. Reckless` deterrence theory about “external”
and especially “internal” deterrence of deviation
factors. And here the precondition relating to the
positive self-concept (self-control, perseverance,
self-esteem, developed the “ego” and “superego”,
commitment, sense of justice and rationality –
focus on the goal and commitment to normative
behavior) is supplemented by the negative selfconcept (undeveloped self-control, instability, low
self-esteem, undeveloped “ego” and “superego”,
lack of commitment, low sense of justice and
rationalism). Thus, socialization can be seen
either as a plus (standard) or a minus (deviant).
The reformulated and supplemented
provisions of the existing theories of control
are stated above and treated as an open for the
development methodological framework, which
is integrated around the concept of “restriction”
(limitation). Its essence lies in the fact that an
open but finite set of divergent social constraints
determines: the nature of functional and
dysfunctional state of socialization institutions,
their social effectiveness; specific social ties and
involvement of individuals in a group of negative
deviants or conformist direction of socialization
and the formation of an individual self-concept.
Varying the finite number of restrictions of
various kinds on the selected control levels
can strengthen or weaken the effect of social
containment (counter) negative adolescents and
youth deviance, social conditions and create
preconditions for the transfer of the destructive
activity of teenagers in a constructive direction
(positive conformity and deviance).
Thus, the theory of restrictive social
control is focused on the control and prevention,
especially for adolescents and youth deviance.
The restrictive concept allows for structured
sets of countervailing restrictions and vary
them according to the number and orientation of
action. Here the set of constraints, which creates
obstacles for the development of dysfunctions
in social institutions, should be optimized and
increased.
For example, in modern Russian conditions,
there is an urgent need to neutralize dysfunctions
of institutions of mass communication, such
as: making of crime and violence one of the
cores of agenda (manifested in the dominant
distribution of films showing criminal violence,
aggressive behavior and offences), broadcasting
“anesthesia” (emerging as the growth of mass
apathy and inertia, as the transition from “active
participation to passive knowledge”), etc.
G. Barak, a supporter of the integrative theoretical
approach, believes that without restrictions and
censorship for cruelty and violence in films and
on TV we cannot ensure the survival of the
youth environment (G. Barak, 1998). Typical
limitations of these dysfunctions for mass
media can be reduction of time and places for
broadcasting, the number of television programs
with elements of violence. Such restrictions will
create the preconditions for reducing probability
of internalization for leisure patterns of criminal
behavior, for increasing time to engage in any
constructive activity.
A set of constraints that disrupt the
functionality of the media, on the contrary,
should be minimized. Reducing barriers for
implementation of features such as correlation
(explaining, interpreting and commenting
on the value of events and information,
socialization, coordination of the various forms
of social activism, public order and harmony)
and continuity (the expression patterns of the
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dominant culture, strengthen and support social
values ), significantly increases the functionality
of the media. In other words, a program with
positive functional contents should have the best
time in the broadcasting schedule, and not night
time.
A set of constraints on the group level,
which prevents involvement in dubious teenage
street company also needs to be optimized
and increased. This may be moving to another
area, a vacation in another city or village, rest
with the parents, etc. The limitations set which
frustrates constructive engagement teenager in a
group with conformal behavior or rules-oriented
creative process and the positive deviance should
be minimized. You can reduce the barriers to
activity of initiative groups united constructive,
informative or creative purposes, or street
football, hockey and other teams that form the
basis of mass sports movement.
At the individual level also a significant role
belongs to increasing the number of constraints
that inhibit the formation of a negative self-concept
and deviant socialization. Without building
educational and other barriers to the formation of
pedagogically neglected children, it is difficult to
rely on the capacity of self-control. Minimizing
the set of constraints that stand in the way of
forming a positive self-concept and normative
socialization, eliminating excessive care, as well
as the conditions that form the “home boys” who
are not ready to everyday challenges, increasing
the likelihood of normative socialization and
development of self-control.
5. Conclusion
A number of restrictive provisions, which
were put forward, have been tested in some
empirical research projects to study drug abuse
among teens and youth in the Republic of Tatarstan.
Some of them are in the area of public safety,
traffic safety, in the media, trade organizations,
advertisers. They were implemented in practice
in 2005-2011 and confirmed its viability. Other
elements of the restrictive theory of control are
yet to be evaluated in terms of empirical validity.
References
1. Gilinsky Ya. I. Deviantology: sociology of crime, drug abuse, prostitution, suicide and other
“deviations”, 2-nd ed., Rev. and add. St. Petersburg.: Publishing R. Arslanova “Press Law Center”,
2007. 520 p.
2. Komlev Yu. Yu. Restrictive theory of social control. Kazan: Kazan Law Institute of the
Russian Ministry of Internal Affairs, 2009. 120 p.
3. Petrov I. V. Russia has skyrocketed recidivism // RBCDAILY. Available at: http://www.
rbcdaily.ru/2011/03/30/focus/562949979958708 (accessed on 30.03.2011)
4. Barak G. Integrating Criminologies. Allyn and Bacon.1998. – P. 1-272.
5. Liska A.E. Strategies and requisites for theoretical integration in the study of crime and
deviance //Theoretical Integration in the Study of Deviance and Crime. Albany: State University of
New York Press,1989. – P. 1-20.
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Yuri Yu. Komlev. Basic Provisions and Prospects of the Restrictive Social Control under the Conditions of Society…
Основные положения и перспективы
рестриктивного социального контроля
в условиях стратификации общества
по основанию «inclusive/exclusive»
и роста рецидивизма в молодежной среде
Ю.Ю. Комлев
Казанский юридический институт МВД России
Россия 420108, Казань, ул. Магистральная, 35
В статье излагаются основы теории рестриктивного социального контроля.
Рассматриваются превентивные возможности рестриктивного социального контроля по
ограничению негативной девиантности молодежи в условиях стратификации российского
общества по критерию «inclusive/exclusive» и роста рецидивной преступности.
Ключевые слова: рецидивизм, социальный контроль, «кризис наказания», девиантность,
рестрикция, рестриктивный социальный контроль.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1831-1837
~~~
УДК 316.614
Drug Abuse Among Young People
of the Krasnoyarsk Territory
and Some Recommendations
on Countermeasures Against Drugs Use:
Basing on the Results of Social Research
in the Region
Vladimir E. Shinkevich*
Siberian Institute of Law
of the Russian Federal Drug Control Service
20 Rokossovskogo Str., Krasnoyarsk, 660131 Russia
Received 24.07.2013, received in revised form 31.07.2013, accepted 04.08.2013
The article deals with the social research results regarding the drug abuse situation among young
people of the region basing on the opinion poll of secondary school pupils, students of vocational
training colleges, universities and working young people of the Krasnoyarsk Territory. Special attention
is paid to the fact that the age of the first trial of psychoactive substances is getting younger and that
social environment in this respect is especially important. Moreover, the role of parents in teaching
their under-age children the anti-drug culture is emphasized. As a result, some recommendations
on countermeasures against drug abuse and development of the idea of a healthy lifestyle have been
developed.
Keywords: drug abuse situation, drug abuse among young people, spread of drug abuse,
countermeasures against illicit traffic of drugs and psychotropic substances.
Introduction
One of the main problems the Russian
society faces is the problem of drug abuse as a
global threat of national safety. The Chairman
of the State Anti-Drug Committee, Director of
the Russian Federal Drug Control Service V.P.
Ivanov in his speech on February 12, 2012 at the
meeting of the Supreme Courts of Republics,
regional courts and courts of the same level of the
Russian Federation pointed out that the increase
*
in drug use among the population of the country
today is one of the most dangerous threats for
the Russian society. The pressure on the Russian
young people to use drugs does not ease, and
“… creativity of death traders does not have any
limits” (V.P. Ivanov, 2012).
To determine the drug abuse situation the
Russian Federation Government approved the
Resolution on State System of Drug Situation
Monitoring in the Russian Federation.
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: vlashink@yandex.ru, shinkevich.v@list.ru
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Research Methods
Monitoring of social phenomena, including
the state of the drugs situation, in its classic version
involves a comprehensive study of three types of
information: statistical data, expert assessments
of specialized agencies and organizations and the
results of social research.
In 2012 the staff of Siberian Institute of Law
of the Russian Federal Drug Control Service
conducted a social study of the drug situation
among young people of the Krasnoyarsk Territory,
using a survey method. The research based on a
specially developed sampling covered almost all
categories of youth: schoolchildren, students of
vocational colleges, students of vocational and
higher education institutions, working young
people. The following main blocks of questions
were determined during construction of the
questionnaire:
− determining the extent of non-medical
use of narcotic drugs and psychotropic
substances among young people, taking
into account the latent component of the
drug situation;
− analysis of the social environment factors
contributing to the spread of non-medical
use of narcotic drugs and psychotropic
substances and drug-related crime;
− analysis of the drugs demand and supply;
− analysis of the effectiveness of the
prevention of non-medical use of narcotic
drugs and psychotropic substances.
Research Results
Generalization of the results of the empirical
part of the research and analytical work suggest
both general trends and specific features of
the drug threat perception by young people.
Comparison with the results of the previous
years shows that the age when young people get
acquainted with psychotropic substances for the
first time is young – 12-16 years. This indicates
a lack of understanding of the risk to become a
drug addict, an alcoholic or a smoker by young
people. As a consequence, the high demand
for expansion of social advertising of healthy
lifestyles, formation of positive leisure skills,
abilities to handle stress and street temptations
to get “quick synthetic happiness” has been
determined.
Analysis and generalization of the results
of monitoring of the empirical data suggests
that the total number of university students who
use narcotic drugs and psychotropic substances
remains high, according to the answers’ results э
about 15 %; this factor is slightly higher for
young working people – about 19 %; the most
acute problem of drug addiction is determined
among young people of vocational colleges – up
to 21 %.
Drug experience is also frequently met
among the under-age youth. About 10 % of
schoolchildren and more than 15 % of students
of vocational schools answered positive to the
presence of such experience. At least once in
their lives they have tried drugs. More than a
third of students, schoolchildren and students
of vocational institutions have or have had
experience of tobacco use, more than two-thirds –
experience of drinking alcohol.
We believe that reduction of the non-medical
use of drugs, formation of the negative attitude
towards illicit trafficking and drug use, and
significant reduction in demand for drugs among
young people of the Krasnoyarsk Territory,
considering monitoring results, can be a solution
to a number of problems including, in particular,
overcoming of tolerant attitude among the underage youth and students to the use of psychoactive
substances in order to reduce the demand for
them among the adolescent population and
formation of personal responsibility for their
behavior, development of socio-active lifestyle
with dominating values of a healthy living, the
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settings for the rejection to use psychoactive
substances.
One can not deny the relevance of
introduction of organizations with innovative
psycho-pedagogical,
including
training,
technologies in educational institutions and
youth communities ensuring development of the
healthy lifestyle values and creating conditions
for the involvement of young people in creative
activities, physical education, tourism and selfeducation .
The survey results show that early prevention
of drug abuse is very important. The results of
the survey of young people in older age groups
suggest that most of them have received their first
drug experience in school years.
The research results suggest that the
main subjects of the expansion of the circle of
under-age consumers of different psychoactive
substances are external. Up to 70 % of the
initial proposals to smoke cigarettes, 45 % of
the proposals to try alcoholic beverages, as
well as in the overwhelming number of cases –
up to 90 % – the proposals to try the effect of
drugs come from friends and acquaintances.
The presence of relatively high levels of selfaspiration among students to try the effect
of smoking and drinking is also noteworthy.
About a quarter of the respondents have fi rst
tried alcohol, smoked their fi rst cigarette on
their personal initiative. If in case of offering
their children to try tobacco or drugs parents
usually are not active actors (although 3 % of
the respondents among students mentioned that
they were offered to try the effect of tobacco
and drugs for the fi rst time by their parents), in
30 % of cases the parents themselves offer their
children to try alcohol for the fi rst time, even
if the beverages are light. That is the category
of people in the social environment that is
most entitled “to prohibit”, “to allow” and “to
control”, to apply any sanctions from the early
days of a person's life, who are for the most part
by birth respected by their children.
More than 85 % of the under-age respondents
said that they are happy with their parents, feel
control for the place and time they spend out,
especially in the evening. At the same time,
only about 40 % reported that their parents are
wondering how their children spend their free
time, which speaks for the lack of involvement
or only formal involvement of parents in the
organization and control of their children's leisure
time. It is the parents who suggest emotional
support to their children (80 % of cases), which
indicates the great potential of the older to
explain the importance of a healthy lifestyle and
to develop healthy living habits in their children.
This effectiveness can largely be multiplied if the
parents themselves adhere such organization of
their life. Consequently, in spreading of alcoholfree culture the most important place is occupied
by social environment, parents and other close
relatives.
Increase in the number of the under-age youth
involved in drug use is largely due to insufficiently
developed, inferior sense of awareness of danger
and consequences of not only one-time, but regular
use of any types of psychoactive substances.
About 30 % of respondents from students do not
consider regular smoking and drinking alcohol
dangerous, they consider it more like an ordinary
habit, a form of “relaxation”.
The same way the harmful effects on
the body and the risk of various drugs are
underestimated. Depending on the drug type the
risk is estimated between 55 and 85 %, therefore
the under-age young people try to differentiate
this risk depending on the drug type and do not
understand the danger as a complex. Most pupils
are not aware that a drug addict in the search
for “getting high” will strive to find new and
new doses regardless of its quality, he/she won’t
be interested neither in speed nor results of the
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possible social, psychological and physiological
degradation of an individual and a body due to
drug abuse. The analysis showed that the students
surveyed are much better oriented in the forms
of drug dependence than alcohol dependence.
When considering the correlations it has been
revealed that there is a clear relationship between
the parameters that reflect the wrong judgment
about the signs of drug addiction (euphoria from
drinking, increasing tolerance, psychic and
physical dependence are not marked as the signs
of the disease), and the frequency of drug offers
from the persons of the closest environment, as
well as the presence of consumption of naswar,
ecstasy and inhalants. The abovementioned is the
reason to consider increasing drug use awareness
among schoolchildren as a factor preventing their
involvement in drug abuse.
Formation of skills of the healthy lifestyle
organization among teenagers depends on the
family, on the ability of the parents even in the
conditions of busy working schedule to find
common ground in organization of leisure time,
not only as a senior by the right, but as a fellow by
spirit. In order to prevent any negative behavior
and to develop healthy lifestyle skills the solution
of the issues of free time organization at school
is extremely important on the basis of informed,
willing and free choice. Parents need to be not
only in their age space, but “stay young” to know
the features of modern youth processes, available
“fashionable” lifestyles that meet the principles of
organization of a healthy lifestyle. Unfortunately,
not all parents understand this. Most often they
are concerned about solution of professional
problems, implementation of production tasks,
faithful performance of professional duties.
They pay more attention to manufacturing and
professional sector than to their own children.
Unfortunately, such organization of a professional
lifestyle of parents is appreciated by their chiefs,
who themselves often live in such a rhythm of
life. Today one not even need to carry out any
research to confirm or refute the hypothesis that
the practice has no examples when for excessive
efforts in professional activities at the expense of
free time someone has been punished. As a rule,
they are more often awarded by their chiefs for
“conscientious attitude and great contribution ...”
and punished by life, which “awards” them with
family problems.
In the ranking of the problems that exist in
the modern Russian society, both students and
working young people give the first place in
almost all the categories to the growth of drug
and alcohol abuse in the society. These factors
have a negative correlation with such values as
“health”, “happy family life”, “financially secure
life”, which young people determined as the most
important ones, as well as with their concern
with “the fate of children”, “a chance of getting
a serious disease”, “a possibility of becoming a
victim of a crime”, “fear of making errors”.
Consequently, young people understand
the harm of drug addiction, alcoholism for
realization of their life goals, as well as noting
the opportunities for interesting free time, point
out the need to expand the network of new sports
clubs, swimming pools (15 %) and especially the
yard playgrounds (up to 22 %), parks (30 % of
respondents).
The majority of young people reported that
there is no danger of becoming an addict for them
personally, that is, they almost underestimate
the environment in which they live, learn and
spend their leisure time. However, 35 % of
young people have such people in their social
environment, including the family, who are
tolerant to the use of psychoactive substances
(other than alcohol and nicotine), with about 60 %
of the respondents indicating that they received
offers to try drugs from those with whom they
have to communicate. Proposals are received
in the student’s environment, and at the sites of
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Vladimir E. Shinkevich. Drug Abuse Among Young People of the Krasnoyarsk Territory and Some Recommendations…
employment. This indirect factor indicates that
the respondents themselves have at least one-time
experience of drug use.
About 20 % of students and working young
people reported about personal experience of
drug use, with 70 % of the respondents having
tried these substances before entering higher
educational institution or being employed. This
again points at the need to strengthen anti-drug
work with teenagers in secondary schools during
the period when a young person by virtue of his/
her internal energy seeks to learn something new,
which is not always useful.
The survey found out that the drug situation
among young people shall be recognized as
highly latent. Despite the fact that 20 % of
young people have had the experience of using
psychoactive substances other than alcohol and
nicotine, only some of them indicated that they
use drugs regularly or with high frequency. At
the same time, about 45 % of the young people
who use drugs have expressed a desire to seek
help in rehabilitation centers.
W e consider the results of the assessment
by drug users of the prospects to overcome
psychoactive substance abuse independently as
alarming. Only about 12 % of the respondents
in this category understand that self-healing is
impossible.
Yards near houses, staircases and friends
are determined by almost all categories of
young people as the most likely places for drugs
spreading. 60 % of the respondents mentioned
these places as potentially attractive for
distribution of narcotic drugs and psychotropic
substances. The measures on expanding the
possibilities for sports, active organization of
free time can contribute to minimization of the
negative influence of the “yard”, “staircases”,
“community of idle fellows”. Up to 55 % of the
respondents indicated a lack of sports clubs,
comfortable parks within walking distance and
equipped sports facilities in the yard which are
needed both by teenagers and young adults. In
the youth community today mainly sports clubs
are high in demand.
In general, the youth awareness about the
kinds of drugs and their effect is combined with a
tolerant attitude towards drug use by friends, that
is, young people have overcome the psychological
barrier in the form of a kind of taboo on drug
use, there is no active psychological defense
against the first trial and the subsequent use
of psychoactive substances. The majority of
respondents, considering the situation with the
spread of psychoactive substances in the society
critical (50 %) believe that they personally are
protected from this problem. Only 13-17 % of
young people have pointed out that for them
personally the problem of drug addiction is
relevant in some way.
Conclusions
Today we can confidently declare that we
need an integrated work to prevent the spread
of drug abuse among young people, which
would integrate the suppression of demand and
supply of drugs, improvement of the quality of
medical and psycho-social assistance to those
requiring it and its availability, involvement of
young people in different forms of socially useful
activities, formation of the culture of healthy
living. All this will contribute to a positive trend
for the stabilization and improvement of the drug
situation in the youth community both in one
region and in Russia as a whole.
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Vladimir E. Shinkevich. Drug Abuse Among Young People of the Krasnoyarsk Territory and Some Recommendations…
References
1. Vstupitel’noye slovo predsedatelya GAK direktora FSKN Rossii V.P.Ivanova na zasedanii
Komiteta 26 sentyabrya 2012 g.[Introduction by the Chairman of the State Anti-Drug Committee,
Director of the Russian Federal Drug Control Service V.P.Ivanov to the Committee on September 26,
2012] // V budushcheye s nadezhdoy: vystupleniya direktora FSKN Rossii V.P. Ivanova [To the future
with hope: speeches of the director of Russian Federal Drug Control Service V.P. Ivanov], July-October
2012. Moscow: Russian Federal Drug Control Service, 2012. – pp.25-31.
2. Ivanov V.P. Narkotizatsiya naseleniya strany – odna iz naibolee opasnykh ugroz dlya
Rossiyskogo obshchestva: vystupleniye predsedatelya GAK direktora FSKN Rossii na soveshchanii
predsedateley Verkhovnykh sudov respublik, oblastnykh i ravnykh im sudov Rossiyskoy Federatsii 14
fevralya 2012 g. [Drug abuse among the population as one of the most dangerous threats to the Russian
society: the speech of the Chairman of the State Anti-Drug Committee, Director of the Russian Federal
Drug Control Service at the meeting of Chairmen of Supreme Courts of the republics, regional and
courts of the same level of the Russian Federation on February 14, 2012] // V budushcheye s nadezhdoy:
vystupleniya direktora FSKN Rossii V.P. Ivanova [To the future with hope: speeches of the director of
Russian Federal Drug Control Service V.P. Ivanov], February 2012. Moscow: Russian Federal Drug
Control Service, pp. 4-10.
3. Monitoring narkosituatsii i profilaktika narkopotrebleniya v molodezhnoi srede
Krasnoyarskogo kraya: otchet o NIR (zaklyuchitel’nyi). № gos. registratsii 01201251736 [Monitoring
and prevention of drug abuse among young people of the Krasnoyarsk Territory: report about R&D
(final), No. of State Registration 01201251736] /Research supervisor D.D. Nevirko. Krasnoyarsk:
Siberian Institute of Law of the Russian Federal Drug Control Service, 2012. 456 p.
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Vladimir E. Shinkevich. Drug Abuse Among Young People of the Krasnoyarsk Territory and Some Recommendations…
Состояние наркоситуации в молодежной среде
Красноярского края и некоторые рекомендации
по противодействию наркопотреблению:
по результатам социологических исследований
в регионе
В.Е. Шинкевич
Сибирский юридический институт ФСКН России
Россия 660131, Красноярск, ул. Рокоссовского, 20
В статье на основании опроса учащихся средних общеобразовательных учреждений,
профессионально-технических учреждений, студентов средних специальных и высших
учебных заведений, работающей молодежи Красноярского края представлены результаты
социологических исследований состояния наркоситуации в молодежной среде края, обращено
внимание на понижение возраста первого знакомства с действием психоактивных веществ
на организм, на значимость в этом социального окружения. Более того, подчеркнута роль
родителей в привитии несовершеннолетним и молодежи основ антинаркотической культуры.
В результате выработаны некоторые рекомендации по противодействию наркопотреблению,
по формированию здорового образа жизни.
Ключевые слова: наркоситуация, молодежная наркомания, распространение наркомании,
противодействие незаконному обороту наркотических средств и психотропных.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1838-1846
~~~
УДК 159.992.6
Attitude to Gender Equality in the Arab East
Eduard D. Ponarin* and Veronika V. Kostenko
The National Research University
“Higher School of Economics”
20 Myasnitskaya, Moscow, 101000 Russia
Received 18.04.2013, received in revised form 28.08.2013, accepted 09.10.2013
The issue of gender inequality in the Arab world has been attracting public scrutiny for many years.
However, the opportunity to analyze it on the basis of a large volume of valid data appeared not long
ago due to the “Arab Barometer” project conducted in seven countries of the region. The data show
that the youth in the Arab East is more conservative than the older generation despite a higher level of
education. At the same time more educated representatives of each age group are more tolerant to the
issue of gender equality. The most liberal country is Lebanon, the most conservative one is Yemen.
Keywords: gender inequality, the youth, the Arab East, tolerance.
Introduction
The status of females in Muslim countries
and in the Arab East in particular has been a
significant issue both in modern discourse on
human rights and in research of values. Attitude
to females as humans dependent on men and
incapable of running business and ruling the
state leads to encroachment on their rights as
well as to the economic backlog of the countries
of the region as the majority of married females
are not involved in the labour market. Such
attitude to females is often associated with values
and traditions of Islamic religion and culture.
However, this point needs to be validated. In this
article we analyze the interconnection of level
of religiousness with values concerning gender
equality. Moreover, we test the hypothesis that a
more conservative attitude to females is peculiar
to the older generation while the youth of the
Arab world treats this issue in a more liberal
*
way. We also study the dependence of gender
attitudes on level of education and country of
residence. The article is based upon the data of
the fi rst wave of the “Arab Barometer” research
conducted in 2008 by Mark Tessler, professor of
the University of Michigan, and his colleagues
in seven countries of the Arab East: Jordan,
Algeria, Morocco, Palestinian autonomy (Gaza
Strip and the West Bank), Yemen, Lebanon and
Kuwait.
Theoretical Approach
and Recent Researches
Theoretical schemes of this article integrally
base on the revised R. Inglehart and K. Welzel’s
modernization theory (Inglehart, Welzel, 2005).
According to this theoretical frame, the support
of gender equality (as well as other egalitarian
values) is connected with age, level of education,
socio-economic status and level of religiousness.
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: eponarin@inbox.ru
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Eduard D. Ponarin and Veronika V. Kostenko. Attitude to Gender Equality in the Arab East
It means that younger, more educated and wellto-do, and less religious people demonstrate a
strong tendency to support equality and gender
equality in particular. Moreover, females are
more egalitarian in their set of values than
males. The theoretical explanation of the Muslim
peoples’ backwardness concerning gender
equality can be found in Samuel Huntington’s
works (Huntington, 1996), in which he argues
that the period after the cold war faces the conflict
of civilizations between Western Christianity,
on one side, and Islam and Orthodoxy, on the
other side. S. Huntington believes that Muslim
societies with their undeveloped individualism
prefer strong leaders who are associated with
liberal-and-democratic values. He also supposes
that Muslim countries are the region in the
world where females are in the most vulnerable
position.
These assumptions were tested by Ronald
Inglehart and Pippa Noris on the quantitative
data (Inglehart, Norris, 2003a). It was proved
that the population of Islamic societies strives for
democracy. At the same time on the basis of the
World Values Survey the researchers came to the
conclusion that people in Muslim countries are
still conservative towards human rights, females’
rights and tolerance to unpopular minorities (for
example, homosexuals).
