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97.Журнал Сибирского федерального университета. Сер. Гуманитарные науки №6 2011

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Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Æóðíàë Ñèáèðñêîãî ôåäåðàëüíîãî óíèâåðñèòåòà
2011
Journal of Siberian Federal University
4 (6)
Ãóìàíèòàðíûå íàóêè
Humanities & Social Sciences
Редакционный совет
академик РАН Е.А.Ваганов
академик РАН И.И.Гительзон
академик РАН В.Ф.Шабанов
чл.-к. РАН, д-р физ.-мат.наук
А.Г.Дегерменджи
чл.-к. РАН, д-р физ.-мат. наук
В.Л.Миронов
чл.-к. РАН, д-р техн. наук
Г.Л.Пашков
чл.-к. РАН, д-р физ.-мат. наук
В.В.Шайдуров
член-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
CONTENTS / ÑÎÄÅÐÆÀÍÈÅ
Sergey G. Kukushkin and Natalya P. Churlyaeva
Development of a Continuing Professional Training System at
Information Satellite Systems Joint-Stock Company and Some
Related Problems
– 769 –
Maria G. Burlutskaya
Intraorganizational Mobility in Post-Soviet Enterprises
– 779 –
Tatyana D. Skrynnikova and Darima D. Amogolonova
Symbols of Post-Soviet Buryat National Consolidation
– 792 –
Julia S. Zamaraeva
Relation of the Migrant and the Receiving Environment as a
Phenomenon of the Krasnoyarsk Territory Modern Culture
(Association Experiment Results Based on the Methodology
œSerial Thematic AssociationsB)
– 805 –
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
Svetlana P. Basalaeva
Labour Contract Functions
– 816 –
Natalya N. Nevolko
The Historiographical Review of the Scientific Literature of the
Late XIX to the First Decade of the XXI Century Concerning
the Problem of Ethnic Identification of the Khakass Ethnos
– 823 –
Компьютерная верстка Е.В. Гревцовой
Подписано в печать 17.06.2011 г. Формат 84x108/16. Усл. печ. л. 12,1.
Уч.-изд. л. 11,6. Бумага тип. Печать офсетная. Тираж 1000 экз. Заказ 4248.
Отпечатано в ПЦ БИК. 660041 Красноярск, пр. Свободный, 82а.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Consulting Editors
for Humanities & Social Sciences:
Gershon M. Breslavs
Sergey V. Deviatkin
Sergey A. Drobyshevsky
Sergey M. Geraschenko
Oleg M. Gotlib
Boris I. Hasan
Igor E. Kim
Natalia V. Kovtun
Aleksandr A. Kronik
Pavel V. Mandryka
Boris V. Markov
Valentin G. Nemirovsky
Daniel V. Pivovarov
Andrey V. Smirnov
Viktor I. Suslov
Evgeniya V. Zander
Igor S. Pyzhev
Alena O. Zadorina
The Motif of the Gift in the Works of Leonid Leonov (19241953)
– 837 –
Maria I. Ilbeykina
Civilizational Orientation of the Population of the United
Krasnoyarsk Krai: 15 to 60 Years of Age Residents of
Krasnoyarsk City
– 846 –
Irina A. Zhuravleva
The Role and Status of Knowledge in the Post-Modern
Interpretation of the Information Society Theory
– 865 –
Evgeny A. Kapoguzov
Opportunities of the Comprehensive Neo-Schumpeterian
Economics for Innovation-Based Economic Development
Свидетельство о регистрации СМИ
ПИ № ФС77-28-723 от 29.06.2007 г.
Серия включена в «Перечень ведущих рецензируемых научных журналов и изданий, в которых должны
быть опубликованы основные научные результаты диссертации на
соискание ученой степени доктора и
кандидата наук» (редакция 2010 г.)
– 874 –
Natalia Yu. Rychkova
The Object of Criminal
(Plagiarism)
Appropriation
of
Authorship
– 884 –
Tatyana A. Poluektova
œFact-FictionB as an Epistolary Forming Component of the
Novel by B. Bainbridge œAccording to QueeneyB
– 894 –
Arkadiy A. Tuman-Nikiforov
The Essence of a Person as the Interaction of Three Components:
Biological, Social, Spiritual
– 902 –
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 769-778
~~~
УДК 378.005
Development of a Continuing Professional
Training System at Information Satellite Systems
Joint-Stock Company and Some Related Problems
Sergey G. Kukushkina and Natalya P. Churlyaevab*
information satellite systems Joint-Stock Company (ISS JSC)
52 Lenin st., Zheleznogorsk, Krasnoyarski krai, 662972 Russia
b
Siberian State Aerospace University (SibSAU)
31 Krasnoyarski Rabochi pr., Krasnoyarsk, 660014 Russia 1
a
Received 3.06.2011, received in revised form 10.06.2011, accepted 17.06.2011
The development of a continuing professional training system at INFORMATION SATELLITE
SYSTEMS Joint-Stock Company (ISS JSC) and some specific problems that arise on its way from the
planned to market economy are briefly outlined. Current personnel training at ISS JSC is schematically
presented along with the Company’s united educational sphere concept within its personnel policy.
Some assignments of the unified functional center for personnel management are considered.
Keywords: professional training, continuing adult education, vocational guidance, personnel policy.
Introduction
INFORMATION SATELLITE SYSTEMS
Joint-Stock Company (ISS JSC) named
after M. F. Reshetnev is the inheritor of
APPLIED MECHANICS RESEARCH-ANDPRODUCTION ASSOCIATION (NPO PM) and
Russia’s leading space enterprise specializing
in the design, development and manufacture
of high performance spacecraft and satellite
systems. ISS JSC tries to retain the best NPO
PM features that existed here in the times of
great space achievements, and it seems it has all
the capabilities to do that in all the fields of its
current activity. It possesses all the necessary
requirements: the developed, highly organized
structure; adequately equipped experimental
and production facilities; stable infrastructure;
*
1
reliable partnerships with leading national and
foreign organizations and enterprises - license
holders, customers, investors, subcontractors,
etc. (ISS web-site). Yet, in addition to the abovementioned, successful implementation of the new
projects requires the creative staff capable to
work in the situation of permanent technological
innovations. It is a very serious challenge that all
the national space industry enterprises encounter.
The problem of engineering creativity should be
specially underlined among the others, and ISS
JSC is no exception in this context. The Company’s
continuing professional training system that was
once introduced here, has been being developed
for several decades, contributes significantly to
training and retraining of the personnel at all
levels and, correspondingly, professional skills
Corresponding author E-mail address: office@iss-reshetnev.ru
© Siberian Federal University. All rights reserved
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development. However, because of its origin
and particularity of its development, there are
some intrinsic problems that hinder engineering
creativity. We shall try to shed some light upon
these issues in this article.
1. The growth of a continuing
training system within |
the planned economy framework
More than fifty years ago Michael Reshetnev,
the NPO PM founder, brought a quite small but
very creative group of engineers, designers and
workers to the town of Krasnoyarsk-26 (nowadays
Zheleznogorsk). The arms race required the
extention of that core initial group, so in order
to carry out the large-scale military projects such
as producing satellites launched by “Cosmos-3”
ballistic missiles, the first 138 employees from
Krasnoyarsk Mechanical-Engineering Works
were transferred to NPO PM in 1959, followed
by 24 engineers from Sergey Korolev’s OKB-1
design bureau.
From the very start special attention
concerning the competent staff recruitment was
mainly paid to the graduates from the leading
soviet technical high-schools who were also
supposed to accrue the initial creative core.
In the short run, Reshetnev’s team began to
grow due to the alumni from Moscow Aviation
Institute, Leningrad Mechanical Institute, Tomsk
Institute of Electronic Control Systems, Moscow
State Technical University n.a. N.E. Bauman
(MSTU), etc. In 1974, a special department
aimed at selection and technical training of young
specialists - technical high-schools graduates was
created.
In the years of the planned economy,
high-schools often allocated students for their
pre-diploma practice to the places, where the
graduates were assigned to work later. This
planned allocation helped along the staff selection
and its subsequent development. The same
scheme worked perfectly well for the graduates
from the top soviet technical high-schools: the
competitive basis enabled only the best graduates
to be selected to work in defense enterprises.
It is worth specially mentioning graduates
from so called Krasnoyarsk zavod-vtuz
(nowadays Siberian State Aerospace University SibSAU), who have started to infill the NPO PM
structure since the mid-1960s. In addition, close
relationships with Krasnoyarsk zavod-vtuz and
Krasnoyarsk Polytechnic Institute (nowadays a
subdivision of Siberian Federal University - SFU)
were established. As a result, such faculties as
“Space vehicles”, “Space information systems”,
“Space mechanical engineering”, etc., were
formed one by one in these two institutions. Also,
several branches of space-oriented faculties from
these two universities were created in the 1970s
and 1980s in Krasnoyarsk-26.
Since the 1970s, an additional assignment
with reference to the association’s own employees’
training has been actively developed: 50-60 people
were annually taught in Moscow, Leningrad, Kiev,
Minsk and other Soviet scientific centers. Also,
the branch system for the experts and managers’
professional skills development was launched, and
certifying commissions for all of the professional
categories were created at NPO PM. In view of
future tasks, special attention started to be paid
to the youth’s vocational guidance, and soon that
activity turned from sporadic into stable.
As a result of the above-mentioned and
some other achievements aimed at improving
the employees’ quality, the association’s own
continuing professional training system was
designed (Kukushkin, 2010). For about a quarter
of the century it was being developed steadily
and consciously. However, within the planned
economy framework, there appeared some intrinsic
problems concerning its further development, in
particular, how to provide engineering creativity.
In many respects, that was related to the obscure
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nature not only of the association but of all the
soviet system in general. Also, one should not
forget that in the planned economy times many
continuing professional training systems were
formed in the circumstances that did not support
the growth on their own basis, that is, the situation
characterized by closed-door research and
development institutions – innumerable NIIs –
research institutes, KBs – designing bureaus, and
other secret so-called “post-office boxes”.
A more careful look would show that
in spite of all the clamor about the soviet
technological achievements in the past, and many
still existing myths on that ground, such order
cannot be recognized as knowledge-based while
the problems of continuing training systems
development can be correctly interpreted and
successfully solved only within the general
context of knowledge-based economy growth
and development (Filatov, 2005). Moreover,
permanent innovations presuppose continuing
professional training, and the complete realization
of the educational continuity principle is the only
possible opportunity within the knowledgebased economy which not only permanently
makes use of knowledge (perhaps, even though
acquired from external sources) but creates all
the diversity of knowledge in the form of hightech production, advanced services, results of
research and education.
Given that, one should be more scrptical
with regard to technological innovations and
engineering creativity in those closed-door
soviet institutes and bureaus wherefrom not so
much results of soviet experts’ own intellectual
efforts emerged but rather the secret materials
that entered along various channels from
external sources, first of all from technologically
more developed nations, were considered and
developed. Such activity, though illegal and
violating authors’ rights but quite ordinary in the
cold-war times was usually carried out through
the deeply-rooted, wide-branched, and swiftly
functioning enormous soviet industrial espionage
system, when special service officers became the
suppliers and leading soviet experts, scientific
institutes’ heads, etc., became the consumers of
necessary materials.
Those secret materials could be of any
sort, from just information or abstract ideas
still to be materialized in hardware, to schemes
and blueprints, even to ready devices, so that
what experts from those research institutes and
bureaus had to do was disassemble devices and
bring them together again with mother country
parts. Nevertheless, even that kind of so-to-say
“creative activity” gave evidence of a sufficiently
high general level of soviet science, high-school
and industry compared to the corresponding
world level. Otherwise it would be impossible
to produce even those soviet versions of western
machinery – the phenomenon that nowadays
we can see in almost all the Russian industrial
branches with little exceptions. At the same time
it is obvious that sooner or later any continuing
professional training system with innovative
activity based on the outlined above practice
arrives to its deadlock.
2. On the way from planned
to market economy
In spite of the inherent drawbacks, obvious
prospects for the association’s continuing
professional training system development were
evident until the government started to loose
interest to space flights and year upon year
more and more limited its financing until almost
stopped it in the late 1990s. The crash of the USSR
and ultimate disappearance of planned economy
led to catastrophic reduction of the industrial
production actually in all the industrious areas
except for those associated with raw material
extraction and export. A real disaster shook all the
Russian corporate foundations including those of
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NPO PM and severely hindered development of
its continuous training system. However, thanks
to the great material and intellectual potential
created and stored in the association for decades
of relentless work, not only it survived itself
in the situation of total economic disorder but
reserved the basis for the further development of
its continuing training system.
To counteract the growing destructive
tendencies that threatened the existing continuing
professional training system, some measures
became possible to cure it within the framework
of the planned economy. However, those remedy
measures were often formulated in terms of
the closed state situation as declarative and
universal: “…increasing effectiveness of staff
professional training in conditions of modern
economy, introduction of the newest educational
technologies, forming progressive concepts for
high-tech industry branches, etc.” (Fedorov and
Baltjan, 2001). They could not actually reach the
goals as the situation was getting worse.
On the other hand, within the competitive
business environment, the association got
the chance to access the global market of
satellite services, take part in the international
cooperation, and find new resources for solving
the stockpiled problems rooted in the planned
economy time on the basis of getting profit
from its market activity. Therefore, despite the
emergence of many new problems related to the
existence under very peculiar Russian market
conditions, the senior managers of the association
known now as INFORMATION SATELLITE
SYSTEMS Joint-Stock Company (ISS JSC) found
certain prospects for its revival and development,
however, trying to rely more on the principles
that underlie educational systems of the countries
with market economy.
There were no deliberate attempts to ruin the
former continuing professional training system.
On the contrary, personnel recruitment and in-
service training, retraining and development of the
employees’ professional skills are still considered
as very important issues among the whole
variety of the company’s tasks. Yet, the modern
labor market conditions, such as the absence of
the graduates’ planned allocation to work, etc.,
necessitated its substantial changes compared to
the planed economy time, and general changes
in the company’s personnel policy as well. As a
result, along with readjustment all the ISS JSC
activity, the entire educational sphere concept
was revised which assumed the continuing
professional training system as the foundation for
the company’s innovative development.
Innovative
development
significantly
changed its vector compared to the past. First,
the young specialists’ contingent – high school
graduates who have been always called for to be
the leaders of innovative development are taking
a turn for the worse year by year. Not only goes
down the number of those willing to get jobs
in the space industry, but their quality long ago
started to grow worse in many respects too. If a
soviet engineer could basically be a carrier of the
scientific-technological progress at least on the
condition of being supplied with foreign necessary
materials and ideas, now even if a young engineer
gets schemes, blueprints and other materials, he
is unlikely be able to make new devices due to a
number of reasons.
First of all, the gap between the level of
global scientific-technological achievements
and national engineers’ limited abilities to
comprehend and master them grows rapidly.
Secondly, the introduction of new technical
ideas on native ground is hindered because
national high-tech industry branches have been
destroyed and the necessary material basis is
practically absent. In particular, there’s actually
no element base necessary to build space
electronic schemes. Thirdly, the motivation of
engineers altered for the worse, and not only
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in Russia but in the world-wide scale as well
(Bonnard and Paul, 2009).
Furthermore, innovative development is
impossible without integration of research and
production, and the former ISS JSC’s name –
NPO – testifies itself to the fact that it has always
taken place, but now the situation changed
significantly (Kukushkin et al, 2010). It concerns
not only the information and materials supplies
which provided secure research and technological
feed along illegal channels earlier. In addition,
the links with some research organizations in
the former USSR republics were actually tore
apart, and national centers for applied science
were practically destroyed, and those that still
continue to work cannot accept the paradigm that
essential materials for innovative projects are in
top condition but illegally supplied.
Besides, illegal acquisition of information,
machinery, technologies, etc. from abroad is
becoming more and more senseless mainly due to
diminishing compliance of national engineering
with the global one, and also to its structural
incompatibility. Two global revolutions – the
scientific-technical revolution that started in the
middle of the last century and the technological
revolution that we can observe nowadays -- make
our own machinery and technologies so hopelessly
obsolete (Ilyshev and Putilina, 2007) that illegal
practice became ineffective. Moreover, such
practice does not seem reasonable since almost
all the necessary materials for innovative projects
can now be legally purchased.
Instead of the old cold-war practice, the
modern market conditions presuppose quite
another format of interaction with technologically
developed nations – wide international
cooperation can be profitable for each participant.
ISS JSC cooperation with leading space industry
enterprises started in the late 1990s. Its bright
prospects brought hopes that the strengths of
each partner within the international cooperation
could allow creating principally new products
that surpass both Russian and western space
machines. In this connection, ISS JSC-Alcatel
Space cooperation should be mentioned.
No doubts, to fulfill innovative projects
successfully, engineering education and staff
training is of primary importance but one should
not forget about all other groups of personnel,
too. Labor market with its very tough competitive
struggle for competent employees gives rise to
changes in the ISS JSC human resources strategy.
In an effort to strengthen positions in the global
market of satellite services, the company
undertook some steps to more progressive
personnel management in order to be more
consistent for modern market conditions. As a
result, a unified functional center for personnel
management was created.
3. Assignments
of the unified functional center
for personnel management
By reference to the purpose of maintaining
skilled and motivated staff capable to provide
competitiveness of the company in the market of
satellite services, the unified functional center for
personnel management was created. It carries out
a number of functions including those intended
to support and develop the continuing training
system. Fig. 1 illustrates schematically its main
assignments.
Initially, the unified functional center was
mainly destined to solve strategic and current
problems of personnel management. Now it also
works along various directions in the sphere of
professional training starting with vocational
guidance for local teenagers. This contingent has
always been considered as a substantial sector
of eligible workforce and vocational guidance
is paid special attention in ISS JSC, as well
as in the other space industry organizations
(Zelentsov and Petrikevich, 2006). Moreover,
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Fig. 1. Assignments of the ISS JSC unified functional center for personnel management
we believe that vocational guidance will play
more important role because the labor market
is developing and teenagers are getting more
vocational opportunities, and the potential labor
contingent now is not restricted by the limits that
were inherent in the times of undisclosed towns
and planned allocation of the graduates.
Within the vocational guidance framework
many things are inherited: advanced learning of
physics and mathematics at schools is encouraged,
regular meetings of the company’s experts with
pupils, parents and teachers are provided; lectures,
school subject olympiads and other competitions
are organized, etc. The centers for vocational
guidance are Lyceum №102 and «Astronautics
School» – the Educational Center that works with
gifted children and talented youth. Company’s
tight relations with preliminary vocational
training institutions – Professional Lyceum №10
and Professional School №47 – allow carrying
out schooling of young workers in line with our
purposes. Our experts supervise target students
in these two institutions, and with the approval
of the authorities, students’ curricula include
special courses consistent with their future work
for the company. Lyceum students perform
their works and do pre-diploma practices in the
company’s subdivisions. The same scheme works
for SibSAU and SFU students who also carry out
their diploma works on problems suggested by
the company.
Within the first working year after graduating
young specialists must pass compulsory
coaching according to their individual plans.
Besides, target classes are organized for them
in order to get more acquainted both with the
company’s organizational structure as a whole
and the problems that are typical for its particular
subdivisions. After the first and the second years
of their employment at ISS JSC young specialists
must prove their final certification, the results of
which allow the management board to make a
decision whether acknowledge their professional
skill improvements or not. In this way the company
carries out necessary additional development
of young specialists along both narrow-profile
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technical directions and more general fields of
business ethics and communication.
Professional training and skill improvement
that the company’s employees have to deal with
are carried out in order to: (1) maintain the
professional level and qualification of personnel
in view of the current industry requirements
and growth prospects for ISS JSC; (2) develop
personal valuable qualities of employees and
provide necessary conditions for their professional
growth and self-realization; (3) raise professional
competence of the employees; (4) provide their
value to meet the industry needs and prospects
of the company development; (5) improve their
proficiency and skills necessary for effective
work.
The structure of professional training and
skill improvement includes: self-education which
is carried out by self-study of special professional
literature and by getting acquainted with the best
world practices known in the sphere of trainees’
professional interests; internal study in the
form of permanent seminars and courses on the
current technical problems and key directions of
the company’s activity; distance education as an
opportunity to swiftly get knowledge in the most
significant professional areas; target training both
at high-schools focused on preparation of required
specialists and in the courses or seminars aimed
at professional skills development.
Personnel training and improving professional
skills are carried out according to the internal
company standards titled «System of Quality
Assurance and Quality Control: Personnel Study,
Professional Skill Development and Certification
of Persons in Charge. Essential Regulations». The
standards are designed by ISS JSC experts on the
basis of the standard programs recommended by
the Russian Ministry of Education and Science
and includes the mandatory introduction of a
special part describing the company specific
performance. According to the standards, the
curricula and examination cards are reconsidered
each five years to meet the changing requirements
in professional training and corresponding
professions’ qualifying characteristics. They are
then verified by the General Director’s assistant
(chief engineer).
The company’s skilled experts, welleducated
high-skilled
employees
with
wide teaching experience and top working
achievements are engaged as teachers in
professional training, professional skills
development and supervision of engineering
practice. In order to increase the effectiveness of
teaching annual upgrading qualification courses
for teachers themselves are organized. Training
and development of workers’ professional skills
are carried out either individually (training at
a workplace) or in groups (in-service training
courses). Training can also be taken in the
specialized instructive center.
Training and professional skills development
for persons in charge and experts are carried
out in accordance with individual professional
training programs both in the special in-service
training courses (annual courses to improve
qualification) and in external in-service training
institutes for professional skills development or
other organizations. The necessity to carry out
individual professional training for persons in
charge and experts, as well as forms of training,
its place and terms are designed by the company’s
experts who work with personnel as agreed with
those persons who are responsible for appropriate
structural subdivisions or heads of appropriate
departments.
4. The concept of united educational
sphere within the company’s
personnel policy
Long-term experience of work with human
resources allowed formulating the concept of
united educational sphere (Kukushkin et al,
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2009) that is put into practice at the unified
functional center for personnel management.
The concept says: Innovative orientation
aimed at the company’s economic growth is
based on continuing professional training of
the company’s staff which in turn is based on
profound integration of all the training stages
under industry conditions; it makes use of the
concentric principle for the organization of
professional requirements’ content and is based
on differentiated approach to personnel training
and development.
The concept of united educational sphere
aims at developing competitiveness of space
industry workforce – people who must be
capable to respond to diverse current challenges
of scientific and technological progress. Several
main principles were put into the concept’s basis,
that is, the principles of continuity, consistency,
consecutivity, completeness of professional
training at each coaching stage, poly-synchronism
(combining strategically perspective and
current tasks), versatility, multi-gradualness,
multi-functionality, interlinking of educational
programs.
The crucial idea incorporated in the concept
is the idea of social partnership. Theoretical
regulations include the following issues:
1) Integration of all the training stages
within industrial background is the best way
to increase the professionalism of personnel.
It allows establishing professional training
directions essential for both working out strategic
and perspective problems facing the company
and solving its current tasks.
2) The concentric principle for alignment
of the professional requirements’ content
allows describing the process of professional
training in terms of the competence rise in the
professional cycle directions which enables
to achieve the higher level of skills at each
schooling grade.
3) The differentiated learner-centered
approach allows organizing certification of
the personnel stage-by-stage at each phase of
training.
Practical management is carried out within
the framework of the personnel training and
retraining system (staff strategy) basing on the
existing system designed for educating engineers.
It focuses on the following aims: to create a
multilevel system of requirements to professionalpublic certification of personnel skills; to use upto-date industrial and educational technologies
for professional training; to develop a new series
of instructive textbooks on contemporary space
technologies, training and supervising programs
for the system of the staff’s professional skills
improvement; to create an advanced system
of branch inter- and intra-high-school centers
on the company’s basis; to support national
and international integration of space industry
enterprises and high-schools.