According to the modernization theory, the
policy of females’ equality should be important
for people born in richer and more politically
stable societies whereas those whose youth was
spent under more dangerous circumstances, on
the contrary, stick to more conservative attitudes
towards many issues including the position of
females in society.
Methods and Materials
The research is devoted to influence of
age, gender and education on attitude to gender
equality. The gender equality index is built on the
basis of the data available. The index is an effect
variable in the research.
The index of 7 variables listed above was
formed to define the attitude to gender equality.
The index is coded on the scale from 0 to 1, where
0 means a conservative (chauvinist), 1 – a liberal.
Thus, the higher the index is the more supporting
the respondent is towards the idea of gender
equality. The variables of the index are defined as
the following ones:
(1) A married female can work out of home
if she would like to
(2) Generally males are more successful in
a political sphere than females
(3) Higher education is more important for
boys than girls
(4) Both males and females must have equal
career opportunities
(5) Males and females must be equally paid
for equivalent work
(6) A female can travel abroad alone if she
would like to
(7) A female can be a president or a primeminister of a Muslim country
These variables fix the role of females both in
a public sphere and in family relations. Questions
two and three were reversely recoded for all the
statements to have the same focus of meaning.
The index is consistent; Cronbach’s α (alpha) is
0.774.
General number of observations in the
database was 8122. However, some questions
from the index had skipped values. It should be
noted that at index calculation even one skipped
value leads to the loss of the whole index for this
case. Thus, the number of valid observations was
6108. The use of multiple imputation function
with the help of a package of MI environment
for statistical computing of R made it possible to
restore the skipped values to a high accuracy1. This
enabled to bring the number of valid variables to
the initial number of respondents (8122).
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Eduard D. Ponarin and Veronika V. Kostenko. Attitude to Gender Equality in the Arab East
Descriptive statistics
According to Fig. 1, the citizens of Lebanon
show very liberal gender attitudes whilst the people
of Algeria and Yemen are more conservative and
inclined to think that females must have fewer
rights and freedoms in public and private spheres
than males. Such results are to some extent
connected with the level of a state’s economic
development. For example, in Yemen, the poorest
country, the level of gender equality support is the
lowest. However, the highest GDP per a person is
registered in Kuwait ($ 43.8 thousand) but it is
Lebanon that is the most liberal country as per
the index of gender equality though it takes the
second place regarding GDP per a person ($15.9
thousand, the amount which is thrice less than
that in Kuwait). Thus, oil-producing countries of
the Persian Gulf, being the richest, do not show
the highest rates of liberalization but are much
more liberal than other Arab societies.
Fig. 2 shows that in all Arab countries under
research more males agree that females must be
limited in rights whereas females are quite contrary
in their opinions. This tendency is observed in all
countries chosen. It should be noted that in every
case the differences are statistically significant.
Fig 1. Average index of attitude to females in Arab countries
Fig 2. Values of gender equality index for males and females in Arab countries
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Eduard D. Ponarin and Veronika V. Kostenko. Attitude to Gender Equality in the Arab East
The matter is that in some countries and namely
in the most and the least conservative ones the
gap between males and females as per the gender
equality index is minimum. In the countries that
are in the middle of the list the gap is rather big.
Especially significant differences are observed
in Arab Maghreb and namely in Algeria and
Morocco. This observation proves that there is
the need for emancipation on females’ part in all
the countries of the region but it is suppressed
by males. The tendency of a stronger support
of gender equality on females’ part is observed
in other countries of the world but the gap is
significantly less.
Fig. 3 shows that the increase of average
value of the gender equality index is agerelated, that means that elderly people are a bit
more liberal than the youth. Besides, the peak
of a conservative attitude is observed in the age
group of people of 25-34 years old. This result
is extremely unusual as in other countries of
the world the tendency is quite opposite and
the youth demonstrate the most liberal attitudes
towards all issues.
Fig. 4 shows the results of this observation
on the basis of two criteria and namely level of
education and age. The youngest groups turn out
to be the most educated but more conservative
towards females.
The general tendency is obvious: less
educated people (groups 1 and 2 who finished
several grades only or mastered a basic programme
of secondary school) are conservative towards
the issue of gender equality. However, even the
lowest index is more than 0,45. The higher the
level of education is, the more significant the
fluctuations per groups are. The differences in
group 6 (higher education) is especially great.
Fig. 4 shows a very important tendency:
people of older generation (older than 65) hold
more liberal opinions on females’ position in the
society (upper lines on the graph). The youth at
the age of 18-24 and especially at the age of 25-34
are the most conservative among all age groups
in the chosen countries of the Arab East. This
observation is counter-intuitive for two reasons.
Firstly, the youth are generally more educated
and education is connected with the liberalization
of opinions. Secondly, the youth all around the
world are inclined to a lesser conservatism in
comparison with their parents. Thus, the results of
the research contradict these general tendencies.
The data can be analyzed according to linear
regression (least squares method). The dependent
variable is gender equality index, the independent
ones are binary factors as per the countries, level
of religiousness (frequency of reading the Koran),
support of democracy, and such social-and-
Fig. 3. Average indices of attitude to gender equality regarding age (for all the countries under research)
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Eduard D. Ponarin and Veronika V. Kostenko. Attitude to Gender Equality in the Arab East
Fig. 3. Interrelation of gender attitudes with age and level of education
demographic variables as gender, age and level
of education.
Gender, country and level of education have
the most explanatory force in the model. On the
level of the countries the most liberal society
(with a significant lead) is Lebanon, the most
conservative one is Yemen.
Males are more conservative than females.
The Muslims, reading the Koran daily, are
more conservative in their gender attitudes. Those
who do not read the Koran at all are most liberal
in their attitude to females. This connection is
linear.
Those who support democracy are generally
inclined to support gender equality though the
connection is not very strong.
The higher level of education is the more
inclined the respondent is to support gender
equality.
People older than 65 are the most liberal
group concerning gender equality in the Arab
East. Age groups of 55-65 also demonstrate a
high level of support of gender equality in public
and private spheres. People of 25-34 years old
constitute the most conservative group even if this
factor is controlled as per their level of education,
age and level of religiousness.
Discussion
At the present stage of research it is quite
hard to judge about the mechanisms that have
influenced the archaization of young people’s
views on the position of females in the Arab
world. However, it’s possible to set forth a set of
theoretically grounded statements that help to
analyze the results.
• The Arab peoples’ struggle for
independence from colonial empires
that took place in the 50s-60s of the
XX century was kind of secular and
modernization-like by its nature and
wasn’t guided by Islam. Thus, at
the period of formation of the older
generation’s views (this period is stated
to be the age of 18-22) religion was
pushed to the background and relatively
secular views and consequently less
conservative attitude to females were
characteristic of these people.
• Disintegration of the USSR lead to
counter-modernization processes and
archaization of views and values in the
countries of the Arab East, related to
the Soviet alliance, and particularly in
Algeria and Yemen. It was connected
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Eduard D. Ponarin and Veronika V. Kostenko. Attitude to Gender Equality in the Arab East
Table 1. Regression model. Dependent variable – gender equality index*
Independent variables
Beta
t
Value
Gender (female)
0,12
29,97
***
Support of democracy
0,12
12,03
***
Education_primary school
0,05
7,01
***
Education_secondary school
0,08
9,51
***
Education_vocational school
0,1
10,64
***
Education_bachelor
0,12
13,64
***
Education_master & up
0,14
11,08
***
Lebanon
0,16
22,28
***
Morocco
0,06
8,2
***
Kuwait
0,07
7,89
***
Palestine
0,01
1,66
.
Algeria
-0,02
-2,3
*
Yeman
-0,09
-11,93
***
Jordan – base category
.
.
.
Age (18-24)
-0,04
-3,6
***
Age (25-34)
-0,05
-4,44
***
Age (35-44)
-0,03
-2,83
**
Age (45-54)
-0,03
-2,43
*
Age (55-64)
-0,01
-0,63
Age (65+) – base category
.
.
.
The Koran (often)
-0,05
-8,86
***
The Koran (sometimes)
-0,03
-5,19
***
.
.
.
The Koran (seldom or never)
R = 26.7
2
*Value levels are marked the following way: 0 ‘***’ 0.001 ‘**’ 0.01 ‘*’ 0.05 ‘.’ 0.1
with the suspension of their fi nancial
support and intensification of poverty
and, moreover, with relaxation of
advocacy of secularism and equality of
gender roles which were integral parts of
socialist ideology.
• In the mid of the 1980s strengthening
of Islamic fundamentalism took place.
It was the formation period for the
generation who were 25-34 years old
at the moment of the research (2009).
This process can be partially considered
the echo of the cold war as the Arab
East was one of the regions where
# 1843 #
confrontation of superpowers unfolded.
The USA counted on oil monarchies of
the Persian Gulf and won in the cold war,
thus having strengthened an ideological
role of Islamic fundamentalism in
the region. This victory together with
these countries’ fi nancial prosperity
determined the vector of development of
Near East for several decades to a great
extent.
• Modernization processes in the region are
parallel to archaization ones as educated
people of each age group stick to more
liberal views on gender equality.
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Eduard D. Ponarin and Veronika V. Kostenko. Attitude to Gender Equality in the Arab East
The present research focuses on several
interesting tendencies in the development of
Near East. Lebanon turned out to be the most
liberal society regarding the attitude to gender
equality. Its indices are comparable to those of
western Europe. At the same time Lebanon is
not a very rich country at present (in comparison
with the oil monarchies of the Persian Gulf)
and thus this effect can’t be explained by an
economic factor only. In the 60s – 70s this
country was called “a Near-East Switzerland”
not only due to its mountainous scenary but fi rst
and foremost due to very reliable banks that
ensured the country’s well-being within several
decades. However, the civil war in Lebanon in
1975-1990 resulted in the outflow of the most
educated and economically active population.
Wars, especially long ones, are usually connected
with a significant decay in postmaterialism
values, growth of traditionalistic attitudes and
archaization. Nonetheless, Lebanon keeps the
position of the most liberal society of the Near
East region. This phenomenon is worthy of
separate research.
1
Conclusion
Following the results of the research it
can be concluded that two tendencies are being
simultaneously realized in the Arab world:
modernization and archaization. Within the
framework of the first tendency there is the
growth in number of educated people that reaches
its maximum for the age group of those who were
25-35 years old at the moment of the first wave
of “Arab Barometer” project in 2007 and are 3040 years old now. Conversely, the shift in values
in the direction of more archaic ideas on gender
roles in society takes place due to the processes
of Islamization of the region. Owing to this, the
least educated category of people who are over 65
years old turns out to be the most liberal in their
views on equality of males and females, whilst
the most well-educated and young segment of
population (25-35 years old) demonstrates the
most conservative, chauvinistic positions when
males demand more rights in a public sphere than
females. At that, educated people in each age
group have more liberal views than those of their
age but lacking good education.
10 imputations and 1000 iterations to mitigate the influence of reshuffling noise, R-hat = 1.1.
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Eduard D. Ponarin and Veronika V. Kostenko. Attitude to Gender Equality in the Arab East
Отношение к гендерному равноправию
на Арабском Востоке
Э.Д. Понарин , В.В. Костенко
Национальный исследовательский университет
“Высшая школа экономики”
Россия 101000, Москва, ул. Мясницкая, 20
Проблема гендерного неравенства в Арабском мире уже много лет привлекает общественное
внимание, однако лишь недавно появилась возможность анализировать этот вопрос на
большом объеме достоверных данных благодаря проекту «Арабский барометр», который
был проведен в 7 странах региона. Данные показывают, что молодежь на Арабском Востоке
консервативнее старшего поколения, несмотря на более высокий уровень образования. В то
же время в каждой отдельно взятой возрастной группе более образованные люди относятся
к вопросу гендерного равноправия толерантнее. Самой либеральной из стран, включенных в
выборку, является Ливан, самой консервативной – Йемен.
Ключевые слова: гендерное неравенство, молодёжь, Арабский Восток, толерантность.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1847-1856
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УДК 122
Causality, Effectiveness, Determinism
Daniil V. Pivovarov*
Ural Federal University named after B.N. Yeltsin
51 Lenina, Ekaterinburg, 620083 Russia
Received 18.04.2013, received in revised form 28.08.2013, accepted 09.10.2013
The author describes his conception of the relationship of such philosophical concepts as causality,
effectiveness and determinism. The notions of material causality and teleonomic causality are
compared. The study shows the difference between the doctrines of monocausalism and conditionalism.
Causality is interpreted as a special case of effectiveness, and effectiveness is defined as the essential
attitude of changes on an output of nonequilibrium system to changes on its input. The principle of
determinism is specified and expanded. The author’s analysis proves that the principle of determinism
must not be reduced to the idea of causality.
Keywords: the idea of causality, cause and effect, teleonomic cause, indeterminism, monocausalism,
conditionalism, reverse connection in unbalanced system, effectiveness, the principle of determinism,
the non-deterministic tendency.
1. The idea of causality
Cause and effect – the pair philosophical
categories which together express one of
the moments of general interaction, genetic
communication of phenomena, i.e. this pair
indicates the specific influence of some base on
its substantiation (Pivovarov, 2003, 108).
The idea of causality, possibly, has occurred
from supervision over actions of people on
creation and change of things, and then it has been
extrapolated on all space (the world order) and
has got universal sense. The formula “if p, then
q” usually expresses the principle of causality.
The following definition is in the basis of this
formula: the cause is such a phenomenon p which
generates with necessity other phenomenon q, i.e.
its consequence. Necessity shows itself through
accidents, that’s why always there is a moment of
*
randomness in realization of any cause (Suppes,
1970). Cause and action (effect) are not things.
They are necessary events that take place in
things.
By virtue of unity of the world, each
phenomenon depends to some extent on some
other phenomena. Forms of interconditionality of
phenomena are diverse; among them in contrast
with causality modern determinism allocates
such not genetic dependences, as functional,
probabilistic, correlation connection and links
of conditions. The mental operation of formal
logical sequence (implication) is different from
the objectively-real causal link. Although the
implication is also expressed by the formula “if p,
then q”, but it is not necessarily linked with the
idea of material derivation of one another (the
generation of the consequence q by its premise p).
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: daniil-pivovarov@yandex.ru
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In opinion of the majority of philosophers
and scientists, process of causing is directed
in one way only. It is characterized by a time
asymmetry (proceeds from the existing to the
arising). The process of causing is irreversible.
The consequence cannot exchange a place with
its cause. Critics of this point of view consider
illogical the statement as if the cause precedes
in time to its consequence – after all, then, is
that in the interval before the appearance of the
consequence q the cause p at all is not a cause
as does not generate q. To assume, first, more
correctly that p and q coexist simultaneously, and
secondly, that consequence provides jet impact
(reverse) on the reason.
There is also questioned the universality
of the principle of causality. Some researchers
speak about an opportunity of causeless material
things. The declaration appears periodically, that
the principle of causality has become outdated
and has lost its methodological value for sciences.
So too there is an opinion, that mankind, which
anthropomorphized phenomena of nature,
attributes causality to them, while causality is not
inherent in the very nature of things. However,
the majority of scientists do not hurry to part with
the principle of material causality.
Often causes of phenomena deeply hidden
from the eye and it are necessary to search them
thoroughly. They should be reveal and calculate
carefully, being based on intuition, observation,
experiment, logical thinking. You can study
the process of causing in the aspects of matter,
energy and information. Idealists believe that the
objective or subjective aim (information) is capable
in itself to generate phenomena whereas modern
materialists see a cause as a unity of substance,
energy and information, every time correlating
them among themselves in different proportions.
According to a degree of the importance of this
or that abstractly allocated aspect of causation,
the cause is spoken of as about primary transition
from p to q either substances, or energy, or
information. In this case, scientists rely on the
laws of conservation of matter and energy, as
well as on the law of increase of information.
The causes are classified in different ways.
The final cause (in Latin – causa finalis) is derived
from the Absolute as the primary source (the God,
matter-substance), and secondary causes – from
modes of the Absolute. Immediate causes have
direct effect; indirect causes will be completed
through a number of intermediate links. It is
possible to distinguish the internal and external,
major and minor, rigid and non-rigid causes. They
are one-linear, two way feedback and branching
circuits of causing. The objective causes are
carried out irrespective of will and consciousness
of people. The subjective causes are concluded
in goal setting, will and actions of people; these
causes depend on emotions, experience, reason
and intuition of human beings.
Teleological causality – a special case of
informational causality. Teleology (from Greek –
telos; genitive teleos – an aim; logos – a word,
doctrine) explains the whole chain of world
events and the genesis of individual phenomena
by reference to the belief that there is a concerted
impact (of the God, entelecheia) on the substance;
the creative consciousness of the person, too, is
treated as the source of causal determination.
Teleology is usually understood as: 1) the doctrine
about implementation of some superhuman
objectively-ideal purposes (transcendent or
immanent) in nature and society; 2) the concept
of causal dependence of artificial objects on the
conscious aims of people. This doctrine developed
mainly within the limits of idealistic philosophy.
As it is known, W. Wundt introduced the
concept of psychic causation and argued that
some of the mental processes depend strongly
on other psychic phenomena: feeling depends
on perceptions, perceptions are due to our will,
etc. (Wundt, 2007). It should be noted that some
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modern materialists have unwillingly recognized
(although with funny pantheistic reservations)
teleological causality. They have tied the idea
of objective spontaneous law of the world with
the idea of expediency of organic and technical
integrity and have altered “teleological cause”
in “teleonomic cause” (from Greek: telos –
aim, nomos – law, science). In their opinion,
the expediency is not incorporated initially in
wildlife, and it is a result of spontaneous evolution
of matter.
For example, there is a proposal to replace
the notion of teleology, which has a specific
meaning in theology and idealism, with scientific
and materialistic concept of teleonomy (Alekseev,
Panin, 2004, 497-498). Teleonomic causality is
defined as the spontaneous regular generation of
phenomena of nature by informational streams
(program) with the organized feedback. Aims
that men are guided in their impacts on signs
or objects of practice refer to the category of
consciously-teleonomic cause.
But is recognition by some materialists
of teleonomic causes differs essentially from
the thesis about realization of laws of matter
in physical phenomena? Apparently, it is a
tautology. In this case, it turns out that mattersubstance somehow always strives to objectify its
permanent aims-laws in the form of phenomena
of nature, but never sells them to the end, does not
reach phenomenal perfection. If laws of nature
are eternal and everything is subordinated to
them, then the teleonomic causes are universal.
Therefore, all other causes should be derived
from aims-laws, and this is equivalent to the
assertion that none of substantial aim can be fully
implemented until the end.
If teleonomic causes (read: “objective aimslaws“) are eternal and do not evolve, then it is
illogical to claim that expediency in living nature
is, on the one hand, a special case of constant
teleonomy, and on the other – a consequence of
the spontaneous process of changing teleonomic
causes. The opposite thesis would be more
logical:
(a) either teleonomic causes evolve;
(b) or expediency is contrary to teleonomy
and occurs in spite of it.
Finally, it is not clear, why do we need
to convert the external analogy between
purposefulness and spontaneous action of some
natural law into pantheistic thesis about the
spontaneous purposes of matter? Much easier
to assign the supermind to matter-substance
and then say after monotheists that the Absolute
turned its conscious aims in the physical laws
and subordinated all natural phenomena to these
laws.
It is considered, that Buddha Gautama the
first has formulated the principle of causality in
the general form and has given ethical sense to
it. He taught that life is suffering, and sufferings
are caused by our desires. The main causes of
suffering are envy, ignorance and lust. Aristotle,
F. Bacon, B. Spinoza and J. S. Mill have brought
the greatest contributions to the development of
the principle of causality.
Aristotle introduced the notion of the first
cause of universe. The first cause is the Nous,
divine mind, primordial engine. It is primary,
unique, simple, and transcendent; it defines itself.
Considering an example with a sculptor, Stagirit
classified the causes on acting, material, formal
and teleological. The acting cause – the sculptor
himself, he makes changes. The material reason –
substance (marble) in which there are changes.
The formal reason is a principle of organization
of matter. It is an idea that is inseparable from
matter, i.e. the form of a product of sculptor’s
activity (the finished statue). The teleological,
or final, cause is connected with representations
about those or other attractions, intentions, aims
of any action – for example, with the desire of the
sculptor to make a fine artistic object (Aristotle,
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1999, 106-109). Modern philosophers prefer to
use only concepts of the acting and teleological
causes.
D. Hume expressed doubt in the universal
status of the principle of causality. On what
basis it can be argued that any arising thing has
its cause and why the reason must necessarily
produce specific consequences? Reflecting upon
these questions, Hume came to the conclusion that
it is impossible to prove logically the existence
of causality because something that is taken for
“effect” is not contained in what is called “cause”,
and the majority of the consequences are not
similar to their causes. The concept of causality
was born, in Hume’s opinion, from the following
ordinary conclusion: “After this, therefore because
of this” (in Latin: “Post hoc, ergo propter hoc”).
Such erroneous conclusion grew over time into
a stable association of expectations and became
a mass habit. People began to believe that if p
appears somewhere, it will by all means generate
event q in future. In fact, physical necessity
is a fiction of human brains. Contiguity and
connection of p and q are sensually perceived,
but the necessity of their relationship is not
given to us in our experience. Hume concludes
that the principle of causality derives from the
characteristics of our psyche, and this principle is
hardly applicable to the real world (Hume, 1966
). The philosophical doubt in objective character
of causal relationships or denying of universality
of the principle of causality can be named
“indeterministic tendency in philosophy”.
J. S. Mill, developing empiricism of F.
Bacon, invented such inductive methods of
revealing of different reasons as methods of
similarities, distinctions, related changes and
remains. The general idea of these methods
consists in the consideration of the circumstances
of the studied phenomenon with a view to the
exclusion of all those of them, which cannot be
the cause for it (or consequence), and to recognize
not excluded circumstances as the desired cause
(Biryukov, Shvirev, Sukhanov, 1964, 421-423).
The way of action of causes and specific features
of consequences change with the variation of
conditions.
It is often believed, that identical causes
generate identical consequences. A cause,
however, is realized not in a “pure” form, but
through variety of causal conditions. The causal
conditions are the factors, which influence on the
occurrence, existence and disappearance of one
thing or another, but which in themselves do not
produce this thing (Parniuk, 1972). A pretext can
play a certain role in the initiation of a causal
link – that is the external trigger condition of a
random nature.
It is difficult to separate causes from
conditions of their actions not only in practice
but also in theory. Therefore, two methodological
approaches are competing constantly –
monocausalism (from Greek: monos – one,
the only one; from Latin: causa – cause) and
conditionalism (from Latin: condicio – condition).
Really, the border between conditions and causes
is relative – a cause operates through conditions
and under their influence.
Monocausalism accepts the thesis that each
phenomenon has the only one own cause, and
causality is entirely different from the amounts
of conditions. In essence, monocausalism denies
the important role of conditions in the production
of consequences through causes. Many
traditionally minded philosophers and scientists
prefer to position of monocausalism. In contrast,
conditionalists (J. S. Mill, M. Fervorn, etc.) reduce
each cause to the full amount of all conditions
that precede the explained phenomenon. They
dissolve a cause in the related conditions, or
even offer to eliminate the concept of cause from
sciences. Attempts to find the «golden midst»
between these points of view yet do not have a
logical clarity.
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2. Efficiency
Efficiency – the essential attitude of
changes on an output of nonequilibrium system
to changes on its input. Transformation of one
form of energy into another lies in the basis of
many of nonequilibrium processes. Usually we
start using the concept of efficiency, when we
ask the questions: (a) what is the loss of energy?
(b) whether it is possible to reduce losses to some
reference level?
Efficiency of functioning of nonequilibrium
system is defined by its ability to resolve internal
and external contradictions. There are some
conditions and the requirements which relate to
the parameter of efficiency:
(a) the parameter of efficiency characterizes
system as a whole, instead of its any part;
(b) the parameter of efficiency and its
dependence on the established factors should
provide reception of a quantitative estimation
with demanded reliability;
(c) it is necessary, that the area of changes of
the parameter of efficiency has precisely outlined
borders.
The parameter of efficiency is some amount
received from division of an output stream of a
system on its entrance stream (Bistry, Pivovarov,
1989). Feedbacks have a significant impact on
the efficiency of the functioning of any system.
In this case the feedback is understood as the
impact of the results (output) of the functioning
of nonequilibrium system on the character of
the functioning (input) itself. Under certain
conditions the feedback (positive or negative) can
provide growth of efficiency of use of external
energy.
In the most general sense the concept of
effect means realization of energy of some cause
in its consequence. A small cause sometimes
produces an avalanche-like, a catastrophic effect,
i.e. it acts as a starting causality. You should
not limit yourself only to the discovery of the
prime cause in the analysis of the functioning of
the nonlinear system. Also it is inadmissible to
ignore the internal and external random factors,
the role of boundary conditions and environment,
because that’s exactly fluctuations determine to
a decisive extent a radical transformation of the
system in the field of attractors.
The traditional notion of cause becomes
very vague with respect to self-organizing
systems with feedback, which are widely
distributed in nature. I. Kant and G. W.F.Hegel
had been agreed with the idea of non-linearity
and the irreversible nature of the interaction of
the material cause and effect: there is something
in the action (in the consequence), which was not
in the cause. Even if the cause has stopped, the
effect, initiated by it, continues to develop. The
substrate that is experiencing the impact of any
cause has an active infertility. This is especially
the case for the living organisms and the spiritual
human life – do not allow the continuation of any
cause in them, but to interrupt and transform
this cause. In Hegel’s opinion, abstract rational
interpretation of communication of a cause
and effect – as time precedence and necessary
generation of consequence by its cause – can
be overcome as a result of more multilateral
understanding of causality as interactions and
mutual changes of a cause and effect: interaction
is the causal relationship, which is placed in its
full development (Hegel, 1975, 331-340).
In order not to confuse rational and more
scientific understandings of causality, possibly, it
is necessary to generalize them in a special notion
of efficiency in which concepts of cause and
effect are reflected most full. Efficiency is such a
process (and result) of interactions of straight ties
and feedback in nonequilibrium system which
conducts self-organizing system to realization of
some aim.
The concept of efficiency is not identical
to the representation of fatal necessary creation
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of an effect B by a starting factor A. The real
process of generating of B is anyhow connected
with the action of factors and conditions –
necessary and incidental, external and internal.
Internal accidents play the major role in the
functioning of the nonequilibrium system. The
nature of such accidents is hidden in the relative
autonomy of elements of a system. Complicated
internal processes occurring in any of
subsystems, are capable to change (especially in
the points of bifurcation) purposeful behavior
of its system. The activity of elements of the
given system creates the internal and rather
independent flows interacting with the main
stream of this system. Therefore the notion
of efficiency includes the integrated result
of necessary and accidental causality, and
both have internal character. External noise,
changes in the environment and conditions of
functioning have a significant impact on the
behavior of a system.
The concept of efficiency is an original
measure of dynamics of two opposite processes
inside of a system – entropic and negentropic.
The parity of these processes varies at different
moments of time. Or one or another trend
dominates. Thermodynamics of irreversible
processes allows uniting three fundamental
theoretical grounds: (a) the second beginning
of thermodynamics for open systems; (b) the
principle of growth of negentropy, which develops
mainly by biological science; (c) the notion of
efficiency of transformation of energy.
The concepts of cause and effect explain
very little in relation to systems with feedback,
because sometimes external and internal flows
turn mutually into such a way, that a consequence
in such systems appears much more actively then
its cause. However, there are systems, in which
feedbacks cannot physically influence a source of
the input signal and its energy. Nevertheless, and
in this case the feedback still actively changes
the content which is delivered to the input of the
system. Sometimes the source of the external
flow, passing through the system, disappears.
However, the transformed content of this stream
is reproduced inside the feedback on the input of
the system.
Any flow in a system is caused by the
difference of potentials whatever they may be
(the difference of potentials creates a generalized
force). Surplus and shortage of a potential are
extreme sides of the stream to the output, hence
the parameter of order takes both positive and
negative values. Sometimes a system can use
its internal nonbasic streams in order to return
rapidly to the equilibrium (steady) state. Or, on
the contrary, it happens that these nonbasic flows
can increase the free energy of the system, which
is spent on counteraction to external flow.
Efficiency of functioning of nonequilibrium
system is connected with manufacture of
entropy, and it means, that growth of dissipation
of energy will increase efficiency of the system.
Thus, efficiency is the integrated parameter of
nonequilibrium system which characterizes the
interaction of such system with its environment
and the ratio of processes of reversibility and
irreversibility in it. Efficiency is correlated with
nonequilibriumness. It is defined through the
parameters of nonequilibriumness. And it is a
function of integrity of a system and the parameter
of order.
As a matter of fact, external and internal
streams form productive force of nonequilibrium
system because they do the work, as a result of
which the system tends to an extreme condition.
It is impossible to describe exhaustively the
evolution of any natural or social system with the
help of the traditional doctrine of causality, as it
should to consider the unimaginable quantity of
interactions within each element. It is necessary
to take into account a coordination of spatial
and temporal characteristics of nonequilibrium
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conditions, as any part of each whole has its own
rhythm and its own orientation.
If to recognize the epistemic complexity
of nonequilibrium systems, you should make a
conclusion, that the concept of efficiency is more
constructive than the concept of monocauslism.
The concept of efficiency is able to unite two
statements in some dialectical synthesis: (a) every
effect has only one reason (monocausalism); (b)
every phenomenon is a product of a large number
of conditions (conditionalism). As we can see, the
concept of efficiency considerably expands the
idea of causality.
3. Determinism
Determinism (from Latin determino –
I define) – the philosophical doctrine about
various kinds of conditionality of the phenomena
of material and spiritual world. In ancient
immemorial times there appeared the ideas that
things are created by the primary elements, and
some phenomena depend on other phenomena.
These ideas are rooted in ancient myths about
the creation of the world, are covered in religious
doctrines about deities, predestination and fate,
found in animism, totemism, fetishism and
magic. The word “determination” comes from the
word “Terminus” – the name of the Roman deity
of borders and field edges. Later this word has
come to mean the operation of logical definition
of a concept through the nearest sort (genus) and
species differences. Now it began to be applied
more broadly and is understood as the objective
dependence of things on the causes that give rise
to them – on first principles, laws of nature.
The central and traditional principle of this
doctrine – the principle of causality. In the recent
past only the doctrine of the universal causality
was brought under the concept of determinism.
The world depicted in such determinism in the
form of a chain of causes, which act directly and
rigidly. There was no place for accidents in this
circuit. Nowadays the content of determinism
has significantly extended. Determinism has
replenished with the ideas of the indirect reasons,
random or probabilistic forms of causality. Also
determinism included now the idea of noncausal
links, indirectly associated with causality
(Anscombe, 1971).
Quite often philosophers offer to formulate
the general definition of determinism through
the notion of objective law: “determinism is the
doctrine about the objective lawful relationship
and interdependence of phenomena of material
and spiritual worlds”. This widespread definition,
undoubtedly, is narrow. Firstly, it is not taken
into consideration the objective nonlawful
determination of phenomenal type (accidental
singularity, a single mutation). Secondly, this
definition does not provide subjective forms
of determination (teleological, unconsciously,
mental, logical-functional). Those who accept
such definition, consider the supporters of any
teleology (objective-idealistic and subjectiveidealistic) as “indeterminists”.
Many (but not all) materialists long time
rejected the idea of teleological determination and
purposefulness of the world. Whether however
it is possible to deny the fact of the expedient
device of plants, animal, technical constructions?
Materialists are not able to clearly prove that
the “subjective reasons” are just the empty
fabrications of idealists, and that the causes of
any human mental constructions (including
poetic images, fantasies and even logical errors)
must be bound to withdraw from the regularities
of neurophysiological processes, schemes of
practice or of the objective laws of the external
world.
Among Marxists, for example, the opinion
prevails that indeterminists, in particular, are
the thinkers who see the source of the causal
relationship in the human consciousness. This
view is inaccurate. It is difficult not to recognize
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the specific dependence of human actions and
affairs on the conscious aims of the people. The
creative power of consciousness and subjective
goals – the most important factors of human
activities, which theology studies. If science does
not take into account the role of goal-setting in the
trajectory of motion of bodies, it is often not able
to explain these trajectories. So, from a purely
physical description of the observed trajectory of
flight of the plane a scientist cannot determine the
avenues of further displacement and the landing
point of the physical bodies – for this you need to
know the goal of the flight pursued by the pilot.
Therefore, in my opinion, teleology should be
considered an important form of determinism.
Strictly consistent indeterminism is very
rare in the history of philosophy because the
profession of a philosopher requires rational
and demonstrative explanations the ultimate
foundations of being and thinking. It offers to
withdraw logically something dependent from
independent – from those or other basic intuitions
about matter, spirit, consciousness, will, etc.
Materialists are convinced that true determinism
is the concept of material determination only, and
idealists, on the contrary, search for the truth in
determining matter by spirit.
In my opinion, indeterminism is not a
special and separate philosophical current. It is
the only one of the trends in any philosophy – the
tendency to put under doubt or deny determination
(material or spiritual). This trend should be,
although in different ways, is associated with
the opposite desire to think of the dependence
of the material and spiritual phenomena of some
factors. This tendency is necessary, though
differently, interfaced to opposite aspiration to
reflect upon dependence of material and spiritual
phenomena on any factors. For example, it is
probably incorrect to rank unconditionally Hume
or Kant to indeterminists that Marxists do pretty
often. Hume justifies the belief in causality
through reference to sustainable habits of people,
and Kant – to the unconditional and the innate
ability of the human productive imagination. At
the same time, from the point of view of idealists,
materialistic denial of teleology is also a peculiar
nondeterministic tendency. Apparently, one
can say that Marxism is determinism «from the
bottom» and indeterminism – «from the top».
A more precise definition of determinism
requires different and more abstract concepts than
“causality” and “objective law”. Probably, the
concepts of basis, foundation and superstructure
would be more appropriate here. Determinism
is the doctrine about determination, i.e. about
forms of dependence of foundation from its
basis and superstructure – from its foundation.
The character of determination is identified in
connection with the specificity of respective
conditions. So, the consequence is due to its
cause and causal conditions. A function is
determined by the conditions of introduction of
some independent variable. Natural phenomena
are determined by the peculiarities of action of
objective laws.
There were three concepts of determinism
in history of philosophy: objectively-idealistic
(Plato, Aristotle, Plotinus, Hegel, etc.), subjectiveidealistic (Protagoras, Berkeley, Fichte, Kant, etc.)
and materialistic (Democritus, Hobbes, Holbach,
Feuerbach, Engels, etc.). Objective idealists believe
that space and our consciousness are created and
defined by the goal setting activity of the spiritual
Absolute, transcendent or immanent. Subjective
idealists are looking for the cause of our world
view in the activities of human consciousness,
which produces ideal goals, invents images of the
world’s communications and extrapolates them
outside. Materialists deduce the ultimate cause
of the world order from the idea of universal and
lawful interaction of material phenomena.
We can distinguish three periods in European
history of materialistic determinism: (a) antique
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determinism (the school in the city of Miletus,
atomists, the teaching of Anaxagoras, etc.); (b)
mechanical determinism of the XVII- XVIII
centuries (Galileo, Newton, Hobbes, Laplace,
etc.); (c) determinism of a probabilistic type
in the XX century. Some scientists predict that
probabilistic multi-valued determinism appears
in the XXI century, which is hard to imagine.
On P.A. Holbach, all material and spiritual
events are fatally predestinated (Holbach, 1963,
237). P.S. Laplace thought about the universe as
a closed system and believed that it is possible
to predict unequivocally the state of the world at
any moment, if we know the initial conditions
(Laplace, 1982, 364). This view is called
“Laplace’s demon”.
Unlike Laplace’s (hard, «iron») determinism,
probabilistic determinism teaches that the given
cause does not necessarily directly produces
the relevant effect. A cause often acts in a nonlinear manner through a variety of internal and
external conditions. It depends on the history of
the former interactions, and its desired character
appears in the form of accident. Special periods
have not been allocated in the history of idealistic
determinism, although, for example, Plato’s
metaphysical determinism explicitly differs from
dialectical determinism of Hegel. The concept
of predetermination plays an important role in
objectively idealistic determinism.
Modern philosophical discussions focus
on three levels of causal determination: are
there (a) any singular causation; (b) causal laws,
(c) and causal powers (causal potentiality and
possibility)? It is also important to find out, what
is the relationship between these levels? (Mellor,
1971). For example, for every singular causal
fact is there a law that it can be brought under
(Davidson, 1980)?
In sociology number of concepts relate to
some form of determinism. Thus, the teaching of
K. Marx called “economic determinism”, since
it states that all forms of social being and social
consciousness are determined by the objective
economic laws, which prevail in the society.
Representatives of “cultural determinism”
developed the idea that every culture causally
determined by the basic ideals and norms of
life. E. Durkheim and M. Weber have shown
that it is religion which sacralizes these core
values. “Technological determinism“ – a kind
of social determinism, according to which social
development is determined by the technical
civilization, but the growth of technology depends
very little on the consciousness and activity of the
people creating it.
References
1. Alekseev, P., Panin A. (2004) Philosophy [Philosophia]. Moscow, 2004, P. 497-498.
2. Anscombe, G.E.M. (1971) Causality and Determination, Cambridge, 1971.
3. Aristotle (1999) Metaphysics [Metafizika]. Rostov-on-Don, 1999. P. 106-109.
4. Davidson, D. (1980) Essays on Actions and Events, Oxford, 1980.
5. Biryukov, B., Shvirev, V., Sukhanov, A. (1964) Methods of investigation of the causal ties
[Metodi issledovania prichinnih sviazei]. Encyclopedia of Philosophy. In 4 vol. Vol 3. Moscow, 1964,
P. 421-423.
6. Bistry, G.P., Pivovarov, D.V. (1989) Non-equilibrium systems: integrity, efficiency, and
reliability [Neravnovesnie sistemi: tcelostnost, effektivnost, nadezhnost]. Sverdlovsk, 1989. P. 82-119.
7. Hegel, G.W.F. (1975) The science of logic [Nauka logiki]. In 3 v. V. 1. Moscow, 1975. P. 331-340.
8. Holbach, P.A. (1963) The system of nature [Sistema prirodi]. Selected works. In 2 vol. Vol. 1.
Moscow, 1963. P. 237.
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Daniil V. Pivovarov. Causality, Effectiveness, Determinism
9. Hume, D. (1966) A treatise on human nature [Traktat o chelovecheskoi prirode]. Works in 2 v.
V. 1. Moscow, 1966, P. 168-181.
10. Laplace, P.S. (1982) The presentation of the system of the world [Izlozhenie sistemi mira].
Leningrad, 1982. P. 364.
11. Mellor, D.H. (1971) The Matter of Chance. Cambridge, 1971, Ch. 4, 8.
12. Parniuk, M.A. The principle of determinism in the system of the materialistic dialectics
[Prinsip determinizma v sisteme materialisticheskoi dialektiki]. Kiev, 1972.
13. Pivovarov, D.V. (2003) The main categories of ontology [Osnovnie kategorii ontologii].
Ekaterinburg 2003, P.108.
14. Suppes, P. (1970) A Probabilistic Theory of Causality, Amsterdam, 1970.
15. Wundt, W. (2007) Introduction to psychology [Vvedenie v psihologiu]. Moscow, 2007.
Причинность, эффективность, детерминизм
Д.В. Пивоваров
Уральский федеральный университет им. Б.Н. Ельцина,
Россия 620083, Екатеринбург, пр. Ленина, 51
В статье изложена авторская концепция взаимосвязи таких философских понятий, как
каузальность, эффективность и детерминизм. Проанализированы концепты материальной
каузальности и телеономной причинности. Показано различие между учениями
монокаузализма и кондиционализма. Причинность истолкована как частный случай
эффективности, а эффективность определена как существенное отношение изменений
на выходе неравновесной системы к изменениям на ее входе. Уточнен и расширен принцип
детерминизма, доказана его несводимость к принципу причинности.
Ключевые слова: идея причинности, причина и следствие, целевая причина, индетерминизм,
монокаузализм, кондиционализм, обратная связь в неравновесной системе, эффективность,
принцип детерминизма, тенденция индетерминизма.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1857-1866
~~~
УДК 7.046
The Problem of Mysteriousness
of Baba Yaga Character in Religious Mythology
Evgenia V. Ivanova*
Ural Federal University named after B.N. Yeltsin
51 Lenina, Ekaterinburg, 620083 Russia
Received 28.07.2013, received in revised form 30.09.2013, accepted 05.11.2013
This article reveals the ambiguity of interpretation of Baba Yaga character by the representatives of
different schools of mythology. Each of the researchers has his own version of the semantic peculiarities
of this culture hero. Who is she? A pagan goddess, a priestess of pagan goddesses, a witch, a snake
or a nature-deity? The aim of this research is to reveal the ambiguity of the archetypical features of
this character and prove that the character of Baba Yaga as a culture hero of the archaic religious
mythology has an influence on the contemporary religious mythology of mass media.
Keywords: religious mythology, myth, culture hero, paganism, symbol, fairytale, religion, ritual,
pagan priestess.
Introduction. “Religious mythology” is
a new term, which is relevant to contemporary
religious and cultural studies, philosophy
of religion and other sciences focusing on
correlation between myth and religion. This
concept as well as its structural elements is
being specified and elaborated in contemporary
native religious studies (Ivanova, 2012, p.56).
For example, I.N. Yablokov thinks that within
the contemporary philosophy of the myth one
can distinguish “syncretic archaic, religious,
“scientific”, political, artistic-literary, ordinary
and social mythologies” (Yablokov, 2012, p.91).
However, stating that the archaic religious
myth and the developed religious myth differ
from each other, we do not find any meaningful
units of this concept. It appears that the central
figure in a religious myth is the culture hero,
whose different variations have been already
*
examined by the author of the article (Ivanova,
2012, p.56). The subject of the research presented
in this article is topography or conceptual space
of notional understanding of the fairytale pagan
culture hero – the character of Baba Yaga.
Materials and Methods. The earliest notional
perspective on the given character is natural
mythological interpretation. A.N. Afanasyev
calls attention to the fact that Yaga flies through
the sky in a fiery mortar, which she urges on with
a burning broom and that during the time of her
flight the trees groan, writhe and crack, and the
winds howl. He writes that this mortar as well
as the turning hut (hearth) is the metaphor of
the storm cloud. Yaga possesses magical firebreathing horses, seven-league boots, a selfflying carpet and self-playing gusli, thus being
also the owner of the fast-moving clouds, heavy
thunderstorms and bolts of lightning. When
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: ieviev@mail.ru
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chasing fugitive heroes, she flies after them as
a black cloud. In parallel with Slavic fairytales
with Baba Yaga as a central figure, Neo-Greek
and Albanian fairytales display Lamia (witch,
sorceress) or Draconida (snake). Slavic people
themselves render Baba Yaga and the mythical
snake as identical characters: what is attributed to
the snake in one variant is performed by Yaga in
another; in the Ukraine a witch is also often called
a snake. Similar to a snake, she hides the springs
of living water, copper, silver and gold, that is
the treasures of the sun. Therefore she is able to
cast foul or fine weather at her own will. Russian
witches as well as Baba Yaga hover in the air in an
iron mortar (kettle-cloud) propelling with a pestle
or a staff (thunder-club) and sweeping away the
traces of their passage with a broom. When they
gather on the Bald Mountain, there are the fiery
flames burning and the roaring kettles boiling.
Thus the witches boil rainwater on a thunderflame. According to A.N. Afanasyev, iron mortar
is the metaphor of the storm cloud (Afanasyev,
1982, p.49). The well-known fairytale of Ivan the
Fool’s victory over Baba Yaga (she told him to
sit still on a baking shovel in order to cook and
eat him, but he asked her to show how exactly it
is done and popped her into the stove himself) is
interpreted by A.N. Afanasyev as the victory of
the sunbeam over the black storm cloud.
Thus, A.N. Afanasyev underlines that the
triune character “Snake-Witch-Baba Yaga” is
the depiction of nature-deities or administrators
of natural phenomena. That is why the romantic
natural mythological school interprets the
phenomenon of Baba Yaga by the reason that the
most ancient notions of the world and its structure
are the reflection of the earthly life in heaven.
The second view on the origin of this
character is thoroughly developed by a Christian
researcher A. Men, who emphasized the fact
that numerous vulgar superstitions of sorcerers,
hexes and witches echo “from the ancient times,
when sacrifices, spells and magic were in the
hands of women” (Men, 1996, p.26). He thought
the consequence of this to be the character of
Baba Yaga as the mistress of the woods, birds
and animals. Not only creatures, but also nature
elements follow her will. She “hisses like a
snake”, “roars like a beast”, is able to take the
shape of different animals in which case reaching
fantastic sizes. All this being said, it is possible
to conclude that Baba Yaga was one of the pagan
goddesses of fertility giving life to all the nature
and setting cosmic paces, whose role has been
diabolized since the adoption of Christianity in
Russia. There was the character inversion from a
beautiful woman into a hag and a malicious one
at that, the one feared even by the children. The
character became trivial and superficial, reflecting
integral magical and ritual notion no more, but
only negative moral qualities: likes stealing and
eating children – so if you, kids, misbehave, you
will end up on Yaga’s baking shovel.
The third view on the origin of the character
is Baba Yaga being a priestess of the pagan
goddess Lada. The ritualistic school, the members
of which see the actions of fairytale characters
as the reflection of forgotten archaic rituals
(V.Y. Propp, B.A. Rybakov, A. Andreev), indicates
which forces Yaga served and what exactly she
was “in charge of”. V.Y. Propp analyzes several
types. The first type is Yaga the Benefactor
visited by a hero. She riddles him and then gives
him a horse, magical items or rich gifts. These
are the magic clew, the winged horse, self-flying
carpet, seven-league boots, self-playing gusli,
the golden spindle, etc. The second type is Yaga
the Kidnapper. She steals a child and attempts to
cook it, followed by the child’s escape and rescue.
The third type is Yaga the Warrior. She returns
to her hut and cuts a strip out of the hero’s back.
She is endued with unmatched strength, being
able to fight two heroes at the same time without
feeling their strikes as if they were mosquito
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bites. V.Y. Propp also reviews the fourth type –
Yaga the Warden of the Underworld. These types
are represented in all Russian folk tales. But a
more in-depth study of this character shows that
all of these types are inherent namely to Yaga the
Priestess, the performer of the ancient rituals.
The fourth perspective on the given character
is mythological. She is the guide between the
worlds, sort of a border guard. V.Y. Propp clings
to the same notion providing the following
argumentation. First of all, Yaga resides in the deep
forest – the entrance to the underworld (Propp,
1986, p.53). Koshnoe tsarstvo (the underworld
in Slavic mythology) was comprised of two
layers: the one in the ground, where the ancestors
remain, and the other below the ground, where
the demon spirits live. In this case, Yaga helped a
fairytale hero to sneak specifically into the lower
layer to save the princess stolen by malicious
forces, while ritually, as ritualists emphasize,
she was guarding the entrance to the realm of
the ancestors. She was the symbolic figure of an
administrator of “the rites of passage”, when a
person being tested sort of died under one guise
in “ignorance” and resurrected under another as
an initiate “possessing secret knowledge” after
the ritual was performed. So a hero walks without
purpose and stumbles upon the chicken-legged
hut. He is anything but daunted by this sight and
knows how to handle it – it needs to be turned in
a specific direction. The act of turning itself is the
symbolic opening of the doors to the underworld
in the mythological universe.
The very hut can be viewed as a symbol. First
of all, it reminds of the ancient totemic rituals or
the rituals associated with the burial of the dead.
B.A. Rybakov points out that “wooden coffin huts
covering the urns with burnt bones in the cities
of the dead stand in rows as if huts in a village”
(Rybakov, 1988, p.12). Chicken legs are rather
wooden piles saturated with bdellium. Another
interesting version of the hut was brought out as
early as in the XIX century by ethnographers,
who hypothesized that the hut is possibly a symbol
of “labaz” (a barn), which is well-known in
Northern countries. This is a kind of a household
building on tall smooth piles intended for storing
gear and supplies from mice and predators. These
tree stands are always positioned “with the back
turned to the forest and the front turned to the
traveler” so that the entrance can be approached
from a river or a wood trail. Little ceremonial
barns with neither windows nor doors resemble
the look of the fairytale hut even more. They
usually contained dolls dressed in national fur
clothing. The doll occupied almost the whole
barn and served as a container for the soul of the
departed until it is reborn in a child.
In order to get into the underworld Ivan has
to become “sort of dead” since the living are not
welcome in the realm of the dead. So Ivan must
complete a special ritual – he must be served
and fed by no ordinary food, but the food of the
dead. In this case he can remind the mistress of
the feeding or even request it. This ceremonial
“decedent” feeding is declared taboo for the
living so that one would not incidentally join
in the underworld. Supposedly, these are the
mushrooms (toadstools). Mushrooms are the
food of both the living and the dead. Mushrooms
often act as a classifier of binary oppositions in
mythology: plant kingdom – animal kingdom,
profane – sacral, “food for the Gods” – “food
for the dead”, food – antifood. Exuberance of
mushrooms is coupled with the fact that toadstools
serve as the main ingredient of hallucinogenic
drinks commonly used by shamans in their
journeys into the underworld. Mushrooms are
also included in the “life – death – fertility” triad,
thus resembling the functions of the world tree
(journeying to upper and lower realms from the
center of the world).
Taking a steam bath is another substantial
element of the hero’s behavior on a visit to Baba
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Yaga. Therefore the hero’s initiation to the
underworld is twofold: through a steam bath
and through a meal. In order to sneak into the
underworld unnoticed the hero must get rid of
the smell of the living. But only Yaga, who is in
possession of the magical steam bath, knows how
it can be done. Could well be the case that Slavic
mythology presumed the existence of a certain
magical bath besom used by Yaga for steaming
the hero and forcing his soul out of his body.
The sequence of actions is as follows: the hero
is steamed and clean – deprived of the smell of the
living – his soul removed from his body – ritually
dead – served and fed – joined in the underworld –
served in the “opening of the mouth” ritual to be
able to speak and see in the underworld – put to
sleep – buried in the sepulcher – turned into a
winged creature – continues his search.
The character of Baba Yaga herself is the
reflection of Death. The words by V.Y. Propp
may be in order here: “When Ivan enters the hut,
Yaga is lying either on a stove or on a bench. She
occupies the whole hut: her head in the front, one
leg in one corner, the other leg in another. Or else:
Baba Yaga lying on a stove, her bony legs stretched
from corner to corner, her nose sticking into the
ceiling. But nowhere is she mentioned as a giant.
Therefore it is not her, who is too big, but the hut,
which is too small. Yaga looks like a corpse in a
narrow coffin or in a special cage, where people
are left to rot. She is a corpse. Russian Yaga does
not possess any other attributes of a corpse. But
Yaga as an international phenomenon does have
a wide range of such attributes of decay, which
help us understand the bony legs of hers” (Propp,
1986, p.70).