The following official documents were
regarded as sources for the concept: The Concept
of Russian Education Modernization up to 2010;
The Federal Target Program for Education
Development; The Law of Education; The Labor
Code; The System of Experts’ Certification in
the Engineering Structure; The System of Social
and Economic Stimuli Aimed at Professional
Growth and the Status of Engineering Work
Rise; The System of Continuous Professional
Skill Improvement in In-Service Engineering
Training.
Orientation of the personnel policy toward
social partnership presupposes both the goalaiming and rise of motivation within professional
training. It demands new approaches with regard
to information supply, pedagogical analysis,
planning and organization, control and regulation
of all the related activities. For these purposes
special mechanisms are required, which include
interacting with aerospace high schools and other
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space industry organizations; inter-departmental
coordination of personnel policy; forming of the
system of professional-public certifications for
employees; etc.
5. Conclusions
In spite of the fact that little by little Russia
becomes nothing but a row-materials resource
for technologically more developed nations,
Russian space industry goods and services are
still of the few that match the level of the world
space industry standards. The enormous material
potential built for more than half a century due
to the colossal government investments, as well
as strong human resources created by several
generations of researchers and engineers still
make space industry stand second to none.
To keep this high level, very important
measures should be taken in the sphere of
personnel development. The essential element
of any space enterprise’s policy is continuing
professional education that can train the staff
capable to work in the situation of permanent
technological innovations and, above all, support
engineering creativity.
Much is being done to develop the ISS JSC
own continuing professional training system.
Since all the company’s performance is reoriented
toward the market, the ISS JSC management board
sees some prospects of its further development in
market-oriented type training system. However,
the current training system inherited many
significant features from the past, which should
not be underestimated.
Although ISS JSC training system belongs
mostly to technical education, it is learnercentered and its humanitarian component is
strong. The company personnel policy declares
that “individuals who are able to create the most
progressive high-intellectual space machinery
have always been the company’s foremost
value”.
Acknowledgements
We are grateful to all the ISS JSC
management board that supported writing this
article and particularly, interpretation of the
current processes within the ISS JSC professional
training. We thank them for their decision to
recommend this paper for publication.
References
C. Bonnard, J. Paul, French engineering graduates in corporate Research and Development,
European Journal of Engineering Education, 6 (2009), 593 – 603.
B. Fedorov and В. К. Baltjan, Providing personnel for the stable development of the militaryindustrial complex, Aerospace education and the problems of youth. MGTU Bulletin, 3 (2001),
57-71.
S. A. Filatov, Continuing professional training system forming within the context of knowledgebased economy. (Novosibirsk: NGUEU Press, 2005, 63. p).
I. M. Ilyshev and V. Y. Putilina, Alternative approaches to the value of outstripping innovative
schooling, Journal of Engineering Education (Tomsk), 4 (2007), 29–37.
S. G. Kukushkin, Development of a continuing professional training system at ISS JSC, Siberian
Journal of Pedagogy (Novosibirsk), 3 (2010), 123-128.
S. G. Kukushkin, M. V. Lukjanenko, and N. P. Churlyaeva, Integration of education, science
and innovative activity within the ISS JSC personnel policy concept, Proceedings of the all-Russian
conference “Higher Professional Training Quality Improvement”, (Krasnoyarsk: SFU Press, 2009),
69-74.
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Sergey G. Kukushkin and Natalya P. Churlyaeva. Development of a Continuing Professional Training System...
S. G. Kukushkin, M. V. Lukjanenko, and N. P. Churlyaeva, Integration of high-schools, research
institutes and industry within the ISS JSC sphere of activity, Proceedings of the all-Russian conference
“Higher Professional Training Quality Improvement”, (Krasnoyarsk: SFU Press, 2010).
ISS web-site: www.iss-reshetnev.com.
V. V. Zelentsov, B. B. Petrikevich, Vocational guidance as a constituent of integrated professional
training within the “School-College-Enterprise” system (Moscow: MGTU Press, 2006).
Развитие системы непрерывного
профессионального образования
ОАО «Информационные спутниковые системы»
и некоторые связанные с этим проблемы
С. Г. Кукушкинa, Н. П. Чурляеваб
a
Зам. ген. директора, руководитель единого
функционального центра по управлению персоналом
ОАО «Информационные спутниковые системы»
Россия, 662972, Железногорск, ул. Ленина, 52
б
д. п. н., проф. каф. систем автоматического управления
ГОУ ВПО «Сибирский государственный аэрокосмический университет»
Россия, 660014, Красноярск, пр. Красноярский рабочий, 31
Приведены этапы и некоторые проблемы развития системы непрерывного профессионального
образования ОАО «Информационные Спутниковые Системы» при переходе от плановой
экономики к рыночной. Представлены схема обучения персонала ОАО ИСС и концепция единого
образовательного пространства в рамках кадровой политики предприятия. Рассмотрены
некоторые направления деятельности единого функционального центра по управлению
персоналом.
Ключевые слова: профобразование, профориентация, непрерывное образование, кадровая
политика.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 779-791
~~~
УДК П316.444.5
Intraorganizational Mobility
in Post-Soviet Enterprises
Maria G. Burlutskaya*
Ural State Pedagogical University
26 Kosmonavtov av., Yekaterinburg, 620017 Russia 1
Received 3.06.2011, received in revised form 10.06.2011, accepted 17.06.2011
This paper studies the interaction of restructuring processes and changes in the internal labour
markets and flows of intrafirm mobility at post-soviet enterprises. Using data from case study of two
Ural plants, we attempt to define the models of intraorganizational mobility which have been formed at
the enterprises during their adaptation to the market. The approach focuses both on the modification
of multi-layered post and management structure and on the processes of formation and action of rules
that regulate the ascent of employees.
We come to the conclusion that intraorganizational mobility does not fully depend on changes in the
external labour market; it is determined by the administratively fi xed formal and informal rules, the
practice of labour relations that have formed within the enterprise. Our study shows the application
of both the protectionist and the contest models of activity within the organization. Recruitment to
the top management posts has protectionist features in all the cases. As for the general tendencies of
intraorganizational mobility, during crisis periods when enterprises had to survive the contest model
is clearly discerned. This model is partly retained in the following period of adaptation to the market,
but here we see that elements of protectionism come to the fore in relation to some employees.
This paper was prepared within the framework of “Economic and Social Consequences of Industrial
Restructure in Russia and Ukraine” project financed by the European Comission.
Keywords: intraorganizational mobility; intrafirm mobility; internal labour market; professional
mobility
Introduction
An enterprise may be viewed as an institute
of mobility, a very important one that to a great
degree determines social class differences in
industrial and late-industrial society (Bell, 1973).
Western sociology, economy and management
have the long-standing tradition of studying
intrafirm mobility: the processes analyzed by
economists within the framework of the concept
of the internal labour market are studied in
sociology as processes of intraorganizational
*
1
mobility: its factors, trajectories, and the ascent
opportunities of its staff (Doeringer et al., 1971;
Bartunek et al., 2008).
The “old” Russian enterprises that existed
prior to the economic reforms of the 1990s,
“inherited” the Soviet system of labour relations
with its patronizing, the practice of “lifelong”
employment, and prevalence of non-financial
mechanisms of labour incentives. But the
restructuring that all more or less successful
modern enterprises had to go through under
Corresponding author E-mail address: mary-bu@yandex.ru
© Siberian Federal University. All rights reserved
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the influence of “market pressure” has actually
changed the “rules of the game” in the internal
labour market.
In the past two decades the development
of Russian enterprises has undergone a number
of periods: 1. survival; 2. adaptation to work in
market conditions; 3. developing or maintaining
the achieved positions. During each of them we can
discover specific changes of intraorganizational
mobility. So, the objects of study in this paper
are the interaction of restructuring processes and
changes in the internal labour markets and, as a
result, the flow of intrafirm mobility.
Materials and Methods
The research has been carried out in
accordance with case study methodology, in
addition to which various methods of collecting
information were used: analysis of documents
that pertain to personnel policy, the development
strategy of an enterprise; the formation and
analysis of the data base on personnel ascents
as they are reflected in personnel department
documentation; in-depth interviews with
managers of various levels and sectors, with rankand-file employees; structured interviews with
selected employees that represent the enterprise
structure.
The reasons for choosing certain
enterprises were the following: all of them
were established in the Soviet period and in
the 2000s underwent important organizational
and managerial restructuring. We have chosen
two “old” Ural enterprises as the subject of
our research. These two enterprises belong
to different industry branches and this factor
enables us to name them “Khimzavod”
(chemical factory) and “Mashzavod” (machinebuilding factory).
Both factories were established in
the 1940s-50s and have a lot in common.
Manpower at these enterprises does not
exceed the average, numbering not more than
1000 people. To note, both enterprises have
decreased the number of personnel compared
to the Soviet period – now there are from 4 to 5
times less employees. This factor is connected
with the depression that took place in the early
mid-1990s. However, today these factories
have been modernized, at any rate, we see
many attributes of “advanced” management:
significant effort and means have been put
into investment and purchasing of up-to-date
machinery, the enterprises have been certified
with ISO, their top management has been
trained at new business schools etc.
Both factories began their active
development period in the early 2000s together
with the Russian economy, but the conditions
for this development had begun to form earlier:
it was in the early 1990s that both enterprises
introduced a number of managerial innovations
that can be conventionally called “a turn towards
the market”, which actually was the beginning
of a significant restructuring process. But these
processes and their consequences, including
those that occur at the internal labour market,
turned out to be absolutely different in the two
factories that have been studied.
From the present research point of view, it
is a great luck that our analysis enabled us to
describe two different restructuring models,
two different approaches to how “the Soviet
legacy” can be transformed. One of the options
(Mashzavod) gave us an example of an attempt
to combine a “market” orientation and an
updated management structure with what was
in fact the Soviet system of labour relations
and, in particular, a model of the internal labour
market. The other variant (Khimzavod) totally
rejected Soviet practice and actively introduced
Western management set-ups with their practice
of internal ascent, evaluation and incentives for
employees.
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Results
Ascent of employees in the internal labour
market takes place along two main axes of
mobility: professional (career) and the economic
one (which means pay changes) (Mayer et al.,
1987). As a mobility institution, an enterprise
may be viewed in two aspects: structurally, from
the point of view of the ascent possibilities that
it provides, which are the number of positions,
their complexity and the multi-layered structure
of management and the posts to be held there,
plus its dynamics. Secondly, an enterprise may
be viewed as a field of formation and action of
rules that regulate the ascent of its employees
(Burton et al., 2007). To be more precise, who
is to be selected for promotion, what personal or
professional criteria are important for ascent in
the internal labour market, what the employees
may be punished or dismissed for. Some of
these rules are fixed formally while others are
formed by everyday practice of interaction that
determines the chances of intraorganizational
mobility for each employee.
Speaking about the structure of the factories
that have been studied, on the whole, it is similar.
Both enterprises have a three-level management
structure with linear management on the lowest
level (foreman, team-leader), medium-level
management (shop and sector managers) and
top management. Functional division is typical:
production is separated from the sales and the
administrative sections, and there is a division
into the main production process and the
subsidiary services.
It is of interest to note that in the process
of restructuring both factories tried in a greater
or lesser degree to introduce elements of matrix
structure. Khimzavod introduced divisional
structure with a certain degree of independence
for the divisions by letting them have their own
sales sector and index of economic effectiveness.
Later, however, the idea was abandoned.
Mashzavod went even further by forming
independent juristic units out of some of the
sectors, but leaving the a common internal labour
market, so that managers could move from one
enterprise to another, and new managers could
be recruited from “neighbouring” structures,
this being the usual practice. In the long run
the institutional framework of mobility at the
enterprises is determined by the traditional
hierarchic structure built along functional lines.
The management structure of this type to
a great degree determines the specificity of the
internal labour market at Russian factories: the
presence of a barrier between the production
and the non-production sectors is one of their
features. One can actually speak about different
labour markets for each of these categories of
employees, where internal mobility, as a rule, is
limited by the framework of its own professional
group that occupies certain posts.
A configuration of management structure
such as this gives the widest career possibilities
for the employees of the main production
sector. To begin with, it is connected with the
longest “staircase” that includes qualification
competence categories and possibility of
growth along the “team-leader – foreman / shift
foreman – shop manager” line. One spectacular
example for Mashzavod is the following: a person
began his career in 1974, became a foreman in
the Soviet period, then after graduating became
a shop manager. In the 1990s when many people
quit the factory, those young managers who were
able to work in the new conditions got promoted.
Our protagonist became a deputy head manager
of production and monitored one of the main
production lines. Then he continued to hold this
post when the production line became a separate
branch. He has been holding this post up to
this day. Another example of typical career for
Khimzavod is the following: a person came to the
factory in 2001, at a quite young age (40). Got
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Table 1. Mobility level of personnel at the factories from 2000 to 2009*.
KHIMZAVOD
Mobility %
Number of
of the sector
transfers per one
employees
mobile person
The total of the factory
employees
Main production process
Subsidiary production process
Specialists in administrative
sectors
47,5
МASHZAVOD
Mobility %
Number of
of the sector
transfers per one
employees
mobile person
1,8
41,4
1,9
70,4
1,7
52,6
1,9
29,9
1,2
21,6
1,8
35,0
1,4
46,8
2,0
* According to the study of the employees’ personal records, the material from the personnel department, only
the vertical transfers were recorded when a person occupied a new post, or received another category or rank (for
workers).
employed as a qualified worker, but it is worth
nothing that he had higher education and working
experience in the military sphere. The next year
he got promoted to a higher post; he became a
medium-level manager (bypassing the linear
management stage), the latest reorganization
brought him the post of deputy director-general.
Our studies revealed such career growths, both
in the Soviet period and recent time. However, a
rather significant difference between the factories
has been noticed. Mashzavod has quite a number
of such “old” careers, whereas Khimzavod has
more new ones.
The enterprises that have been studied
have good mobility chances for the production
personnel due to the specificity of their sphere of
work: as we have already noted, both enterprises
underwent difficulties when searching for
production specialists in the external labour
market. That is why both factories deliberately
stimulate internal mobility of the main production
personnel by introducing specialized programs
to stimulate development of these workers: a
personnel reserve (Khimzavod) and support for
the young employees (Mashzavod).
In addition to the vertical mobility, which is
rather limited for this category of employees, we
can make note of the privileged position of the
highly qualified production personnel. They are
instructed, so they feel that they are important
and valued.
As a result, it is the production personnel that
are mobile, especially at Khimzavod. Analysis of
the database of the personnel department sheds
light on some certain tendencies of internal
mobility of various categories of employees. The
maximum mobility level was noted in the main
production sectors of Khimzavod – 70.4 % of the
employees of these sectors survived the upheavals
of the 2000s. Mashzavod shows a similar tendency
but with a bit less mobility – 52.6 % (see Table 1).
However, at both factories half of the transfers of
workers have to do with ascent.
At Khimzavod the system of giving
the workers a higher rank is of a regular and
systematized nature – each year they go through
a planned qualification competence test, which
includes a theoretical exam and a task, with
their immediate superiors and colleagues giving
them references. If the result of the qualification
competence test is good they may be given a higher
rank: “If you want to raise your qualification level
here, you have at least to pass a test. This testing
enables you to apply for a higher rank. And of
course then you will be paid more” (worker,
Khimzavod).
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Mashzavod has no system of testing
qualification competence, but you can apply for
a higher rank: “we have a tariff and qualification
commission, it gives you a rank and the certain
rank of each person is confirmed” (worker,
Mashzavod). Here we may point out that in the
crisis conditions the ranks rise is not stimulated,
it is even impeded. That means that, theoretically,
such a possibility does exist, but in practice ranks
are not raised: “A test in qualification competence
is a motivation: if you go through it you raise your
rank and your salary. At present the enterprise
has no such possibility. On the contrary, the
task is to reduce wages” (head of personnel
department, Mashzavod).
One more category mobile personnel:
the specialists
Mashzavod is the place where specialists
have good mobility opportunities. One can see
a clearly protectionist position towards young
specialists there. This trend is a deliberate policy,
which began to show itself in the early 2000s,
when ageing of personnel at the enterprise became
a problem. It was at that time that the decision
to attract and keep young specialists was taken.
The management was looking for them among
school leavers, a special program to support the
young specialists had been created (this fact has
already been mentioned). “Rapid” career ascent
is a characteristic for young specialists who came
to this factory. Here is an example: a manager of
construction sector came to the factory while still
a student in 2004 as engineer-constructor. Ascent
due to his activity and high motivation, he was
a good organizer: “the first time I was promoted
because… the sector manager that had been here
before me needed some kind of administrative
help with the interaction issues. He was more of
a man of science… so he made me his assistant,
so I got a new post, I became a deputy sector
manager. After that it all went naturally, I had
to look into quite a number of questions, to go
to business trips, work with clients, etc.” This
example is possibly the most striking, but it is
quite typical for enterprises – the 2000s saw a
great number of managers being changed. For
some of them these transfers turned out to be
rather intensive – when the sectors got separated
and became branches of the enterprise these
people became their directors (as in the case with
the electronic advertising sector, the IT sector).
It is significant that restructuring opened up new
possibilities for specialists’ careers – the sectors
were reorganized, some directions of work and
the sectors that went with them were developed,
they grew in size and it was in these conditions
that the young and energetic specialists ascended.
However, as the employees thought, this period
came to an end very quickly, and at present the
“top position” for the specialists is that of a
sector manager: “at that period when we had all
those reorganizations, there were possibilities
for career growth, but now, during the last
2 years… I have a feeling that “the green light”
has somehow faded. Actually that’s true, because
reorganizations have stopped” (sector manager,
Mashzavod).
The attitude towards specialists at Khimzavod
is quite different – they are not viewed by the
management as a social policy priority: we have
personnel with a standard qualification – lawyers,
accountants. They do not interest us too much at
the moment. We are interested in the production
personnel” (top manager, Khimzavod). Besides
that, there is a practice of hiring sector managers
from the outside, the same goes for managers of
non-production branches (personnel department,
sales department, financial department, etc.).
This means that career possibilities for specialists
working at the enterprise are from the very start
limited because they are excluded from contests to
occupy vacant posts of sector managers. The same
goes for the sector managers themselves because
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they see no perspectives of growth. One of the
departments of the enterprise may be cited as an
example: sector manager, who had been working
for the enterprise since 2003, was accepted to the
post of manager. Prior to that he had taken part in
the reorganization of the factory as a consultant,
and was taken on when the work on the project
had been over. There are constant changes in
the sector staff. The hiring policy is about new
specialists without work experience being chosen
from the external labour market, so that their
pay is low. Nobody does anything to make them
more loyal to the enterprise, the management is
indifferent to the constant change of employees
in the sector: “young girls were taken on as
economists, sometimes without any experience
whatsoever… their salary was low, but that’s how
they learned, they acquired experience. In about
three years’ time they quit, some stayed longer,
they quit and found better-paid jobs”
Thus we see that intrafirm mobility for
the specialists at the enterprises that have been
studied is quite at variance: at Mashzavod there is
a stronger tendency towards internal employment
of sector managers and career growth for
specialists is stimulated. At Khimzavod, on the
other hand, professional ascent for specialists is
considerably limited both by the general attitude
of the management towards this category of
personnel and by the practice of employing
sector managers from the outside. The result is
clearly seen in the transfer statistics (see Table 2):
at Mashzavod. In the 2000s, practically half the
specialists changed their posts, with one mobile
person having about two transfers. At Khimzavod
change of posts was recorded only for a third of
the specialists, the average number of transfers
being 1.4. It is important to note that for this
category of personnel career possibilities are
valuable from the professional point of view, and
it can be used as criterion for evaluating the place
of work, as our research shows: at Mashzavod it is
the specialists who are to a great degree satisfied
with their work (85 % are satisfied or almost
satisfied). At Khimzavod the specialists are less
satisfied than the production personnel and the
reason they give is low salary and the absence of
growth perspectives within the enterprise (this
reason was given as the main one by 1/5 of the
specialists).
Workers of the subsidiary sphere of
production are at the periphery of the internal
labour market.
Both studied enterprises actually do not
see this category of personnel as of interest for
the personnel policy they pursue. Of course,
this category of personnel also has some level of
mobility (see Table 1), but it is much lower than
in the other sectors, and transfers are usually
connected with the fact that tariffs for certain
posts become higher, though responsibilities are
not much altered due to ascent.
To pass over from the structural conditions
of intraorganizational mobility to rules and
norms that are regulated by the internal labour
market, first of all it is necessary to stop on the
system of remuneration, of bonuses and their
absence. The common factor for both enterprises
in this sphere is the differentiation in the ways of
fixing incentives for the production and the nonproduction personnel, as well as innovations in
the sphere of remunerations that are, by the way,
directed towards the solution of certain set tasks.
Traditionally, in both factories the workers
and the specialists were paid by the hour with
a permanent unchangeable part being paid
regularly according to the tariff or a person got
paid for the post he/she held, plus the bonus.
The ratio of the permanent part and the bonus
in different sectors was different. What was
common for all was that bonuses were paid
without the real results of work being taken into
account. Bonuses were withheld only if rules of
discipline were seriously broken.
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In the period of adaptation to the new
conditions of the market both factories reviewed
their methods of payment, this factor mainly
concerned the production personnel. The aim
had not changed – the quality of work still served
as an incentive, but organizationally the two
factories solved it in different ways.
Khimzavod is introducing the KPI system,
a system of indexes, which helps to differentiate
the amount of the bonus: “quality, output, wastes
and discipline, before we had simply the bonus.
The amount depended on the output and what
was agreed upon when they took you on, for this
category you got so much, for that one that much”
(foreman, Khimzavod). The new system of pay
changes the relations within the internal labour
market, because it leads to greater economic
inequality. Theoretically, now the worker can
influence the level of his/her remuneration. But
there is a disadvantage: most of the workers don’t
understand what this new system of payment is
all about. At any rate right now only 1/3 of the
workers in the main production sphere (linear
managers, mostly) can definitely say that they
understand it. On one hand, the situation is typical
when innovations are introduced, on the other
hand, the system is really complicated – there
are several indexes, each of them having its own
significance for the amount the bonuses amount.
In other words, its transparency and convenience,
so obvious to the managers, is incomprehensible
to the workers and their perception of it as being
fair is still a big question.
When the new system of payment was
introduced at Khimzavod, the deprived category
of employees was again the specialists. They do
not feel that their salary depends on the results
of their work: “we have always had a system of
fi xed payment, last year they decided to work out
a system of motivation for each post, they thought
a bit and worked it out, but it has not been
introduced” (manager of economic department,
Khimzavod). Most specialists (actually one in
four) feel that their pay does not correspond to
their qualification and the effort they put into
their work. One exception is the sales department
where the motivation system is clearly defined:
“we all have corporate bonuses that are aimed
at definite set tasks. In addition to corporate
bonuses, we all like to go bowling, which is also a
part of it” (sales manager, Khimzavod).
Bonuses for top managers include the
corporate share (if the sales plan has been
fulfilled by 96 %), and a part of the bonus is for
your personal gains – participation in projects, for
example. Besides, combining posts is stimulated,
so are refresher courses, knowledge of English,
etc.
Starting from the 2000s Mashzavod has also
tried to connect the workers’ wages in the main
production sphere to the quality of their labour.
Actually the system is very simple – you might
be deprived of your bonus if there are problems
with quality of the commodities produced, a fact
that is registered by the Section of Technical
Control, or if the clients complain. “Our bonus is
practically 40 % of our wages, 20 % of which is
for the production plan and some other functions,
and 20 % is for quality. People have got so used
to it that it is almost like set wages, something
you get automatically. People are very seldom
deprived of their bonus, as a rule… it’s either the
product does not pass technical control or the
client does not accept it, when it happens that
the workers are punished” (production manager,
Mashzavod).
That is, the system of paying bonuses to
workers does not add any differentiations in
wages to the traditional one where wages are set
according to the rank. But here, as in some other
fields, Mashzavod has a non-formalized system,
which is a fund for bonuses with the bonuses
being distributed by the direct manager of the
worker. “We are allowed to use a small part of the
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whole volume of production. That is, we send the
made product to the warehouse, the percentage
is counted, and we are, say, given 30 000 rubles,
so we use this money to pay for the overtime and
other motivations are compensated this way as
well” (production manager, Mashzavod).
Until recent time, the specialists used to
have a similar system of receiving bonuses, but
in 2009 it was changed in the non-production
sectors and now it depends on the work results:
20 % is for corporate results, that is, whether or
not the factory has received any financial assets;
10 % for the results the sector has achieved, which
actually means that the work at hand is to be done
thoroughly and evenly, without interruptions. To
speak the truth, this type of bonus system does
not stimulate anyone, it is an undercover to lower
the salary of the specialists in crisis conditions
when the sales are not too high. That is how
quite a number of specialists see it: “the factory
managers are deprived of bonuses more often
than are the production personnel. And mind that
they use indexes that they can’t really influence.
That is how the bonus system with sales as the
criterion looks: quite a number of people are
“tied” to them, they can’t exert any influence on
the amount that is sold” (manager of economics
department, Mashzavod).
Thus, at the stage of reorganization, which we
call “adaptation to the market”, both factories began
to change their system of payment and bonuses,
while trying to solve the problem of quality control
of the goods produced and (secondly) to stimulate
the personnel. On the whole, the system of payment
becomes more market-oriented as it starts to
depend on whether or not the client is satisfied, as
well as on the sales.
As the other issues are concerned, Khimzavod
follows the path of maximum formalization and
systematization of the process. At Khimzavod a
lot remains on the level of “manual” management
and depends on medium-level managers. Both
factories, however, don’t have enough time to
put their innovations into practice, partly due
to the crisis, and partly due to the negative way
the personnel views the changes. As a result, the
switchover to new payment methods does not in
effect exert any influence on the development of
the internal labour market.
Changes in payment exert much greater
influence on internal mobility – it is this factor
that is viewed by the employees as a rise in
status, as positive dynamics. As it was shown in
the survey of the enterprises personnel, almost
all employees of the factories noticed a rise in
wages during the last three years. At Khimzavod
the peak was reached in 2007. This year was the
last when a mass planned 15 % increase in pay
actually took place – this system was in action
for quite a number of years, but in 2008 it was
cancelled. Nothing has taken place yet and there
is no total increase of wages, there are only
individual changes in the level of payment that
accompany the movement up the professional
“staircase” (see Table 2).
Mashzavod has a totally different situation.
Wages are never raised en masse at the factory. It
does sometimes happen that wages are increased
for some sectors, which the employees think is a
rise for everyone, because they usually compare
what they get with what their nearest colleagues
get. It is only the sector managers who know
the mechanism of wage increases, which in the
long run depends on the personal decision of
the director-general: that is, here again we come
across the combination of the authoritarian style
of management and of attempts to introduce some
market-oriented principles of management. “It all
happens thanks to me, I am the initiator, I write a
note in which I ask to consider the possibility. In a
talk with the head engineer I explain everything,
why it is so. The head engineer either supports
me or says that it’s of no use now, because it is
impossible, which means that we put it off till the
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Table 2. The reason for payment increase – the result of workers’ survey; the percentage of those who claim that
there was an increase.
Khimzavod
Mashzavod
Raising of rank
20,3
2,7
Raising of position
9,5
10,7
Increase in wages for the good quality of my work (rank or
position not raised)
Payment increase for everyone
10,8
16,0
52,7
61,3
Other reasons
6,7
9,3
Total
100
100
right moment comes. If there is an opportunity,
we ask the director-general to make the final
decision” (production manager, Mashzavod).
In 2008 quite a number of sectors got an
increase in payment according to this principle.
At the same time individuals could get a rise
if the manager put in a word for them, it could
be for some work done or on the initiative of the
worker if they have the courage to speak up for
themselves (of course, this can be done only by
the employees who know what they worth). We
have come across such cases in our study as well.
Specialists, workers and managers may be cited
as examples here.
Thus, employees of both factories more often
noted increases in wages en masse (“everyone got
a rise”). A payment increase for some personal
achievements is seldom recorded. At Khimzavod
in the last few years such an increase was given
to many workers of the main sector, along with
the rank rise. At Mashzavod a rise in payment as
a result of ascent or for personal achievements
was felt only by the managers (60 % of this
group), and much less by the specialists (1/3 of
the group). At Khimzavod, besides the managers,
a rise in payment as encouragement of personal
achievement was noted only by the sales
specialists.
But on the whole the employees do not
feel that this differentiation in payment is just.
At Mashzavod only 15 %, and at Khimzavod
only 20 % consider the pay for the work they
do adequate to the effort they exert and to
their qualification. The problem of whether
the employees think that they are fairly paid
or not, and whether they are fairly promoted is
very important for the formation of the feeling
of satisfaction by the work that is done, and for
loyalty to the enterprise.
One may notice a discrepancy in the way
norms are reconsidered, those norms that
regulate social mobility along the axis of income.
Khimzavod, at least on the level of declarations,
is oriented towards stimulation of individual
results, the activeness of the workers. Now that
it has rejected the system of social benefits,
and almost all the non-material incentives of
stimulating the employees, differentiated system
of payment for the work done and a transparent
set-up for increasing pay definitely must be
introduced. However, at present nothing of the
sort is happening for most categories of workers
(the only exceptions are managers and sales
departments).
Meanwhile Mashzavod still retains the
system of social benefits, and is, on the whole,
oriented towards the patronizing attitude to
the personnel, and logically speaking it should
have retained a uniform system of payment and
a planned increase of wages en masse. But it
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Activity of intraorganizational mobility within various periods of the factories development (1998-2009). Analysis
of the personal, material from the personnel department. With the change of post, category or rank (for workers)
only vertical ascent has been recorded
is here that increase in wages to a great degree
depends on the initiative of the worker himself or
his manager, though the final decision, quite in
the patronizing key, is made personally and at the
moment considered right by the director-general.
Here we can come to the conclusion that
restructuring influences the internal labour market
and intraorganizational mobility is intensified
more thanks to structural transformations, and
not due to a targeted personnel policy. Processes
of intraorganizational mobility are strengthened
mainly in the periods when important
technological and organizational changes take
place, though they always lag behind in time.
At Khimzavod internal mobility increased in
2005, a year after some new equipment had been
installed. A typical career during technological
innovations period: a man came to the factory
in 2005 as a qualified worker, learned working
with the new equipment. Production processes
developed, new people came and they had to be
taught: “people came, my experience grew, new,
less experienced people came, automatically I
became their supervisor. Then there appeared the
post of colour matcher, we had no ranks then. The
managers thought up ranks for us, then they came
up with the senior colour matcher, then I became
a colour matcher manager, that is the foreman of
the sector”. At present our protagonist works as
the sector foreman, this last promotion took place
in 2008, during the period of highest mobility rate
at the enterprise. This period may be designated
as organizational restructuring of production
processes. An example of career growth at that
period: a man came to the factory in 2003 as an
apprentice worker, with higher education and work
experience on various posts, in a year became head
of the shift (this may be related to the first period).
He quit in 2005, went over to a rival company and
received a much higher post, in 2006 came back
as a shift manager, in early 2009 was appointed as
a manager of one of the production branches. “For
me it was a surprise, I couldn’t even imagine…
How did it happen? My manager asked me and
another fellow to come up to his office. We were
shown in and he said – so and so, gentlemen, the
party lays its hope on you… Where did those who
headed this sector go, I don’t know. And I’m not
really interested. What I have to do is to produce
a good product, no wastes”
At Mashzavod mobility began in 1999, a fact
that may be tied to change of director-general and
transfers of managers and the formation of a new
team. The second stage of mobility was in 2003
when organizational restructuring began, which
turned the enterprise into a holding. Finally, a
noticeable increase of ascent took place in 20072008, which was connected with the development
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of new trends and diversification of production.
We have already mentioned one of the examples
of career growth in these years – the career of
a young specialist, manager of the construction
department. To note, the factor that helped to
promote him was his active participation in
bringing a new trend to a commercial level, his
ability to set up relations with clients. An example
of a career of the first period: an employee came
to the factory with higher education and work
experience as a deputy manager of a sector. In
1.5-2 years of work the production manager in
the main production shop was dismissed and
our protagonist was asked to occupy this post.
“He [the former manager], most probably had
done something the director didn’t like, or his
qualifications were wrong and he was asked to
leave. Then they decided to try me… Why I was
chosen, I don’t know. I think it was just that I
happened to be at hand” (production manager of
the construction subsector, Mashzavod).
As we see, examples taken from Mashzavod
and from Khimzavod are very similar. In the
situation when production is developed and
technological transformations take place, those
people who take active part in the innovations
and can switch over to new formats of work
are promoted. In situations of structural,
organizational and managing transformations the
most important thing is, obviously, education,
training, work experience, management included,
even outside the enterprise. The impression is
made that the factor of “a new man” is important,
one that is not related to the previous managing
team, but is loyal to the enterprise.
The specific feature of Mashzavod is that
they have a team of top managers consisting of
only a few members, but their internal mobility is
very high – they are periodically “switched over”
to take responsibility for new, often numerous
problems and trends. Here is one very good
example: at present the deputy director-general
for production сame together with the new
director-general from his old place of work. He
used to work as a manager of sales department.
Then, when sales began to grow, he became in
charge for leasing territory, then our protagonist
was appointed the head accountant (having no
financial or economic education), then the head
of personnel department, then again – back into
the production process
This example (it is not the only one) clearly
shows that the factor of loyalty to the enterprise
and personally to the director-general was the key
one, as well as his ability to work in the team and
carry out all kinds of managerial tasks.
Conclusion
Western sociology has come up with several
models of intrafirm mobility, these models of
mobility depending on the rules and norms that
determine the ascent of employees within the
enterprise. Turner (Turner, 1960) pointed out two
types of intraorganizational mobility: contest
with its competition of experience and abilities on
equal terms to occupy the next higher post, and the
protectionist or sponsored one, when leaders are
discerned very early and their chances of ascent
within the organization increase. Rosenbaum
(Rosenbaum, 1984), who developed these ideas
and partly combined the models, offered a
“tournament model”, the essence of which is
that a career within the organization is based on
the principle of “a drop-out competition”, where
everyone has equal chance in the first stage, but
the next stages are only for those who “win”
the previous ones. That is, the higher post you
occupy, the more important is the experience of
the previous successful positional ascents.
The present study shows the realization of
both the protectionist and the contest models of
activity within the organization.
Recruitment to the top management posts in
all cases has a protectionist character – loyalty
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to the enterprise and to the director-general
personally turns out to be important criteria of
selection at both enterprises (which, of course,
does not exclude their being professionals, but it
certainly limits the opportunity of vertical ascent
for most employees). This type of model for
employing “top” managers is fully initiated by
the directors-general who, on the one hand, want
to make way for all innovations and, on the other,
it helps them feel more secure in the situation of
the risky Russian capitalism.
As for the general tendencies of
intraorganizational mobility and of transfers to
positions of linear and medium-level management,
in the period when enterprises had to survive, as
we think, the contest model is clearly discerned.
Partly because the benefits that accompanied
ascent in the mid-1990s were minimal, those who
ascended, in essence, were those who were ready
to work in the severe conditions and were loyal
to the enterprise. The chances are actually equal.
This model has been realized in Khimzavod
since 2004, when active introduction of new
equipment puts the employees in practically equal
situations – nobody knows how to work with the
new equipment and the person who shows more
interest, flexibility and aptitude towards learning
is the one who gets promoted.
This model is partly retained in the
following period of adaptation to the market and
development when the organizational structure
is transformed, when initiative and (to a lesser
degree) experience are valued. But here we see
that elements of protectionism come to the fore
in relation to some employees (it is graphically
seen in Mashzavod), because in the period of
innovations the most important factor is the
employee’s loyalty to the enterprise and to the
top management. Here we see a the tournament
model – those who have shown themselves to be
the best in their previous work ascend quicker,
then they ascend for the second time.
The protectionist model of mobility is
manifested in conditions when there is a deficit
in the labour market and it is introduced into the
personnel policy of factories deliberately. Here we
mean the program of young specialists’ support at
Mashzavod and the program of personnel reserve
at Khimzavod. Those categories of personnel
that are important for the development of the
enterprise are being promoted purposefully. The
suitable people are taken note of at the moment
when they are still rank-and-file, thus they are
given chances of mobility. Today at Mashzavod
where the program has been in progress for
several years already, we can see examples of
successful career ascent of young specialists
whom the protectionist policy helps to keep
in the enterprise and helps make them loyal to
the factory. At Khimzavod there are as yet no
examples of career ascent of representatives of
the “personnel reserve”, but, obviously, it is a
matter of time, because the program has only just
been introduced.
Analysis of transformations in the personnel
management of industrial enterprises in conditions
of transitional economy lets us suppose that the
models of intraorganizational mobility do not
fully depend on changes in the external labour
market, demand and supply dynamics or cost
of manpower in the economy of the region. To
a much greater degree the logic of development
of the internal labour market is determined by
administratively fixed formal and informal rules,
the practice of labour relations that have formed
within the enterprise.
References
D. Bell, The Coming of Post-Industrial Society: A Venture in Social Forecasting. New York:
Basic Books, 1973.
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J. Bartunek, Zhi Huang, I. Walsh, The development of a process model of collective turnover.
Human Relations. January 1, 61: 5-38. 2008.
M.D. Burton, C. Beckman, Leaving a Legacy: Position Imprints and Successor Turnover in Young
Firms. American Sociological Review. April vol. 72, 2: 239-266. 2007.
P. Doeringer, M. Piore, Internal Labour Markets and Manpower Analysis. Lexington: Heath, 1971.
K.U. Mayer, R. Carroll Glenn, Jobs and classes: structural constraints on career mobility. European
Sociological Review, Vol. 3 No. 1. 1987.
J.C. McElroy, P. Morrow, E.J. Muller, Intraorganizational mobility and work related attitudes.
Journal of organizational behavior, vol. 17, 363-374. 1996.
J.E. Rosenbaum, Career mobility in a corporate hierarchy. Orlando, Fla.: Academic Press. Schein,
E. H. 1984.
R. Turner, Modes of social ascent through education: Sponsored and contest mobility. American
Sociological Review, 25: 855-867. 1960.
Внутриорганизационная мобильность
на постсоветских предприятиях
М.Г. Бурлуцкая
Уральский государственный
педагогический университет
Россия 620017, Екатеринбург, пр. Космонавтов, 26
В статье рассматриваются процессы внутриорганизационной мобильности на разных стадиях
реструктуризации постсоветских предприятий. Статья написана на базе кейс-стади на
двух уральских заводах и рассматривает предприятие как институт мобильности. В центре
внимания – изменения должностной структуры и правил продвижения в ней (как формальных,
так и неформальных), которые меняются в ходе адаптации предприятия к рынку. Как показало
наше исследование, модели внутренней мобильности предприятия, развитие внутреннего
рынка лишь отчасти зависят от изменений на внешнем рынке труда, динамики спроса и
предложения и стоимости рабочей силы в экономике региона. В гораздо большей степени
логику развития внутреннего рынка труда определяют формальные, административно
закрепленные и неформальные правила, практики трудовых отношений, сложившиеся на
предприятиях. Мы обнаружили, что на предприятиях реализуется протекционистская
и конкурентная модели мобильности. Рекрутирование на позиции топ-менеджмента во
всех случаях носит протекционистский характер. Что касается внутриорганизационной
мобильности в целом, то в кризисные периоды преобладает конкурентная модель, в периоды
развития и стабильности начинает проявляться и все более распространяться потекционизм
или, как вариант, модель турнира.
Авторы благодарят Европейскую комиссию за финансовую поддержку, предоставленную
в рамках проекта «Экономические и социальные последствия реструктуризации в России и
Украине».
Ключевые слова: внутриорганизационная мобильность, внутрифирменная мобильность,
внутренний рынок труда, профессиональная мобильность.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 792-804
~~~
УДК 168.522 + 323.1
Symbols of Post-Soviet
Buryat National Consolidation
Tatyana D. Skrynnikova and Darima D. Amogolonova*
Institute for Mongolian, Buddhist and Tibetan Studies,
SB, Russian Academy of Sciences
6 Sakhyanovoi, Ulan-Ude, 670047 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
The paper presents the findings of research that constitutes a part of a larger project titled “Buryat
Ethnicity in the Context of Sociocultural Modernization”. This is the first time scholars studying
Buryatia have undertaken such a comprehensive research on the question of the relationship
between the Buryat ethnic consolidation integration and sociocultural modernization. The complex
methodological principles introduce new ground for scientific discourse to analyze the processes
of national-cultural revival far beyond the Buryat topic. The research of ethnopolitical processes
analyzes: (i) elites’ activities directed at re-ethnicization; (ii) coexistence and opposition of national
(ethnic) and Russian (civil) identities by placing ethnicity in the first place within the hierarchy of
ideological, public, and individual identities; construction of a so-called boundary identity that
implies a separation from Russia and an affinity for other historical and cultural groups; and (iii)
identification of distinct stages in discourses of ethnicity. The authors argue that sociopolitical
discourses in Buryatia are ethnonationalist and ethnoregional with simultaneous recognition that
political processes among Buryats occur in the conditions of recognized identification within Russia,
which nevertheless loses in competing with ethnic identity.
Keywords: Nationalism; ethnicity; re-ethnicization; historical and cultural memory; desecularization
Introduction
In the last two decades sociopolitical changes
in Russia have produced new social practices
and national consolidation construction efforts
made by the members of the Buryat intellectual
elite. Today, the preservation of Buryat national
culture has become a key political issue in the
agenda of de-ethnicization of the state structure.
The ethnic elite is expecting inevitable
assimilation and loss of cultural values. Our
goal is to identify the forms of Buryat ethnic
elites’ constructing ideologems/mythologems to
*
1
maintain ideas of history and culture that serve
as a base for national consolidation in public
imagination.
At
present,
Buryat
sociocultural
modernization includes active reconstruction
of the Buryat community according to some
principles based on ethnic kinship. Such
reconstruction is marked by materials and
instruments of ideological discourse as a subject
of history (especially the historical commonalities
that exist among Mongolian peoples); the territory
corresponding to those historical commonalities
Corresponding author E-mail address: amog@inbox.ru
© Siberian Federal University. All rights reserved
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(and legitimizing indigenous ethnic rights);
traditional culture (mainly, Buddhism and
Buryat language as the principal conditions
for re-ethnicization); ethnic consolidation; and
preserving and strengthening the political status
of Buryats1 within the Russian Federation.
Materials and Methods
In the present work we employ materials
from relevant scientific and public discussions,
such as the proceedings of the All-Buryat
Congresses (1991, 1996, 2003 and 2006),
roundtables on the problems of Buryat
statehood (UOBAD, 2003; Ulan-Ude, 2005),
pronouncements made at conferences, including
one called “The Tragic Date in Buryat History”
(Ulan-Ude, 2005); editorials and letters
published in such newspapers as Buryatia
(1992-2005), Molodezh Buryatii (1993-2005)
Ugaim zam (2003-2005) etc., materials from
the Archive of the All-Buryat Association for
Culture Development, as well as scientific and
popular literature and various cultural events,
both religious and secular.
The research applies the constructivist
paradigm methodology (Anderson, 1991;
Barth, 1969; Cohen, 2000; Gellner, 1983;
Smith, 1986) of contemporary social and
political anthropology in combination with the
system principle of social processes. According
to the constructivist paradigm, we understand
ethnicity as “a continuing ascription which
classifies a person in terms of their most
general and inclusive identity, presumptively
determined by origin and background as well
as a form of social organization maintained by
inter-group boundary mechanisms, based not
on possession of a cultural inventory but on
manipulation of identities and their situational
character” (Barnard and Spencer, 2003: 192).
This approach focuses on the situational and
contextual character of ethnicity to make
a clearer understanding of such political
dimensions as the formation of inter-group
relations, political mobilization and social
stratification. While constructivism satisfies the
needs of our research on contemporary Buryat
ethno-ideology more than any other theoretical
framework, we still cannot accept its concept of
“an imagined community” completely with the
reference to the historically developed ethnos.
At present, ethnos, even of a speculative and
“imagined” form exists due to the cultural
and political circumstances. Therefore, we
place ourselves in the position of moderate
constructivism. Besides, modern investigations
in culture, even regarding its politicization,
need semiological approach in combination
with the structural method (Lotman, 2001).
Results
As sociopolitical changes in Russia within
the last two decades gave birth to a wide array of
new social practices, Buryat intellectuals began
mobilizing efforts to reconstruct and revive
Buryat identity. An important issue at stake for
these elites is developing the idea of the Buryats
as a specific ethnic group, a process largely
shaped by the rejection of Soviet- era politics
and experiences. As a result, when constructing
Buryat identity today, national intellectual elites
use longer-term historical paradigms for selfidentification.
Recent sociological studies aiming to
measure ethnic identity in Buryatia demonstrate
in what way the elites are producing and
mobilizing ethnicity for the purposes of nationalcultural revival. One sociologist, comparing
the studies she had conducted in the Ust’-Orda
Buryat autonomous district in 1990 and 1997,
noted that in response to the question “who am
I?” none of respondents specified an ethnic form
of belonging in the first round of the survey,
while in 1997 “Buryat” category appeared in
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the responses of a quarter of those questioned
(Yelayeva, 1999: 61-62).
We contend that the increasing importance
of ethnicity on the scale of identity preferences
results from the intentional efforts of national
intellectual elutes to mobilize ethnicity. The
Buryat national movement actively formulates
common interests and constructs boundaries of
ethnicity, by which we mean ethnic indicators
used as symbols of group identification:
“In the beginning of the 1990s, the All-Buryat
Congress established the preconditions
for ethnic consolidation under the new
circumstances. The following tasks were
put forward as significant for ethnic revival:
strengthening the sovereignty of the
Republic, strengthening the sense of shared
history and connection with the Mongol
world, revealing and reviving the richness
of the national culture, art, language, and
national consciousness … In the search for
a national idea, attempts were undertaken
to create new theories … Modified ideas
of ‘pan-Mongolism’ were revived as a
foundation for political tasks. However, the
leaders of the Buryat revival mainly focused
on the ideas about the past. Reflecting
upon the future is an unusual occurrence”
(Yelayev, 2000: 308).
Buryat intellectuals are actively involved in
developing a way of supporting and preserving
Buryat ethnic identity, creating an image of the
ethnic group, forming ethnic stereotypes, and
identifying attitudes towards such a phenomenon
as markers of ethnicity. The reference to cultural
traditions is becoming especially important in the
creation of a symbolic system distinct from that
of the socialist past. Traditional culture and the
ethnic paradigm of the Buryat-Mongols serve as
the most important resources of ethnic symbolism
for constructing the discourse of national-cultural
revival.
Discussion
History in Buryat consolidation:
All-Mongolian past, Genghis Khan
and his Empire
In constructing a modern political ideology,
Buryat intellectual elites pay appreciable attention
to such concepts as national consciousness,
national originality (which implies a connection
with culture), and the unity of the Buryat
people embodied in the Buryat ethnic name.
A wider common Mongolian unity finds its
expression in the paradigm Buryat-Mongolia or
Buryat-Mongols, which links Buryatia to wider
understanding of Central-Asian civilization,
which the Baikal area is recognized to be an
integral part of, and which is based on notions of
common origin (“consanguinity”) and common
territory (“native ground”), in a recognizable
‘Blut und Boden’ theme.
Buryat scholars keep debating over the
historical development of Buryat culture, with
the ideological dividing line between those
who emphasize the historical contingency and
social constructions at work in the development
of Buryat ethnicity, and those who posit the
existence of a primordial Buryat nation. In our
opinion, the professional academic point of view
on this phenomenon was set forward by T. M.