Another native ritualist, K.D. Laushkin
points out Baba Yaga being one-legged. He
emphasizes this attribute being not yet adequately
investigated, though meanwhile “this very
attribute provides an opportunity to interpenetrate
the ancient zoomorphic identity of Baba Yaga”
(Laushkin, 1970, p.181). In fact, some fairytales
do call our heroine the one-legged. A character of
the fairytale “Tsarevitch Ivan and warrior maid
Blue-eye” addresses her, “Ah, you the one-legged
Babushka Yaga”. In “Ivan the Fool” Baba Yaga
appears in front of three brothers in the forest
and “hops around them on one leg”. The other
attributes of Yaga’s leg are: bony, wooden and
gilded.
Let’s take a closer look at the symbolism
of one-leggedness. In chthonic symbolism
one-leggedness (lameness) is associated with
the symbol of a snake. Remember Greek
mythological figures: Hephaestus, Oedipus, even
Zeus. K.D. Laushkin derives the following rule:
“if there’s something wrong with the mythical
creature’s legs, there’s a snake at the bottom of
it” or “if the mythical creature bears relation
to snakes, there’s something amiss with his
legs” (Laushkin, 1970, p.181). The theory of
transformation is as follows: 1) a snake (primitive
stage); 2) a humanoid creature with the tail of
a snake (Erichthonius stage); 3) one-legged
deity; 4) lame deity (Hephaestus stage); 5) deity
handicapped in one leg (Oedipus stage); 6) fully
“humanized” deity with either a myth or a ritual
suggesting former lameness (Zeus stage). Turning
back to the character of Baba Yaga, we find that
before death she turns into a snake. Therefore,
according to K.D. Laushkin, the origin of the given
character is as follows: in primeval times – a snake,
the embodiment of death; in pagan times – Baba
Yaga (the one-legged), Slavic goddess of death;
in modern times – Baba Yaga (the bone-legged),
fairytale character. So initially she was crawling
like a snake. Then she started hopping on one leg
(one-legged deity stage). Then she started riding
her mortar on the ground and later on got off
the ground to catch the air. The last Baba Yaga’s
locomotion, which is most common in fairytales,
kind of represents her ultimate takeoff and full
liberation from supernatural functions related to
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earth and the underworld. She turns into a purely
fairytale character and once again represents the
“Snake – Witch – Baba Yaga” triad.
Now let’s review another attribute – Yaga’s
blindness. Moreover, let’s emphasize that the
hero, who comes to Yaga, also complains about
his eyes. He says, “First give me some water to
wash my eyes, feed me and then ask whatever
you wish to ask”, “My eyes are swollen”. In other
words he is getting blind. V.Y. Propp considers
such blindness to be a special mark of the chosen,
matching blindness of males serving in initiation
rituals against fairytale ephemeral blindness.
A mighty old man with huge eyebrows
and heavy eyelashes is a well-known character
of our native folk tales. These eyebrows and
eyelashes have grown so thick they have caused
completely blurred vision: it takes several strong
men, who can lift his eyelashes with pitchforks,
in order for him to see clearly (the tale of Ivan
Bykovich). This character resembles Viy from
the homonymous short story by Gogol. However
many Viy’s attributes were not included in the
Gogol’s story. For instance in Podolia Viy is
viewed as a horrible annihilator, who kills people
with his gaze and turns cities and villages into
dust. People’s imagination portrays Perun, the
god of thunder and lightning, in the same sublime
fashion: he hurls thunderbolts from under his
cloud eyebrows as well as brings death and fires.
As Afanasyev points out, human eyes had
to obtain mystic supernatural meaning under the
influence of metaphorical language. What had
been previously said about the heavenly eyes was
eventually understood literally and transferred by
human on himself. If the flaring gazes of Perun
bring death and fires, then the same terrible power
is inherent to human vision as well. Hence the belief
in “the evil eye” and “the basilisk glance”. The
natural mythological school does not contradict
the ritualistic one here at all: quite the opposite,
the fusion of these two viewpoints provides
further understanding of one of the attributes of
Yaga the Witch: artificial blindness – the absence
of visual light – the possibility of seeing invisible
light – initiation ritual – new knowledge, new
light leading to enlightenment – the recovery of
physical vision. Such is the pattern of appearance
of new knowledge and “witting”, wherefrom the
“witch – Baba Yaga” dyad emerges.
So the possibility of seeing the physical world
in a new perspective is not granted to anyone.
There is an inversion – a reversal in mundane
consciousness. Things, which are considered
significant among the profane, are seen differently
by “the witches”. But seeing differently is
dangerous in mundane consciousness, hence the
epithets of “evil”. Meeting a blind man is bad
luck. Collective consciousness disapproving of
such “knowledge” has endowed people with poor
“abnormal” vision with the qualities of moral
imperfection, envy, hatred and deceit. Therefore
Baba Yaga has poor vision as of later fairytales.
Another characteristic feature of Baba Yaga
is her strongly emphasized physiology. She is
always portrayed as an old woman besides an
unmarried one. Her relationship with Koschei
the Deathless is complicated, though he is neither
her husband nor her lover in fairytales. Baba
Yaga is the mother to monsters. However, as of
later fairytales one can encounter the following
characters: her son – Oleshka the short-legged, the
imps – Vezi, Sini and Puzi or just some abstract
nameless sons. She does also have relatives: either
the Yagishna sisters or the snake brothers.
But let us turn back to her maternal duties.
“Yaga represents a stage, whereon fertility was
thought through women independently from
men. Yaga is the mother to forest beasts. Being a
personification of her sex, she does not have any
sexual life. She is just a mother already, being
a wife neither in the present nor in the past.
And even though she is never mentioned as the
mother of beasts in fairytales, she has absolute
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power over them, since mother is in the first place
the master. She undergoes changes in a myth as
follows: she retains the maternity attributes only
keeping her power over beasts, and as the very
life of a hunter depends on his game, she also
keeps the power over human life and death”
(Propp, 1986, p.70).
The ritualists conclude that ritual perishes
but fairytale remains. Just as remains life in its
concrete rather than symbolic aspects, just as
remains death. What was attached to the ritual,
what happened to the initiate now happens
either in a fairytale or to the dead. This is the
explanation of the hero venturing into the forest
as martyrdom (or initiation); this also explains
why from the earliest times the dead were boiled
and burned just as the initiates, why the initiate
had to lose his sight, why he was tested for his
smell just as the stranger to the underworld
would be tested in the future. With the advent of
agriculture and agricultural religion the whole
“forest” religion turns into sheer evil: a mighty
wizard turns into an evil sorcerer, the mother
and the master of beasts – into a witch, who
lures children into the forest to “cook them and
eat them”. “The practices, which abolished the
ritual also abolished its creators and carriers:
the witch, who burns children alive is similarly
burnt first by a storyteller, the carrier of the epic
fairytale heritage, and eventually by the carriers
of the other paradigm. This storyline shows that
it was created not during the ritual practices,
but during the practices, which would replace it
turning sacred into evil, into half-heroic and halfhumorous grotesque” (Propp, 1986, p.111).
B.A. Rybakov has a somewhat different
vision of Baba Yaga. He considers her to be
the manifestation of a female goddess. This
goddess was ambivalent representing Mokosh
when threatening the harvest, and being the
embodiment of Mara or Marzanna in case of a
plague or a threat to human life. Fairytales adopted
the second aspect of this ambivalence – hostility
to the world. “Yaga is lying in her hut stretched
from corner to corner, her legs in one and her head
in another; her lips on the lintel, her nose sticking
into the ceiling, her face of clay and her breasts
stuffing up the stove. This description suggests
the given character’s connection with Oneeyed Likho (a ravenous woman giant devouring
people). Likho resides in the forest hardly fitting
inside her hut and cooks the slaughtered victims
in the stove” (Rybakov, 1988, p.219). In the other
of his studies B.A. Rybakov points out Baba Yaga
the Horsewoman riding in the lead of her host. In
the “Of three kingdoms” set of fairytales Baba
Yaga is in charge of the innumerable host issuing
commands from the horseback. The heroes
vanquish Yaga’s armies and she retreats to the
dungeons followed by the protagonist.
B.A. Rybakov emphasizes that a variety of
belligerent female characters indicates a different,
other than forest type of Baba Yaga. This one
lives beyond the steppe river, by the silken grass
at the seaside. Pastures, livestock and herds of
excellent horses are constantly mentioned in
fairytales. All of this is located somewhere near
the mountains with cliffs and ravines either at
the seaside or overseas. Apparently, as the author
implicates, this is the pre-Turkic steppe realm of
the Amazons of Cimmerian-Sarmatian origin.
Could well be the case that the armed
conflicts between Russian bogatyrs and snake
women in the “snake lands” reflect the setting
of VIII BC, when male Cimmerians went on
campaigns to the Middle East (722-611 BC).
The very means of fighting the bogatyrs,
who reached the core of the snake lands, were
different from the ones in the Cimmerian period,
when there was evident aggression from the
Yaga’s forces infiltrating Russia; snake women
here are no Amazons, no self-sufficient warriors.
This is just the women left in the rear with no part
in warfare. The means of fighting the bogatyrs
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here are purely female: snake women turn into
ruddy apples, spring water and duvets in order to
lure the conquerors and kill them subtly.
When in the snake lands Russian bogatyr
is often chased by Yaga flying in a mortar.
B.A. Rybakov interprets this by the Russian
wooden mortar being similar to the Scythian or
Sarmatian kettle on a tray and rallies V.Y. Propp’s
opinion of Yaga representing a “corpse”, which
cannot move on its own and for that reason
requires some sort of an object, as well as
Afanasyev’s metaphors of storm clouds.
Now let us review another perspective on
the character of Baba Yaga. A ritualist, one of
the contemporary researchers of Slavic paganism
A. Andreev argues that Yaga is the goddess of
the Earth, the Moon and the Sun (Andreev, 1996,
p.79). He uses an extensive amount of evidence
making references to numerous folkloric and
Indo-Aryan sources. Taking this viewpoint
into consideration let us remind ourselves of a
fairytale, which many folklore researchers often
refer to. This is the fairytale of Yaga being the
mistress of three horsemen. Vasilisa the Beautiful
is sent to get some fire from Baba Yaga, and the
description of her journey represents a tale of
the Day in a truly mythological form – three
horsemen go before her: the white horseman on a
white horse (the Day), the red horseman on a red
horse (the Fair Sun) and the black horseman on a
black horse (the Dark Night).
The second aspect of studying Baba Yaga
by A. Andreev is her being the goddess of Death
(mentioned above already). This author considers
her not just the goddess of Death, but also the
master of the Souls. It is her, who sends them on
Earth and takes them back.
The third aspect analyzed by A. Andreev
is that supposedly Yaga is not a goddess, but
rather a priestess of the mentioned goddesses (a
witch). That is why she is endowed with secret
knowledge. Supposedly, as a result, she was
diabolized and adopted a rather unattractive
physical appearance. A. Andreev along with the
other ritualists analyzes some specific features
of Yaga’s appearance searching for a key to the
given character’s puzzle. The first among others
is the unfastened hair. A particular hairdo of
Yaga is never mentioned, though fairytales hint
at the unfastened hair and the magic deeds of
hers. The national cult always associates hair
with magic. According to the ancient beliefs the
unfastened hair was the symbol of magic powers,
thus being the strongest charm. The unfastened
hair is associated with marriage, death and
burial, saving the lives of livestock, people and
the world. Having been forgotten, this cultural
element turns into a threat during different times
with the different mentality. Thus emerges one
of the attributes of a witch-sorceress – the long
unfastened hair.
Another ritual forsaken by people is the
overbaking of babies. Much was written about it
by many researchers. According to A. Andreev,
Yaga is the priestess saving babies. The inversion
leads to Yaga having the urge to “eat the baked
child” as well as the witches urging to steal
children in order to eat them. V.Y. Propp views
this ritual as the overbaking of the dead as related
to the underworld, but A. Andreev analyzes
precisely the ritual of “the overbaking of babies”.
This was usually performed by an elderly woman
with the children of her own; preference was
usually given to the ones living a flawless moral
life. Moreover, a special ritual emphasis in terms
of childbearing was attributed to the Hearth
(supposedly, according to the Law of Similarity
in sympathetic magic – like produces like). By the
way A. Andreev thinks that “not only the Hearth
possesses the qualities of the womb, but also
the Womb possesses the qualities of the hearth,
its fieriness in particular. Isn’t this the origin of
colloquial terms such as the fervor of love or
the fiery passion, which are directly relevant to
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childbearing?” (Andreev, 1996, p.80). Therefore
the description of the overbaking ritual or any
of Yaga’s actions is the description of the rituals
related to obstetrics and protecting the child either
prematurely born or the one born with rickets.
For this purpose a child was wrapped in a big
johnnycake (“the mother’s womb”), put inside the
heated hearth on a baking shovel for a short period
of time and then taken out and covered by a rotten
pan. The ritual’s meaning was sort of the second
birth of a child after the first unsuccessful one.
In this case the great importance was attached
to the magic actions; therefore the “ignorant”
ones were not allowed to participate. The ritual
actions have been forgotten but fairytales, which
take everything literally and aim at teaching the
younger generation of good and evil, remained.
In this case good turned into evil and anchored
as edification: common people are not allowed to
do this.
Let’s turn back to the priestess, who aided
new mothers. A. Andreev tries to analyze the
Yaga’s name. He writes that “to yagat” means
“to shout loudly, to cry during birth. People
enrage themselves in a similar fashion before
fighting or during the fight in order not to feel
pain. This gives ground for thinking that “to
yagat” means not just to cry and shout, but to let
out a torrent of raging power with one’s voice”.
The researcher also concludes that most probably
Yaga is one of the birthing mothers, the Mother
of the Harvest and the Mother of the Gods and
the witches following her lead are the priestesses.
Alternatively she is the teacher, mentor or sort
of an examiner in the female initiation rituals
(Andreev, 1996, p.85).
As a cultural hero of religious mythology
Yaga possesses the magic items – the fetishes.
In many texts she is the keeper of life force and
the essence of life taking shape of magic water
contained in two barrels or wells with the living
and dead water. Supposedly, the “living” and
“dead” water are the symbols of death and rebirth
during the initiation ritual.
Results. Having mentioned a fair number
of perspectives on the character of Baba Yaga,
what kind of results do we arrive at? It would
be certainly fascinating to identify her with
one of the goddesses of the Slavic pantheon –
Mokosh, Lada, Rozhanitsa (a pagan goddess
with a favorable role) or Mara (an unfavorable
role). Nonetheless the abundance of the analyzed
data leads us to the conclusion that she is rather
a half-goddess (a cultural hero). Why so? All of
the researchers place her in one of the mythical
worlds: either in the upper one, where she
possesses the water of nature – the “living” water,
or in the lower one, where she is the guide to the
underworld for heroes searching for their stolen
brides. Therefore she is the mediator between
two worlds living in between. Moreover it stands
to mention that the upper worlds had certain
hierarchies with Yaga belonging to the “visible”
upper world – in the sky or in the proximate lower
world or on its border. She is the intermediate
agent of the gods – neither a god, nor a human,
but both. Hence she is the mother, but not a wife,
the mother of beasts, but not humans, etc. As any
mediator she does not have her own free will, she
just passes it to humans, though not to everyone,
but only to the chosen.
It is no coincidence her character being the
one of a priestess, a teacher, mentor and the oracle
of sacral pagan knowledge of Life and Death.
The unfastened hair, the Hearth, the magical
and the heavenly Fire and the apprenticeship –
these are the symbols of the one bearing
knowledge, passing and controlling it. She is in
charge of people in this middle world – from the
very birth (the Hearth) till marriage or death.
These are the three major sacred milestones in
life of every man in this world and all of them
are accompanied by a priestess, because these
milestones are full of magic and thus important,
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with the whole social life ultimately depending
on how they pass. This was mentioned by both
V. Propp and A. Andreev. The latter associated
the priestess with transitional rituals and thought
that “concerning children and their education the
grown-ups had to be utterly strict and precise.
Otherwise the world would go the wrong way.
A tiny mistake in education will eventually lead
to accumulation of alien qualities and instead
of a man you will bring something terrible into
this world – an alien” (Andreev, 1996, p.89).
Yaga did actually play a stabilizing role – the
violation of the sacred rituals could possibly
shatter the World of men. Hence there appeared
a great importance of educating and examining
the neophytes. Yaga was this educator (again as
a mediator between the worlds), who brought
harmony into this world and taught people of
their social role by showing the initiates the Path
of the social Force and the Path of the individual
Force. She knew and saw something different
from what common people could see and she
passed this knowledge to her apprentices.
Unfortunately, the concept of apprenticeship did
not preserve in the Russian culture, but it does
fi nd evidence in the vast ethnographic matter
of other nations, especially in an ancient Indian
tradition of apprenticeship.
Conclusion. How come did Yaga turn from
a protagonist into an antagonist? We mentioned
this above already: the forsaken rituals turn into
fairytale characters due to the shifting paradigm
and fairytales generate an inversion. Noteworthy
is how V.Y. Propp comments upon it, “With the
enhancement of the tools of labor, the adoption of
agriculture and new social structure the ancient
barbarous rituals are handled as redundant or
even cursed and their edge is turned against their
performers. If a man is ritually blinded by a forest
creature, which tortures him and threatens to eat
him, then the myth, which is already detached
from the ritual, becomes the means of “outcry”.
A similar situation happens with the burning: it is
the children, who are burned in the ritual, but in
a fairytale children burn the witch” (Propp, 1986,
p.75).
In the following ages Yaga is getting even
more diabolized and coalescent with the Western
European characters of witches and sorceresses as
a result of cross-cultural interaction. This is how
we find her in Russian fairytales. Is this cultural
hero relevant to the contemporary religious
mythology? In a huge thesaurus of dualistic
myths of life and death, good and evil, witches,
vampires and werewolves – the characters of the
contemporary mass media formation of myths,
Baba Yaga remains a cultural hero – a mediator
between the “diurnal” and “nocturnal” worlds and
a profound archetypical character generating all
of the basic mythologems of dramatic, romantic,
heroic, pagan and neopagan scenarios in the
contemporary religious mythology.
References
1. Afanasyev A.N. Drevo zhizny [Tree of Life]. Moscow, 1982. 464 p.
2. Andreev A. (1996) Russian gods in the mirror-world. Indo-European myths and magic, 3,
68-94.
3. Ivanova E.V. (2012) “Religious fantasy” as element of contemporary religious mythology.
Humanities and social sciences, 5(1), 56-61.
4. Ivanova E.V. Smysloobrazuyushchaya funktsiya mifa (obraz kulturnogo geroya) [Semantic
Function of the Myth (Image of the Culture Hero)]. Yekaterinburg, 2004. 298 p.
5. Laushkin K.D. (1970) Baba Yaga and one-legged gods: revisited origin of the character.
Folklore and ethnography, 181-187.
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6. Men A. Magiya, okkultizm, khristianstvo [Magic, Occultism, Christianity]. Moscow, 1996.
196 p.
7. Propp V.Y. Istoricheskie korni volshebnoi skazki [Morphology of the Folk Tale]. Leningrad,
1988. 361 p.
8. Religiovedenie [Religion Studies], edited by I.N.Yablokov. Moscow, 2012. 479 p.
9. Rybakov B.A. Yazychestvo Drevnei Rusi [Paganism of Ancient Russia]. Moscow, 1988.
800 p.
Проблема загадочности образа Бабы-яги
в религиозной мифологии
Е.В. Иванова
Уральский федеральный университет им. Б.Н. Ельцина,
Россия 620083, Екатеринбург, пр. Ленина, 51
В данной статье раскрывается многозначность прочтения образа Бабы-яги
представителями различных мифологических школ. Каждый из исследователей данного
образа по-своему трактует семантические особенности данного культурного героя. Кто
она? Языческая богиня, жрица языческих богинь, ведьма, змея, повелительница небесных
стихий? Цель исследования автора статьи – раскрыть многозначность архетипических
характеристик этого образа и доказать влияние образа Бабы-яги как культурного героя
архаической религиозной мифологии на современную религиозную мифологию средств
массовой информации.
Ключевые слова: религиозная мифология, миф, культурный герой, язычество, символ,
волшебная сказка, религия, ритуал, языческая жрица.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1867-1878
~~~
УДК 17.022.1
Modernity: Transformation of System
of Values and its Anthropological Aspects
Sergey A. Azarenko*
Ural Federal University named after B.N. Yeltsin
51 Lenina, Ekaterinburg, 620083 Russia
Received 21.08.2013, received in revised form 02.10.2013, accepted 27.11.2013
This text explores the system of values modernity. Modernity is usually expressed through the
metaphor of the Information Age, stressing the dominant position in the society of information and
communicative streams. A human in general is a joint being and therefore he initially belongs to
communication. Compatibility as measurement of ontology of communication is a place of formation
of joint practice of people, united by repeated and regular bodily interactions, in which the message
is created, contributing to join people in a community with certain ideas and values. But existence
of the modern man is problematized largely because of its absorption in information streams, that
are intensified be electronic technologies. People can not do without telecommunications, mobile
communications, etc., so that a man is included in the set of replacing each other streams of information,
that have not only diverse, but also generally contradictory and conflict contents. Immersion in full
of contradictions information field generates such phenomena and problems as “clip thinking” to the
detriment of complete semantic thinking; domination game, not the real, actual forms of the relations.
Relationships between men and women are changing, getting the forms that threaten the existence of
a family. And, at last, in such unsteady information space of simulation and virtuality it becomes in
general difficult to speak about authenticity or not authenticity of borders of our existence.
Keywords: communication, system of values, social practices and technology, bodily interactions,
community.
Condition of spirituality
in the modern world
Modernity is usually expressed through the
metaphor of the Information Age, stressing the
dominant position in the society of information
and communicative streams. A human in general
is a joint being and therefore he initially belongs
to communication. Compatibility as measurement
of ontology of communication is a place of
formation of joint practice of people, united
by repeated and regular bodily interactions, in
*
which the message is created, contributing to
join people in a community with certain ideas
and values. It is impossible to imagine people
outside the commune and communication,
outside of society and relations. But existence of
the modern man is problematized largely because
of its absorption in information streams, that are
intensified be electronic technologies. People
can not do without telecommunications, mobile
communications, etc., so that a man is included
in the set of replacing each other streams of
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: sergey_azarenko@mail.ru
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information, that have not only diverse, but also
generally contradictory and conflict contents.
Immersion in full of contradictions
information field generates such phenomena
and problems as “clip thinking” to the detriment
of complete semantic thinking; domination
game, not the real, actual forms of the relations.
Relationships between men and women are
changing, getting the forms that threaten the
existence of a family. And, at last, in such
unsteady information space of simulation and
virtuality it becomes in general difficult to speak
about authenticity or not authenticity of borders
of our existence.
In this context it is worth to mention such
phenomenon of modernity as a world economic
crisis. Most of the researchers are looking for the
reasons for the imperfection of the financial and
economic mechanisms, but it seems that reasons
to cause it lie deeper – in the field of anthropology
of management and, finally, in the spiritual area.
So, we live in the information age, we can not
do without modern ways of communication, as
well as our children – without communicating by
the Internet at the expense of live communication.
This is the situation of everyday life, but it has a
deeper process, namely: a process of narrowing
of space and time of our existence, deformation
of the semantic horizon of a man, bringing down
of his complete perception to clip thinking.
Thanks to modern technical facilities
people can interact, reducing the distance,
and because of the specific operation of these
facilities, communication always occurs in
limited, “reduced” time, i.e. in the form of short
messaging. No wonder that the information field
is dominated by such form of communication as a
slogan – a key element of any ads and commercials.
Thus there is a contraction, restriction of time
and space of our world, which has not external,
but the essential character. Actually, this type of
“network” communication has already started to
deform spiritual world of a man, reducing it to a
state of “fragmented consciousness.” And some
forms of information products are claiming almost
at an ontological value. In this way, advertising
today serves not only as a way of moving goods,
but assumes the function of a cultural norm that
defines life.
The modern information field starts to define
behavior of people in society and in particular of
youth. Clip communication actually works on
the distruction of cultural tradition, which based
on complete meanings and the root relations,
keeping and broadcasting them during a long
time. The saturation of the communication, full
of modern technical means, generates effect of
“a communication rumble” that considerably
complicates human life. How to survive in that
it seems dense communication, but in reality is
“communication noise” when they talk together,
but can not hear each other? People do not see
that live in the world of simulation and virtuality,
which dominated the “truncated” senses and
bodies. Nevertheless the need for complete
meanings is inexhaustible, because they give the
chance to feel full value of staying in the world
and therefore modern people don’t cease to be
interested in spiritual practices and look for
rescue within themselves.
The social aspect of sense consists in its initial
pre-message to communication, given not only
by the language and semantic-communicative
system of society: myths, symbols, narratives,
discourses, texts and intertexts, – but, as we
believe, action, practices and techniques. The
sense is premised by society, and it is constituted
in a network of those relations to which it
imperatively precedes. Practices and techniques
in society are present not asstructures, but as
recursive processes, promoting translation of
significant cultural meanings for society. Meaning
is always compatible by definition. Compatibility
already implies a clear separation of meaning,
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in which community is born. Russian thinkers
expressed it through the idea of the primacy of
catholicity. Disturbance of meaning is equal to a
violation of social relations.