Mikhailov, who argues:
“The ethnic and geopolitical understanding
of the terms Buryat and Buryatia arose in the
modern and contemporary periods. During
the Mongolian period of our history (from
the 12th to the first half of the 17th century),
Zabaikal and Prebaikal were a part of the
Mongolian state, and during the time of the
Khan and his descendants they became core
components of the Empire. There was no
such thing as Buryat nationhood. … The
sense that ‘we are Buryats’ did not arise
all at once. However, over the course of
150-200 years, as a result of the formation
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of a completely new culture and social
psychology, … the ethnic label ‘Buryat,’ with
the active cooperation of the Russian state,
became a symbol of the coming together of
an entity and a political slogan” (Mikhailov,
1996: 18-19).
While Mikhailov acknowledges the social
and political factors at work in the construction
of a Buryat identity, many other contemporary
Buryat intellectuals strive to establish the most
historically remote ethnogenesis possible,
driven by ethnic ideology that symbolically links
authenticity with “roots” and “ancientness.” For
this reason, Mongolian history is preferable to
Buryat history proper. The powerful importance
of time for ethnic ideology means, first of all,
constructing a “great history,” because as
P. Chatterjee said, “a nation, as nationalists
believe, must have a past” (cited by Kaplonski,
2004: 119). In this context, the revitalization
of the Buryat-Mongols name attains special,
instrumental meaning with the beginning of
Perestroika, when the Buryat-Mongols/BuryatMongolia paradigm was reintroduced, marking
a new stage of identity construction. This
paradigm corresponds to the problem of national
consolidation and revival of the spiritual culture
of the Buryat people. The information statement,
“About the name the Buryat-Mongol Republic,”
submitted in 1991 by the Scientific Council of the
Buryat Institute of Social Studies to the leaders of
the Republic, asserts:
“…all Mongolian peoples have a common
ancient culture, rooted in the CentralAsian civilization, and had a common
writing system – the classical, so-called
old-Mongolian vertical script. Mongolian
scholars have always stated that BuryatMongolian culture and the Buryat-Mongolian
language should develop on the base of a
traditional, common Mongolian foundation,
for being separated from it they will lose
their prospect for development.... We think
that in everyday use, in press and literature,
such ethnic labels as “Buryat” and “BuryatMongols” can be used similarly, however
our Republic should carry the traditional
name, Buryat-Mongolian” (Bring back the
name, 1998: 11, 13, 14).
At present, the name Buryat-Mongols
carries a particular symbolic impotrance. This is
connected to the fact that it became a symbol of
national revival when it was officially recognized
for the first time as a marker of state formation
(of the Republic), being formed on the basis of
a widely shared ethno-territorial unit including
Pribaikalye and Transbaikalia that had come
into being in the post-revolutionary years, to
be precise, in 1924. The concept of a unified
ethnicity of Buryat-Mongols is a key component
of the discourse of national and cultural revival,
and the Buryat Institute of Social Studies has
argued that restoring the name of the Republic is
one of the most important goals:
“We consider that the reintroduction of
the traditional name, the eternal name
of ‘Buryat-Mongolia,’ would enable the
following positive tendencies, which we
have noticed in the freeing-up the traditions
and the culture of our ancestors, not only in
our Republic but in other autonomous areas:
playing an important role in the spiritual
rebirth and consolidation of our people, in
the future journey of the Mongol peoples
on the paths of democracy, and in the social
progress and harmony of civilization”
(ibid., 13).
The emphasis made on the eternal character
of the name, which only became a historical
fact in 1923, focuses our attention on the
sacramentalising nature of this name. It has the
magical ability to organize the country, locating
the Republic within concentrically larger entities
emanating from the center to the periphery:
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from our Republic – the autonomous okrug –
to our people – the Mongol people – to human
civilization (ibid.).
As we can see, the Buryat – Mongolia
paradigm, as one level of ethnic loyalty, has
found its place in a number of hierarchies of
national/ethnic loyalties in modern Buryat
political culture. Due to the revitalization of
“Blut und Boden” ideas connecting Buryats and
Mongols, the discussion of national ‘belonging’
has been given a prominent place in newspaper
publications and articles within the last decade.
One primordialist writer, Professor Chagdurov,
Doctor of Philology, applied anthropomorphizing
imagery to Buryatia and Mongolia, as he lamented
that current regimes continue to limit the national
revival:
“… the paradox … is that within the
power structures of Buryatia and Russia,
a primordial ethnic group (Mongols by
blood) has not been allowed to be named
legally by the names of mother and father
simultaneously – as Buryat-Mongol, as it
had been before July 7, 1958, even though
it would be more ethical for those who hold
power in the Republic of Buryatia, including
those who represent the interests of the
majority of its population, to dare to return
to the native ethnicity its mother name”
(Chagdurov, 2003: 52).
Notably, leaders of the modern national
cultural revival do not try to revive panMongolism as a political project, a source of
major anxiety for Soviet and presently Russian
leaders. The key question for Buryat leaders
concerns emphasizing shared national cultural
features. As Chimitdorzhiyev stated:
“We think that restoration of the primordial
name (Buryat-Mongolia) will open up
certain opportunities for reviving and
deepening the national basis of our language
and culture as a whole... Having restored the
Buryat-Mongol name, we will recognize
that the Buryats had an ancient culture that
was created together with other Mongolian
peoples. This act will promote wider
contacts between them, and will strengthen
their friendship and cooperation, first of
all, in the field of culture and language”
(Chimitdorzhiyev, 1991: 50).
Legitimating the primordial rights of the
Buryat ethnicity is fi rst and foremost based on
the idea of “ancient” and “privatized” history.
This assumption can be seen in publications
which recommend, for example “paying closer
attention to the Sayan-Baikal region as the
most probable and most ancient fatherland of
the Mongols” (Angarkhayev, 2003: 70), or to
consider the probability that the native land of
Genghis Khan is ethnic Buryatia (Damdinov,
2003: 72-75).
Another arena in which attempts are made
to prove the antiquity of the Buryats concerns
evidence regarding their participation in the
workings of the Mongol Empire. This argument
relies on inaccurate re-definitions of the
meanings of the terms ethnicity and territory,
insofar as these researchers claim that the ethnic
group (Buryats) were from the start spread over
their modern territory. For example, “The Buryat
lands in the Baikal area (Bagrudzhim-Tukum)
were, both in antiquity and in the Middle Ages,
drawn into the unified Mongol state –first of
Khan and later into the Mongol kingdom of the
Lesser Khans” (Chimitdorzhiev, 1996: 60).
This formulation, published in 1996, was
later developed and re-stated in the following
form: “Our ancestors – the Buryat tribes and their
forefathers –became, early in the Middle Ages, a
single ethnic body along with other Mongol tribes.
They lived in the northern reaches of the Mongol
world in the country of Bargudzhin-Tukum, on
both sides of Lake Baikal” (Chimitdorzhiev,
2000: 32).
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The establishment of the Buryat-Mongol/
Buryat-Mongolia paradigm in contemporary
discourses of national-cultural revival becomes
an essential part of historical and cultural
practices, and the restoration of the joined
Buryat-Mongol name is closely connected with
demands for recognizing Buryats as a repressed
people. If the central authorities agreed to return
the former name, they would nearly automatically
acknowledge that the partition of the republic in
1937 was illegal; this in turn could bring about
the further escalation of nationalist agitation.
The possibility of establishing such a precedent
is considered dangerous, because irredentist
feelings were rather strong among many (if not
all) ethnic minorities in Russia.
Genghis Khan
Genghis Khan occupies a particularly
prominent place in the discourse of national
cultural revival, linking together the great state
of the past with a cultural hero of Buryat ethnic
ideology. For Buryats’ historical and national
consciousness as well as for Mongols’, the image
of Genghis Khan is one of the major “national”
images. Certainly, Genghis Khan is represented
as a quintessential cultural hero: from demiurge –
the creator of the new (fair) world and mankind –
to the creator of writing, as mentioned above. His
birth was connected with Sky Signs and symbols
of the Mongol Empire that occupied a significant
part of Eurasia. In the historical and cultural
discourses, increasing importance is given to the
correlation of Buryat history with the history of
the Mongolian Empire. Professor of Philosophy I.
S. Urbanayeva emphasizes Genghis Khan’s full
realization of his goals and his purposefulness: “…
the great steppe reformer consciously cultivated
the Central-Asian tradition that he reflected … to
provide unity to his world and to introduce order
in it, corresponding to the concept of Man and
human self-respect” (Urbanayeva, 1995: 214).
Urbanayeva further characterizes the Yasa, or
collected laws, rules, and words of wisdom, as
the mechanism through which Genghis Khan
tried “to return the lost order, to restore the Great
Truth … to put people on the right road” (ibid.:
206).
The globalizing importance of Genghis
Khan is emphasized by the archaeologist, B.B.
Dashibalov, a Doctor of History whose words
echoed the quotation above, in some places
verbatim. In our view, such repetition serves
the purpose of creating a sense of reality, much
as incantation: “But Genghis Khan belongs to
the whole world. He cannot be only Chinese,
Mongolian, Kazakh or Buryat; he was outside of
ethnic frameworks. Mongols of the 13th century
were carriers of the idea of Eurasianism, they
destroyed isolation, stagnation of consciousness,
religious intolerance and created open Eurasian
space and a planetary worldview. The enormous
state of Genghis Khan existed for more than 200
years because its inhabitants found validity, law
and order” (Makhachkeyev, 2003: 15).
The destruction that inevitably results from
aggressive wars is interpreted as preparation
for the transition to a new stage: “During these
intrusions they – the ancestors of our native
peoples of the republic – not only destroyed
countries higher than their own (“more civilized
settled lands”. – S.Ch.), the centres of civilizations
of Iran, China and other Christian, Islamic and
Buddhist countries, but also restored everything,
erecting on the ruins of what had been destroyed
a more effective state and political system, a
steadier economy, a more capacious culture”
(Chagdurov, 2003: 48-49). This allows the author
to name the Mongolian Empire the “Golden
Age” of the history of mankind. A common
topic of such claims is the civilizing function of
Genghis Khan, who is said to have ordered the
space of Eurasia: “In conquering peoples, he,
first and foremost introduced into the conquered
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territories order and justice, and forbid robbery of
the enemy, under penalty of death” (Choibonov,
2003: 242). Such discourses, we argue, exemplify
the mythologizing of history – an ideological use
of Genghis Khan aimed at constructing a new
cosmos of ethnic space.
Representatives of the creative elite –
unsatisfied with the results of scholarly work –
actively include themselves into the process of
modelling the Mongolian Empire as their “own”
space by placing it in the modern territories
inhabited by Buryats. A member of the Union
of Writers in Russia, A. Gatapov, places the
birthplace of Alan-Goa (whose youngest son,
Bodonchar, was Genghis Khan’s ancestor), not
on the whole territory around Baikal, but in a
valley of the Barguzin river – a site with highly
evocative symbolic value, for it is considered
the location from where the Buryat civilization
had originated in ancient times, from where the
genetic kinship with Mongols and especially with
the Golden Clan of Genghis Khan had stemmed
(Gatapov, 2003: 6).
There are numerous examples of what
Hobsbawm famously titled the “invention of
tradition” in regards to putative ancient connections
between Genghis Khan and Buryat lands. Much
of this occurs as historians, archaeologists,
anthropologists and other experts focus extensive
attention on questions concerning the origin of
the Mongols – the territory they came from, their
genetic and cultural roots, the boundaries of their
nomadic dispersion and settlement, etc. What is
known is that they first appeared in the territory
of present-day Mongolia not earlier than the 9th10th centuries (or later). Specialists in Mongolian
history are very careful in these issues, especially
in the use of terminology, because the term
Mongol most likely did not exist at that time.
However, for the discourse of ethnopolitical
revival, scientific assumptions and discussions are
easily swept aside; defenders of the nation find it
much more productive to present suppositions as
facts. A notable issue is how the contemporary
division of Buryats in geographically distinct
regions plays into narratives regarding the origin
of Mongols. Buryats are divided into Western
(Predbaikalskiye) and Eastern (Transbaikalian)
communities, and the ‘western” version
of Mongolian ethnogenesis has become so
important in both pan-Mongolian and internal
Buryat contexts. Thus, nationalist activists
claim that it was the territory of ethnic Buryatia
where the legendary land of ancestors of all the
Mongols – known as Ergune-Kun – was situated.
For example, A.L. Angarhaev privatizes Genghis
Khan by connecting him with the Buryat lands,
arguing that Ergune-Kun is the Irkut river (a
main tributary of the Angara, a single river
that flows from Lake Baikal). This connection
between the ancient name and the familiar river
on Buryat lands that enables him to establish the
shared quality of Buryat/Mongol “blood and soil”
(Angarkhayev, 2003: 69). In contrast, Professor
I.S. Urbanayeva connects this historical locality
with the valley of the Selenga River (Urbanayeva,
1995: 194).
The journalist C. Gomboin has been the most
consistent spokesperson of the idea that Genghis
Khan belonged to the ethnic Buryats. Referring
to the statement of his grandfather, he insists
that Genghis Khan was both born and buried
“on the river Onon near the mountain DelyunBoldok, in the Yikhe-Aral locality” (Gomboin,
2002: 49), situated in the territory of the Aga
Buryat autonomous district (Chita region). As
authoritative evidence of his view, he cites legends
that still exist in the Aga Buryat autonomous
district. “From Esukei … in 1160 on the bank of
Onon, a little bit higher than the village Chindat
(Shindan), at the bottom of Delyun-Boldok
Mountain that is three versts from the Kuchuyev
sentry, the great Temuchin, subsequently known
under the name Genghis Khan, was born.
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According to the legend, Transbaikalia is the
native land of Genghis Khan” (ibid.).
Localizing Yikh-khorig in the territory of
Buryatia is an important step in the development
of the idea of shared “blood and soil.” Burial
places of outstanding ancestors (forefathers) are
of great importance in the sacralisation of space.
Ancestors connect all parts of the cosmos in
space and time from their position in the centre
of the cosmological model of the world.
As a result of such spatial constructions,
the sacred centre of the Mongolian Empire is
connected with the territory of Buryatia. B.B.
Dashibalov, citing for added authority the
respected archaeologist Kiselyov, provides an
illustrative example of this:
“Can we can say that Genghis Khan was
a Buryat? It is necessary to note at once
that the Buryat people in today’s form did
not exist at that time. There were tribes of
Khori-Mongols, Bulagachins (Bulagats)
and Keremuchins (Ekherits), which became
a part of the Buryat ethnicity. These facts
permit us to answer the question under
discussion affirmatively. Yes, he was a
Buryat! <…> Genghis Khan was born among
Khori Mongols who had been wandering on
the banks of the river Onon since ancient
times. The archaeologist and Corresponding
member S.V. Kiselyov specified as the place
of his birth the natural border of DeljunBoldok in Aga. A similar natural border is
also located on the other side of the border
in Mongolia, where the Buryats of Khori
origin also reside. These two places are
located near each other and the border that
divides them didn’t exist before. Therefore
Genghis Khan can rightfully be named a
Buryat” (Makhachkeyev, 2003: 15)
This analysis of Genghis Khan’s image in
historical and cultural discourses reveals the
perceived urgency of both projects underway to
reconstruct Buryat collective identity: at stake
is the immediate Buryat ethnic-identity, as well
as the assertion of a more expanded identity,
the Mongol-Buryats, which are often used as
synonyms. In both cases, one symbol of identity,
Genghis Khan, is used, and transformed as
necessary when used in other identity practices.
Intellectuals are engaged in an active search
to prove that Genghis Khan belonged to the
Buryat land and Buryat “blood” as a means of
establishing a foundation for unity between the
Buryats and Mongols, based on common origins
(“consanguinity”) and a common territory (“the
native land”), ‘Blut und Boden.’
Culture in the Practice
of Ethnic Identity
The important role of elite intellectuals
in mobilizing the revival of Buryat identity
is visible in the frequent use of sociological
surveys on the idea of ethnic identity presented
to the population. These surveys raise the topic,
give it importance, and provide respondents
with possible answers regarding the meaning
and importance of the Buryat identity. The
responses highlight the ways ideas of Buryat
revival are focused on a combination of culture,
claims of national sovereignty and a vision of
ethnic identity based on common origins with
the Mongols. In reply to the question, ‘What
conditions are now most necessary for the revival
of your people?’ slightly more than a half of all
questioned chose the ‘revival and development
of national culture,’ more than 48 % chose
the ‘development of a market economy, broad
economic independence,’ and for urban areas
the share of this answer constituted 56 %. Yet a
significant number of respondents (44 %) chose
‘strengthening independence, the sovereignty of
the republic, and control over the use of natural
resources’ and about 34 % chose ‘support for
language’ (Yelayeva, 1999: 63).
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Despite some statistical differences caused
by distinctions in how the questionnaires were
formulated, these surveys enable us to see the
hierarchy of identity paradigms through which
Buryats construct their ethnicity. According
to A.V. Biltrikova, the question “What are your
principal associations with the idea of our Buryat
people?” yielded the following distribution of
responses: 1) the place where I was born – 66 %,
2) our land, territory – 63,2 %, 3) the language
of our people – 60,4 %, 4) our past, our history –
55,2 %, 5) our religion – 44,4 %, 6) personal
qualities of our people – 42,5 %, 7) the state in
which I live – 22,2 % (Biltrikova, 1996: 75).
It is notable that the basic concepts deployed
to promote national integration by intellectual
elites, such as traditional culture, national
culture, and ethnic culture, are not precisely
defined, and used interchangeably as synonyms.
A vivid example of this can be found in a program
speech of the former Chairman of the Congress
of Buryat people E.M. Yegorov:
“The basic goals of the Congress include the
restoration of the ethno-cultural foundation
of the Buryat people as inhabitants of that vital
environment which daily feeds us… I think
that the intellectual centre of the Congress
should accumulate values of traditional
culture of our people, revive its symbols,
achievements of science, philosophy, ethics,
ethnopedagogy – everything that comprises
the genebank of the nation. (Whatever) …
stimulates the national spirit, serves the
cause of the survival of the people and is of
interest for all mankind… Due to historical
circumstances, the loss of belief became
one more source of the disintegration of
our people, and recent conflicts among
Buryat lamas do not at all promote the
cause of spiritual revival and consolidation
of the Buryats. … The main priority here
should be the strategy of ethnic survival and
development of the Buryat ethnos within
the commonwealth of ethnic groups of the
Russian Federation” (Yegorov, 1998: 56-57)
(In this and subsequent sections, the italics
put by the authors).
It is also worth noting that within the last
twenty years, Buryat national ideology has
undergone a substantial transformation from the
inculcation of the concept of the birthright to the
land, i.e. militant secessionist and irredentist
nationalism, to the present-day propaganda to
preserve its ethnic cultural traditions. Religion
is considered to be the most stable and universal
element of Buryat culture, and therefore in the
public understanding Buddhism and Shamanism
have taken their roles as religions, which are ethnic
space markers as well as national symbols – the
national religion.
Notably in the last years the discourse on
national identity, both in the scientific literature
and in the mass-media, has emphasized the
national character of Buddhism and Shamanism,
despite their obvious distinctions, and has
attributed to them a unity of world-outlook and
conceptual apparatus, brought about by using
the terms and categories of Buddhist religiousphilosophical thought. Moreover, in the discourse
Buddhism and Shamanism have become
synonyms for the ethno-national culture. The
components of this culture, notably the traditional
world-outlook, the folklore, the spirituality, and
other features of an ostensibly national character
(tolerance, responsiveness, hospitality, aspiration
to knowledge, etc.) are exclusively explained by
religious values. Therefore it is not astonishing
that in sociological inquiries the Buryat
respondents maintain that the “preservation and
development of the national culture” (religion in
the first place) is a more important condition for
national revival than the “development of market
economy and wide economic independence” (See
Yelaeva, 2005: 117-227).
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Conclusion
Elite reflections on the problems of
national revival are marked by the absence of
certain programs and policies, and can be said
to suffer from the more general, post-Soviet
crisis in the humanities, in which scholars
confront the simultaneous strains of economic
collapse and the urgent contest to establish
appropriate analytic frameworks and theories.
Despite these challenges, their efforts to
construct a mythic-symbolic system focused
on the past (and specifically, the connection of
generations) that promotes ethnic integration,
is notable. They are undertaking the creation of
an intertextual cultural meaning system, where
continuity is traced over space and time, from
the nomadic civilizations of Central Asia – the
Mongolian Empire and Genghis Khan, through
the spread of Buddhism, the national movement
of the early 20th century, and the formation of
BMASSR—and all are portrayed as moments of
the manifestation of a unitary ethnic identity.
Despite the decrease in ethno-political
mobilization in Buryatia since 2000, religion
as a cultural boundary marker has become one
of the main arguments in the discourse about
political identity: “the people of Buryatia” in
the sense of fellow-citizenship2 solely denotes
the fact of joint residence in the same territory.
Though the peaceful character of this joint
residence is very often emphasized, nevertheless
the boundaries between the ethno-cultural
components of such a community appear to
be much more important than the common
historical destiny. Therefore, the newly
created community of a “Buryat nation” – an
ethno-nation – is more capable of producing
emotions and empathy than the well-known
and recognized but featureless and amorphous
category “people of Buryatia” is.
Buddhism and Shamanism (which in
public understanding appear most often as
indistinguishable entities) are considered
as instruments of ethnic integration and as
symbols of ethnic belonging, irrespective of the
individual depth of belief and knowledge (if at
all existent) of their religious mythologies and
dogmas.
However, it is notable that under the
present-day condition of religious freedom and
the ongoing politicization of religious belonging
the overwhelming majority of Buryats describe
themselves as belonging to the Buddhist religious
community. Both national ideology and public
discourse consider Shamanism as an obviously
insufficient integrating factor. Moreover, the
importance of clan-territorial membership in
Shamanism is judged as a destabilizing factor
for the Buryat nation. At the same time, despite
of declaring themselves Buddhists, the majority
of people when talking particularly about their
belief, prefer to defi ne themselves from the
position of religious syncretism. In other words,
the cultural interdependence (the coexistence
of Buddhism, Shamanism, and Russian
Orthodoxy in Buryatia) as well as the years of
militant atheism resulted in a simple belief in
God and supernatural forces (Biltrikova, 2001:
74). Hence, in the people’s syncretistic religious
understanding the very fact of belief is much
more important than religious dogmatics.
At the same time, the emphasis on the
religious component of culture in the discourse
of ethnic identity promoted growing interest
in the rituals as well as the contents and the
meaning of the Buddhist religion. Sociological
research has brought to light that many educated
people who call themselves Buddhists, want
to obtain better knowledge about the history
of Buddhism and its philosophy. Therefore
literature on Buddhism, publications in the
mass media, and in an even higher degree the
various teachings of Buddhist lamas, especially
Tibetan, are very popular among intellectuals.
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1
2
In 1937 the USSR Supreme Council approved the creation of the Irkutsk and Chita regions that included the districts inhabited by the Buryats (UOBAD and Aga Autonomous District, respectively). Another important event was the decision
of the Supreme Council (1958) to drop the second component in the Buryat-Mongol politonym by renaming the republic
into the Buryat ASSR. Both decisions traumatized the nation, and became impetuses for political mobilization during
Perestroika and post-Soviet period. The recently occurred merge of two Buryat autonomous districts with Irkutsk and
Chita regions was also negatively and painfully accepted in the Buryat public consciousness.
The Constitution of the Republic of Buryatia proclaims the existence of the “multinational people of Buryatia that in the
course of historical development united the Buryats, Russians, Evenks, and citizens of other nationalities”.
References
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A.V. Biltrikova, “National intelligentsia in processes of consolidation of the Buryat people”, in
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by Yu. Randalov et al. (Ulan-Ude: Izd-vo BNC SO RAN, 1996), 72-76, in Russian.
A.V. Biltrikova, Present-day Buryat national intelligentsia (Ulan-Ude: BNC SO RAN, 2001), in
Russian.
S.Sh. Chagdurov, “‘The Golden Age’ in the history of mankind”, in Genghis Khan in the fates of
the peoples of Eurasia. Materials of the International scientific conference, October 3-5, 2002 (UlanUde: BGU, 2003), 48-56, in Russian.