In modern society, as opposed to the root
meanings, rhizomatic meanings and forms
of relationship began to prevail. Rhizome,
according to Gilles Deleuze and Felix Guattari, –
the structure that exists without a root, as a
tumbleweed in the free space of the desert.
Modern man has to live in a situation which
Bauman calls “from pilgrim to tourist.” Instead
of moving into the region of the spiritual, when,
making efforts, people moved to the holy places,
to submit to a spiritual transformation, now they
go there mainly for superficial impressions, for
admiration, becoming collectors of pleasures.
From here – a prevalence of not original relations,
that demand from people not spiritual efforts, but
game efforts.
Game promotes realization of bodily energy
of people, and also favors to development of
social forms of accommodation, but at the same
time we have to deal with (not without the help
of telecommunications) passion to computer
games, immersion in virtual space game- hoax,
in which playing of another is effective and
normal. Nowadays game continues to do the
traditional social functions, but more and more
taking the form of hoax,simulation or game
presentation. A modern man lives in conditions
of society of performance. Performance becomes
world outlook, and society – socially organized
visibility. The desire of show penetrates all human
activities, turning them into the game.
In society the game atmosphere is created,
and it becomes more and more preferable
occupation. Especially brightly it is shown in
network communication. A lot of websites offer
game communication, suggest to make friends,
but not real, virtual. At the same time with
distribution of game communication where each
person, disappearing under “nickname” can
choose to himself any role, real social and gender
roles are deformated, and with them – habitual
semantic oppositions male/female, active/
passive, etc. The majority of men and women are
united today, according to Bauman more due to
deception, instead of a social order, advertising,
not indoctrination. People are involved in a
game where sensual pleasures have the vast
importance.
Women more and more claim the
professional calling and partnerships in business,
and in the areas of sexual. Giddens notes that the
fact of sexual equality in a society promoted the
domination of eroticism. The relations between
the man and the woman began to seem in the light
of a sensuality, instead of love and a family. In
love the man responds on feelings of another in all
fullness of life in which he os capable to be better.
But love requires human efforts. Pragmatic people
today often do not want to spend their strength or
time. Meanwhile, eroticism is only a superficial
grasp of the person. This circumstance has
danger of transformation of existential territory
of the first importance, which serves, on the one
hand, to social reproduction, and, with another, to
reproduction of a human as actually a human. It is
a question of destruction a family
Crisis of a family is noted around the
world. Illegitimate children who were the
“shameful” phenomenon earlier, make now
a half of all born children. Today the mankind
passes to other demographic mode of existence:
from continuously increasing in population
to maintenance of its constant number; to
redistribution of the relations between various
age categories (increase in number of elderly
people) with a growth of average life expectancy.
(According to forecasts average life expectancy
in Russia will grow till eighty years.)
Changes in social communications in
a wide range of social communications and
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interactions led to generation of simulyatsionny
and virtual space. If earlier sign and symbolical
structures of daily and spiritual communication
reflected reality, marking a field of actions in
social reality, now sign structures, which lose
communication with reality, prevail. It is on
the one hand. And on the other hand, process
of social reproduction assumes copying or
repetition, without which reproduction would
be impossible.
Besides, our separate existence in
compatibility is found on border with another,
where we as heirs appear within ontology of
“trace”. In fact, take place in compatibility
of communication (especially in the network
society) can not in its fullness, but only as a
“trace”, as Derrida rightly believed. People
exploring the trace, reproduce it, and thus create
the next trace and so on, and so they involuntarily
are in the power of repetition or in the power
of the simulacrum as a copy of a copy. But
repetition is at the same time an attempt to order
our world, allocating it with sense, and aspiration
to reproduce it. And we as beings producing and
reproducing meanings, get in the power of this
repeatability.
But is it possible to give up the repetition and
start “from scratch”? Sociality, using electronic
technologies, stimulates mechanisms of copying
and copying of copying even more, that is
strengthens simulyatsionny processes. Simulacra
are built in symbolical space of a sociality, serving
its reproduction. It turns out that it is impossible
to do without repetition and, therefore, without
simulyatsionny process. This circumstance puts
us in quite ambiguous situation when we should
guess how we exist: really or only imitating any
relation. We have ti observe such communicative
streams and such social codes which are closed on
themselves. Circulation of empty communication,
imitation of these or those connections and
relations is everywhere increased. Bright example
of this reproduction is the advertizing form of
messages.
What is the danger of this phenomenon? For
a long time we had to be in a sign-and-symbolic
mode, where the opposition real / unreal or surreal
was clearly presented now the communication is
based on the opposition virtual / actual, where
contact with reality is lost and the relationship
becomes a surrogate.
In this situation the pronlem of control
becomes inportant. Habermas emphasizes that
the increasing complexity of the social system
requires constant strengthening of the role of
control. We believe that the current world crisis,
which for the most part regarded as an economic,
actually refers to the “failure” of the control
system. In this regard, the “crisis” now is not a
temporary phenomenon, after which everything
will return to its previous state. Modern “crisis”
actually means a border of transition of society
in other reality, other condition. The model
of the social development which initiated by
liberal economy and has generated consumer
society, stop working. Actually she relied on
the narrowed idea of the person, reducing it to
material requirements. Significant in the person
was considered only thar allowed to sell to
him next goods for consumption with success.
“Crisis” indicates that this model of development
is settled and completed. It should be understood
that the process of changing of development paths
is the responsibility of control, which requires the
government self-reform.
Using modern technology more and more
complicates and accelerates social processes
that lead to social differentiation, that lead to
problematical character of formation of new
structures of interaction. Strategic installation
on an innovation causes to life – as reciprocal
(and protective) reactions (and for reasons of
economy of forces and time) – the appeal to
former traditional forms of relations (for example,
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ritual). And in a course appear both pseudotraditional (neopagan), and traditional forms. In
this connection, the question arises of how to
relate to the traditions as a form past, what abour
their Renaissance? Heidegger showed that all
of us are pas, but which is withdrawn from the
future. Traditional forms can not be returned in
its entirety, but should probably be applied to the
conditions of social existence.
We see, for example, that spiritual practices
are reborn in the psycho practices, and in many
cases serve as a means of “therapeutic” effect on
modern people, that are taken by the inhuman
flows and rhythms of life, disseminating the
person and spending his forces. People appeared
to be taken by illnesses – both of bodies and of
souls. Below we will give expanded understanding
of an illness, which, in our opinion, is quite
applicable for the description as physical ans as
social pathology.
Really, the illness is firstly a spirit illness,
instead of bodily. Since the most ancient times
they spoke about it, and we find this thought in
descriptions of the different spiritual practices.
In Christianity saints wrote about it. Prp. Serafim
Sarovsky spoke: “Health is a gift of God, but
not always this gift is useful, as any suffering,
illness has the power to cleanse us from spiritual
defilement, expiate sins, humble and soften our
soul, force to change their mind, realise our
weakness and remember God. So illnesses are
needed by us and our children.”
Swami Sivananda, which based on
the ancient tradition of yoga, says, that all
chronic, long-lasting and functional illnesses
and disorders inevitably arise from violations
occurring in the mechanism of work of organs:
An illness is a result of violations of the laws of
nature. Nature wants everyone to be strong and
healthy. If you are weak, it indicates that your
organs or different cells of your body do their
function properly”. The only correct way of
treatment is that proceeds from the prime cause
of a disease and directs all forces to restoration
of normal work of all system. “Nature does all
the work itself. Medications only help nature in
her recovery, regeneration work”1.
The primary causes of the illness, according
to Sivananda, may be the bad thoughts, and if
this causes ruin, all illnesses of body disappear.
Mental illnesses are often caused by excitation.
It is necessary to avoid excitation because when
the body is in excitation, things are perceived
distortedly, and prana (energy), begins to flow
throughout the body by fits and starts. Therefore,
concludes Sivananda, due to illnesses of spirit are
emerging illnesses of the body. Hence his attitude
to the healing power of mantra, which are, to put
it briefly, a symbolic way of self-regulation of the
human body, similar to the prayer in the Christian
tradition.
Topologically speaking, illnesses or
abnormality occur in a state of transition from
own to another. Transition is a state of limit
or break the previous state. The illnesses is
staying apart from a body, which undergoes an
exaggerated impact of Another . To stay in itself,
our body pretending to be ill,, simulating and
articulating certain “my and his other” states.
But to pretend means to create something in the
event of transition or redistribution! The body
is in pain-stress with the Another (being with
Another is painful, as it is Another ), but there
is an illness when some Another is exaggerated
with my own, suppressing the body or energy
channels. And then the human thoughts often
leave a human, becoming delirious. Influenced
by Another thoughts may come out from the
borders of a body.
Spiritual practices at all times promote the
improvement of people’s, as they carried the
ability to restructure systematically perceptions
and states of body, promoting it from negative
to positive states, but rather promoting it to a
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balanced “oneself with Another” state. Now
psychotechniques in many respects began to
carry out this function. They influence a state
of “compatibility” in a body well. Compatibility
of a body represents a mobile configuration
of its components of elements. If there is a
stop, stagnation, a clip, pain is generated as a
symptom of a disease. Pain is a manifestation of
“immobility”, energy stagnation in some places
of bodily compatibility, elements of which can
coexist only in mutual motion to each other, as
realization and implementation of the energy of
a body.
Understanding of energy in various
spiritual practices reveals a certain similarity.
Energy concept goes back to Aristotle.
According to Aristotle, energy is actualization
of potency of exists. This is the process itself,
movement, activity of actualization, and not the
result. Christian theology maintains Aristotle
understanding of energy. Compare, for example,
as St.. John of Damascus wrote: “The energy
is active movement. Active is called that move
on their own accord”. However, S. Horuzhy
said: “Energy is the fi rst pulse and the actual
movement of the initiative, and the creature
always has a whole set of diverse and divergent
energies” 2.
According to the classical dichotomy of
human composition, there are different physical
and mental energies. To a similar concept, says
Horuzhy, and also on the basis of asceticism
comes an Indian thought. Here’s how to determine
dharma in the philosophy of classical yoga:
“Dharma or qualitative definition, is nothing
more than the ability [literally, “energy” – approx.
Trans.] of carrier-substrate, given the limited
scope. “ Dharma at the same time is energy and
qualitative certainty. By thought of Horuzhy,
convergence of concept of dharma with the idea
of “separate energy” in hesychast austerity course
is natural, because they both came from the
experience of intense scrutiny, study of spiritual
practice of human.
In 90 years in our country books Castaneda
were especially popular. This coincided with a
moment in the life of society, when there was a
need for a person with an active way of behavior,
destroying the boundaries of “the usual.” In
the book “Journey to Ixtlan” constancy is
condemned, the rigid schedule in behavior,
that does the person the inert and at the same
time, vulnerable at meets with extraordinary
and unexpected events and forces. The book
tells about ways of training and development of
ability to “unexpected behavior”. Good “hunter”
precisely knows the schedule of the victim, but
he doesn’t submit to any schedule, and it is his
advantage. The victim for which it hunts, is
enslaved by the strong schedule of the way of its
life, hat does its behavior predictable. Hunter is
free, fluid and unpredictable. In the book there
is an idea that behaviors of the most of people
as usual, predictable, and this means that they
will always be someone’s victims. The point of
the training is to stop yourself being a victim
and become a “hunter”. You must practice the
behavior that breaks any stereotypes.
Despite the effectiveness of this practice,
its content and the spiritual meaning doubtful.
Leaving aside its analysis (which requires a
separate study), we point only to need of refering
to other, non-aggressive practices. It is a spiritual
and physical practice of yoga, Buddhism,
Orthodox Hesychasm,that are also aimed to the
rejection of preassigned behaviors and at the
sametome help build a harmonious relationship
with the world. To slip out of the traps of
communication we need not repeat the path of the
victim, but did not become a hunter. Spiritual and
physical practices in question allow to harmonize
relations with the world because they are not built
on benefits, bur in principles of life in the present
with an open heart.
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These spiritual practices, belonging
to different cultural traditions, have bodily
techniques and tools to work with the energies,
promoting overcoming of stagnant processes
in a body. By means of these practices in
bodily compatibility the mechanism of selforganization of energy starts working. Directing
attention to body sites with developments
of stagnation and making certain actions,
we release dejectednesses “ourselves with
Another” (that is we help to direct correctly
moving elements of compatibility). In yoga, for
example, various complexes of asanas and the
principles of breath and its delay are developed.
There are techniques of silence, for example, in
Christianity – in a prayer of silence of life – in –
in a prayer of silence of life together with God. It
assumes return to space of initial silence, silence
and harmony.
Silence returns the human to a bodyness
at that very moment when he starts speaking or
creating something from silence. Silence assumes
known effort as it is necessary to overcome
distracting thoughts, but silence erects to a gleam.
When a human becomes silent, God begans to be
shone in consciousness of a human. In silence
(hesychia) there is also a meeting of a man with
himself. Achieving this state improves everyday
life, strengthens man, helps him managing with
the challenges of modern life.
There are are also known techniques of
laughter in some traditional cultures. At present
time they are reborn. For example, there is a
well-known technique of yoga-laughter by Indian
physician Madan Katari, or technique laughter
Osho. Laughter turns on action of a body, revives
him, relieves stress, stimulates the circulation
of the internal organs, releasing “sandwiched”
energy. But laughter is twofold, has a double
meaning, and therefore it is important that it has to
serve the balanced configuration of compatibility.
Laughter helps overcoming the suffering, that is
“a spreading of a body” and serves as its lifeenhancing rebuilding.
Certainly, psychotechniques can’t replace
spiritual practices, because the last allow a
person to be himself fully – and it means not
only to follow implementation of himself, but
also to disconnect borders of his existence.
However psychotechniques have a good
influence on a human body. In certain cases
modern psychotechniques place emphasis on
personal growth, being guided by individualist
idea of a man. However, in our opinion, such
idea of a man is utopian in the world, where a
man is initially a being that lives in interaction
with others.
The Arab parable speaks about the father,
that, being on a mortal bed, brings together
three sons to share between them the wealth
of all his life in the form of seventeen camels.
He bequeaths to the eldest son a half of camels,
to the average son – a third part, and to the
youngest – a ninth part. The father dies, and
sons can’t solve a problem, in what way they
should divide camels as their number is odd
and it doesn’t share in half. They ask scientists
for advice, but those can’t help them. Once
they meet an old wise man and ask him for
help. He says that fi nds it difficult to solve
their problem, but he has one camel and he is
ready to give them it. Thanks to it they have
eighteen camels. The eldest son receives a half,
that is nine camels, the average son receives the
third part, that is six camels, and the youngest
receives the ninth part, that is two camels. But
as a result, when they put together numbers of
camels, they receive seventeen, as well as the
father bequeathed. There was only one camel
of the old wise man on which he went away.
This parable says that the solution is possible
only in the presence of a wise man – another, in
common, instead of alone. This is a topos of the
teacher, the psychologist or the trainer.
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From spirituality to politics
The world of a sociality is reproduced
thanks to social practices. Social practices
are various, it is impossible to select one as a
leader. However each practice has any special
purpose and a special place in society among
others practices. For example, spiritual practice
promotes internal transformation of a human,
without what formation of the personality
is impossible. In spiritual practice there is a
formation of the complete person – in unity of
a body, soul and spirit. All spiritual practices,
including philosophy (according to P. Ado) find
the main reason of suffering in human passions.
All spiritual practices anyway contain technique
of mobilization of energy and its discharge,
intellectual concentration and requirement of
ascesis – rejection of sensual excesses. Spiritual
practices are not just a system of knowledge, but
exactly a practice.
Key point of our concept is that in any social
practice there is a message, which promotes
joining people in the community with certain
notions and values. From this statement it is
clear that the main process of this practice, in
our opinion, is communication. Communication,
according to Deleuze, actually, is a prerequisite of
modern philosophical thought and philosophical
studies, which consists in generating concept.
For the ancient philosophy this prerequisite was a
contemplation and for the philosophy of the New
Age ot is a reflection.
Communication isinteractions of people,
mediated by signs, symbols and texts. This is a
significant and symbolic structures that “holds”
and let pass meaningful content, including
values, between humans in communication. But
the transfer of value can occur not only through
the medium of sign structures, but also through
the physical relationship.
Different cultural traditions have a
representation of a “spiritual body”. In Russian
philosophy the concept of “spiritual body” has
a consistent and meaningful development. A.
Losev wrote: “Apart from the particulars and
trying to identify the main idea of the philosophy
of Solovyov, it is, perhaps, the idea of spiritual
corporeality. From this idea we can withdraw all
other basic ideas of Solovyov, the most outstanding
are the idea of Unity and the Incarnation, the idea
of transformation of a body and a spirit and the
idea of the Church as the Body of Christ”3.
Florensky, explaining the process of
generation of culture, also said about a body
and proposed the concept of organoprojection.
Actually he showed a birth of a “spiritual”
body of culture. The cultural and historical
concept of Florensky, created within orthodox
paradigmatics, implies the negation of culture as
a single in time and space process, with a denial
of evolution and progress of culture. Existence
of separate cultures, according to Florensky, is
subordinated to a rhythm of replacing each other
types of culture— medieval and renaissance. The
first type is characterized as organic, objective,
focused and self-assembly and the second is
characterized as dissociation, subjectivity, an
abstractness and superficiality. Florensky carries
his own outlook to the XIV-XV centuries of
the Russian Middle Ages. He considers that the
second principle of thermodynamics is the basic
law of the world – the law of entropy taken as
the law of Chaos in all areas of a universe. World
confronts Logos – the beginning of ectropion –
the opposite of entropy change in the direction
of ordering, greater organization and complexity.
The culture is a conscious fight against world
equalizing: the culture is generated by isolation,
that is a delay of equalizing process of the
Universe, and increase of a difference of life,
contrary to equality – death.
Culture of the European Renaissance,
according to Florensky finished its existence to
the beginning of the ХХth century. From the first
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years of the new century in European culture
there are shown signs of another type of culture.
The concept of bodyness and compatibility in
philosophy of L. Karsavin reveals the interrelation
of subjects of the world and lets to understand the
equivalence of cultures and epochs.
The West European cultural tradition – in the
broadest sense of the word – knows four systems
of values: Greek, Christian, new temporary
(liberal) and modern which is still being formed
in the conditions of resolute rapprochement of
cultures under the influence of new information
technologies. Generation of social space is
mediated by existence certain practices and
bodily techniques. Specific corporal techniques
always correspond to practices. Role of practices
is production and reproduction of the social world,
role of techniques are special ways of possession
of a body. Each cultural epoch of European
civilization has its own dominated practices and
forms of bodily techniques.
In Antiquity among the soldiers there were
spread such physical techniques as gymnastics,
dietetics and asceticism. Communities of soldiers
cultivated values of solidarity, responsibility and
valor. In medieval Christianity the leader spiritual
practice with bodily techniques of abstention
and prayer and values - belief, hope and love. In
modern times, due to the growth of crafts and
trade, the life of Europeans moved mostly in
the cities. Here goes the formation of industrial
body of society with certain social practices and
techniques. Leading values were also changing –
now they are liberty, equality and fraternity.
Nowadays there is a mixture of various practices
and, therefore, of different techniques, therefore
wecan observe the simultaneous coexistence of
different processes: a reproduction of values of
previous eras and a partial rejection of them.
In today’s society political and communicative
pragmatics comes to the forefront. Social spacetime behaves as a mobile field of interactions
of many social agents,belonging to different
practices and techniques. Between these agents
there is process of political struggle and the
game on the “social scene”. The behavior of such
system is absolutely non-linear, and therefore
unpredictable. In this competitive game political
interests have more weight than the ethics of
communication.
Competition also enters into the sphere
of human relations. This practice of building
ofinteraction has its own specific techniques,
often built on deceit and some tricks. For example,
the technique of shifting. This technique is used
in business negotiations, in sales, and it is based
on the principle of contrast and replacement
of one supply by another. Firstly they offer the
client bad terms of a transaction, undesirable and
unprofitable, and then – they formulate a proposal
that the sellers actually were preparing to make.
The second proposal in comparison with the first
looks much more attractive, and the client agrees,
not paying attention to the fact that its price is
also too high. This trick uses human psychology:
everything is learned in comparison!
Another technique negotiations is crunch.
This technique is used in the course of trading. It
is built on the psychological pressure on a seller
to make him lower the price even without the
counter-offer. A buyer make a seller understand
that a price and terms of the transaction does not
suit him, but a buyer himself doesn’t make an
offer about a price or terms of transaction. He is
waiting for concessions, encouraging a seller. For
this purpose a buyer uses a minimum two types
of devices: leads an argument in favor of the
opinion, that the price is too high, or he is trying to
confuse the seller by his emotional reaction to the
price or terms of transaction, cause uncertainty
and ultimately make knuckle under.
“The negotiation wave” is another example
of hard, “on the edge”, techniques of discussion.
Its purpose is to bring the client to a state of
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psychological stress, in which he loses control
and agrees with unprofitable terms. This action is
based on a sharp change of regime of negotiations
from approval to disapproval of actions and
proposals by client. All these techniques are
methods of struggle, that based on inherently
dishonest, concealing real motives of actions and
methods.
Because of a lack of ethics and moral
in society, schools began to make lessons on
secular ethics. But in the age of pragmatism the
presented ethical systems turned out to be built
only on the principles of rational-practical choice.
Philosophical bases of this ethic can be found, for
example, in the works of Aristotle. In the opinion
of Aristotle, virtue is in the middle between
two evils: excess and deficiency. Generosity,
according to its concept, is a medium, a balance
between squander and avarice. On secular ethics
lessons children are invited to become selfish
and reasonable, rationally choosing the ”golden
mean”. To some extent, the presence of common
sense is really useful. But it is unclear why they
forget that our culture (as well as European)
was formed in the area of Christian civilization
and has always been based on its values and
laws. In fact, they take into account only three
ethical pragmatics: the traditional, scientificrational and politically-business. The Christian
ethics component is ignored. As a result there is
a dissipation of values of belief, hope and love.
Arguments of hard rationality prevail over the
reasons of a heart. There is an impression that
there is generated a type of completely heartless
business people, as if the success of acting
depends only on rationality and pragmatism.
Nowadays, in practice of difficult social
communication, as some scientists believe, the
new idealized triad of synthesizing values starts
being formed, namely: Understanding, Trust
and the Piece, addressed to Another. Crisis of
civilization and the paradox of value relationships
require a radical rethinking of both individual and
ancestral systems for the future. At the individual
level on of such systems now is the “sense”, that
requires an understanding of any otherness, on
the ancestral it is “Universality” which is able to
become a basis of universal standards of people’s
behavior, excluding distinction between “us” and
“them”, “allies” and “enemies.”
The idea of a social body of a man have started
being split. Particulary, according to Baudrillard,
modernity has to deal with four concepts of a
body. The basic notion of the body in medicine
is the “corpse” – it is limit representation of a
human body in the medical community. For
religion the basic concept of a body is an “animal”
with his instincts and “flesh” desires. In classical
political economy an ideal representation of a
body, according to Baudrillard, is a “robot”. It is a
perfect model of functional “release” of a body as
labor, a projection of a man of absolutely sexless
and rational productivity. In a system of political
economy of a sign, in Public Relations a basic
concept of a body is “dummy”. In the concept of
dummy there is a reflection of conception of man
that is no longer only a labor, but a “sign” value of
model of consumption. Dummy is not a subject,
for example, of sexual desires, but a symbol of
sexuality as a consumer quality of a man, a model
and a way of consumption. A corpse, an animal,
a car and a dummy – these are the negative ideal
types of a body, which are developed and depicted
in systems replacing each other.
However, not in everything it is possible to
agree with the offered typology of the concept of
“social body” of a man. Probably, physicians need
rather a concept of “ill”, not “dead” body. ”An ill
body’, that requires improvement. The idea of
the body as an “animal” is not produced by the
Church. These ideas can be rather attributed to
youth, which has often youth groups, that are living
according the laws of “ pack”, with such values
as hierarchy, violence, expansion, protection of a
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territory. Social relations in such groups are based
on principles of personal dependence instead of
universal standards of behavior. The church, on
the contrary, returns people to inherent values of
belief, hope and love.
In conditions of involvement of different
cultures into communication there is a
question, if this interaction should be based on
situational values and rules, reflecting political
struggle and opposition, and how traditional
cultural, concretely Christian values have to
fit into this interaction? Can we explain, for
example, young people, that the value of money
is transient and generally fatal? After all, the
money has historically emerged as a useful tool
of exchange and, therefore, also have some cost
and value.
Nowadays money actually became the only
form of expression of intensity of desire. In money
the youth sees firstly a mean of achievement.
But desires by the nature are infinite. The desire
generates bigger desire which finally enslaves
people, depriving them of freedom. And it, in
our opinion, can be explained, by showing a
distinction between imaginary and real values.
Thus it is necessary to distinguish pleasure
and satisfaction. The pleasure is connected
with realization of physiological functions of
an organism, and satisfaction is a category
relating to the plan of mental human life. The
satisfaction arises when a man realizes that
have made something significant, that he can be
proud, made it for others, that is he made a gift.
As they speak in the East, the sense of human
happiness is to find the way and to go on it. When
a man is passionate about some thing, he forgest
about everything else. In this sense wisdom says:
live here and now, but remember the purpose, a
lodestar, and live in love. In the East they say: a
day spent without a smile and love was in vain.
This feeling should be present in a heart and actts
of a man.
Indeed, human life takes place in time,
between the past and the future (life and death).
This “between” translates itself through the
present and real. To be really in the present
means to stay in such existential measurements,
as, for example, love, game, work, power, belief
and death. In these measurements a man person
is taken to his limits and fractures, faiths and
distrust, suffering and joy, in pain and pleasure,
really living here and now. The meaning of life is
achievable when we really are living in the present.