Sh.B. Chimitdorzhiyev, Who are we, the Buryat-Mongols? (Ulan-Ude, 1991), in Russian.
Sh.B. Chimitdorzhiev, Did the Buryats Ever Have a Civilization? (Ulan-Ude: Belig, 1996), in
Russian.
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(Ulan-Ude, 2000), in Russian.
Sh.B. Chimitdorzhiyev, “Genghis Khan and his epoch in the Mongolist studies”, in Genghis Khan
in the fates of the peoples of Eurasia. Materials of the International scientific conference, October 3-5,
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M.R. Choibonov, “Genghis Khan, the spiritual Teacher of the future generations”, in Genghis
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October 3-5, 2002, ed. by S. V. Kalmykov et al. (Ulan-Ude: BGU, 2003), 240-246, in Russian.
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E. Gellner, Nations and Nationalism (N.Y. :Cornell University Press: 1983).
Ch.D. Gomboin, “The great sacred zone of ancient Mongols” in Treasures of culture of Buryatia,
ed. by A.M. Tarunov (Moscow, 2002), 47-50, in Russian.
C. Kaplonski, Truth, History and Politics in Mongolia. The memory of heroes (L., N.Y.: Routledge
Curzon, 2004).
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Russian.
T.M. Mikhailov, “National consciousness and mentality of the Buryats” in The Modern Condition
of the Buryat People and Views on its Development (Conference papers) (Ulan-Ude, 1996), 18-25, in
Russian.
A. D. Smith, The Ethnic Origins of Nations (Oxford: Blackwell, 1986).
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in Problems of history and cultural-national construction in the Republic of Buryatia, ed. by B.V.
Bazarov et al. (Ulan-Ude, 1998), 54-57, in Russian.
A.A. Yelaev, Buryat people: origin, development, and self-determination (Moscow, 2000), in
Russian.
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Ethnogenesis and Cultures. Issue 5 (Ulan-Ude, 1999), 48 – 70, in Russian.
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Ethnicity in the context of Sociocultural Modernization (post soviet period), ed. by T.D. Skrynnikova
(Irkutsk: RPC “Radian”, 2005), 117- 227, in Russian.
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Символы постсоветской
бурятской национальной консолидации
Т.Д. Скрынникова, Д.Д. Амоголонова
Институт монголоведения,
буддологии и тибетоведения СО РАН
Россия 670047, Улан-Удэ, Сахьяновой, 6
В статье представлены некоторые результаты выполнения проекта «Бурятская
этничность в контексте социокультурной модернизации», который является первым
комплексным исследованием проблемы соотношения между идеологией бурятской
национальной консолидации и социокультурной модернизацией. На основании комплексных
методологических принципов формируется новый научный дискурс, анализирующий
процессы национально-культурного возрождения не только в Бурятии, но и во всем
постсоветском пространстве. Исследование этнополитических процессов включает
анализ (1) деятельности элит по реэтнизации; (2) сосуществования и конфликта между
национальной (этнической) и российской (гражданской) идентичностями вследствие
того, что этничность занимает главенствующую позицию в иерархии идеологических,
социальных и индивидуальных идентичностей; (3) выраженных этапов в дискурсах
этничности. Авторы доказывают, что бурятские социополитические дискурсы являются
этнонационалистическими и этнорегиональными и одновременно характеризуются
неоспоримой идентификацией с Россией, хотя и вступающей в конфликт с этничностью.
Ключевые слова: национализм, этничность, реэтнизация, историческая и культурная память,
десекуляризация.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 805-815
~~~
УДК 304.444
Relation of the Migrant and
the Receiving Environment as a Phenomenon
of the Krasnoyarsk Territory Modern Culture
(Association Experiment Results Based
on the Methodology “Serial Thematic Associations”)
Julia S. Zamaraeva*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
According to the modern cultural theory applied socio-cultural research is in demand due to an urgent
need to understand an essence of occurring processes in the globalizing world (Koptzeva, 2010 and
Zamаraeva, 2010). One of these global processes today is the migration resulting in general changes of
social processes and social relations and, consequently, requiring new definitions of the social reality.
Studying the migration as a special space of the intercultural interaction which arises at the relation
of the migrant and the receiving environment, is in the great demand not only by the problematics of
the migration modern processes, but, first of all, by an absolute urge to reveal the basic principles of
coexistence of various ethnic groups in a multicultural world society. This particular applied research
contains the results of psychological cultural analysis aimed at obtaining authentic information about
the migration phenomenon as a modern cultural process and determining the specifics of migratory
relations forming the Krasnoyarsk Territory culture. The main hypothesis of the research is the thesis
that the migration phenomenon as the actual process of the modern reality initiates the processes
of identifying cultural differences in the human minds, performs the function of culture events
translation, determines the specific language of communication and rules of behaviour at the relation
of the migrant and the receiving environment. In this regard, this applied research conducted by the
association experiment method is relevant in terms of the possibility to identify the completeness and
depth of associative ideas that arise in relation to the cultural migration phenomenon. Interpretation of
research results allows to realise the semantic phenomenon content and also to analyse the conceptual
ideas which exist in modern experience, to define the actual condition of the relation to the migratory
phenomena.
Keywords: migration, relation of the migrant and the receiving environment, intercultural relations,
cultural phenomenon, Krasnoyarsk Territory culture, psychological cultural experiment, association
experiment, modern applied interdisciplinary methods, concept “ foreign”.
The work is carried out with the financial support of the federal purpose oriented programme «Scientific
and scientific-pedagogic staff in innovative Russia for 2009-2013» concerning the problem «Culture of
the small groups of indigenous peoples living in the North in the situation of global transformations:
*
1
Corresponding author E-mail address: rybka08@bk.ru
© Siberian Federal University. All rights reserved
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foresight research until 2050 based on the materials of analysis of the Yakut ethnos» held within
the framework of the event 1.2.1 «Scientific investigations carried out by research groups guided by
doctors of science».
Introduction
The influence of migration as a powerful
factor of social dynamics of the modern society
affects greatly the development of economical,
political and socio-cultural processes. Therefore,
without analysing the mass behaviour psychology
there cannot be complete understanding of the
migration nature as a cultural phenomenon. One
hundred and fifty years ago prominent scientists
proposed alternative concepts to explore human
psyche (mind): W. Wundt’s psychological school
and “the theory of unconscious” (Z. Freud,
K. Jung) representing scientific explanation
of human behaviour in everyday situation.
The founders and followers of both schools
proved that consciousness is nothing but “inner
experience” gained in the development of real
phenomena and, therefore, it reflects the internal
laws of this reality. Later these conceptual ideas
formed the basis of the association experiment
method allowing to display experimentally the
outside internal mental processes and to clarify
the nature of certain social phenomena. In the
20th century this method became one of the most
useful methodological tools of interdisciplinary
field of science (mostly in psycholinguistics,
psychology, sociology, psychiatry).
In the modern theory of culture the
association experiment method occurs at the
boundary of such sciences as psychology and
cultural studies and it focuses primarily on the
human consciousness studies disposed outwardly
in a pure form. Since culture exists not only in
the form of real artefacts, but also in the form
of the phenomena hidden in the human mind,
it is necessary to attract the method of psychocultural experiment in order to study the hidden
meanings of the cultural phenomena experience.
The relevance of the psychological experiment
is due to the fact that human consciousness is
directly involved in its cultural development
(Libakova, 2010). This article represents
the results of the applied psycho-cultural
experiment which demonstrates the distinctness
of the migration cultural phenomenon. The
methodology “Series of Thematic Associations”
which belongs to the authors A. I. Nazarov and
R.V. Sokolov (Nazarov, 2007) was chosen as
a key method for the experiment has become
Students of Siberian Federal University (300
people) became the recipients of the association
experiment.
The main contents
of the association experiment method
The relevance of the methodology “Series
of Thematic Associations” lies in the possibility
to obtain not only the typical (stereotypical)
ideas that appear right in the human mind
(this methodology is traditionally used in the
experiments when the first word of associations
is taken into account), but also to make a deeper
understanding by using the identification of areas
(fields) which are associated by the recipient’s
consciousness with its own experience of the
phenomenon.
The objective of the research is to obtain
actual cultural information about the relation
of the migration to the phenomenon for the
later modelling of the system of values about
this phenomenon in the modern reality. The
objectives are: 1) definition of the basic notions
for the research (a stimulus word), 2) developing
the method to group the results, 3) selection of
the testees and development of instructions
for the recipients, 4) statistical analysis of the
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information according to the type of grouping,
and 5) interpretation of the results.1
Stage 1. Defi nition of the basic notion
for the research. Due to the fact that it is
necessary to determine the specific nature of
the migrant’s and the receiving environment
relation as a cultural phenomenon, the recipient
should be offered a stimulus word which would
bring associations and crystallise the essence
of the relation to the migration as a cultural
phenomenon. The main theoretical hypothesis
lies in the idea that the migrant’s and the receiving
environment relation process is accompanied
by the identification process which leads to
crystallisation and transformation of “one’s
own” and “different” qualities (Zamаraeva,
2010). Consequently, the word “migration”
is defi ned in the meaning of the space for the
relation and cannot be offered by recipients. In
other words, the notion itself captures a social
phenomenon, but does not directly transfer to
the field of relation itself. For the validity of the
stimulus word choice it is possible to present
the following facts: the word is of Latin origin
(out of the modern context) and at the moment
it has no clear scientific defi nition (numerous
classifications, the absence of a coherent theory,
etc.), and therefore it is not settled properly
in the ordinary mind. The most correct and
appropriate thing to explore the problematics
of the migrant and the receiving environment
relation is the word “foreign” which acts as an
abstract representative of the notion “other”; it
directly depends on the migration phenomenon,
and is relevant in the everyday experience (while
meeting the representatives of other cultures);
it allows to fi nd the distinctness of ideas about
the cultural phenomenon of the migration by
means of associative utterance.
Stage 2. Developing the method to group
the results. According to the objectives of the
research it is necessary to obtain the most
complete picture of the phenomenon of the
migration, so it is needed to apply a number of
ways of grouping. The fi rst group will include
the most frequent, common reaction words to
the stimulus word “foreign”, then they will be
differentiated in the reverse order (according to
the degree of popularity), and fi nally modified
to the percentage in order to visualise a number
of key concepts associated with the studied
cultural phenomenon. The second group will
include a range of consciousness spheres
which are associatively realised by recipients
as implicated and determining the knowledge
of the cultural phenomenon. This grouping is
justified by the authors of the series of thematic
associations as “space-time development of the
executive action” that contributes to “naming
of the associates”. Continuous thinking on the
stimulus word allows to verbalize the relevant
content hidden in the recipients’ minds more
fully. Consequently, during the processing of
the results it is possible to record the spheres of
consciousness (semantic groups) implicated in the
stimulus word, and discover deeper knowledge
of the cultural phenomenon. The third group
will contain estimative features in relation to the
word “foreign” (positive and negative), since the
emotional experience characterises the attitude
to the migration phenomenon.
Stage 3. Selection of the testees and
development of instructions for the recipients. The
group of recipients was selected out of the students
of Siberian Federal University, mostly senior fulltime students (from the 3rd to the 5th year of study),
which made total of 300 people majoring in
“Cultural studies”, “Advertising”, “Art Criticism”,
“Psychology”,
“Jurisprudence”,
“Foreign
Languages”, “Social Pedagogy”, “Economics”,
“Sociology”, “Philosophy”, “Physics”, “Physical
Education”, “Public Relations”, “Linguistics and
Intercultural Communication” and “Journalism”.
As the knowledge about the outside world is
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18%
16%
14%
12%
10%
8%
6%
4%
2%
0%
Fig. 1
formed in the educational process, the student
group answers the questions actively and frankly,
which is very important for the experimental
research. At the beginning of the experiment the
students were offered a short instruction defined
by the rules to conduct the experiment procedure.
The main points were related to the naming of
the experiment form, its duration in time (20
minutes), significant rules for plunging into
independent thinking (for example, not breaking
the silence or completing the thinking process
when the consciousness does not demonstrate
any associations any longer).
Stage 4. Statistical analysis of information
according to the type of the group.
The first group: “the most frequent,
stable associations in the associative range of
respondents to the word “foreign” (Fig. 1):
Language (s) (52) – 17 %; culture (38) –
10,9 %; development (31) – 10,5 %, globalization,
civilization (22) – 6,8 %; state, nation (19) – 6,5 %;
politics (18) – 6,2 %; economics (17) – 5,8 %;
different, unusual (14) – 4,8 %; alien (13) – 4,4 %;
abroad (12 ) – 4,2 %, Americans, Chinese (11) –
3,8 %; clothing (10) – 3,4 %; university (9) –
2,6 %; mindset (8) – 2,5 %; unity (7) – 2,4 %; art
(6) – 2,3 %; modern culture (5) – 2,2 %; travelling
(4) – 2 %; religion (3) – 1,5 %.
The second group: “the relevant fields
(spheres) that determine the special nature of the
migration phenomenon by means of the word
“foreign”. These fields demonstrate the modern
ideas about the migration; consequently, they
may determine the essence of the phenomenon
and reveal the new meanings that are important
for scientific research (Fig. 2).
Linguistic reality (85 %), cultural rules (68 %),
new knowledge (63 %), a global phenomenon
(57,2 %), a widespread social phenomenon (49,9 %),
socio-cultural development (47 %), an image of
different life (35 %), a different person (34,5 %),
different personal qualities (33,2 %), a national
image (30,5 %), an ethnic outlook (28,4 %), a sign
symbol of “different” ( 27,3 %), an educational
sphere (25,4 %), social communication and means
of unity (24.7 %), changing of individual quality
(15 %), the source of knowledge about the world
of art and modern culture (14.3 %) possibility of a
temporary territorial movement (5,2 %), religious
connection (2,3 %).
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90%
9
8
80%
7
70%
6
60%
5
50%
4
40%
3
30%
2
20%
1
10%
0%
Fig. 2
Spheres that are implicated in the minds
of recipients to the process of relation to the
migration phenomenon can be represented in the
form of conceptual definitions:
1) Migration as a linguistic reality
through which other cultural and linguistic
characteristics appear (verbalise): language
(languages), speech, word (words), name, accent,
expression, circumlocution, understanding,
misunderstanding, and judgment.
2) Migration as a culture defined as a set
of communicative cultural rules while meeting
with the foreign: culture, cultural, tradition,
traditional, customs, behaviour, rules, norms of
behaviour, etiquette, hospitality and principles.
3) Migration as motivation to learn something
totally new: a new acquaintance, new sensations,
ambitions, curiosity, desire, anticipation, search,
perception, meeting, learning, development,
innovation, representative for the culture,
unique, committed, diverse, versatile, better
quality, more advanced, of another style, a level
higher.
4) Migration is a global phenomenon in
social life: globalization, civilization, a globe,
a world map, unlimited, universal, existence,
dynamics, permanent, stable, modern, future.
5) Migration as a widespread social
phenomenon: a state, a country (countries), a
nation, a race, people, a society, a town, a village,
a house (accommodation).
6) Migration is a sphere of influence on
the socio-cultural processes development of
contemporary reality: in politics – government,
ministry, a minister, an embassy, a diplomat, a
politician, law, power; in economy – manufacturing,
technologies (new, high), infrastructures, capital
money, investments, currency, profit, importexport, oil, gas.
7) Migration as a representative of a different
way of existence: alien, unknown, unfamiliar,
unexplored, unusual, beyond the limit, unstudied,
exotic, outlandish.
8) Migration as a representative of a
different subjective image: a citizen, a visitor,
a stranger, а nomad, a non-native, different,
a newcomer, interesting people (person),
belonging to a foreign language, unusual
appearance, foreign appearance, different
appearance.
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100%
50%
0%
Positive
Negative
Fig. 3
9) Migration as a representative of the
different human qualities: the other, different,
strange, different manners, the difference of
mentality, a different nationality.
10) Migration as a boundary of knowledge
of the national image: a border, abroad, America,
Europe, Asia, Italy, Britain, France, Germany,
Ukraine, Australia, Japan and China.
11) Migration as a boundary of knowledge
of ethnic outlook: Americans, Chinese, Italians,
Germans, Black, French.
12) Migration as a different material image:
clothes, a clothing item, jeans, trainers.
13) Migration as an important component
of scientific education: a university, a teacher,
a department, students, studying process,
education, training.
14) Migration as a process of social
communication and means of unity: an
association, a society, a community, negotiation,
an intercourse, exchange, communication,
relationship, cooperation, mutual understanding.
15) Migration as an opportunity to change
individual qualities: a mindset, mentality, a
stereotype, consciousness.
16) Migration as a source of knowledge
about the world of art and modern culture (in
the aspect of art culture and contemporary pop
culture): painting, architecture, artists, actors,
music, cinematography, dancing, television,
Johnny Depp, Marilyn Monroe, Michael Jackson,
Alfred Hitchcock, etc.
17) Migration as a possible temporary
territorial movement for the sake of having rest:
travelling, an airport, an international passport,
tourism, a suitcase.
18) Migration as a religious connection with
existing confessions: religion, a church, a ritual,
faith, Islam, Buddhism, Hinduism.
Thus, the fixed group-associates form
a modern idea about migration as a cultural
phenomenon. According to the distribution of
these semantic spheres (groups) one can see
the relevance of each of them by quantitative
characteristics (frequent plunging of consciousness
in every sphere) and define a total of meaningful
content of the cultural phenomenon in the modern
reality.
The third group contains “positive and
negative estimative characteristics of the
migration phenomenon” (Fig. 3).
Positive associations with the stimulus word
“foreign” (77 % of 300 testees) are: impression,
admiration, desired, developing, attractive,
fascinating, motivating, provoking, mysterious,
magical, secret, beautiful, of high quality,
interesting, unusual, overseas, an interesting
person, a miracle. Negative associations to the
stimulus word “foreign” (15 % of the 300 testees)
are: not ours, not Russian, wild, dangerous,
aggression, decline, distrust, and hostility. Thus,
positive associations with respect to the negative
ones have a ratio 1/5, which indicates that the
positive experience of the migratory phenomenon
(coded in the emotional experience of the testees)
is dominant in the minds of the students. This
fact determines new meaning in relation to the
migration not only as an important phenomenon
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of social reality, but also as an informationaleducational, communicative and well developing
the human’s mindset.
In calculation of the psycho-cultural
experiment results the words- associations which
cannot be established in connection with the
stimulus word and enter any significant relevant
definition area were not considered (from 5, 460
of the associations only 35 were not included
in the processing of results): eight, abortion, a
waterfall, silver, etc.
Stage 5. Interpretation of the results. The
data processing results of the applied psychocultural research allowed to determine the
key aspects (associative notions), the related
relevant spheres (groups of associations) and the
estimative emotional perception in relation to the
phenomenon of migration, and all these points
led to the following conclusions.
a) According to the modern ideas the
essence of the migration is determined by the
linguistic reality, which allows the consciousness
instantly identify various signs of “different”.
In the presented associative range there are
key notions through which the consciousness
determines “different” sign features: “speech”,
“a word”, “words”, “a name”, “an accent” as the
external signals for identification; “expression”,
“allegory” as meaningful characteristics of
“different”; “understanding/ misunderstanding”
as a scheme of action with “different”,
“judgment” as a way to approach various cultural
and linguistic characteristics. Such an idea about
migration suggests that this linguistic reality as
a relevant sphere of consciousness is the only
possible paradigm for mutual determination and
cooperating of different language cultures and the
phenomenon of migration realises this meeting.
b) The migration phenomenon is determined
in consciousness as a set of specific cultural rules
that significantly affect the communication at
both individual and social levels. Thus, students
realise that the migration forms the traditions in
the field of cultural behaviour, becomes a rule of
etiquette and hospitality and sets out the principles
and norms in daily communication.
c) The migration as a cultural phenomenon
is recognised as an event form, through which the
development of a new quality is achieved. Most
of the associations in relation to the migration are
connected with the desire to learn something new,
therefore, in the consciousness this phenomenon is
enabled with a certain chance to meet something
more perfect, better, representative, qualitative,
embodied, diverse and innovative. It is worth
mentioning that the associative desire to learn
something totally new by means of the migration
is associated with the idea of the best for the
culture (which is “representative of the culture”),
consequently, the migration will always be highly
demanded for the development of a new cultural
quality.
d) Migration is understood as a global
phenomenon in the modern life, which has
quite certain characteristics. On the one hand,
this phenomenon reflects the essence of the
modern era of global transformations (a globe,
globalization, civilization, art, everyday life,
dynamics, unlimited). On the other hand, the
migration becomes a timeless process of reality
defined by means of such notions as “a world
map”, “being”, “life”, “stable”, “constant” and
“future”. Students do not associate the migration
process with something historical, belonging to
the history of forming an ethnic group, a nation,
etc. Consequently, the migration phenomenon
is understood as modern development that
significantly affects the social unity and determines
the future condition of its development.
e) The students can quite clearly realise that
the current migration process penetrates into
the whole structure of social life, defining it by
means of such notions as “a state”, “a nation”,
“a country”, “a city”, “a village”. Moreover, the
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processes of politics and economics become the
linking part of the social structure. In politics,
the migration phenomenon shows itself at the
level of government and law, and in the economy
it appears at the level of manufactures, new
technologies, and infrastructure and investment
development.
f) There is a quite abstract definition of
the essence of the phenomenon (most of the
associations belong to the notion “different”),
but it gradually becomes deeper, more concrete,
and turns into a whole set of well defined
characteristics. Firstly, migration is presented
as a different way of life (the associations
“unknown”, “unstudied”, “bizarre”), but it
has its personification in the form of a specific
subject, that is, the bearer of the quality of this
different existence (the associations “a stranger”,
“a nomad”, “a foreigner”, “a foreign language”,
“different manners”, “different nationalities”,
etc.). Secondly, migration becomes a boundary of
knowledge about a different (national and ethnic)
image which suggests that ethnic identity has a
significant influence on the consciousness and
becomes the second (after linguistic) criterion
for determining the future strategy of behaviour.
Thirdly, the material image that represents the
quality of a quite concrete materialised form is
also important (the associations “clothing”, “a
thing”, etc.).
g) One of the significant spheres relating in
the consciousness to the migration phenomenon
is education. It is important that students eagerly
obtain the conceptual knowledge about this
phenomenon and development of a complete
system of ideas about this social phenomenon in
the studying process.
h) Migration phenomenon affects the
specific nature of social communication, and
this process is directed towards unity (associates
“a union”, “an association”, “a community”,
“relationship”) and offers a variety of forms
of interaction (“negotiations”, “exchange” ,
“communication”). Thus, migration can set the
relationships between people and create space for
social communication.
i) Migration is understood in the students’
minds as an opportunity to change their own
qualities, it is pointed out by the associations
“mindset”, “mentality”, “a stereotype”, and
“consciousness”. Despite the fact that this
associative range has a lower frequency of use,
students realise that migration is expanding their
own (personal) mindset, affects the stereotypes
and changes the consciousness.
j) In the modern reality students understand
migration phenomenon as a source of knowledge
about the world of art and contemporary culture
which is formed by means of the associative range
(“artists”, “actors”, “cinematography”, “TV”,
etc.) a different idea about creativity and skills in
relation to their own creativity levels.
k) Just a few associations represent migration
as territorial movement, and the recipients
refer them to the field of travelling, leisure and
tourism. This fact indicates that the migration is
almost not understood as an opportunity to work
(temporarily or permanently).
l) The religious function of migration is
almost unrealised. However, it is present in the
consciousness and identified by the recipients as
connection with different existing confessions and
an opportunity of uniting with them (associations
“a church”, “a ritual”, “religion”).
m) Identification of positive and negative
experiences associated with the migration
phenomenon, suggests that in general there
are more positive emotions than negative ones.
Migration phenomenon is realised as an urgent
need for new knowledge in the modern reality.
The major part of the positive associations (77 %)
shows an active desire to discover unknown
and thereby to expand the mindset. Negative
characteristics (total 15 %) are associated with
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possible risks and difficulties that arise at the
level of consciousness and create a border of
communicational misunderstanding. These
characteristics have passive cognition which
rejects any possibility of learning something
new. Thus, we can note that there is an urgent
need for the migration phenomenon cognition, as
a bearer of new knowledge, transfer of different
cultural images, intersection of one’s own and
other (different) qualities and obtaining a new
quality of uniting during the communication
process.
Conclusion
Based on the results of the association
experiment which revealed the relevant spheres
of migration phenomenon, their meanings
according to the modern ideas of Krasnoyarsk
culture students, we can outline the following
conclusions:
1) Migration phenomenon is determined
in the meaning of the different culture quality
transfer (transition) into receiving environment
space and formation of intercultural relations.
Linguistic characteristics and ethnic identity
which lead to cognition of other qualities for
both sides become significant during the relation
process. For example, students who geographically
define the boundaries of the “foreign”, give it
the characteristics of the unknown, desired,
innovative, anticipated, allegorical, etc. The key
notions “a language” and “a culture” are defined
in the respondents’ replies as the communicative
means of relation leading to the dialogue
formation, and this, in its turn, demonstrates
1
the desire of cultural groups to create a common
cultural integrity.
2) According to the temporal and dimensional
characteristics, migration is simultaneously
defined as a general timeless process and as a
global phenomenon which leads to change of the
socio-cultural processes.
3) Realization of the migration phenomenon
as a “boundary” captures initiated identification
and self-identification processes through which
the future strategies of behaviour are determined
(primary associations are “a community”, “a
relationship””, “a unity”). In most cases, this is a
positive experience which gives a real chance to
learn something new.
4) Migration phenomenon ability to affect all
spheres of human consciousness becomes a very
important factor in the modern reality. Thus, the
main influence features that appear are mindset
expanding, stereotypes changing, mentality
update, meeting totally different (culture, art,
religion), cultural rules establishment during
relations (etiquette, behaviour, hospitality), the
tolerant attitude formation by offering something
substantially new.
5) Education is one of the most important
spheres for migration phenomenon manifestation.
During the educational process, the direct
cross-cultural relations are transformed into
multicultural community quality. Besides,
the associations connected with education go
beyond the existing educational institutions,
thereby expanding the possibilities for modelling
intercultural relations in different conceptual
education forms.
These objectives completely determine the stages of the experimental study. The methodology of the psychological experiment is described in the book of R. Gottsdanker “Fundamentals of the psychological experiment” which defi nes the
methods of the experiment and shows the criteria for validity of the results of its performance.
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References
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Cultural Values// Journal of Siberian Federal University. Humanities & Social Sciences. Vol. 3. No.
3. – 2010. – P. 344-381.
N.M. Libakova, Specifics of the Category of «Gender» in the Modern Krasnoyarsk Culture:
Results of the Association Experiment According to the Methodology «Thematic Associations Series»//
Journal of Siberian Federal University. Humanities & Social Sciences. Vol. 3. No. 5. – 2010. – P. 727746.
A.I. Nazarov, Association and the association experiment: different fates / Nazarov A.I., Sokolov
R.V.// Questions of psychology 2007. – № 4. – p. 125-138.
Robert Gottsdanker. /Experimenting in psychology/. Englewood Cliffs, New Jersey : PrenticeHall, Inc., 1978.
J.S. Zamаraeva, Historiografic Overview of Approaches and Concepts Regarding the Issue of
the Migration in International and Russian Research of the 20th Century [Text]// Journal of Siberian
Federal University. Humanities & Social Sciences. – 2010. – №3 (3). – С. 436-443.
J.S. Zamаraeva, The value of applied researches from the perspective of modern culture]//
Third Russian Cultural Research Congress with international participation «Creativity in the space
of tradition and innovation” Thesis from reports and communication. – St Petersburg: EJDOS,
2010. – p.93.
Отношение мигранта и принимающей среды
как феномен современной культуры
Красноярского края
(результаты ассоциативного эксперимента
по методике «Серийные
тематические ассоциации»)
Ю.С. Замараева
Сибирский федеральный университет
Россия 660041, г. Красноярск, пр. Свободный, 79
С позиции современной теории культуры прикладные социально-культурологические
исследования востребованы в связи с острой необходимостью понимать суть происходящих
процессов в глоблализирующемся мире. Одним из таких глобальных процессов на
сегодняшний день является миграция, влекущая повсеместное изменение социальных
процессов и социальных отношений и, как следствие, требующая новых определений
социальной реальности. Изучение миграции как особого пространства межкультурного
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взаимодействия, возникающего при отношении мигранта и принимающей среды,
востребовано не только проблематикой современных процессов миграции, но прежде всего
насущной необходимостью выявления базовых принципов сосуществования различных
этнических групп внутри поликультурного мирового общества. В данном прикладном
исследовании представлены результаты психологически культурного исследования,
направленного на получение достоверной информации о феномене миграции как современном
культурном явлении и определение специфики миграционных отношений, формирующие
культуру Красноярского края. Основной гипотезой исследования стало положение о том,
что феномен миграции как актуальный процесс современной действительности запускает
в сознании человека процессы идентификации культурных различий, осуществляет функцию
трансляции культуры, определяет специфику языковой коммуникации и правила поведения при
отношении мигранта и принимающей среды. В связи с этим данное прикладное исследование,
проведенное методом ассоциативного эксперимента, актуально в плане возможности
выявления полноты и глубины ассоциативных представлений, возникающих по отношению
к культурному феномену миграции. Интерпретация результатов исследования позволяет
осознать смысловое содержание феномена, а также проанализировать концептуальные
представления, существующие в современном опыте, определить актуальное состояние
отношения к миграционным явлениям.
Ключевые слова: миграция, отношение мигранта и принимающей среды, межкультурные
отношения, культурный феномен, культура Красноярского края, психологический культурный
эксперимент, ассоциативный эксперимент, современные прикладные междисциплинарные
методы, понятие «иностранное».
Работа выполнена при финансовой поддержке федеральной целевой программы “Научные и
научно-педагогические кадры инновационной России на 2009-2013 гг.” по проблеме “Культура
коренных и малочисленных народов Севера в условиях глобальных трансформаций: форсайтисследование до 2050 г. на материале анализа якутского этноса”, исследование проводится
в рамках мероприятия 1.2.1 “Проведение научных исследований научными группами под
руководством докторов наук”.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 816-822
~~~
УДК 349.222.2
Labour Contract Functions
Svetlana P. Basalaeva*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
The “labour contract” category as legal relation is central within this trinity of legal phenomena:
a legal fact, a legal relation, and a legal document. To establish the essence (and, as consequence,
a concept) of the labour contract is expedient to research features of public relations mediated by a
labour contract, and features of legal relation corresponding to them .
Keywords: labour contract; labour contract functions.
Since Roman law times, the contract as
a legal phenomenon has been viewed in three
aspects: as the basis of legal relations occurrence;
as a legal relation per se arisen from this basis; and
as a shape which a corresponding legal relation
takes (M.I. Braginsky, V.V. Vitryansky, 1998).
Such multiplicity of aspects is also characteristic
of “the labour contract” concept.
In other words, it is possible to talk about
the labour contract as of a legal fact, a labour
contract, a legal relation and, finally, of a legal
document.
The “labour contract” category as a legal
relation is central within this trinity of legal
phenomena: a legal fact, a legal relation, a legal
document. To establish the essence (and, as
consequence, a concept) of the labour contract
is expedient to research features of the public
relations mediated by the labour contract, and
features of the legal relation corresponding to
them . The official categories for a “legal relation”
category make the basis for the legal relation
*
1
occurrence and its legalization. Therefore,
revelation of the essence of these categories
through the functions expressing their purpose
and value is viewed quite natural. To talk about
the functions of the labour contract as a legal
relation, in our opinion, is not quite logical, it
is more expedient to reveal its essence through
the features of the content. Accordingly, we will
consider the functions of the labour contract
through its above-stated “official” categories.
1. Labour contract vs. legal fact.
Being the basis of legal labour relations
occurence, the labour contract carries out two
functions. Firstly, the labour contract as a legal
fact is the agreement between the employee and
the employer. Labour legal relation arises as a
result of wills of the parties’ coordination, but
as a result of will of one of the parties, not as a
result of will of any third party. Compulsion to
a contract conclusion is not admissible (except
for the cases when a duty to conclude the labour
Corresponding author E-mail address: s.p.b@mail.ru
© Siberian Federal University. All rights reserved
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contract is stipulated by a employer’s voluntary
accepted obligation: assignment of quotas of
workplaces, participation in target contract
training of experts, invitation of an employee as
transfer from another organisation).
On the one hand, it is a sort of labour
freedom provision for a worker: freedom to apply
their abilities to work, exclusion of forced labour.
On the other hand, for the employer, in some
measure, it is a way of freedom of organisation
personnel formation which is a part of economic
sphere of the employer.
Secondly, a labour contract as a legal fact
does not only produce labour legal relation,
but also makes its content as not only the fact
of labour relations is defined by the will of the
parties, but also working conditions, rights and
duties of both parties – an employee and an
employer. This reveals the regulating nature of a
labour contract. However, the regulating function
of a labour contract has certain features in
comparison with a regulating role of others, say,
civil-law contracts. We will turn to more detailed
research of the function in question.
The matter is that degree of parties to the
contract freedom in defi nition of legal relation
content in employment law considerably
differs from traditional civilistic understanding
of freedom of the contract in a number of
positions.
By the general rule, in civil-law contracts
the parties independently specify the contract
content. However, in some cases rules of
behaviour of the parties to civil-law contracts
are established by the legislator. It is carried out
by means of discretionary and imperative rules.
In the first case, the discretionary rule acquires
an imperative nature provided that the parties
have not expressed consent to deviate from it.
For example, except as otherwise provided by
the turnkey contract work is carried out by the
expense of the customer – from his materials,
his forces and means (item 1, art. 704 RF Civil
code). This way of legal regulation does not limit
contract freedom.
In the second case, the norm is applied
directly, the parties are not entitled to change it,
and it represents a way of freedom of the contract
restriction. Freedom of the contract is restricted
to achieve the following aims:
– Protection of the state and society
interests. For example, item 1 of art. 1015
RF Civil code does not permit the state
body or local government participation in
the contract of confidential management
of property.
– Protection of a normal marketable title.
For example, item 335 of RF Civil code
establishes that only a proprietor or the
one to whom the thing belongs on the
right of economic competence can act as
the depositor of a thing.
– Protection of the weakest party. For
example, according to items 1, 2 art.
504 RF Civil code at replacement of
substandard goods by the goods of
appropriate quality the seller is not entitled
to demand compensation in the price of
the goods difference while the buyer is
awarded with such compensation.
Under civil law these restrictions, however,
have of an exception of the general rule character
of item 2 art.1 RF Civil Code according to which
the parties are free to establish their rights and
duties.
In employment law the situation is different.
The labour contract cannot contain the conditions
reducing level of rights and guarantees of workers,
established by employment legislation (part 2 art.
9 RF Labour code). Thus, content of almost all
the conditions of the labour contract are defined
by legislation. Let us consider it on the example
of each of the obligatory conditions itemised in
art.57 RF Labour code.
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1. Working hours conditions. The legislator
establishes the following:
– not more than 40 working hours per week
(art. 91 RFLC );
– in certain cases (for minors, invalids,
workers engaged in works with
harmful, dangerous working conditions)
working hours per day cannot exceed
the established quantity of time (art. 94
RFLC);
– work exceeding the normal duration of
working hours cannot exceed 4 hours per
day and 16 hours per week at combining
jobs (art. 98 RFLC) and 4 hours within
two days running and 120 hours per year
at overtime work (art. 99 RFLC).
As we see, the legislator limits working
time duration. Thus, parties have discretion to
the following: 1) reduction of its duration and
2) distribution of given working hours within
a day, a week or other period, that is working
conditions establishment. Though here again we
observe some restrictions, for example, working
conditions and working hours of transport
employees, communications personnel and
others, having special kinds of work, which is
defined according to the order established by
the Government of Russian Federation (art. 100
RFLC LC).
2. A mode of rest time. The legislator has
defined it in the following way:
– a worker is entitled to not less than 30
minutes of rest breaks and meal within a
working day (art. 108 RFLC);
– duration of weekly continuous rest cannot
be less than 42 hours (art. 110 RFLC);
– workers are entitled to non-working
holidays according to art. 112 RFLC;
– duration of annual paid holiday cannot be
less than 28 calendar days (art. 115 RFLC).
As we see, the legislator establishes kinds
and duration of rest time. The following
is left to the discretion of the parties: 1)
increase in its duration and 2) an order
of rest breaks provision. Though there
are also some legislative restrictions with
reference to a granting order. In particular,
it is inadmissible not to provide a holiday
within two years running (art. 124
RFLC), to substitute holiday within the
limits of 28 calendar days for monetary
indemnification (art. 126 RFLC), to
withdraw from holiday, to substitute
holiday for monetary indemnification for
pregnant women, minors and workers
engaged in work with harmful and
dangerous working conditions (art. 125,
126 RFLC).
3.
Payment
conditions.
Legislation
establishes the following requirements:
– the minimum wage rate (art. 133 RFLC);
– the payment form (art. 131 RFLC);
– an order, a place and terms of wages
payment (art. 136 RFLC);
– restriction of deduction from wages (item
137, 138 RFLC);
– a work payment under conditions
deviating from normal ones (art. 152 –
157 RFLC): kinds of surcharges and
extra charges and their minimum size are
established.
So, relating to work payment parties can
define: 1) the size of wages for cases, exceeding
legislative minimum (including the minimum
amount of surcharges) and 2) payment systems
that is a way of its amount definition, including
incentive payments.
4. Indemnifications and privileges to workers
for work in heavy, harmful and/ or dangerous
working conditions. The given condition is also
defined by state standards, namely characteristics
of working conditions assume attributing work to
heavy, harmful or dangerous one on the basis of
legislatively established lists. Indemnifications
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and privileges to workers for work in such
conditions are defined within the limits of
provisions on working hours, rest breaks, work
payment.
Thus, the partied are entitled with reference
to the given condition: 1) to establish that work
differs in special working conditions though
is behind the frameworks of legislatively
established lists, and to define kinds and amount
of indemnifications and privileges according to
these conditions; and 2) to establish the raised
amounts of indemnifications or additional kinds
of privileges, additional conditions of their
granting in comparison with the legislation,
for work in heavy, harmful and/ or dangerous
working conditions.
5. Social insurance: kinds and conditions.
Kinds and conditions of obligatory social
insurance are defined by the state under the
standard order exclusively. It is to the discretion
of the parties to define kinds and conditions of
voluntary additional social insurance.
6. Labour function of the worker or the name
of a post, a speciality, a trade with qualification
instructions. Here the parties are entitled to
defi ne the character, kinds, volume of performed
work, official duties of the worker. However,
the freedom of the parties is not absolute
in this question as well. Tariff-qualifying
characteristics on various specialities, trades and
posts are established by legislation. And if the
legislator connects performance of this or that
work with granting privileges, indemnifications
or establishment of restrictions, the name of
posts, trades or specialities and qualifying
characteristics should correspond to qualifying
directories accordingly.
7. Kinds of work: mobile, travelling, in
ways, etc. This condition is defined by the parties
independently, but this condition is the reflection
of a certain objective characteristic of work but
not the result of the parties’ will coordination.
The condition of the labour contract
concerning the rights and duties of the parties
was excluded from article 57 RFLC by № 90-FL
Federal law on 30.06.2006.
It was done absolutely fairly because,
according to E.B. Khokhlov, such instructions
of the Code were absolutely excessive as all the
conditions specified above are the very form
of specification of the rights and duties of the
parties of labour legal relation (C.P.Mavrina,
E.b.Khokhlov, M. 2003).
Thus, with the view to the obligatory
conditions itemized in 57 RFLC the parties to
the labour contract are free only to define the
place of work, time of the work beginning and,
to a certain extent, labour functions and kinds of
work. It is obvious, that it is rather a small circle
of possibilities as the work place is predetermined
by objective conditions, and the condition
concerning work beginning date does not assume
a considerable quantity of options. In other cases,
as we have established above, the parties possess
some contractual freedom in two areas:
1) establishment of the raised level of rights
and guarantees of the worker in accordance with
legislation;
2) distribution of working hours and rest
breaks within the limits of this or that period;
establishment of amount and the payment
system (taking into account restrictions specified
above).
Establishment of the labour contract
conditions within the limits of the first area is
carried out by the parties rather seldom, and the
possibility of contractual freedom given by the
legislator is not used as there are no objective
basis for its implementation. After all, the worker
is economically the weakest party to the labour
contract, and consequently, there is no actual
equality of the parties, and the real establishment
of conditions on the basis of the contract is
impossible.
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As for the second of the specified areas,
these conditions are often not defi ned by the
parties directly in the labour contract. In
most cases these conditions are defi ned by the
employer within the limits of their economic
sphere according to the corresponding local
statutory acts, and the worker only joins them,
entering labour legal relations.
So, freedom of the parties in the labour
contract under the content of labour legal relation
is essentially limited by the legislator with a
view of protection of interests of the weakest
party (worker). This restriction does not have
an exceptional character like it does in civil law,
but on the contrary, is a key rule, and even is a
principle of employment legislation. Therefore,
we can speak about a regulating function of the
labour contract with a serious share of convention
for the majority of its conditions are not developed
by the parties independently in the course of the
contract conclusion.
But degree of freedom of the parties in
the labour contract, and, as a consequence,
regulating function nature depends on the degree
of economic independence of the worker, and
according to it can have a considerable range.
The given criterion, in our opinion, should be
considered at differentiation of labour contracts
both in the doctrine of employment law, and in
employment legislation beginning of which has
already been initiated by the Labour code of the
Russian Federation. Let us consider an example
of the labour contract concluded with the head
of the organisation. The head as the worker is in
smaller economic dependence on the employer
as “a stronger figure” on a labour market, as the
owner of a certain “intellectual capital”. Here we
can resume the possibility of more contractual
freedom between the proprietor and the head.
Chapter 43 of RFLC drawn up with this in
view is devoted to features of the head of the
organisation and members of a joint executive
body of the organization work regulation. In
labour relations with this category of workers
the parties possess a bit more freedom under
the labour contract. In particular, the parties
can establish the contract term (art.275 RFLC),
additional grounds for termination of the labour
contract (art. 3 of item 278 RFLC), amount of
indemnification for prescheduled termination
of the contract (item 279 RFLC) which is
inadmissible in labour contracts with the
majority of workers.
2. Labour contract vs. legal document.
Employment legislation establishes the
obligatory written form of the labour contract
(art. 67 RFLC). The purpose of the written form
requirement is the exception of the very fact of
legal relation existence dispute. However, in
civil law the requirement of a simple written
form urged to provide interests of both parties
equally. In case of non-observance of the simple
written form, any party is not entitled to refer
to a testimony confi rming to contract existence
(item 1art. 162 R FCC). In employment law
(owing to unequal position of the parties in the
course of labour relation mentioned above) the
emphasis is made in favour of the interests of
the worker. So, the duty on registration of the
labour contract as a legal document lies on the
employer, but on both parties (part 2 art. 67
RFLC). As a consequence, default of this duty
is for the employer infringement of employment
legislation that can entail administrative
responsibility, as well as any other default of
duties established by employment legislation.
The worker in case of non-compliance with
the requirement on the written form of the
labour contract does not undergo legally
established adverse consequences. The rules,
similar to those fi xed in the RF Civil code
are not established in employment legislation:
the worker is entitled to refer to a witness
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testimony confi rming the fact of labour legal
relation existence.
The written form of the contract urged to
provide disputes exception not only concerning
the fact of labour legal relation existence, but
concerning its content as well. To achieve this
purpose the legislator establishes the list of
conditions which the labour contract should
contain. There are also considerable differences
from the civil-law contracts form regulation
here.
Article 57 RFLC defines the list of
obligatory conditions to be included in the labour
contract. The “obligatory conditions” concept
has replaced the “essential conditions” concept
in the mentioned edition of RFLC on 30.06.2006.
The primary “essential conditions of the labour
contract” wording has been borrowed by the
Labour code from civil law, according to the RF
Labour Code requirements. However, it is the
wording but not a legal construction that was
borrowed. Under civil law article, 432 RFCC
considers the contract to be concluded if the
agreement on all essential conditions between
the parties is reached. Hence, if at least one of
the essential conditions is needed in the contract,
the contract is not concluded. In employment
legislation, the indication on consequences of
non-including essential conditions in the labour
contract is needed. It is not obviously possible to
apply the rule of RFCC to the given situation, as
even if the labour contract is not properly written,
it is still considered as concluded if the worker
starts to work (art.67 RFLC). In other words,
the labour contract is considered as concluded at
actual performance of labour duties by the worker
even at full absence of the written labour contract,
and consequently with one or several essential
conditions missing in its text. Thus, under civil
law essential conditions form contracts as a whole
and their separate contractual types as well, under
employment law they are not constitutive signs,
and serve as a guarantee of the worker’s labour
rights implementation.
Therefore, it is absolutely fair that the
legislator has departed from the term “essential”
with reference to the labour contract conditions
as it caused stable civilistic associations.
The lists of these conditions testify to
specificity of obligatory conditions of the labour
contract in comparison with essential conditions
of civil-law as well. So, art.432 RFCC establishes
the subject matter of the contract as well as the
conditions named in the legislation or concerning
which under the statement of one of the parties
the agreement should be reached as essential
conditions.
Along with a subject matter, the term and the
contract price are also separated from legislatively
established essential conditions in the literature
on civil law. It is possible to conclude, that the
legislative list of essential conditions in civil law
is minimum, it joins the conditions immanently
inherent in a concrete contract, and hence they
are objectively necessary for its existence. Other
essential conditions presence in the contract is
defined at will of the parties owing to part 1 art.
432 RFCC.
RFLC (art. 57) establishes a rather wide list
of obligatory conditions of the labour contract
which have been considered above. The structure
of legislatively certain obligatory conditions of
the labour contract comprises not only conditions
which are necessary for its existence along with
a work place and labour functions, but also a
significant amount of other conditions. The
legislator acts on the premise that the maximum
possible characteristic of labour legal relations
should be given in the labour contract.
Thus, the labour contract as the legal
document provides distinctness for labour legal
relation1, and acts as a legal guarantee of the
worker’s rights implementation (carries out a
guaranteeing function).
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It is the guaranteeing function of the
labour contract that stipulates the requirement
of RFL to obligatory conclude an employment
agreement reduced to writing (part 1 art. 67
RFLC). Otherwise, the legislator would admit
an employment agreement concluding verbally,
where its simplified form to acknowledge labour
legal relation existence might be, for example, an
order on employment.
1
Moreover, the legislator establishes the
measure allowing to guarantee the worker to
keep one of the labour contract. Part.1 art.67
RFLC says that reception of the copy of the
labour contract by the worker should be proved
by the signature of the worker on a copy kept
at the employer. It also testifies that the labour
contract as a legal document carries out a
guaranteeing function.
The employer is also interested in it as execution of labour duties by the worker is important for him for him , but the
emphasize is, of course, made in favour of the worker’s interests.
Функции трудового договора
С.П. Басалаева
Сибирский федеральный университет
Россия 660130, Красноярск, пр. Свободный, 79
Категория «трудовой договор» как правоотношение центральная в этом триединстве
правовых явлений: юридический факт, правоотношение, юридический документ. Для
установления сущности (и, как следствие, понятия) трудового договора целесообразно
исследовать особенности общественных отношений, опосредуемых трудовым договором, и
соответствующие им особенности трудового правоотношения.