Spiritual practices lead us to a comprehended life.
They are based on belief and practice of creation
oneself.
In the social sciences, from the nineteenth
century, it is accepted to distinguish community
and society. The notion of community is
connected with idea of natural, traditional
communication between people. Society
characterizes relatedness of people on interests.
Nowadays we can observe, that traditional ties
are more and more replaced by public interests.
Processes of individualization, pluralization
and globalization in general have questioned
the reproduction of traditional communities
and their values. Today is possible to speak
about groups of “accomplices”, the unity of
that is based on short-term bonds and values,
produced by the group itself. Member of groups
of “associates” can choose which model of
relationships and what values they will follow:
traditional or group. This situation of the
duality problematizes human existence, forcing
him to make afforts to built relationships with
Another. Social groups differ on character of the
purposes: there are destructive groups and there
are creative, directed on positive result. Many
Internet communities are an example of groups
of the second type. And network community
initially is based as not having hierarchy
and the managing center, and therefore each
of its members has an equal voice. Internet
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communities have already proved that they are
capable to purposeful actions, and, in difference
from a crowd, can represent real social force, that
1
2
3
is capable to resist to “center” and the power of
goverment. Recent events on Bolotnaya Square
showed it eloquently.
Swami Sivananda. Home yoga. Facilitated course of physical training for modern men and women. Kiev, 2003. P.62
Horuzhy S. To Phenomenology of austerity. Moscow: Publishing humanities, 1998. P.350.
Losev Russian Philosophy / / Losev. passion for dialectics. Literary Reflections of a philosopher. Moscow: Soviet Writer,
1990. P.91.
Современность: трансформация системы ценностей
и ее антропологические аспекты
С.А. Азаренко
Уральский федеральный университет им. Б.Н. Ельцина,
Россия 620083, Екатеринбург, пр. Ленина, 51
В статье исследуется современная система ценностей. Современность принято
выражать через метафору информационной эпохи, подчеркивая главенствующее
положение в социуме информации и коммуникативных потоков. Человек вообще существо
совместное и потому изначально принадлежит коммуникации. Совместность как
измерение онтологии коммуникации есть место формирования совместной практики
людей, объединяемых повторяемыми и регулярными телесными взаимодействиями, при
которых создается со-общение, способствующее при-общению людей к со-обществу с
определенными представлениями и ценностями. Но существование современного человека
проблематизируется во многом именно из-за его погруженности в информационные потоки,
которые интенсифицируются электронными технологиями. Люди уже не могут обходиться
без телекоммуникаций, мобильной связи и т.п. вещей, вследствие чего человек оказывается
включенным во множество сменяющих друг друга потоков информации, несущих не просто
разнородное, но и, по большей части, противоречивое и конфликтное по смыслу содержание.
Погруженность в перенасыщенное противоречиями информационное поле порождает
такие феномены и проблемы, как «клиповое мышление» в ущерб целостному смысловому
мышлению; доминирование игровых, а не действительных (деятельностных) форм отношений.
Изменяются отношения между мужчиной и женщиной, приобретая формы, которые ставят
под угрозу существование семьи. И, наконец, в таком зыбком информационном пространстве
симуляции и виртуальности становится вообще затруднительно говорить о подлинности или
неподлинности границ нашего бытия.
Ключевые термины: коммуникация, система ценностей, социальные практики и техники,
телесные взаимодействия, совместность.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1879-1886
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УДК 316.354:351/354
Staff Management as Social Interaction:
Analysis and Modeling
Olga V. Arlashkina*
Khakas State University named after N.F. Katanov,
90 Lenin, Abakan, 655017 Russia
Received 27.07.2013, received in revised form 05.08.2013, accepted 06.11.2013
The article details the author’s approach to social research of staff management in organizations from
the perspective of social interaction. A brief overview of sociological conceptions allows defining
the nature of social interaction, its types and characteristics. The author provides a sociological
interpretation of staff management, presents and substantiates a methodological approach to the
analysis of staff management as a system of social interaction and enumerates its specific characteristics,
identified empirically. Basing on this study, the author has developed an organizational model of staff
management, the scheme and description of which are given in the article. This model is based on the
identified characteristics and possibilities of social interaction, as well as traditional approaches to
structuring organizational subsystems and can be used to form a socially efficient and sustainable
system of staff management.
Keywords: social interaction, staff management, the system, the subjects of interaction, the
organizational model.
Introduction
The process of managing employees (or staff
management) in organizations today is a popular
subject of research, but most of these studies
are in the spheres of economics and psychology.
In our opinion, this is due to the fact that
companies, ordering such research, pursue very
specific objectives of reducing economic costs
and increasing profits, or are aimed at searching
for specific personal qualities of employees.
Sociological studies in the sphere of staff
management in Russia are mainly conducted on
a national or regional scale (but not in a separate
organization) or have a specific aim, for example,
study motivation or are focused on evaluating a
*
certain aspect. Staff management is most often
considered as one of the organizational activities,
but not as interaction of organizational subjects
(Vesnin, 1998, Ulrich, Brockbank, 2005, Krymov,
2009).
However, organizations are increasingly
having management problems related, to lack
of understanding of laws of social interaction,
absence of coordination of actions of their main
participants, misuse of means of communication,
etc. According to the author, the consideration of
staff management from the perspective of social
interaction is necessary due to development
of horizontal and network management, the
desire of employees to take an active part in
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: o_arlashkina@mail.ru
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organizational processes, the need for effective
feedback.
Conceptual basis for the research
The category of interaction is one of the
basic methodological principles of research of
natural and social phenomena. This is a general
scientific concept which, however, characterizes
the essence of social relations better than other
fundamental concepts.
One of the most prominent conceptions of
social interaction is the theory of P. Sorokin,
according to which the structure of social
interaction includes such elements as: subjects
of interaction, mutual expectations, purposeful
activity, means of interaction. (Sorokin, 1993).
T. Parsons has created two models of social
action (interaction): voluntarist model of a single
action and a conception of cybernetic systems
of action, which includes four major interrelated types: social system, culture, personality
and organism (the scheme of AGIL) (Parsons,
Smelser, 2012).
Social interaction as such is seen through
the emergence of social reality in line with two
sociological paradigms: the paradigm of social
defi nitions and the paradigm of social behavior.
The fi rst includes symbolic interactionism,
phenomenology and ethnomethodology, the
second -- behaviorism and exchange theory.
These theories predominantly focused on
everyday social interaction as a primary
element that shapes society, determines social
roles of individuals and their impression from
interaction, is realized in spiritual unity,
symbols, meaningful patterns of behavior of
people, in exchange of benefits and rewards
between them (Adams et al ., 2001).
Social interaction in terms of the integrative
approach is the center, combining individual
social activities and social structures, as described
in the conceptions of E.Giddens, J. Habermas,
H. Luhmann, P. Bourdieu and J. Turner (Giddens,
1986, Habermas, 1991, Luhmann, 1995, Bourdieu,
1990, Turner, 1988).
According to the principle of duality by
E. Giddens, the basis of unity of actions of an
individual and the structure is social practice.
In the course of social practice social integration
(interpersonal and intergroup interaction) and
system integration (interaction between social
systems in the extended space-time frame)
generating social contradiction and social
conflict, that cause social change, are formed.
(Giddens, 1986).
The essence of interaction from the point
of view of the integrative approach can also be
defined in terms of the possibility of establishing
non-vertical modes of social being, refocusing
to the subject-subject structure, modeled by
interpersonal communication (J. Habermas).
“Strategic behavior” aimed at achieving goals
within an asymmetric subject-object procedure
and pragmatic use of the Other as an object
(means) should be replaced by “communicative
behavior” (subject-subject), which implies
acceptance of the Other as a self-sufficient values
(Habermas, 1991 ).
Social interaction (communication) and
its meaning, by N. Luhmann, is the basis for
“autopoiesis”, meaning self-reference and selfreproduction of social systems, such as: functional
(the media, politics, science, etc.), the system of
face-to- face interactions, and also organizational
systems. Each functional system tends to include
communications that are specific only for it, but
at the same time, to exclude communication
of a different kind. Communication as such is
the trinity of information, communication and
understanding (awareness of difference between
information and communication) (Luhmann,
1995).
Social interaction in the field theory by
P. Bourdieu is defined through the notion of social
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space as a systematic intersection of connections
uniting subject with similar characteristics. In
social space, people interact and group according
to similarity of their positions and “habitus”
that “is at the same time a system of models:
of behavior reproduction and the system of
models of perception and evaluation of behavior”
(Bourdieu, 1990).
Social interaction can also be considered
at the micro- and macro-levels by analytic
theorizing (J. Turner). At the micro-level, the
form, direction and intensity of interaction
depends on importance of the four types of
motivation, based on the need for security, selfassertion, “factuality” (general agreement,
order) and need for resources. The degree of
mutual accommodation and cooperation between
individuals in interaction directly depends on
the amount of common knowledge and its use
in signaling and interpretation. Interactions
and structure are systemically interrelated.
Reproduction of the structure during interaction
depends on the extent to which individuals are
able to “regionalize” (to order spatial location
and mobility), “routinize” (form regular
interaction procedures), “standardize” (set norms
of interaction), “ritualize” ( create patterns of
behavior), and “categorize” (mutually typify each
other and their relationships) their joint actions.
At the macro-level social interactions cease to be
interaction of individuals and manifest themselves
in processes of increment (increase in resources),
differentiation (formation of sub-groups, subcultures and hierarchies under the influence
of competition, exchange and mobilization of
power) and integration (coordination, unification
and symbolic confrontation between social units)
(Turner, 1988).
In general, the integrative approach allows
analyzing the space of society at all levels, to
take into account their interaction and mutual
influence.
Therefore, approaching any phenomenon
of social life as social interaction allows the
researcher to conduct its detailed analysis and
form the system model, taking into account
interests of participants, their activities, social
medium and other communication attributes.
Definition and classification
We believe that social interaction as a
means of uniting social elements (subjects,
individuals) into the integrity of the structure
(organization, society) occurs between these
elements in the process of exchange of social
actions (functions), for which different means
are used (speech, gestures, signs, etc.), and leads
to socially significant results. Social interaction
is cyclical and reproducible. The whole cycle of
social interaction depends on the environment,
in which it occurs. Thus, social interaction exists
and can only be represented in totality of elements
connected by system relations. This totality can
be described as follows: interacting entities carry
out social activities in a particular environment
by available means, which leads to socially
meaningful results. Each element of interaction
has properties and qualities that distinguish one
kind of social interaction from another, which
determines the basis for different classifications,
for example:
• by the types of subjects: interpersonal,
between an individual and the group,
inter-group,
international
social
interactions;
• by the presence of people-mediators:
direct and indirect;
• by the specifics of action: information
(exchange of knowledge messages),
material and symbolic (the exchange
of money, gifts, documents), physical
(exchange of movements);
• by type of means: spoken, gestural,
written, electronic, etc.;
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• by characteristics of the medium: political,
economic, professional, organizational,
family, etc.;
• by length in social time: temporary
(episodic) and permanent (long-term);
• by direction in social hierarchy: horizontal
and vertical.
In general, the number, composition and
characteristics of subjects of interaction, types
of performed activities, selected means of
interaction, social results and description of the
environment in which social interaction takes
place, all of this, in our view, determine the
structure of social interaction and can be used to
analyze and describe it.
The distinctive feature of staff management
as a system of social interaction, according to the
author, is that the whole set of described elements
is in the focus of study. This theoretical and
methodological premise allows characterizing
personnel management as a category of sociology
of management.
In this capacity, it has its basic categorical
features, which present staff management as:
• a type of management activities aimed
at developing socially significant
properties of employees and workforce
as a whole;
• a generic term in relation to other
definitions,
such
as
“personnel
management”,
“human
resource
management”, etc.;
• a basis for formation of functional
roles, social and economic statuses of
organizational subjects, and their personal
and work potential;
• a system of social interaction with general
and special (unique to this system)
characteristics.
Staff management as a system of social
interaction is characterized by the following
features:
# 1882 #
• staff management is an open system, since
the medium of interaction affects the
entire cycle and its elements;
• elements of staff management are separate
subsystems and are connected to one
another by cause-and-effect relations,
the connection of elements of staff
management is fixed in rituals;
• each of the elements of staff management
has its own important characteristics,
for example, subjects of interaction are
characterized by status; the environment
(medium) –by organizational culture, the
means are determined by discourse, the
results of interaction are indicators of
social well-being.
• staff management is intersubjective and
purpose-rational, each of its subjects is
endowed with individual will and pursues
important goals ;
• staff management as a system of social
interaction has different functions: it
creates and changes organizational
structures,
facilitates
socialization
of employees, it is the mechanism of
transmission of cultural experience, it
creates social climate, etc.
• the system of staff management cannot
exist without feedback, through which
the results and the degree of achievement
of goals of interaction are assessed;
• staff management as a system of social
interaction is variable and develops
according to various scenarios, as its
subjects can choose alternative courses of
action;
• staff management has the property of
integrity and displays its properties only
in interconnection of all elements of
interaction;
• it is a self-regulatory system, as the
subjects act on the basis of stable patterns
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Olga V. Arlashkina. Staff Management as Social Interaction: Analysis and Modeling
of behavior , reflecting during the process
of interaction.
In this context, we define staff management
as the system of directed social interaction
of organizational subjects, performing their
respective roles and functions, corresponding
to their status, performance of which leads
to achievement of results significant for this
system.
Methodology and methods of analysis
For the analysis of staff management
as a system of social interaction the author
formed a methodological approach, based on
the propositions of structural-functional and
discourse analysis, the integrative approach, as
well as the conception of social interaction by
P. Sorokin (Fig. 1).
The main elements of the analysis, as
indicated in the figure, are the actors of
staff management (such as top management
of an organization, middle-and lowerlevel managers, HR specialists, as well as
non-management workers), their activities
(functions), means of communication, social
Actors
Social and
Demographic
Characters
Organizational
Status
results of interaction, but also a certain social
environment (internal-organizational and
external). Each element is endowed with its
own characteristics, which are researched by
various sociological methods.
Basing on the proposed approach, the author
of the article conducted the empirical research,
which included the method of observation,
analysis and content analysis of documents, using
questionnaires, tests, expert surveys (Arlashkina,
2012).
Modeling
The conducted research revealed specific
characteristics of staff management, including:
duality of social relations, manifested in
simultaneous existence of pair interaction
types (e.g., linear and functional); resource
interdependence and role-defined position of
subjects of staff management; underestimated
status of middle / lower-level managers and
HR specialists, high degree of regulation,
standardization and ritualization of interaction;
specific discourse based to use speech patterns,
terms and jargon; importance of feedback,
Activities
Means
Results
Goals and Principles
Communications
Social Welfare
Motives
Discourse
Satisfaction
Roles and Functions
Ritualization
Confidence
Feedback
Staff Management
Problems
Regulations,
Deviations,
Sanctions
Values,
Organizational
Culture
SOCIAL ENVIRONMENT
Fig. 1. The methodological approach to the study of staff management as a system of social interaction
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Olga V. Arlashkina. Staff Management as Social Interaction: Analysis and Modeling
satisfaction and mutual trust for achieving results
of social interaction.
However, our theorizing and empirical
data are insufficient to assess the fruitfulness
of the approach to staff management as social
interaction. The leaders of organizations, in
our opinion, should also get an intelligible
management scheme that would allow taking
into account the specifics of the type of social
interaction, which is staff management, and
would be comparable to conventional approaches
to making such kinds of schemes.
In this connection, we have developed a
model of personnel management for practical
application in organizations, schematically shown
in Fig. 2. This model defines the scope of powers
and responsibilities of actors of interaction and
establishes the content of their activities in
interconnection of goals, functions, principles
and methods of staff management. Activities are
The Scope of Powers
and Responsibilities
of Actors
carried out with the help of social techniques,
practices and procedures. Socially significant
results of staff management complete social
interaction.
The model also considers the impact of
internal factors (business strategy, organizational
culture) and external environment, which makes
the model of personnel management fully
completed. Environmental factors (indicated
in the diagram on the right) have an impact
on the totality of internal elements (inside the
dashed line marking the boundaries of the
organization).
There is a direct connection between
the internal organizational elements of the
model (indicated by a straight line) and a
reverse one (shown in dashed lines). Along
the direct connection the higher (superior)
element of the patterns of social interaction
determines all the positions of a subordinate
Business
Strategy
Organizational
Culture
Environmental
Factors
Philosophy of Staff
Management
Top Managers and
Staff Managers
Line Managers
and Staff
Managers
Goals of Staff
Management
Principles of Staff
Management
Strategies
Policies
Functions of Staff
Management
Functions of Staff
Management
Structure of Staff Management
Organizational Structure
Staff
Managers
Social Techniques, Practices and Procedures
Organizational Regulations, Instructions and Standards
Line Managers and
Non-Managerial
Specialists
Socially Significant Results
of Staff Management
Fig. 2. The model of social interaction in staff management
# 1884 #
Distant (Global)
Environment
(Social Values,
Labor Legislation,
etc.)
Nearest
Environment
(Stakeholders,
Candidates for
Vacancies, Trade
Unions, Mass
Media, Employment
Agencies,
Educational
Organizations, etc.)
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Olga V. Arlashkina. Staff Management as Social Interaction: Analysis and Modeling
element. A reverse connection between the
elements corresponds to systemic nature of
staff management and has the practical goal
of continuous improvement.
Conclusions
The developed model of staff management
does claim to cover all the characteristics of social
interaction , it is only intended to demonstrate
a version of the system organization of social
management functions, the cycle of exchange
of resources at the disposal of organizational
subjects and exchange of activities, forming
effective relations of trust.
It is obvious that emergence of social reality
will never allow full covering of the studied
form of social interaction—staff management.
However, we hope that our proposed analytical
approach and social modeling based on it will
not only improve efficiency and manageability
of organizations, but also draw attention to the
possibility of creating comfortable organizational
communication, where efficiency, rationality, and
innovation will arise organically and naturally.
References
1. Vesnin V.R. Practicheskiy menedgment personala: Posobie po kadrovoy rabote. [Practical
personnel management: A Handbook for personnel work,] M.:Yurist, 1998, 496 p.
2. Ulrich D., Brockbank W. The HR Value Proposition, Harvard Business School Press, Boston,
Massachusetts, 2005, 316 p.
3. Krymov A.A. Vy – upravlyayuschiy personalom. [You are a HR manager.] M.: Vershina,
2009, 320 p.
4. Adams B.N., Sydie R.A. Sociological Theory, Pine Forge Press, Thousand Oaks, 2001,
612 p.
5. Arlashkina O.V. Upravleniye kadrami kak sistema socialnogo vzaimodeystviya: struktura,
harakterisrika, regulirovaniye [Staff management as a system of social interaction: structure,
characteristics, regulation], LAP Lambert Academic Publishing, 2012, 220 p.
6. Bourdieu P. The Logic of Practice, Stanford University Press, Stanford, 1990, 333 p.
7. Communicative Action: Essays on Jürgen Habermas’s Theory of Communicative Action,
Edited by Honneth A., Joas H., MIT Press, Cambridge, 1991, 301 p.
8. Giddens A. The Constitution of Society: Outline of the Theory of Structuration, University of
California Press, Berkley, 1986, 402 p.
9. Luhmann N. Social Systems, Stanford University Press, Stanford, 1995, 627 p.
10. Parsons T., Smelser N. Economy and Society: A Study in the Integration of Economic and
Social Theory, Taylor & Francis e-Library, 2005 (1956). 327 p.
11. Sorokin P. Sistema sociologii. V 2 t. T. I. Socialnaya analitika: Uchenie o stroenii prosteyshego
(rodovogo) socialnogo yavleniya [System of sociology (vol. 1.) Social analysis: theory of construction
of a primitive (generic) social phenomenon], Moscow, 1993, 447 p.
12. Turner J.H. A Theory of Social Interaction, Stanford University Press, Stanford, 1988,
225 p.
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Olga V. Arlashkina. Staff Management as Social Interaction: Analysis and Modeling
Управление кадрами
как социальное взаимодействие:
анализ и моделирование
О.В. Арлашкина
Хакасский государственный университет
им. Н.Ф. Катанова
Россия 655017, Абакан, пр. Ленина, 90
В статье подробно излагается авторский подход к социальному исследованию управления
кадрами в организациях с позиции социального взаимодействия. Краткий обзор социологических
концепций позволяет определить сущность социального взаимодействия, его виды и
свойства. Автор дает социологическую интерпретацию управления кадрами, представляет
и обосновывает методологический подход к анализу управления кадрами как системы
социального взаимодействия и перечисляет его специфические характеристики, выявленные
эмпирическим путем. На основании проведенного исследования автором разработана
организационная модель управления кадрами, схема и описание которой приведены в статье.
Данная модель выстроена с учетом выявленных характеристик и возможностей социального
взаимодействия, а также традиционных подходов к структурированию организационных
подсистем и может быть использована для формирования социально эффективной и
устойчивой системы управления кадрами.
Ключевые слова: социальное взаимодействие, управление кадрами, система, субъекты
взаимодействия, организационная модель.
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Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1887-1895
~~~
УДК 005.342(571.51)
Main Strategic Directions
of Innovative Development
of the Krasnoyarsk Territory
(Territorial and Sectoral Aspect)
Roman G. Shorokhov* and Irina S. Ferova
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia
Received 16.09.2013, received in revised form 22.10.2013, accepted 19.11.2013
The article gives assessment of the level of the innovation and development potential of the Krasnoyarsk
Territory. The possible reasons of the region’s lagging behind the innovative leaders are considered.
SWOT analysis of the strengths and weaknesses of the innovation development was performed with
determination of the main possible directions of the future sustainable development. Establishment
of an innovation and technology cluster, which can be based at the territory of the closed city of
Zheleznogorsk, is considered as a tool to achieve sustainable development.
Keywords: innovative profile, sustainable development, territory, region.
The innovative profile of the Krasnoyarsk
Territory formed to the present moment has
serious shortcomings. Let us try to identify the
main reasons of the region’s lagging behind
the acknowledged conventional technological
(neighbouring Novosibirsk and Tomsk regions)
and innovative (Moscow and St. Petersburg)
leaders with general positive tendencies towards
growth by the key indicators.
The main peculiarity of the human resources
potential of the Krasnoyarsk Territory is a
relatively low economic activity of the population
compared with the innovative regions, which
slows down the formation of a proper framework
for stimulation and growth of innovations in the
region. The current structure of employment is
characterized by a low proportion of workers
*
with higher education understanding innovations,
low numbers of human resources involved in
science, applied research and development that
characterizes the traditional priority of mediumand low-tech industries, which do not require
special skills. Working population of the region
has the lack of availability of advanced technology.
The percent of expenditures on information and
communication technologies is very low, and the
availability of modern computer hardware, special
software, including global networks, has a tendency
to decrease. Moreover, in this area, a long-term
negative trend is observed, which is associated
with a reduced number of students getting higher
education, who would be able to form the human
resources basis for the innovative development of
the region in the future (Gorn, 2012).
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: rshorohov@sfu-kras.ru
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Similarly, the structure of the technological
potential of the region indicates the commitment
and historical specialization in the sectors with
the low added value: a satisfactory technological
structure of the fixed assets is observed only in
the traditional mining and processing industries,
construction. Nevertheless, high suitability is
ensured not by the rate of renewal of fixed assets,
but rather by the prevailing proportion of objects
with long life and low level of depreciation
(Strategiya sotsial’no-ekonomicheskogo.., 2010).
In general, the technological structure of
the region’s industries is characterized by a low
level of renewal of fixed assets and capital/labour
ratio than for the innovative regions. Moreover,
the region also has a technologically “failing”
industries, which, however, form the basis of its
infrastructure. Thus, the transport sector has the
lowest ratio of return on assets for the compared
regions and the highest proportion of fully
depreciated facilities. The positive moment about
the technological potential of the Krasnoyarsk
Territory is high, (relative to the average value for
Russia and compared regions) capital productivity
in key sectors of the region, which, however, has
no significant effect on the overall unsatisfactory
technological intensiveness.
The structure of the scientific potential of
the Territory is featured by low prevalence of
applied research and technology developments,
as evidenced by low values of the indicators
of employment in research and development,
staffing with research personnel and innovative
activities of organizations.
High personal output of the low-numbered
research personnel concentrated in research
institutes and universities is not properly
demanded in practice and does not give a
significant economic breakthrough: the region
as a whole has low efficiency of research and
development activities (hereinafter R&D),
expressed in the absolute value of the research
and developments being used, patents obtained,
and advanced technologies being introduced.
Moreover, the region has a low, even relative to the
national average, share of expenditures on R&D
in the GRP and the share of implementation of
innovative products and services in the structure
of the shipped products. This is due to a relatively
low investment activity (investments share in the
gross regional product (hereinafter GRP) is lower
than in the innovative regions) and a relatively low
proportion of expenditures on the industrial hightech investments in the structure of investments
spending (Mindeli, 2010).
The carried-out analysis of the components
of the innovative profile made it possible to
identify the main strengths and weaknesses of the
innovation potential of the Krasnoyarsk Territory
(Table 1).
Table 1. Strengths and Weaknesses of the Innovation Potential of the Krasnoyarsk Territory
Strengths
Weaknesses
1
2
1. Human Resources Potential
• Stable growth of the population employment.
• High level of employment of economically active
population.
• Medium level of economic activity of the
population and its slowing-down growth.
• Unsatisfactory structure of employment by the
level of education.
• Fall of the amount of the young people getting
higher education in the population of the region.