Ключевые слова: трудовой договор, функции трудового договора.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 823-836
~~~
УДК 314.122.66
The Historiographical Review
of the Scientific Literature of the Late XIX
to the First Decade of the XXI Century Concerning
the Problem of Ethnic Identification
of the Khakass Ethnos
Natalya N. Nevolko*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
The article is devoted to the historiographic review of the Russian scientifi c literature concerning
the problem of the Khakass ethnos identifi cation. The main attention is paid to the literature of
the end of the XIX to the first decade of the XXI centuries period. In this precise period which the
greatest research attention is observed in scientifi c substantiation of the ethnic processes taking
place in the society. In the sphere of research there are scientifi c works based on the results
of empirical research, analysis of primary sources, extensive archival materials, statistical
data, containing the latest information concerning the national policy about conservation and
development of the ethnos. In particular, in the article, concerning «State of the ethnic relations
in the Khakass Republic in the estimates and conceptions on a mass mind» there are the results of
the public opinion poll made in 1994, 1996 and 2005, materials of social-psychological research
carried out in 2007 – 2008 in the Khakassiya, results of the study of the expeditionary project of
the Siberian branch of the Russian Academy of Sciences «Historical memory of the ethnos and
formation of the regional patriotism: the example of the nations of the Khakass Republic and
Altai» made in 2006. The scientifi c works fully cover research devoted to the modern state of the
Khakass ethnos, where there are the consideration of the interethnic relations of the Khakass
with another ethnos, mainly with the Russians and also with the kernel elements of culture such
as language and religion. Besides, the great attention is paid to the scientifi c works containing
the newest conceptions connected with ethnodifferentiative factors of the ethnic identifi cation. It
is suffi ciently disclosed measures proposed by the authors for the preservation and progress of
the Khakass ethnos in condition of polyethnic society. As a result of the review on the emphasized
problem the insuffi cient development of the problem of the Khakass ethnos consolidation in the
residence condition on another territory, particularly on the territory of the Krasnoyarsk region,
is described in the article. It is topical and necessity to continue the broad and multifaceted
research, interpretation of the historical way of formation and development of the Khakass ethnos
identifi cation on the territory of the Krasnoyarsk region.
Keywords: assimilation, interethnic interaction, the Khakass, the Khakass ethnos, the Khakass
language, ethnic identification.
*
1
Corresponding author E-mail address: NevolkoN@yandex.ru
© Siberian Federal University. All rights reserved
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Natalya N. Nevolko. The Historiographical Review of the Scientific Literature of the Late XIX to the First Decade…
The work is carried out with the financial support of the federal purpose oriented programme «Scientific
and scientific-pedagogic staff in innovative Russia for 2009-2013» concerning the problem «Culture of
the small groups of indigenous peoples living in the North in the situation of global transformations:
foresight research until 2050 based on the materials of analysis of the Yakut ethnos» held within
the framework of the event 1.2.1 «Scientific investigations carried out by research groups guided by
doctors of science».
The interest to the Khakass ethnos appeared
at the turn of the XIX – XX centuries in
consequence of the archaeological excavations
in the Khakass-Mynousinsk hollow. Due to the
complexity of the problem and classification of
the empirical materials there are few published
scientific papers in this period - mainly the
reports of the principal archaeologists who started
to study the Khakass culture. It is necessary to
mention some of them: Alexander Adriaynov
(1853 – 1920), Michael Graysnov (1902 – 1984),
Sergei Kicelev (1905 – 1962), the author of « The
Ancient History of the South Siberia» (published
in 1948 and 1951), the first Khakass scientist
Nicolai Katanov (1862 – 1922), who collected
extensive information about the Khakass, the
Tuva people, the Uigurs, the Tophalars and other
Turkic people (Khakassia – 2000: Who is Who,
2000).
Stepan Mainagashev (1891 – 1920) is
an ethnographer and founder of the Khakass
script. He made a valuable contribution to the
development of the Khakass language due to
his research «Reports about the tours to the
Turkish people of the valley of the Abakan river
in summer 1913-14», where the author describes
the Khakass dialects. The scientist was one of
the national leaders of his period. He suggested
the common name «Khakass» for the natives of
the Khakass-Mynousinsk hollow at the second
congress in 1918 (Gladyshevsky, 1997).
It is known that the great number of works
published before 1917 had mentioned the Khakass
nation. These are scientific works of A.V. Adrianov
- «Sketches of the Mynousinsk’s Territory» (1904)
and C.C. Shishkov’s «Historical studies» (1872),
later V.E. Ogorodnikova wrote about the Khakass
in «The History of the Russian Siberia», in the
first part «Sketches of Siberian history before
the beginning of the XIX century» (1920), N.V.
Kuner was the author of «The Chinese reports
about people of the Southern Siberia, the Central
Asia and the Far East» (1961), etc. (Logacheva,
2009).
In the second half of the XX century a lot of
researches studied history of the Khakass nation.
Among the ethnographers' works, who
studied the ethnic processes, K. M. Patachakov's
articles (Patachakov, 1958, 1982) should be
mentioned. The author describes the cultural
conditions of the Khakass’ life in the 60-70s, the
changes in social and domestic spheres, and also
religious ideas are depicted. U. A. Shebaeva's
works are devoted to the study the traditional
state of the Khakass’ material and spiritual
culture (Shebaeva, 2008).
The great attention had been paid to the
study the ethnic life peculiarities of the small
population groups in the North, the Far East
and Siberia in the 90s of the XX century and in
the first decade of the XXI century along with
continuation of the systematization of the history
of the Khakass nation (Koptzeva and Bakhova,
2010). In particular, the modern researchers
appeal to the study of the problem of the ethnic
identification such as small population of the
Khakass ethnos in Southern Siberia.
The attention to this problem is conditioned
by the tendency of the disappearance of the
national culture of small nations in connection
with fast assimilation process in society from the
end of the XX century up to our days. Due to this
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fact the Khakass ethnosэ has developed under the
influence of two processes at the same time: on
the one hand it is process of enculturation, when
a member of the ethnos become familiar with his\
her ethnic culture, on the other hand it is process
of acculturation when cultures of the different
ethnos influence each other (Koptzeva, 2010).
From the established point of view the ethnos is
in a borderline position, it raises a lot of questions
about how the members of the Khakass ethnos
depict themselves in the up-to-date polyethnic
society. Sufficient amounts of the Russian
researches of the end of the XX – the first decade
of the XXI century (1990s – 2010) devoted their
studies to this topic. The study is covering the
review of these scientific works.
Doctor of
History, Professor V.N.
Tougougekova studied the modern ethnic
processes of the Khakass people (Tougougekova,
2008). The great amount of author’s articles are
devoted to some aspects of the ethnic history
of the Khakass as contemporary tendencies
observed in the modern Khakassia at the turn of
the XX – XXI century.
In the scientific research «The Khakass:
ethnic processes at the second half of the XX
century» (Krivonogov, 1997), the ethnographer
and ethnosociologist V.P. Krivonogov give the
detailed statistical analysis of the Khakass ethnos
population from 1897 to 1989. He studied the
spiritual and material culture of the Khakass,
significance of marriage during the ethnic
consolidation of the Khakass. The chronology of
the monograph includes mainly 70s – beginning
of the 90s of the XX century.
The research works of V.N. Asochakova,
N.A. Baranseva, A.P. Sheksheev describe the
stages of the Khakass ethnos formation and
consolidation.
V.N. Asochakov’s research works covered
interethnic relations of the Khakass and Russian
ethnos in the cultural, religious and economic
fields (Asochakova, 2008, 2010). In the article
« The problem of the interethnic cooperation in
the course of the Christianization of indigenous
of the Khakass-Mynousinsk’s Territory: XVIII –
XIX century» the attention to paid to the process
of the Christianization, in author’s opinion, the
«russification» (Asochakova, 2009, P.94). These
problems studied more fully in another V.N.
Asochakov’s article «The Christianization of the
Khakass in the second quarter of the XIX century:
the problem of the crisis in missionary activities»
where the author describes different forms and
methods of the Christianization of the Khakass,
missionaries’ views on educational activity and
their suggestions on reformation of the missionary
activities on the Khakass-Mynousinsk’s Territory.
The article is based on the analysis of the church
sourcebook consistories where the author reveals
dynamics of the baptism of the Khakass during
100 year (1760s – 1861) period. However, in
the author’s opinion, the Christianization had a
formal character and didn’t affect habitual way of
the Khakass ethnos life (Asochakova, 2010a).
The historical premises of the Khakass ethnos
formation in the 1920s are presented in the N.A.
Baranzeva’s article «The Khakasses: specifics of
the ethnosocial processes in the context of the
formation of the state in the 1920s». The work
is based on the extensive archival materials,
statistical data of the Khakass population size,
sociocultural and everyday descriptions of the
natives, and also analysis of their interrelations
with the Russian and resettlement population.
The author retraces the increase of the Khakass
population from the end of the XIX century to
the end of 1920th, he marks out the distinctive
descriptions of the ethnos («stability of the
language and conservation of the cultural and
everyday peculiarities») (Baranzeva, 2009).
N.A. Baranzeva pays great attention to the
problem of the influence of the migration to the
formation of the polyethnic population of the
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South Siberia at the end of the XIX – the first half
of the XX century. The number, structure and
accommodation of the polyethnic population are
studied, the state of the ethnic similar and mixed
marriages in this period are analyzed (Baranzeva,
2008, 2009a, 2009b).
A.P. Sheksheev in the article «Hashylar:
protest actions of the Khakasses (the end of
1919 – the beginning of 1930s)» examined the
period of the coverage of the non-Russian areas
of the Khakass-Minousinsk hollow, the political
and criminal violence, manifested in the negative
Khakasses attitudes to the Russian population.
According to the researcher, the basis of the
protest actions of the Khakasses were in the
desire of the ethnic to survive and unwillingness
«to live according to the other people’s rules»
(Sheksheev, 2009, P.104).
In our days the problem of the Khakass
ethnos identification is studied by many
researches. For example by L.V. Anzhiganova,
M.V. Belozerova, G.V. Grosheva, E.V., Guseva,
I.R. Karamchakova, T.B., Morogin, V.G.
Samushkin, as well as by the leading experts –
specialists on the Khakass ethnos from Abakan,
Novosibirsk and Tomsk.
Doctor of Philosophy, the leader of the
nationalist movement, a member of the national
Council, L.V. Anzhiganova in the article «The
evolution of the international relations in the
Khakass Republic» studies the problem of the
harmonization of interethnic relations between
such entities as the Russians, the indigenous
people of the regions and ethnic diasporas
in Russia. The Khakass Republic is not an
exception in this case, and for the author it is the
representative «platform» for the analysis of the
interethnic cooperation.
Traditionally, the atmosphere of the
interethnic communication in Khakassia is
defined by the relations between the Russians and
the Khakass because of the numerical superiority
of the Russian population. According to the
author, recently the ethnic diasporas had claimed
about their interests. However, the scholar holds a
positive assessment towards the Chinese diaspora
on the basis of its «cultural isolation». According
to the survey of representatives of the Chinese
diaspora they not plan their further stay in Russia.
Whereas Khakassia for them is the only place
of the economic benefits. The article provides a
comparative analysis of the sociological survey
made in 1994, 1996 and 2005 about «The state of
the interethnic relations in the Khakass Republic
in the assessment and reporting of the mass
consciousness» to achieve the goal to study the
evolution of the international relations in the
Khakass Republic. The author identifies a number
of the possible reasons of the international tension
to achieve the goal to research the evolution of the
international relations in the Khakass Republic.
The reasons are the following: the deteriorating
economic conditions – 44%, migration from the
other states and regions of the country – 25%,
activities of the central – 15,5% and Republican –
6% authorities, the political crisis – 13%,
consumer nationalism and chauvinism – 13%.
Moreover this analysis allowed the researcher to
identify an emerging problem of the increase of
the number of people who were able to participate
in the international conflicts (in 1994 – 58%, in
2005 – 68%).
The study proposes a number of suggestions
aimed to improve the interethnic situation in
the Khakass Republic. The author suggests to
consider:
– sociocultural, economic and ethnopolitical interests of the various ethnic
groups, including the small groups;
– activities directed to form and develop a
single multicultural space of the Republic,
founded on the principles of the political
correctness and mutual interest of the
national groups of the Republic;
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- measures taken to migrant adaptation on
the territory, do not violate the existing balance of
ethno-social interests in the region (Anzhiganova,
2007).
In general, L.V. Anzhiganova, despite the fact
that interethnic relations in Khakassia currently
appear to be relatively stable, concludes that
there are signs of the hidden forms of the national
tension. Especially national tension is obviously
manifested from an outsider's viewpoint by the
Russians and the Khakass to «the people of the
Caucasian nationality» (Anzhiganova, 2007,
P.82).
In the article «Ethnic statehood as a factor
in the formation of the regional identity (on the
example of the Khakass Republic 1990 – 2000s)»,
G.V. Grosheva writes about the urgency of creating
a model of the regional identity as a basis for social
and political stability not only for an individual
region of the Russian Federation but also for the
Russian society in general. The author believes
that this will promote the awareness among the
regional communities of belonging to a single
territory and unity of interests, which, in turn, will
reduce the destabilizing ethnic factor. The author
gives a vivid example of the Khakass Republic
where, according to the author, the ethnosocial
and ethno-political stability is achieved. This
became possible due to the factor of the ethnic
nationhood, expressed in the idea of the republic
as «one's own state», «small homeland», which
became the basis of the identity not only forthe
Khakass but also for other ethnic groups which
live on the same territory.
G.V. Grosheva uses a lot of statistical
materials based on the results of a poll which
reveals the importance of the awareness of the
representatives of the Khakass ethnic groups to
belong to their Republic and their nationality.
In addition, the author attempts to detect the
contradiction between the desire of the Khakasses
to the isolation and theoretical awareness to
integrate in the Russian community. The idea
of «the integration of the multi-ethnic society of
Khakassia» is supported by the local authorities
(from 2005 the questions of interethnic relations
are examined by the Ministry of Regional
Policy RK, in 2009 – the Ministry of national
and regional policy was created), which causes
the negative attitude of the Khakass ethnic
group representatives who regard this policy as
«inattention to their national interests».
The researcher also analyses the event
of 1991, when Khakassia joined the Russian
Federation. The article presents the various
responses of the representatives of the Khakass
intelligentsia on the impact of this event to the
Khakass population. There are both positive and
negative moments.
Among the positive changes the author
points out the following:
– economic life improvement;
– preservation of the historic territory;
– development of the national culture (the
formation of the national intelligence, the
creation of writing, the national theater,
books, the development of the music
culture, media in the Khakass language)
(Grosheva, 2010, P.126).
The author points out the following negative
moments:
– loss of physical and intellectual potential
of the Khakass;
– loss of the position of the ethnic Khakass
culture;
– the restriction of the usage of the Khakass
language;
– transformation of the Khakass «ethnic
minority» on their historical homeland;
– beginning of the assimilation processes,
etc.
Thus, G.V. Grosheva concludes that the idea
of the National Republic which has independent
status is a powerful factor of the ethnic
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identification not only for the Khakass people
but also for the other ethnic groups. Loss of the
ethnic statehood is regarded by the respondents
as the loss of the national culture.
G.V. Grosheva mentioned such factors of
the ethnic identification of the Khakass people
as language, religion and distinctive traditional
culture of the Khakass in another research,
devoted to «The ethnicity in the scientific and
political discourse of the modern Khakassia (the
end of XX – the beginning of XXI century)».
On the basis of the statistical data, the author
mentions the problem of the preservation of the
national culture of the Khakass ethnos. Thus,
the Khakass language is listed in the Red Book
of the endangered languages by UNESCO, the
religious divisions in the choice of faith among
the Khakass ethnic is observed. The author notes
the desire of the Khakasses to join Christian
sects, «especially there are a lot of them among
Baptists, Jehovah’s Witnesses and members of
the Charismatic Church Worship (from 30 to 50%
of all believers)» (Grosheva, 2007, P.66). A large
proportion of the faithful, according to researcher,
are so-called «dvoevertsi» (people who have two
religions). There are a lot of traditions, customs
and ceremonies; but different kinds of the
specific Khakass crafts had been lost. All this
factors, in the author’s opinion, create a threat to
the existence of the Khakass ethnos.
The article proposes several ways to form
the ethnic identity which, in the author’s author’s
view, necessary «for the psychological security
and stability of the group in terms of the ethnic
processes in the new circumstances» (ibid.). The
author mentions the following ways:
– the revival of the Khakass culture by
resorting to «the historical consciousness
of the ethnicity», «the restoration of the
basic ethical values, appealing to the
traditional worldview» (Grosheva, 2007,
P.61);
– an extension of the social functions
of the national language, i.e. its use
in the educational system, in the area
of governance, culture and mass
communication;
– paying attention to the shamanism
religion.
The author focuses on the ethnogenesis
of scientists made by L.V. Kyzlasov and V.J.
Butanaeva, historical overview of the ethnic
identity process of the Khakasses from the I BC
to a period of the politics to support the Khakass
ethnic group in the 1990th . The author presents
the factual material aimed to support and promote
the national culture. The association of the
Khakass people – «Thun», hold the congresses –
Chyylyg, give lectures, have village gatherings,
promote the formation of the Khakass Republic,
open the headings of the «Soviet Khakassia»
newspaper, have programmes referring to the
revival of the Khakass ethnos. G.V. Grosheva
notes the important role of the Khakass ethnicity
representatives in an effort to form the ethnic
identity. The results revealed in the establishment
of the district councils of the oldest clans
(1999), holding an ancestral celebrations (2000),
the creation of the public association «Clans
movement of the Khakass people» (2003).
The features of ethnic transformation of the
Khakass and the Russian population are studied
in the article of T.B. Guseva and V.G. Morogina
«Ethnic attitudes of the Russians and the Khakass
in terms of the interethnic cooperation». The work
has theoretical and practical value; it is based on
the material obtained in the course of the sociopsychological study, done in 2007 – 2008 years
in the Khakass Republic. The study includes the
comparative analysis of the two concepts: «the
ethnic identity» and «the ethnic attitude», where
the authors make a conclusion that knowledge of
the ethnic identity is a «purely personal process»
which can not be thoroughly studied. Whereas
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the study of the ethnic attitudes (the formation
of the social stereotypes of social behavior) is
possible. Therefore, the study exclusively focuses
on revelation of the ethnic attitude towards the
Khakasses and the Russians on the example of
the Khakass Republic. In order to estimate the
ethnic attitudes a modified version of Bogardus
social distance scale had been used. The article
presents the statistical results of the three ethnic
attitude components: the emotional, the cognitive
and the behavioral.
As a result, the authors concluded that the
Russian ethnos shows more distance between the
Khakass and the Russians almost at all the levels of
socialization. The researchers explain this fact by
the paucity of the Khakass ethnic group, which in
these circumstances «shouldn’t to oppose itself to
the other ethnic groups» (Guseva, Morogin, 2009,
P.49). Moreover, the respondents (180 people)
appreciate their national and cultural identity to
the ethnic group. In this case, the majority of the
both ethnic groups are ready to show the ethnic
tolerance in the interethnic interaction.
E.A. Erokhina in the article «The ethnic
boundaries in the interethnic community (on the
example of the Khakass Republiс)» studies the
problem of determination of the zone of interaction
and the zone of tension between the Russians and
the Khakass. The article is based on the results
of the project study by of the Siberian Branch
of RAS «The historical memory of the ethnos
and the formation of the regional patriotism: the
example of the people of the Khakass Republic
and the Altai Republic», done in 2006.
The author identifies external (the shape of
eyelids, the presence or absence of epicanthus’s,
hair color, height) and internal boundaries
(identification of the state and Orthodoxy with the
Russians; of the family and tribal structures and
the native land with the Khakasses) in relations of
the Russians and the Khakasses on the Khakass
territory. These circumstances allow the author
to talk about sustainable ethnic border between
Russian and Khakass. At the same time, the
author focuses on the contact zones: «the Russianspeaking communicative space and interfaith
dialogue». The author believes that the Russian
language and the Orthodox culture contribute to
the integration of the Russians and the Khakass
into a single civil society (Erokhina, 2007).
The modern national ideology of the Khakass
ethnos was studied in a number of scientific
papers by E.V. Samushkina (Samushkina, 2005,
2007, 2008). The article «The modern Khakassia:
the ethnic identity in the context of ethno-political
processes of the end of XX – the beginning of
XXI centuries» deals with the consideration of the
conversion to a new level of the Khakass ethnic
identification. The central theme of the study is
the crisis of the ethnic identity, which occurred
in the Khakass Republic in the 1990’s. Followed
by the activity of the Association «Thun» and
the Congress of Khakass people, new aspects in
the transformation of the identity of the Khakass
ethnos has emerged in the mid 2000's. The author
singles out such trends of the identification as the
revival of the historical and cultural traditions,
strengthening of the integrative trends where
the dialogue serves as a basis of the multi-ethnic
existing and knowledge of the tribal affiliation.
The article provides a legislative confirmation
of the value of the last ethnic identification.
The following laws to support « the ethnic
consolidation» idea had been created: «About
the general principles of organization of the
indigenous communities in the North of the
Russian Federation, Siberia and the Far East of the
Russian Federation» dated July 20, 2000, «About
territories of the traditional nature management
of the indigenous minority peoples of the North
of the Russian Federation, Siberia and the Far
East of the Russian Federation» dated May 7,
2001 (Samushkina, 2008, P. 372). In addition, in
2001 «The association of the clans of the Khakass
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people» was created. In author's opinion it helps
to supports the the socio-economic reforms of the
modern Khakassia.
As the conversion «to a new level of
identity» of the Khakass ethnos E.V. Samushkina
calls accession of the Khakass Republic in the
united Turkic space (1993) (Samushkina, 2008, P.
377). Interaction of Khakassiya with the Turkicspeaking world on the basis of belief in the common
ancestors, is regarded as one of the possible ways
to overcome the crisis of the ethnic identity. This
international non-government organization plays
a unifying role in the Turkic-speaking world, it
also facilitates to the integration of the common
Turkic culture into the cultural world space.
In another E.V. Samushkina's research work
«Ideology of the ethno-national movements
in the republics of Altai and Khakassia (late
XX –beginning of XXI centuries)» an overview
of the main documents, aimed to support and
progress the concept of the ethno-national
development in the Republic of Altai and
Khakassia is provided. There is «The concept of
thenational schools in the Altai Republic» (1993),
«Law of the historical and cultural heritage of
the Altai Republic» (1994), «The concept of the
national development of the Khakass people»
(2001).
Having based on these programs, the author
identifies priority in the development of the
national ideology (conversion to the traditional
ethnic culture), the problems of formation of the
national idea, and prospects for the development
of the national ideology (Samushkina, 2007).
M.V. Belozerova and I.R. Karamchakova
study the national language as one of the effective
ethnodifferentiative signs.
The consideration of the linguistic relations
of the Russians and the national languages as
the basis for the creation and exacerbation of
the ethnic conflicts is presented in the article by
the Candidate of History M.V. Belozerova «The
problem of preservation of the language of the
indigenous peoples of the Southern Siberia».
The author traces the process of formation of
the negative attitude towards the study of the
native languages in schools among indigenous
representatives of the ethnic groups, which started
from the 1960's, and shows the changes that have
taken place in the minds of the indigenous ethnic
groups of the Southern Siberia with respect
to the use of the national languages by the end
of XX – XXI centuries. The reasons of such a
massive reorientation of the ethnos linguistic
consciousness are featured in the article, the
analysis of the means, offered by representatives
of the indigenous ethnic groups to preserve and
promote the national language is given. Among
these means the author paid special attention
to the consideration of the number of projects
realized in the educational institutions of the
Republic of Altai and Novosibirsk, considering
that it is necessary to support such programmes
in the other regions of the Russian Federation.
The author is convinced that there is a «conflict»
between «their» language as a mean to preserve
the ethnic identity and identification, and the
Russian language which is widely used among
the ethnic groups of Southern Siberia. In the
author's opinion this situation is the basis for the
maintenance of the interethnic tensions in the
society (Belozerova, 2008).