• Negative migration flows.
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Continuation table 1
2. Technological potential
• Satisfactory rate of fixed assets life, their low level • Average rates of renewal of FCA in the whole
of wear and tear due to the predominance of industries industry.
operating on fixed assets with the long-term use (due • Availability of FCA is provided not by renewal
and modernization, but due to their technological
to the low level of depreciation).
• Trend of sustained growth of rates of the fixed
structure (high percentage of fixed assets with the
capital assets renewal (hereinafter – FCA).
long-term use).
• Technological structure of FCA in processing
• High extent of wear and the percentage of fully
industries (metallurgy) is due to a significant
depreciated operating facilities in the transport
and communications sectors, with low rates of
proportion of facilities with long-term use that
provides satisfactory performance indicators, the
replacement.
return on assets is above the average for Russia.
• Low indicators of the capital/labour ratio.
• Rates of FCA renewal in construction, processing • Low operating efficiency (outputs) of FCA in the
and mining industries is above the average for Russia. transport and communications sectors, in production
and distribution of electricity, gas and water.
• Overall return on assets of FCA in the region
exceeds the average return on assets in Russia and the
neighbouring regions of the Siberian Federal District.
• Higher rates of growth in return on assets over the
rates of increase of capital/labour ratio.
3. Research potential
• Sustained growth of innovative activity of
organizations in comparison with the average for
Russia.
• Satisfactory level of applied innovations.
• Performance of research staff and the quality of
the research (in terms of scientific research results for
1,000 researchers).
• Quite steady growth rates of the innovations
output (rapid growth of production of innovative
products and services over the release of products in
the region).
• Reduction of the proportion of research personnel
(including those with graduate degrees) in the
structure of the employed population.
• Reduction of the proportion of the number of
enterprises that carry out research and development in
their overall number.
• Changes in the structure of distribution of trained
research personnel (increase of the proportion of
scientists not performing research).
• Low prevalence (scales) of research and reduction
of productivity of the basic science.
• Low indicators of the amount of innovative
products and services in the scale of regional products
and in the structure of innovation production of the
state.
• Extremely low proportion of expenditures on
R&D in the GRP, the tendency towards its decrease.
• Poor structure of expenditures on R&D: the
tendency to “eating up” the funds, the low proportion
of expenditures on equipment as the strategic basis of
innovation.
4. Investments potential and information and communication technologies
• The level of using special software for general
purposes and software intended for scientific research
is higher than the average for Russia.
• Relatively high (compared to other regions)
proportion of expenditures on information and
communication technologies (hereinafter ICTs) in
GRP.
• Increase of the index of investments actual
volume
• Small proportion of expenditures on investments
in the GRP.
• Low investments indicator per capita.
• Lack of the population access to global networks.
• Low percentage of personal computers for
employees of organizations.
• Low level of expenditures on purchase of
computers, software, staff training in the structure of
expenditures on ICTs
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Fig. 1. Place of the Krasnoyarsk Territory in the national innovation performance
Abilities to integrate the innovation potential
of the region in the implementation of the strategic
vectors of modernization of the Russian economy
are presented in Table 2.
Thus, we can identify a number of trends
in innovative development of the Krasnoyarsk
Territory.
• Development of the innovation
infrastructure, including formation of venture
capital funds and other financial institutions
to invest in innovative projects. This is the
main priority, while its solution is of particular
importance for the achievement of key strategic
objectives for the following reasons:
1) Bridging the gap in the innovation
processes, imbalances of supply and demand at
the regional level and the possibility of expanding
cooperation (integration) of the participants of
the innovation system are determined by the level
of development and efficiency of the innovation
infrastructure;
2) The solution of this problem is to a greater
extent within the sphere of authority of the
regional government and administration;
3) The rate of development of small
and medium entrepreneurship in innovation
depends on the development of the innovation
infrastructure;
• Development of creative thinking of the
population , namely, development of rational
thinking and creation of quality circles at
enterprises; revival of the system of children’s
and youth scientific and technical creativity,
organization of contests, competitions, contests,
etc.;
• Formation and development of innovative
high-tech clusters and creation of leading sectors
of the regional economy on their basis. The
formation of new high-tech sectors of economy
should be considered together with the trend
of economic globalization and the inevitable
integration of the regional economy into the
international division of labour. Experience of
the neighbouring regions’ development shows
that small innovative companies are capable
of achieving high growth rates in the shortest
possible time to get the niches in the global
markets of high-tech products;
• Strengthening innovation of traditional
industries. Non-ferrous metallurgy can be
considered as a “locomotive” capable of
revitalizing the regional economy in a short period
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Table 2. Main Trends of Innovative Development of the Krasnoyarsk Territory
Strategic development trends
Obtaining leading positions
in the effective production,
transportation and use of
energy
Organizations, events and projects
– In order to ensure energy security of Russia, it is planned to build
new power generating facilities of federal importance in the Krasnoyarsk
Territory:
o completion of construction of the Bogychany hydropower station within
the framework of the project “Integrated Development of the Lower Angara
Area”;
o projects of constructing a hydropower stations cascade on the Angara
river;
o new power capacities of coal-fired thermal power plants in the KATEK
area.
– Large-scale projects of federal importance on hydrocarbons development
in the northern areas of the Krasnoyarsk Territory; establishment of
Vankorneft OJSC in 2009 to develop oil fields in the Vankor group of
fields; investment projects of Gazprom on development of YurubchenoTokhomskoye, Sobinsko- Teterinskoye and other fields.
– Development of engineering and transport infrastructure in the
framework of the project “Integrated Development of the Lower Angara
Area”, Taimyr and Evenkia.
– Establishment of industrial park for the development and implementation
of energy-saving technologies ( Krasnoyarsk Machine-Building Plant,
Siberian Federal University, Siberian Aerospace University).
– Formation of a regional technology platform “Energy, energy efficiency
and energy saving” (Siberian Federal University).
Development of new nuclear
– Production centers in Zheleznogorsk and Zelenogorsk.
technologies
– Improvement of technologies of storage and extraction of valuable
components from spent nuclear fuel.
Development of information
– Implementation of joint projects of the Institute of Computational
technologies on the basis of
Modeling, Institute of Biophysics of SB RAS and Siberian Federal University
using super computers, global in the field of geographic information technologies on the basis of SibFU
open-access information
supercomputer.
networks in particular.
– Formation of a regional technology platform, “Information and
Telecommunications, and Space Technology for Innovative Development of
Siberia” (Siberian Aerospace University).
Development of ground
– Manufacture of communication satellites of Information Satellite
and space infrastructure
Systems named after Academician M.F. Reshetnev, OJSC.
to transmit any kinds of
– Development and implementation of GLONASS system modules (JSC
information
“Academician M.F.Reshetnev “Information Satellite Systems”, Siberian
Federal University, Siberian Aerospace University, Radio Engineering Plant,
OJSC).
– Formation of a regional technology platform, “Information and
Telecommunications, and Space Technology for Innovative Development of
Siberia” (Siberian Aerospace University).
Development and manufacture – Production of new drugs within the framework of Kraspharma OJSC
of special types of medical
modernization.
equipment, besides up-to- date – Research performed by the Institute of Biophysics SB RAS, Siberian
means of diagnostics and
Federal University, Krasnoyarsk State Medical University named after
medical products
Voyno-Yasenetsky.
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of time with a synergistic effect of development
of new processes, new materials, composites and
consumer goods.
Thus, determination of the strategic
objective of the region’s innovative
development can be defined as achievement of
long-term international competitiveness of the
region through development and dissemination
of technical, technological and social innovations
aimed at improving the level and quality of life.
It is possible to achieve this objective through
establishment of an effective regional innovation
system, which is defined by the presence of the
following components:
the ability to generate knowledge and
technologies, including the sale of the scientific,
educational and innovation potential;
developed channels and institutions
of technology transfer and commercialization
integrating the activities of various participants
of innovation processes;
high innovative activity of enterprises
and organizations in the region;
system support of innovative activities
by regional and federal authorities.
Strategic directions of the formation of
the effective regional innovation system should
include interrelated target settings for all of its
subsystems:
1. The system of scientific and technical
education: development of human potential
through continuous educational process that
combines both the needs of the individual
development and the demands of the labour
market to the presence of professional skills.
2. The system of knowledge generation:
improving the competitiveness of the research
and education complex of Siberia and the region,
creating the conditions for its reproduction on
the basis of integration of research and education
activities, use of achievements in fundamental
research of the research centers of SB RAS and
SB RAMS to provide a high level of education in
the universities of the region corresponding to the
world-class science and technology.
3. The system of technology generation:
support of the sectors of the new economy, in
which the potential of knowledge is transformed
into commercial products with the high added
value, development of small and medium-sized
businesses in the innovation sector.
4. System of technological upgrading
of enterprises: the formation of regional
programmes on creation and development of
high-performance, environmentally friendly and
resource-saving technologies at the enterprises of
the region.
5. Innovative infrastructure: development
of favourable conditions to carry out research
and development, technology transfer and
commercialization of innovations by increasing
the number and diversity of the infrastructure
facilities, developing the network of interactions
between the participants and expanding
international
cooperation
of
innovative
companies.
Today the Krasnoyarsk Territory as
a whole has a formalized and structured
innovative environment. The regional innovation
infrastructure, including the centers of equipment
joint use and resource centers at universities, a
network of innovation and technology centers at
industrial enterprises and academic institutions,
the regional business incubator, the regional fund
of scientific and technological activities support,
is developing rapidly (Shendrik). The cluster of
nuclear and space technologies at Zheleznogorsk
is being actively developed; it received the support
of the federal government. To coordinate all those
involved in innovation in the region, the Ministry
of Investments and Innovations was established
in the Krasnoyarsk Territory.
Everything mentioned above, provides the
region with real prerequisites for development
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of the innovation and technological enclave/
cluster, in which two starting points may be
outlined:
- development of a high-tech subcluster,
including
military,
space
engineering,
communications and nuclear energy sectors
(the centers are the cities of Zheleznogorsk and
Zelenogorsk, Krasnoyarsk);
- formation of a subcluster of innovative
services based on ICTs. This subcluster is
related to services supply as it should cover all
areas of the regional economy. It should include
a system of scientific and technical education, a
system of knowledge generation and a system of
modernization. An important role is played here
by development of the institute of engineering
centers, establishment of a science park and
creation of special economic zones. These
specific areas may include, for example, the
Angara- Yenisei area of high technologies of
subsoil use.
The Krasnoyarsk Territory has already got
Siberian Federal University, which is a mediator
of knowledge and technology between the Russian
Academy of Sciences and production companies,
being at the same time a key player at the market
of practice-oriented personnel with the necessary
competencies, the list of which is determined in
the process of interaction of the university and
potential employers.
SibFU is the object and the subject of
innovation development programmes of large
financial-industrial groups and enterprises
operating in the Krasnoyarsk Territory and
influencing the development of the global
economy. Thus, it is a clear competitive advantage
of the region.
The formation of this cluster in our
opinion should have a step-by-step nature of
development:
- accumulation of knowledge and innovative
developments in various fields;
- the effective introductory stage and
appropriate decision at the legislative level, which
will qualitatively change the real course of the
economy of the Krasnoyarsk Territory.
- orientation of the leading research and
education center of the region (SibFU at the
maximum involvement in solving the tasks
and implementation of projects of national
importance;
- integration of research and development,
and design and development departments of
SibFU and KSC RAS with technology modules
of corporations within the framework of the
science park;
- practical focus of research performed in
the region.
The main project line that determines the
development of the cluster in the nearest future
will be the creation of the Krasnoyarsk science
park at Siberian Federal University. The proposed
practice is based on the experience of world
leaders: the main prerequisite for the efficient
development and operation of science parks is close
links with major universities – the Silicon Valley
was formed on the basis of Stanford University,
Science Park Highway 128 – on the basis of
Massachusetts Institute of Technology, the largest
science parks in the UK, Germany, France, etc.
The transfer of this right (the leading role) to the
University provides significant strategic benefits
for the region as a whole, primarily due to the
system of mandatory elements of the innovative
infrastructure already established at SibFU,
such as: the center of scientific and technical
information, research department, research and
education centers, centers of equipment joint
use, the center of standardization, metrology and
quality management, the center of innovation
consulting, the prototyping center and the
technology transfer center.
However, the transition to a qualitatively
new level requires an infrastructure of
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specialized engineering centers, which is
being actively developed by the University on
its own. In particular, the projects of applied
research centers has been developed in such
priority areas for the region as: development of
remote sensing technologies for determination
of mineral deposits and monitoring of their
mining using UAV complexes; mining
and processing, processing of natural and
technogenic mineral resources; information
technology; oil refining catalyst technology;
radio engineering; metallurgical industry;
power
engineering;
energy
efficiency
and energy saving; innovative building
technologies. These findings may provide the
basis for the formation of the future concept
and specialization of the project of the science
park in Krasnoyarsk.
Creation of the science park at SibFU will
give a significant impetus to the development
of these centers and at the same time, will
lead to the expansion of integration links
within and outside the regional economy, the
launch of new lines of production, which fits
the logic of the execution of the order of the
Russian Federation President, Vladimir Putin,
from 2006 on innovative development of the
regions through the established system of
leading universities (Innovatsionnoe razvitie
obrazovaniya.., 2006).
Therefore, the Krasnoyarsk Territory has
the potential for development of the innovative
technological enclave or cluster. One of the
centers of the cluster may be Zheleznogorsk
due to the accumulated scientific and
technological potential. The individual elements
of the innovative structure already developed in
Krasnoyarsk (for example, SibFU) may become
additional catalysts for the development of the
cluster.
References
1. Gorn, A.P. Razvitiye chelovecheskogo potentsiala Krasnoyarskogo kraya [Development of
the Human Resources Potential at the Krasnoyarsk Territory]/ A.P. Gorn, O.I. Nemchenko // Vestnik
Tyumenskogo gosudarstvennogo universiteta [The Bulletin of the Tomsk State University]. 2012.
No. 11. Pp. 69-78.
2. Innovatsionnoe razvitie obrazovaniya – osnova povysheniya konkurentosposobnosti
Rossii / Doklad Prezidenta Rossii V.V. Putina na Zasedanii Gosudarstvennogo soveta «O razvitii
obrazovaniya v Rossiyskoy Federatsii» [Innovative development of education: the basis of increasing
the competitiveness of Russia: the Report of the President of Russia, Vladimir Putin, at the Meeting
of the State Council “On the development of education in the Russian Federation”] dated March 24,
2006.
3. Mindeli, L.E. Otsenka sostoyaniya i perspektiv razvitiya nauki v Rossii [Assessment of the
Condition and Prospects of Science Development in Russia]/ L. E. Mindeli // Energiya: ekonomika,
tekhnika, ekologiya [Energy: Economics, Technics and Ecology] 2010. No. 11. Pp. 7-14.
4. Strategiya sotsial’no-ekonomicheskogo razvitiya Sibiri do 2020 goda: Rasporyazheniye
Pravitel’stva Rossiyskoy Federatsii ot 5 iyulya 2010 g. №1120-r. [The strategy of social and economic
development of Siberia till 2020: the Order No. 1120-r of the Government of the Russian Federation
dated July 5, 2010]
5. Chelovecheskiy kapital Krasnoyarskogo kraya: Forsayt-issledovanie – 2030 / Analiticheskiy
Doklad [Human Resources Capital of the Krasnoyarsk Territory: Foresight Study – 2030 / Analytical
Report]; edited by V.S. Yefimov. Krasnoyarsk: Siberian Federal University, 2010. 126 p.
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Roman G. Shorokhov and Irina S. Ferova. Main Strategic Directions of Innovative Development of the Krasnoyarsk…
6. Shendrik, A.V. Perspektivy razvitiya Krasnoyarskogo kraya i regional’naya ekonomicheskaya
politika [Prospects of the Krasnoyarsk Territory Development and Regional Economic Politics]/
available at http://geoconflict.narod.ru/2008/may/shendrik.html
Основные стратегические направления
инновационного развития
Красноярского края
(пространственно-отраслевой аспект)
Р.Г. Шорохов, И.С. Ферова
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье оценивается инновационный уровень и потенциал развития Красноярского
края. Рассмотрены возможные причины отставания региона от инновационных лидеров,
проведен СВОТ-анализ сильных и слабых сторон инновационного развития, определены
возможные основные направления дальнейшего устойчивого развития. Предложено создание
инновационно-технологического кластера, который может базироваться на территории
ЗАТО город Железногорск как инструмента достижения устойчивого развития.
Ключевые слова: инновационный профиль, устойчивое развитие, территория, регион.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 12 (2013 6) 1896-1904
~~~
УДК 81’255:004.738.52:005.4
Internet-Heuristics in Translation
of Branding Terminology
Elena V. Chistova*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia
Received 24.10.2013, received in revised form 25.11.2013, accepted 26.11.2013
This article describes the algorithm of translating special texts in the field of branding with
implementation of Internet-heuristics methods. The author explains the urgency studying the
terminology of branding, reveals the notion of Internet-heuristics, describes translation problems and
offers her own methods of overcoming these problems.
Keywords: Internet-heuristics, information search, translation, terminology, branding.
Introduction
Branding Terminology
International contacts rapidly increasing
in the era of intensely accelerating scientific
and technological progress have led to the
particular relevance of translation of special
texts abound with professional vocabulary.
Most modern dictionaries have significant
drawbacks, in particular, absence of the
requested professional vocabulary, lack of data
on implementation of the terms or redundancy
of translation options. Therefore, during
the work with just emerging terminologies
it is appropriate to apply the techniques of
Internet-heuristics.
The objective of this article is to describe the
algorithm of translating special texts in the field
of branding. The article demonstrates in detail
the application of Internet-heuristics methods for
the choice of the most adequate equivalent, also
in the situation when there are no equivalents in
the translation language.
As an example of the studied terminology
we have chosen the field of branding. With
the development of commercialization of
technological, industrial and scientific activities,
the concept of the brand is particularly important.
World practice shows that sales of goods of
famous brands are constantly increasing, while
non-branded products are losing their positions
in the market. This implies that producers need
to introduce new tools of differentiation, namely,
“unique, emotional, intangible characteristics
of the proposed object” [Kashapova, 2012:6].
This effect is achieved by means of branding.
Branding is an interdisciplinary field at the joint
of science and art, which actively develops and is
interesting not only for the economic society, but
also for the specialists of other fields of science.
Branding provides attraction and possession of
customers, employees, investors, shareholders,
suppliers, and may become an important factor
*
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: kovelena82@mail.ru
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for the stable position of the company at the
market and its competitiveness.
Russian companies until recently have
not been paying enough attention to brand
management, and the consumer market in Russia
has been constantly lagging behind the similar
structures of developed countries. However, in
connection with the entry of Russia into the World
Trade Organization and increasing competition,
the branding issues more and more often become
the subject of Russian scientific studies on the
economy (E.V. Agamirova, O.N. Alkanova,
A.N. Vorobyev, M.O. Makashev, D. Yu. Rodin,
S.A. Rybchenko, T.N. Yakubova, et al.).
These studies focus on the ambiguous
understanding of the notions “brand” and
“branding” in the Russian economic society.
This is due to the fact that the technology was
fully borrowed from American scientists and,
accordingly, has been translated from English
into Russian. This explains the differences
in the differentiation of the key terms. This
circumstance makes the problem of translation
of special texts on branding especially topical.
As an independent scientific discipline with its
own highly specialized terminology, branding
requires an independent linguistic study devoted
to the issues of cross-language harmonization of
its terminology.
The Problems
of Translating the Terms
The
problems
of
standardization,
unification and translation of the terms have
been actively studied by such terminologists as
K. Ya. Averbukh, G.G. Babalova, S.I. Vinogradov,
S.V.
Grinyov-Grinevitch,
T.R.
Kiyak,
I.S. Kudashev, V.M. Leichik, D.S. Lotte,
Yu.N. Marchuk, G. Pikht, V.A. Tabanakova,
V.A. Tatarinov, S.D. Shelov, etc. It should be also
noted that the issues of studying the translation
of special vocabulary are extensively covered
in translation studies. The most relevant and
consistent results in this field are presented
in the works by A.V. Achkasov, B.N. Klimzo,
L.L. Nelyubin, A.N. Parshin, R.F. Pronina,
Ya.I. Retsker, A.D. Schweitzer, etc. However,
most of the findings in these studies were
obtained on the material of closely related or nonrelated languages, which reduces the universal
theoretical status of the chosen language units and
methods. Moreover, with the rapid increase of the
number of new terms and the lack of regulatory
dictionaries due to the low degree of unification
of translated terminology and slow thesaurus
fixing, the previously developed methods and
principles of harmonization of terminologies
require revision and improvement.
Therefore, the necessity to apply the
polyparadigm approach accumulating the
achievements of the science of terminology,
sociolinguistics, translation studies and IT
technologies on the material of several nonrelated languages (English, Russian and Chinese)
appears quite clear. To solve this issue we offer to
use the methods of Internet-heuristics.
Internet-heuristics in Translation
Internet-heuristics is defined as “a set of
empiric rules that allows specialists in various
fields to meet the specific information needs and
to find answers to the issues they face by querying
the search tools (catalogs, search systems, meta
search engines, hidden web databases, etc.)”
[Volodin, 2006:208; Pechinskaya, 2011:51-52].
Skills of Internet heuristics include such skills as
clarification of information needs, setting of the
search problem, identification of possible carriers
of information, selection of an optimal search tool,
preliminary definition and subsequent clarification
of the request, extraction of information from
information files (in particular, feeds of search
engines), estimate of search results (according to
the criteria of reliability, timeliness, completeness
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Elena V. Chistova. Internet-Heuristics in Translation of Branding Terminology
and accuracy of the information) [Veize, 1985:1;
Kharzeeva, 2006:38; Burcet, 2011:2].
The issues of using Internet resources in
translation of scientific and technical texts were
discussed in detail in the books by B.N. Klimzo
“Art of a Technical Translator”, A.B. Krupnik
“Searching on the Web: Tutorial”, as well
as the article by A.V. Achkasov “Working
with Terminology and Computer Assisted
Translation Tools”. The authors offer numerous
ways to search for standards and patents,
unfamiliar abbreviations, schemes and devices
of a technological process, geographic names
and translation equivalents of terminology
absent in standard dictionaries. However,
in our opinion, these recommendations are
fragmented in these works, i.e. they have a
point focus on a particular problem. Our article
demonstrates an attempt to compile, systemize
and expand the existing recommendations for
translators. In this regard, we have developed
a special algorithm for translation of special
texts by means of Internet-heuristics. This
algorithm is peculiar due to the inclusion of
the terminological systems diagnostics into the
preliminary translation analysis. The reason for
this was the idea that when the equivalence is
reached in the translation of a special text, it is
not a single term we should take as a translation
unit, but a whole terminological system as a
landmark of translation decisions. Translation
of a single term in isolation from this system
leads to distortion of the general meaning of
an utterance. Recognition of the terminological
system as a translation unit helps to determine
the boundaries of the equivalence of the term
included therein, and provides high quality
translation of special texts.
Therefore, let us further describe the
algorithm of translation of special texts basing
on the methods of information search on the
Internet.
The Algorithm
of Translating Special Texts
During translation it is necessary:
1. To get familiar with the content of the
source text and perform preliminary translation
analysis of the special text.
2. Since translation is a recursive process,
the next time we turn to the text closer and
deeper, we must remember that only 30% of the
terms are highly specialized [Averbukh, 2004:93].
Therefore, we can identify key terms among them
(not more than 10) and the translation unit – the
terminological system these terms belong to.
In modern conditions of integration of
different scientific fields and interdisciplinary
approaches to research, in some cases it is quite
difficult to properly determine the appropriate
terminological system. To achieve this objective,
you can use the Internet-heuristics methods, for
example, make a request in Google search engine.
To do this, it is necessary to enter the word
“glossary” or “thesaurus” and then the name of
the supposed field of knowledge, for example,
“glossary logistics”.
Analysis of the list of terms presented in the
found glossary helps to establish whether they
meet the request of the translator or require further
search. As practice shows, in order to accurately
determine the name of the terminological system
being searched, one should get familiar with the
contents of two or three, and in some cases more
glossaries. Among universal bases of glossaries,
for example, www.glossary.ru can be noted. It
contains the following sections: “Economics”,
“Management”,
“Property”,
“Documents”,
“Information”, “Law”, “Planet Earth”, “Life”,
“Society”, “Physical Figures”, “Chemical
Compounds”. This resource contains definitions
of terms and their translations into the Russian
and English languages, detailed diagrams of classtype relations of terminological systems. These
schemes show a clear structure of the glossary:
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the articles and sub-glossaries it includes, as well
as its inclusion into the glossaries of a higher
rank. It also presents neighbouring glossaries
“contacting” with the main glossary by this or that
component. All these options, to a certain extent,
help to determine the name of the requested
terminological system, if to translate its elements
it is necessary to solve certain tasks during the
search for an adequate equivalent.
In some cases, there are situations when
after determining the terminological system it is
still impossible to fi nd the translation of a term.
Then the requested equivalent should be found
in the adjacent terminological systems. For
example, when translating the term monolithic
brand into the Chinese language one can use the
site http://cn.bing.com. After the introduction
of the request, the user gets the following
information:
It sounds as follows: monolithic grain 整块
药柱
monolithic head 整体磁头;整体结构磁头
monolithic joint 填弃后形成的整体式缝
monolithic dam 整体式坝
monolithic mold 整体铸型.
This search engine shows similar translations
for one of the components of the term. As a
consequence, one can assume that one of the
versions of the translation of the term monolithic
brand will be 整体品牌.
3. To diagnose the terminological system
using the symmetry and asymmetry method.
A specific feature of the developed algorithm
of terminological systems harmonization by
identifying asymmetric bases of translation is the
fact of introducing the work with terminological
systems into the translation process, which
was omitted or was not focused on in previous
methods of translation of special texts.
4. Having defi ned the translation unit, one
can begin to search their equivalents using the
found glossaries and thesauruses, the English-
Russian dictionaries, English defi nition
dictionaries, English dictionaries of synonyms.
During the search for the most appropriate
equivalent using Internet resources, it is possible
to establish the coefficient of frequency of use
of a particular variant of a term, for example
by means of http://www.google.ru/cse/. When
searching for the equivalent for the English
term brand value, several translations are
found. After putting them through the Google
search engine, one can obtain the following
quantitative indicators (such kind of text Results:
approximately 41, 800 (0.35 sec.) appears under
the search box below):
стоимость бренда (advertising) 56, 800,
000
позиция бренда (advertising) 4, 900, 000
ценность бренда (marketing) 1, 070, 000
ценность торговой марки (economics)
939, 000
стоимостная оценка бренда (marketing)
38, 900
It is obvious that the most frequently met
equivalent is the Russian translation стоимость
бренда. The next step will be verification of this
term for adequacy by means of its definition.
Brand value – The monetary premium that
results from having customers who are committed
to your brand and willing to pay extra for it.
The financial value calculated or determined
to be attributable to the brand, apart from other
tangible assets.
Further let us check differentiation of the
terms ценность and стоимость in the Russian
language:
Ценность – importance, significance,
usefulness of something.
Стоимость – value of something expressed
in money or amount of expenditures on something
[Tverdokhlebov 2006:98].
Therefore, under brand value one shall
understand the monetary estimate and not the
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importance of the phenomenon itself. Then
we can agree with Google frequency analysis
and accept the following definition for the term
стоимость бренда: “analytical estimate of the
price, which can be obtained in the case of selling
the brand” [Makashev, 2006:78].
5. To find a similar text of some Russian
author, study it carefully and identify
translation equivalents. The analogue text
provides the translator with a pattern of the
harmonious synthesis of the stylistic devices
identified during the analysis [Alekseeva,
2003:259], which form functioning of lexical
units and the style of such texts. The following
Internet resources most effectively help
in finding analogue texts: search systems/
engines, portals, databases, meta search
engines, ratings, etc.
Internet-heuristics can be effective only
if the query is competently formed, therefore
we have developed an author’s algorithm for
forming an optimal query during translation of
terminological systems:
• To determine the boundaries of
a multicomponent term: brand identity
misalignment;
• To find equivalents for each component:
brand → бренд;
identity → идентификация; айдентика;
misalignment 1) (in Multitran dictionary)
несовпадение с осью; нецентрированность;
устойчивое отклонение реального валютного
курса от уровня равновесия; 2) (по принципу
установления антонима misalignment ←
alignment выравнивание → искривление,
нарушение);
• To code the synonyms, keywords
and single-rooted words with the help of
Boolean operators: (бренд*) and (систем*
идентификация* айдентика идентичность*)
and (отклонение* смещение* расхождение*
несовпадение*);
• To estimate the search results:
смещение
показателей
идентификации
бренда, изменение элементов визуальной
идентификации бренда;
• To even the variative, standard and
contextual asymmetry (be means of constructing
a logical chain and translation transformations):
смещение
показателей
идентификации
бренда → изменение элементов визуальной
идентификации бренда → нарушение
идентификации бренда (by analogy with:
нарушение половой идентификации).
6. To develop one’s own working miniglossary of key terms for further convenience.
If one finds a more appropriate translation
equivalent during the work, the changes shall
be made to the glossary, so it would be easier to
maintain the uniformity of terminology during
verification of the translated text.
7. To perform a post-translation analysis,
correcting punctuation, grammar and syntax
errors with the help of:
LexTutor
http://www.lextutor.ca/
concordancers/concord_e.html
VusualThesaurus
http://www.
visualthesaurus.com/
Grammarly http://www.grammarly.com/
8. To present the translation for
proofreading.
Conclusion
Therefore, in our work we present the
identification mechanism for terminological
systems, the method to establish the frequency
coefficient the term use, as well as the method
to form an optimum query when translating
professional vocabulary. These developments
allow translators to navigate moreefficiently in
the existing terminological flow, timely reflect on
all the changes in the professional vocabulary and
translate special texts better and faster in shorter
periods of time.
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Интернет-эвристика
в переводе терминологии брендинга
Е.В. Чистова
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В данной статье описывается алгоритм перевода специальных текстов в области брендинга
с применением методов интернет-эвристики. Автор объясняет актуальность исследования
терминологии брендинга, раскрывает понятие интернет-эвристики, перечисляет
переводческие проблемы и предлагает собственные способы и приемы их преодоления.
Ключевые слова: интернет-эвристика, информационный поиск, перевод, терминология,
брендинг.
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Journal of Siberian Federal University. Humanities & Social Sciences 8 (2013 6) 1905-1912
~~~
УДК 398(517.1)
Contemporary Problems
of Ethnoconfessional Syncretism in Tuva
Olga M. Khomushku*
Tuva State University
36 Lenin Str., Kyzyl, 667000 Russia
Received 03.12.2013, received in revised form 11.12.2013, accepted 19.12.2013
In the present article we supposed to show the pecularities of ethnoconfessional processes in Tuva,
the influence of religious traditions on the spiritual culture of the Tuvan people, the evolution of
ideological orientations based on the data of the sociological research which has been carried out
by the authoress for a number of years and also the theoretical generalization of the obtained empiric
material.
Keywords: ethnoconfessional processes, national culture, religious world view, Buddhism, shamanism,
ethnoconfessional syncretism in Tuva.
At present the process of restoration of
traditional forms of the national culture is
taking place. The connection of the religious
traditions with the ethnos is a historically
conditioned phenomena. That’s why the main
methodological reference-point in studying
problems on the confessional-ethnic level is
the analysis of the correlation of religion and
culture as today most of the confessions have
got an ethnically expressed character – a result
of a longterm interaction of the confessional
specificity with the ethnic specific character
of the people with whom they turned to be
historically connected. Religions traditions of
the Tuvans were formed on the basis of ancient
beliefs which had existed before shamanism
and lamaism came into existence. Those were
ancient cults such a totemism, fetishism, cults of
local masters etc.
*
Buddhism (in the form of lamaism) started
percolating in Tuva by XIII century, Buddhist
monuments dating from that time were revealed
by archeologists. But later Buddhism lost its initial
influence and a new wave of its dissemination
took place in XVII century. Thus, in Tuva there
was established a certain religious syncretic
system which included a complex of religious
views, traditions and institutions.
These religious elements, first of all traditions
and customs, appeared as a result of a certain vital
activity of the people, an expression of their inner
requirements as well as a way of consolidating and
passing ethnocultural information to following
generations, they existed independently enough
at the same time forming a single social cultural
system.
The Republic of Tuva occupies a special
place among other regions of Russia due to its
© Siberian Federal University. All rights reserved
Corresponding author E-mail address: hom17@mail.ru
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specific historical development – it became a
part of the USSR much later than the others (in
1921-1944 it was an independent state – the Tuva
People’s Republic – TPR). It was reflectad in a
number of legislative documents describing the
dynamics of the state-religious relations in Tuva.
The constitutions of the Tuva People’s
Republic (for the period of its existence there
were adopted 5 constitutions) as legal acts of the
highest order settled the basic principles of socialeconomic and political system, determined trends
of its development. It equally applies to directions
in the field of liberty of concienc’e and religion.
But even the first legal papers testified the duplicity
of relations between religious organizations and
the state. On the one hand there was declaration
of rights and lirties, on the other there existed a
possibility of their polysemantic interpretation,
therefore a deviation from them. Besides as
the latest investigations of the problem proved
a lot of the legislative directions had no social
guarantees. So the law adopted by Malyi Khural
of TPR in 1928 “About Separation of Religion
from State” confirmed the liberty of religion
established by the TPR Constitution (Article 1),
the performance of religious rites. The annolation
to the article determined the responsibility to the
law for “public worship violation” as a result of
some ruffianly actions. At the same time in the
present legislative statement the activities of
religious organazations were already regulated
rather hard:”The Government, permitting to
learn Buddhist texts, demands of people in every
separate case to solicit a special permission for
it, to report on the reasons influencing the wich”(
Central State….).
If in 1929, there were officially 25 Buddhist
Temples in Tuvawith a total of 4813 practicing
Lamas as well as 487 Shamans, by 1937 there
were only 5 temples left with a total of 67
Lamas. Furthermore, the number of Shamans
had decreased to all but 30. By the beginning
of the 40s all Buddhist monasteries in Tuva had
been completely destroyed. A type of religious
awakening could be recognized in 1957-1958
in the city of Chadan with the opening of a
“prayer yurt”, where for a time served the wellknownTuvan Lama KhomushkuKenden. In 1959
by decision of the party, the prayer yurt was
closed.
The entry of Tuva into the USSR in 1944
fixed leislative norms, adjusting relations between
religious organizations and the state on the basis
of the corresponding Soviet legal documents. In
reality it applied mainly to the only operating
Russian Orthodox Church in Kyzyl, not numorous
Protestant communities and settlements of old
believers as the shamanist-lamaist institution of
ministers of religion undergone repressions in the
thirties was practically absent.
The unification of Tuva with the Soviet
Union in 1944 identified the confession of the
various religious groups within the Republic.
Informational records regarding the activities of
the religious organizations helped to categorize
them as members of one of the following religious
movements: Orthodox Christianity, The Union of
Evangelical Christian Baptists, Old Believers,
Buddhism and Shamanism.
In 1981,12 Lama and 24 Shamans carried
out religious services. By 1984 these numbers
had changed to 11 Lamas and 38 Shamans.
The democratic reorganization of the country
starting in the 1990s, enabled the renaissance of
earlier existing spiritual institutions. In 1990, the
Ministry of Justice registered the first Buddhist
community.
Statistics from the 18thof August 2011 show
that religious organizations registered by the
Ministry of Justice of the Russian Federation
in the Republic of Tuva (further known as
“administration”) number 44. These religious
organizations adhere to the following religious
confessions:
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Buddhism
18 organizations
Shamanism
8 organizations
Evangelical Christians
(Pentecostals)
5 organizations
Russian Orthodox Church
4 organizations
Evangelical Christian-Baptists 3 organizations
Evangelical Christians
2 organizations
Church of the whole Gospel
1 organization
Seventh Day Adventists
1 organization
Jehovah’s Witnesses
1 organization
Old Believers
1 organization
Historically the Gelukpen school of Tibetan
Lamaism was widely spread in Tuva. Although
we need to make a reservation here as the
traditional Gelukpa school presupposes a rather
ramified system monastic ethics including side by
side with other requirements the vow of celibacy.
For the Tuvan people whose number is less than
three hundred thousand people (according to
the information of the Statistical Board of 2009
the population in Tuva was 313 940 people), it
creates certain problems because it may lead
to the reduction of the population. That’s why
in Tuva a peculiar form of the Gelukpa school
traditions is being formed which providesfor a
presence of married lamas (and the vow “Don’t
fornicate” is understood as the vow of loyalty to
the companion).
Today in Tuva preference is also given to the
Gelukpa traditions with regard for all the national
peculiarities of the region. Here we can note
two mutually complementary tendencies of the
development of Buddhism in Tuva: 1. spreading
of the outward ritual sphere of Buddhism (reading
of sutras, healing ceremonies, fixing of favourable
and unfavourable days, ceremonies of family and
every day life cycle etc), 2. is more connected
with missionary activities of Tibetan lamas (there
are practicing and teaching lamas from Tibet in
Tuva) as well as with the activity of the spiritual
representative of Dalay-Lama in Russia – geshe
Dzhampa Tinley, whose lectures always gather
a numorous audiens (about 30 % of the people
present is Russian speaking).
Cristianity is represented in Tuva by the
following confessions:
– Russian Orthodox Church which has its
rather long history. The first Orthodox
church in Tuva was built in 1910 in Turan
and the second one in 1914 in Kyzyl.
The Turan church was pulled down in
1961 and it was restored only in 1996.
The Kyzyl church remained and is still
functioning today (led by Father Superior
Vyacheslav).
The number of those who attend the Russian
Orthodox Church is more or less stable based
upon family spiritual traditions. An important
event for Orthodox believers was the visit by His
Holiness the Patriarch of Moscow and All Russia,
Kirill, who visited the republic on the first ever
Patriarchal visit on the 31st of August 2011 and
blessed the new Resurrection Cathedral. During
his visit, the Patriarch visited with the head of
the Tuvan Buddhists, the Kamby-Lama of the
Republic of Tuva Tenzin Tsultim and proposed the
creation of a Buddhist – Orthodox interreligious
council.
– The community of old believers in
Kyzyl was registered in 1991 though the
old believers spreading areas are more
extensive and have got their own history,
there were kept entire settlements of old
believers. Here the cult activity is limited
mainly to ceremonial and every day life
sphere.
– Religious organizations of Protestant
orientation, in 1997 there were registered
9 such groups by the Ministry of Justice
of the republic.
The problem of unfluence of Protestant
missionaries (Russian and foreign) remains
very critical. Here the contingent of believers
is remaned not only among Russian speaking
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people but also among the Tuvans. Thus, the
Tuvan Christian Church of evangelic religion
“Sum-Bok-Ym” organized in May, 1995 conducts
regular devine services which are regularly
attended by more than 100 people, among them
99 % is Tuvans, about 70 % is young and middleaged people.
The present day religious situation in
Tuva is determined by polycofessionalism
characterized by 2 tendencies: as revival and
development of the traditional religions (in Tuva
these are shamanism, Buddhism and Russian
Orthodox, popular mainly among Russian
inhabitants); by growing influence of Protestant
groups. The reasons for the second tendency lie,
fi rst of all, in the policy of previous years when
Buddhist cult structures were practically all
destroyed, the system of Buddhist teaching was
not conducted for a long time; secondly, fi nancial
problems acquire especial significance when a
low level of well-being of fi nansial support. At
the same time many Protestant groups can be
fi naced from foreign religious organizations,
can get humanitarian aid, different gifts, money
for educating their followers etc. Although we
may notice the fi rst steps done inthis direction,
thus representatives of the Russian Orthodox
Church, Dkharma Centre and Ministry of
Health of Tuva jointly reached an agreement
about possibilities to invite ministers of religion
to medical-preventive institutions and hospitals
(by requests of sick people) observing the Low
“About the Liberty of Conscience” of the Tuva
Republic (Article 16, point 3).
While researching the modern state of
religious believes of the Tuvans, characteristics
of the religious evolution it’s necessary to
consider a series of aims: firstly, reseaching of
modern believers – shamanists, Buddhists and
degree of conservation of traditional confessional
propositions in their ideological purposes, of
activities of ministers of religion, their ideology
and its evolution under modern condition;
secondly, clearing up of factors of regious complex
rendering, especially the specificity of the Tuvan
people’s every day life which gives a certain
originality to all the confessional directions.
While investigating the contemporary state
of religiousness of the population in Tuva we used
different sources: first of all, materials from the
Manuscript Fund of the Tuvan Research Institute
of Langage, Literature and History; secondly,
the results of field research work, carried out
in different years (1985-2006). Only the whole
complex of the mutually complementary
materials gives us an opportunity to ansiver more
or less objectively and fully the question about
the character of modern religiousness.
As materials we used the data of a number
of sociological research work carried out in a
few regions of Tuva, the objects of the research
were representatives of different sections of the
population – schoolchildren, office, professional,
industrial and agricultural workes ets.
We’d like to make a reservation at once –
the estimation of validity of the present reseach
turns difficult by the fact that each research work
got an independent character although in all the
researches we used a common, specially worked
out questionnaire and methodics of conducting.
At the same time they have got not only an
illustrative meaning but not being representative
for a general totality they let us give rather
rightful and well-founded descriptions and
estimation of the religious phenomenon formed
in Tuva today.
In all the researches we undertook the
following tasks:
– revealing of examined people’s attitude
to religion, orientations to concrete
confessional directions;
– determining of the degree of showing
religiousness among the examined
people;
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Olga M. Khomushku. Contemporary Problems of Ethnoconfessional Syncretism in Tuva
– establishing of objective and subjective
factors that influence the attitude to
religion by different group of people.
The aim of our research work was to study
the degree of religiousness and peculiarities of
forming ideological orientations of the examined
people.
The common indication of religious
conscionusness is religious belief. The latter
includes the knowledge and acceptance of certain
ideas, notions as veritable and of confidence
in objective existence of creatures, qualities,
connections that compose an objective meaning
of religions images. But in reality existing
religions conciousness as a rule, wanders away
from the model. That’s why it beccomes impotant
to characterize religionsness as “quality of an
individual or a group which shows in believing
and worshiping the supernatural on the level of
conciousness as well as in activities (characteristic
feature – religions belief, knowledgee and
acceptance as true religions ideals, notions and
dogmas” (Rytkevich, 1994).
The observations conducted among the
Tuvan population of the republic show that the
idea of the supernatural, sacred, divine origin
has got a rather diffused, non-shaped character
Apparently thre are some reasons that affected it.
First of all, early shamanestic and ancient notions
of the early times got mixed up with later features
of lamaist ideas (especially at present). It’s not
coincidence that the term “Tuvan Buddhism” is
more often used to characterize the contemporary
religious complex in Tuva.
Today we can say that the image of the
supernatural is rather obscure and discrepant.
Thus, according to one of the informants “for
every Tuvan there always exists the idol, some
kind of a Supreme ruler”. According to our
observations the image of the supernatural of
modern Tuvan contains shamanist and lamaist
features, and what is more, depending on the age in
the conciousness of a Tuvan there fixes aspiration
for creating the image from anthropomorphaus
features adding some other characteristics –
eternity, ubiquitousness. It’s inherent in elderly
Tuvans of about fifty-sixty years old. The age
gradation in forming the imag of the supernatural
is seemingly connected with the fact that the
generation (people of fifty-sixty) was brought up
(that is, the time of their becoming a personality,
the formation of their world outlook) at the
time when the state policy towards religion and
church was especially tough – the thirties when
khuree were closed and destroyed, ministers of
religion were suject to repressions. A younger
generation – at the age of thirty-fortygrew up,
under more loyal conditions when there was
already no such a universal interdiction, that’s
why there increased a possibility of their learning
some traditional religious ideas.
Besides modern Tuvan kept in their
conciousness the image of the female idol –
“dariygi”. Though the term is of a lamaist origin,
it descended from the cult of Mother – Goddess,
subsequenly personified through its separate
features into an independent divine image. As
we have already noted earlier in the religious
conciousness of the Tuvan a big place is also
occupied by a notion about human soul. Today
the majority of the Tuvans hasn’t got an accurate
notion about soul, in their conciousness (in great
bulk) there is no differentiation between the
ideas of “tyn”, “sagysh”, “sunezin” – different
designations of the state of soul. People of the
elder generation – elder than sixty can give a
rather exact characteristic of these ideas whereas
putting the rest has mainly got a notion about
“sunezin”, putting the meaning of the human
spiritual substance into it.
Thus we can say that the ideas of the
supernatural in ordinary conciousness of
the Tuvan have gradually evolved. At first it
happened under the influence of lamaistic views,
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later on due to official ideological interdictions,
impossibility torender religionus views openly.
Notions about the supernatural were washed
away, only the most common ideas remained and
image of the supernatural was supplemented with
some features of the Cristian dogma.
Thus a considerable part of the inquested
incline to the fact that “God is the Supreme
spiritual source” although the distribution of the
answers fluctuates depending on the national
affiliation. Besides, in different confessions it has
also got different modifications, thus in Buddhism
the emphasis is laid mostly on the idea of moral
purification, a better or a worse regeneration
depending on the person’s deeds in this life. None
the less ideas about supernatural powers, supreme
origin (Buddha, Boddkhisattva etc) are present in
Buddhusm, althoudh in the religious views of the
Tuvans the idea of God as a central figure hasn’t
been developed despite the fact that in the Tuvan
language there is a world that in modern ordinary
conciousness coinsides with the Russian term of
God – “burkhan”. But it’s rather the idol whose
qualities are the hypostization of natural forces
than a personified being.
It’s interesting that 10,34 % of Russian
considers that,”God is an enlidhtened being
which gives a way to salvation”. This is absolutely
nontypical for the ideological orientation of
Orthodoxy (58 % of the inquested Russian reckon
themselves in it). It sooner tells about the influence
of the Tuvan ethnoconfessional culture.
In order to get sociological characteristics of
the evolutionary process of religious ideas taking
place in ordinary conciousness it’s necessary to
have estimating criteria by which it’s possible
to judge the level of religious (or nonreligious)
conviction of an individual, of social groups and
of the population as a whole.
It’s impossible to analyse the modern state
of religiousness in Tuva and try to follow the
evolution of religious images , ideas in the whole
system of religious complex without taking into
account all the changes that have happened lately.
Pcularities of the way of living, peripeteias of
the historical fortune of the nation tell on the
character of religiousness. The lack of special
cult structures, absence of ministers of religious
worship (with the exception of those who had
some other status, that is, who perfomed some
religious ceremonies mainly connectaims),
the whole atmosphere of biased treatment
of everything that was somehow connected
with any display of religiousness couldn’t but
influenced the picture of the religious complex
as a whole.
Thus modern religious conciousness on the
whole, especially its ordinary level, is gradually
evolving. If earlier any person’s whole life was
practically penetrated by certain religious
ideas (including the picture of the universe and
different rituals, ceremonies), structly speaking,
religion always appeared as means of regulating,
reserving appropriate dispositions, traditions,
customs in which lies its cultural and histrical
role, today we can see a tendency to include
into the present system secular elements. And
the interlacing of sacred and secular in religious
conciousness gives a complex systems of views
and notions.
That’s why it’s one of the main tasks to
analyse all the changes which were provoked by
modern social transformation (transition to settled
way of life, industrialization, urbanization),
as well as the main trndencies of evolution of
modern religious consciousness, especially on
the ordinary level.
The research carried out in 1996 revealed
a certain dynamics in the state of religiousness.
To compare the data we made use of the same
typology as in the previous research work. And
if earlier only 10 % of the inquested people
attributed themselves to believers, in the research
of 1996 more than a half of the inquested
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Olga M. Khomushku. Contemporary Problems of Ethnoconfessional Syncretism in Tuva
(urban population) considered themselves to be
believers.
Such a self-appraisal should also be corrected
by a number of other indices which will let us
analyse more strictly the degree of religiousness
of the people. These can be quatitative (attendance
of cult places, performance of rituals) as well
as qualitative indices (ideological aims and
orientations). Thus we asked the question: “What
in your opinion influences a person (choose out
of the listed below, it’s possible to give several
variants of ansivers)?”
It’s interesting that the confessional
belonging didn’t exert much influence on the
distribution of the ansivers. Only 27,91 % of the
Buddhists note the influence of karma (25,40 %
of the Christians think the some way), at the
same time the Christians marked such factors as
spoiling and bewitching whereas the shamanists
accentuated biofild and magic. It’s possible that all
these things testify to new religious searchings.
It’s not accidental that 44,44 % of the Christians
ansive-red the question “Can soul move into a
new body after man’s death?” affirmatively (the
Buddists – 48,84 %).
Thus summing up everithing aforesaid
we can make certain conclusions. As a result
of the evolution of the religious complex in
Tuva one can observe certain changes in the
religious conciousness of believers which are
are determined by the new social, economic
and political conditions. Some elements of
hte religious complex (especially behaviour)
are activiely interacting with different secular
elements and forms of the culture. Therefore, one
can understand pecularities of the transformation
of this or that irrational education only in the
context of the present cultur. Secular elements
extend the spectrum of influence of religious and
magic ideas on the people’s conciousness. Thanks
to them there rises the activity of ideological,
social, political and other functions of the religious
system. One can also notice some efforts to put
not a mystic but rational content into the major
religious ideas and notions, to interpret them
from the point of view of common sens, personal
life experience. Thus, at present we can talk
about a many-variant picture of the religious state
in Tuva though it’s rather complicated to forecast
further prospects as the processes are mainly
of unpredictable character. We can nark out as
an example of some tendencies of the religious
evolution in Tuva: washing away the traditional
religiousness, we can talk about some elements of
modernization in confessional directions because
today animation of religious activities involves
modifications in dogma and cult according to the
modern life conditions.
References
1. Central State Archives of the Tuva Republic. F. 92. Op. 1. Ed. kr. 352. p. 14.
2. Rytkevich E.D. Religiosnost russkogo naseleniya: sdvigi i tendentzii//Massovoye soznanie i
massovyie deystviya. M.,1994, p. 46-67.
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Olga M. Khomushku. Contemporary Problems of Ethnoconfessional Syncretism in Tuva
Современные проблемы
этноконфессионального синкретизма в Тыве
О.М. Хомучку
Тувинский государственный университет
Россия 667000, Кызыл, ул. Ленина, 36
В данной статье мы предлагаем рассмотреть особенности этноконфессиональных
процессов в Тыве, влияние религиозных традиций на духовную культуру тувинцев, эволюцию
идеологических ориентаций, основанных на данных социологических исследований, которые
проводились автором в течение нескольких лет, а также теоретическую генерализацию
полученных эмпирических данных.
Ключевые слова: этноконфессиональные процессы, национальная культура, религиозное
мировоззрение, буддизм, шаманизм, этноконфессиональный синкретизм в республике Тыва.
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