In the work of I.R. Karamchakova «Ethnolinguistic processes in the Republic of the
Southern Siberia: the typology and specificity»
the dynamics of the knowledge of the native
language, including monolinguals, in the period
between censuses of the population in 1989 and
in 2002 is represented. The article is based on
the analysis of the statistical data of the intensity
of the functioning of the native languages in the
Republics of the Southern Siberia (for example,
in the mass media), the specificity of the major
ethno-linguistic processes in the Republics. The
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attitude to the representatives of the titular ethnic
groups to their native language, the role of the
national language in the education system at the
secondary and higher educational institutions
in the Republics are in sphere of the research
interests. On the basis of the statistical data, I.R.
Karamchakova notes that only in Tuva the Tuvan
language is the language of study at schools and
studied as the school subject, whereas the Altais
and the Khakass use their native languages only
as the academic subjects. The author believes
that this situation contributes to the loss of the
ethnic language. However, the researcher is
convinced that under the condition of the loss of
the native language by the members of the ethnic,
this ethnodifferentiative sign takes «symbolic
resource of the ethnic identity». In this case, it
is important to realize «the native language as
the language of the ethnic group» which allows
to identify oneself with this or that ethnic group
(Karamchakova, 2010).
The work «Essays of the history of Khakassia»
takes an important place in the historiography of
the problem of the ethnic identification of the
Khakass ethnos of the beginning of the XXI
century. It is made by the scientists of archeology,
ethnography and the local history department of
the Khakass State University n. a. N.F. Katanov, as
well as by the leading researchers of the Khakass
ethnos from Tomsk and Novosibirsk. This is the
first monograph where the experts have studied
the ethnogenesis of the Khakasses, ethno-cultural
processes throughout the historical development
of the Khakass people from the ancient times till
present days in details. The data of sociological
studies of the mid 1990 – early 2000’s, relating to
the migration of the Khakass population and the
extent of the political activity in comparison with
the Russiansare represented.
The monograph is composed of the six
major sections, every chapter is devoted to the
disclosure of the certain historical period of
Khakassia. The main attention of the researchers
is paid to the problem of the Khakass ethnic
identification; there is a section which describes
the period when Khakassia was in the status of
the independent Republic (1991 – 2008). This
section includes paragraphs devoted to «the
Khakass ethnos under condition of the political
and socio-economic transformations» and «the
ethnic and confessional situation» in the Khakass
Republic.
The work is fundamental, based on a wide
range of sources of the statistical data. The
authors consider various aspects of the current
state of the Khakass ethos. The paper presents the
basic criteria of the ethnic identity of Khakassia
(dialectical differences, «the idea of the republic»
as «their own state», «Little Homeland»), the
causes of the acceleration of the assimilation
processes of the Khakass ethos, such as
1. difficult demographic situation;
2. problems in the socio-economic sphere;
3. insufficient Khakass representation in the
local government;
4. migratory movements (according to
the data of the census 2002, outside the
Khakassia country reside 13,5% of the
Khakass from the total number in Russia)
(Butanaev et al., 2008, P.567);
5. internal migrations caused by the
urbanization (by 2002 the number of the
Khakasses increased from 1989 to 12%)
(ibid.);
6. problems of the revival of the traditional
spiritual culture of the Khakasses.
The researches paid the main attention to the
religious problem in the Khakass Republic. The
author gives a historical review of the origin of the
various confessions in the area and characterizes
the role of the missionary activity of the religious
communities in formation of the worldview of the
Khakasses. The authors notes the negative impact
of the members of other religions on the Khakass’
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consciousness which manifests in rejection of
the ethnicity, the ethnic culture and the cultural
value.
According to the author’s opinion the
existing religious pluralism in the Republic is the
lack of the national religion. «And the problem
of our people is that we do not have our ideology,
our religion. As a result we are both orthodox
and heathen. Most of our people believe in the
Orthodoxy and at the same time adheres to
shamanism» (Butanaev et al., 2008, P.605).
The paper provides an analysis of the
opinion polls where the authors define the ethnosocial development of the titular ethnic group.
Among these conditions the authors identify the
following:
1. accessibility of the education and
employment for the young Khakass
people;
2. belonging to «their» Republic and «their»
nationality, i.e. preservation of
the
national statehood.
In general, the researchers assess the stable
situation in the sphere of interethnic relations
in the Republic. However, the authors note the
existence of the «hidden form of tension» in
the international relations. The author notes
the importance of the creation of the «single
political-legal space and the integration of all the
ethno-national communities into a single political
nation – heterogeneous in its composition but
unified by belonging to the State» (Butanaev
et al., 2008, P.572). According to the authors,
the Khakass ethnic group wants to revive the
traditional culture with «the current trends of the
global and national development and integration
into the global cultural community» (Butanaev
et al., 2008, P.573).
A.S. Logacheva’s monograph «Ethnic selfconsciousness» has a great value for the problem
of the ethnic identification of the Khakass.
In the monograph such a phenomenon as the
ethnic self-consciousness observed in the sociophilosophical terms. The author points out the
subtle difference between the concepts of «the
ethnic self-consciousness» and «the ethnic
identification». According to A.S. Logacheva
ethnic self-consciouness is a core of the ethnic
identity which has two levels. The first «level
of orientation, preferences and stereotypes»
where the identification with the ethnic group is
commonly presented. According to the concept
of the researcher the second «theoreticalconceptual» level creates the social basis for the
opposition to nationalism. At this level the ethnic
self-consciousness is faced with the future – «it
is interested in the problems of the ethnos future
life, the preservation and increase of its spiritual
strength ...» (Logacheva, 2009, P.135). The author
notes the natural need to step over the limits of the
«self-knowledge» at this level of the ethnic selfconsciousness as a condition for the prosperity of
the ethnic group. The ethnic self-consciousness
differs from the ethnic identity; it is defined by
knowledge, education, intelligence, whereas the
ethnic identity involves more emotional elements
that contribute to the strengthening of the ethnic
self-consciousness.
The concept of the ethnic self-consciousness
is researched by the author on the example
of the Khakass ethnos. The main attention of
A.S. Logacheva is focused on the discovery
of the historical, philosophical and ethnosocial prerequisites for the processes of the
development in the modern Khakassia. The
process of the formation of the Khakass ethnic
group is retraced, ethnodifferentiative principles
of the ethnic identity such as language, culture,
tradition, religion, art, style of life, ethnogenesis
of the Khakasses, psychological characteristics
are considered.
The problem of the Khakass ethnos genesis
in its ethnic and cultural interaction with the
other ethnic groups is summarized in a number of
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theses in 2000’s. The main problems mentioned
by the authors are: characteristic of the traditions,
ceremonies, the national character of the Khakass
ethnos, the interaction of the Russian immigrants
with the representatives of the other Siberian
ethnic groups and many others.
Thus, the historiographical review of the
domestic scientific literature concerning the
problem of the Khakass ethnic identification
gives an opportunity to make the following
conclusions.
1.The problem of the ethnic self-identification
of minority in the Russian Federation (in
particular of the North, the Far East and Siberia)
appeared acutely in the 90’s of the XX century,
which found a broad response among researchers
who wanted to study the ethnic processes, taking
place in the society. The problem of the scientific
substantiation of the self-identification processes
in an ethnic group requires further study.
2. The main researchers’ attention is paid to
the problem of the Khakass ethnic identification
and conditioned by the necessity to analyze the
reasons for the rapid rate of assimilation within
the ethnic group, whereas in Khakassia there
is a tendency towards the conservation and the
development of the Khakass ethnos.
3. This problem is usually researched
by the authors in the historical, sociological,
psychological and cultural aspects. Researchers
believe that the genesis of the Khakass ethnos,
sociological and psychological approaches are
enable to indicate the specific character of the
interrelations of the Khakasses with the other
nations, discover peculiarities of the emotional
state of the representatives of the ethnic group
under the condition of the domination of the
Russian population in their native territory
according to the historical approach. Based on
the cultural approach, the scientists explore the
role of the key national forms of the culture in the
contemporary life of the ethnos.
4. Special attention is paid to the scientific
literature which is devoted to the study of the
following ethnic processes, which indicate the
self-identification of the Khakass ethnos:
– history of the formation of the Khakass
ethnos
(V.N.
Asochakova,
N.A.
Barantzeva, V.Y. Butanaev, G.V. Grosheva,
V.N. Tuguzhekova, A.P. Sheksheev, etc.);
– interethnic interaction of the Khakasses
with the other ethnic groups. The main
attention of the researchers is paid to
the interaction with the Russians (L.V.
Anzhiganova, N.A. Barantseva, T. B.
Guseva, E.A. Erokhina, V.P. Krivonogov,
V.G. Morogin, A.P. Sheksheev, etc.);
– the nuclear components of the culture of
the Khakasses – language and religion
(V.N. Asochakova, M.V. Belozerova,
V.Y. Butanaev, G.V. Grosheva, I.R.
Karamchakova, A.S. Logacheva, etc.).
5.
Along
with
the
traditional
ethnodifferentiative markers of the ethnicity
(language, religion, mythology, traditions,
customs, ceremonies, etc.), the researchers suggest
such factors of the ethnic identity which should
be formed in the minds of the representatives of
the Khakass ethnos at the present stage of the
development. For example: the idea of the national
Republic, «small homeland» (the ethnic state)
(G.V. Grosheva), strengthening of the integrative
tendencies (L.V. Anzhiganova, V.Y. Butanaev,
E.A. Erokhina, G.V. Grosheva, E.V. Samushkin,
etc.), expansion of the scope of the functioning
of the national language (M.V. Belozerova, I.R.
Karamchakova), creation of the national religion
(V.Y. Butanaev, etc.), formation of the ethnic selfconsciousness (A. S. Logacheva).
6. There is also the problem of the Khakass’
ethnic consolidation in terms of living on the other
territory – on the territory of the Krasnoyarsk
Region. Thus, the relevance and necessity
to continue the broad and multidisciplinary
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research on order to understand the historical
way of formation and development of the self1
identification of the Khakasses on the territory of
the Krasnoyarsk Region is obvious.
According to the All-Russian census of the population in 2002, there are 75622 members of the Khakass ethnos in the
Russian Federation’s Territory whereas after the census of the population in 1989, there were 78500 people.
References
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N.P. Koptzeva and N.A. Bakhova, «System of culture in Krasnoyarsk region: main subjects and
cultural values», Journal of the Siberian Federal University. Series: Humanities, 3 (30) (2010), 344381
V.P. Krivonogov, Khakasses. Ethnic processes in the second half of the XX century (Abakan:
Zentaurus, 1997).
A.S. Logacheva, Ethnic self-consciousness (for example, Khakass ethnos) (Abakan: Khakass
publishing house, 2009), in Russian.
K.M. Patachakov, Culture and life of Khakassia in the light of the historical ties with the Russian
people (XVIII – XIX centuries) (Abakan: KhakSRILLH, 1958), in Russian.
K.M. Patachakov, Sketches of the material culture of Khakasses (Abakan: Krasnoyarsk publishing
house. Khakassia, 1982).
E.V. Samushkina, «Ethnic self-consciousness of Khakasses: mythology and shamanism in the
formation of modern national ideology», Humanities in Siberia, 3 (2005), 29-32.
E.V. Samushkina, «Ideology of ethno-national movements in the republics of Altai and Khakassia
(late XX – early XXI)», Herald of the Novosibirsk State University. Series: History, Philology, 6 (3)
(2007), 284-289.
E.V. Samushkina, «Modern Khakassia: ethnic identity in the context of ethno-political processes
of the end of XX – the beginning of XXI centuries», Problems of history, philology and culture, 20
(2008), 370-379.
A.P. Sheksheev, «Hashylar: protest actions of Khakasses (the end of 1919 – the beginning of
1930s)», Russian history, 2 (2009), 93-106.
Y.A. Shibaev, Clothing of Khakasses (Abakan: KhakSRILLH, 2008).
V.N. Tougougekova, Khakass ethnos at the turn of the century (late XX – early XXI) (Abakan:
Khakass publishing house, 2008).
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Natalya N. Nevolko. The Historiographical Review of the Scientific Literature of the Late XIX to the First Decade…
Историографический обзор научной литературы
конца XIX – первого десятилетия XXI вв.
по проблеме этнической идентификации
хакасского этноса
Н.Н. Неволько
Сибирский федеральный университет
Россия 660041, г. Красноярск, пр. Свободный, 79
Статья посвящена историографическому обзору отечественной научно-исследовательской
литературы по проблеме этнической идентификации хакасского этноса. Особое внимание
уделено рассмотрению литературы за период конца XIX – первого десятилетия XXI веков.
Именно в данный период наблюдается наибольший исследовательский интерес к научному
обоснованию происходящих в обществе этнических процессов. В круг исследовательского
обзора входят работы, основанные на результатах эмпирических исследований, анализе
первоисточников, обширного архивного материала, статистических данных, а также
содержащие новейшие сведения относительно проводимой национальной политики
по сохранению и развитию этноса. В частности, в статье освещаются результаты
социологического опроса, проводимого в 1994, 1996 и 2005 годах на тему «Состояние
межнациональных отношений в Республике Хакасия в оценках и представлениях массового
сознания», материалы социально-психологического исследования, проводимого в 2007 –
2008 годах в Республике Хакасия, результаты исследования по экспедиционному проекту
Сибирского отделения РАН «Историческая память этноса и формирование регионального
патриотизма: на примере народов Республики Хакассия и Республики Алтай», проводимого
в 2006 году. Наиболее полно освещаются работы, посвященные исследованию современного
состояния хакасского этноса, куда входит рассмотрение межэтнического взаимодействия
хакасов с иными этносами, в частности с русскими, а также ядерных элементов культуры,
таких как язык и религия. Кроме этого, большое значение придается работам, содержащих
новейшие концепции в отношении этнодеффиринцирующих факторов этнической
идентификации. Достаточно подробно раскрываются предлагаемые авторами меры по
сохранению и развитию хакасского этноса в условиях полиэтничного общества. В результате
проведенного обзора научно-исследовательских работ по обозначенной проблеме в статье
отмечается недостаточная разработанность вопроса консолидации хакасского этноса в
условиях проживания на иной территории, в частности на территории Красноярского края.
Отмечается актуальность и необходимость продолжения широкого и многоаспектного
исследования, осмысления исторического пути формирования и развития самоидентификации
хакасского этноса на территории Красноярского края.
Ключевые слова: ассимиляция, межэтническое взаимодействие, хакасы, хакасский этнос,
хакасский язык, этническая идентификация.
Работа выполнена при финансовой поддержке федеральной целевой программы “Научные и
научно-педагогические кадры инновационной России на 2009-2013 гг.” по проблеме “Культура
коренных и малочисленных народов Севера в условиях глобальных трансформаций: форсайтисследование до 2050 г. на материале анализа якутского этноса”, проводимому в рамках
мероприятия 1.2.1 “Проведение научных исследований научными группами под руководством
докторов наук”.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 837-845
~~~
УДК 821.161.1
The Motif of the Gift in the Works
of Leonid Leonov (1924-1953)
Alena O. Zadorina*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
The article presents the motif analysis of L. Leonov’s works, except for the final novel “Pyramid”.
Author’s manner was changing during the 20th century tending to different styles – avant-garde,
socialist realism, postrealism. The motif of the gift was considered by Leonov from different points
of view, and we attempted to examine poetics of all author’s variations of this motif focusing on its
religious essence.
Keywords: motif analysis; narration; character’s structure.
Introduction
The motif of the gift as the disclosure of
an artistic right to create something new has
ontological significance in the art. In the religiousmythological discourse this motif is represented
by two semantic variants: talent and foresight.
They are bestowed to a man from heaven marking
the “person of God”.
Obviously the divine gift is connected with
the idea of grace. In the article “Error, God and
Literature” (2005) I.P. Smirnov investigates the
evolution of understanding the divine gift (talent)
in the religious and philosophical doctrines
starting with theories of Aristotle and Plato.
Revising the ancient concepts in the early and
late Christianity (St. Augustine, Nicholas of
Cusa), the scientist formulates a thesis about
the qualitative essence of grace. Since the
“transient sensory perception cannot be relied
upon” (Smirnov, p. 34, 2005), and intelligence is
*
1
“subjected to the affects” (Smirnov, p. 34, 2005),
then the truth is given only to the initiates: the
enduring (immortalia) opens only to a believer.
In the understanding of Bl. Augustine, grace is
appointed by God to all people, but only those
who aspire to get it (many are called, but few are
chosen) will be saved. Those who perish without
receiving grace are guilty themselves: God
condemns a person for unwillingness to receive
the bestowed salvation. The modern theological
tradition links the motif of the divine gift with
the motif of cognition. Grace is the supreme
Dominical gift to a person, and its action opens
possibility of understanding God.
Materials and Methods
The motif of the divine gift is embodied in
the texts of both the Old and New Testaments.
The gift in the sense of a talent, grace is
metaphorically unfolded in the Gospel parable of
Corresponding author E-mail address: amaltea-20x@yandex.ru
© Siberian Federal University. All rights reserved
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talents (regardless the fact that the Biblical text a
talent means a monetary measure). The modern
etymology determines a combination of meanings
in a lexeme of the talent (values of weight and the
divine gift) with metaphorical re-interpretation
of the New Testament parable which took place
in the ancient times (Chernykh, 2002). The plot
of talents is presented in three canonical gospels,
but the authors make different semantic accents.
We will focus on the Gospel of Luke where the
metaphor of talent becomes more evident.
Interesting research of the parable of
talents as a sign of selectness was held by E.G.
Rabinovich (through a comparison of popular
evangelical version of Matthew and the forgotten
one – the Gospel of Luke, through alignment
of alliterative mythopoetical parallels with the
images of Atlant, Tantalus). The motif analysis
reveals relations of the idea of the talent with
motifs of feasibility-unfeasibility, luck and
perseverance of the succeeded ones, sorrow
and death of a protagonist who tried to refuse
the burden assigned to him and, therefore,
was punished. Based on the received results
the researcher tries to reconstruct the process
of understanding the parable of talents as “the
divine grace and free will” that accepts or does
not accept duties of those who received the grace:
“The talent is a metaphor for grace based on the
pre-Christian tradition which being apprehended
with obedience and zeal is multiplied with the
efforts of the chosen one, and being rejected
and “buried” it deprives the person who did not
accept election not only of grace, but of God”
(Rabinovich, p. 148, 1991).
In the Russian literature the motif of divine
inspiration of an artist was designated in the
hagiographic texts, when the authorship category
was irrelevant. Near to eulogy to a protagonist of
hagiology at the beginning and / or at the end of text
the author talks about God’s permission to work
with a word. The logic of the motif development
is as follows: at first, the author writes about
his own mediocrity, then about the prayer and
the occured grace. That is, the transition in the
antinomic pair of the motifs gift – mediocrity is
carried out by inclusion of the motif of miracle.
We read in “Life of Theodosius Pechersky”: “...
I forced myself to turn to the narration which
is beyond my power and that I am unworthy of,
because I am ignorant and foolish (the motif of
mediocrity – A.Z.). Besides, I’m not trained in any
art…” (Old Russian Legends, p. 49, 1982). The
prayer about the miracle completes the prelude
to the hagiographic story: “I was obsessed with
grief every day and prayed to God to vouchsafe
me to write hagiology of our divine Theodosius”
(Old Russian Legends, p. 49, 1982). “The
Kievo-Pechersky Paterik” narrates about the
circumstances of occurrence of the hagiographic
tradition in the First Word. The founder of the
monastery St. Simon asks the “great gift” –
the God’s Word (Old Russian Legends, 1982).
Thus, the motif of the gift in religious discourse
corresponds directly to the motif of service. D.S.
Likhachev referring to the history of the issue
in “Essays on the philosophy of art” connects
the motif of the divine poetic gift in medieval
religious culture (not only in literary practice,
but also in theological perusals) with the motif
of suggestion, since here “it is not the author who
creates his work, but it is instilled to him from
heaven” (Likhachev, p. 132, 1999).
In the Old Russian literature the motif of
prophecy is involved in the characterization of
“God’s people” – holy fools and saints. The gift
of prophecy shows special affinity of a person
to God and can symbolize a spiritual personal
growth and original inner purity (the images of
the Blessed). This motif does not only record
belonging of heroes to a certain status, but
also determines the properties of the existence
observed by them: for the gifted with prophecy
being is transparent, to other it is turbid.
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In the Russian literature of the New Age the
motif of the divine gift preserves the relevance
in the theme of the poet and poetry. Aesthetics
of Romanticism directly links images of an artist
and a prophet defining the idea of creativity as
cognition of truth and carrying it to the society.
The researcher N. Buhks tracing the evolution of
this motif noticed that in A.S. Pushkin’s “Prophet”
(1926) the theme of divine inspiration of the poet
reaches the apex, being on the verge of turning
ideas into a cliché (Semiotic of Madness, 2005).
In the religious philosophy of the Silver Age
(V. Solovyev, S. Frank) categories of the gift and
creativity are considered in a way unexpected
to the European tradition. In the Renaissance a
person gets to the center of the universe, due to his
competition with God in the art of creating. Frank
reveals this idea at a cosmological level: God
endows a human with a talent, thereby suggesting
that he will participate in the creation of the world.
In this case, the Absolute turns out to be emerging,
incomplete and “the private forms of the Absolute
realized in life and knowledge of individuals
become the crystallization centers, points of
growth and development of unity” (Frank, p. 580,
1993). The motif of the existence transparence
often follows the motif of the gift. In the utopian
tradition – from V. Odojevsky to V. Nabokov and
E. Zamyatin – it finds ideological connotation.
Here the motif of prophecy is transformed into
a motif of the mechanization of the society: the
power needs the human transparency in order to
control him more effectively.
In the mid-twentieth century worksreflections on the essence of the talent and
forms of its embodiment appear (K. Paustovsky
“Golden Rose”). In Paustovsky’s work a mystical
component of the gift goes to the background
becoming the object of parody. According to
the writer, the essence of the talent lies not in
the divine grace, but in labor: inspiration is
only a part of the working process. The logic
of such approach fits into the world picture of
socialistic realism where the mystical component
is substituted by the profane one.
Substitution of the sacral with the ordinary
becomes even more expressive in the culture
at the end of the 20th century. The images of
the poet and the prophet are dissolved in mass
consciousness: there are professional artists
and psychics. At the same time they both are
characterized with mythopoetical activity,
manipulation with public ideas about art and life.
In the article “Something about heart errors”
E. Lebedev summarizes: “It has become more
fashionable not to work, but to confess on public.
Especially it was noticed in fine arts. Artists grew
fond of showing sketches, composers told about
how music is created, writers argued on how
books are written” (Lebedev, p. 240, 1980).
Generally, the motif of the gift in religious
understanding appears quite seldom in the
modern art: traditional prose (A. Solzhenitsyn,
V. Rasputin, V. Lichutin’s and, partly, B.
Yekimov’s works) became an exception (Kovtun,
2009). The special place in this line is occupied
by L. Leonov’s texts. In his works the motif is
presented variously, in early texts it appears not
so often. In the article we consider the named
motif in the following semantic limits: gift –
talent, gift – prophecy, gift – treasure. The last
allomotif is metaphorically coordinated with a
parable of talents when the talent has been buried
by one of the slaves, thereby having turning into
a treasure.
Results
In Leonov’s stories and novels of the 1920s
the divine gift is almost absent. As an exception
we can name “The Notes of Some Episodes
Made in the Gogulev-town by Andrey Petrovich
Kovyakin” (1924) where the character-storyteller
represents himself as a chronicler of our days.
Researchers of early works of L. Leonov repeatedly
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mark the influence of poetics and stylistics of F.
Dostoevsky on the author’s manner. Along with
“The Kovyakin’s Notes” the image of the storyteller also appears in “Petushihinsky Break”,
“Provincial Story”, and is considered as Leonov’s
parody of “the little person” Makar Devushkin:
“Thus, the development of the topic occurs in
two plans: absolutely serious (the tragedy plan)
and ironical (the parody plan) plan” (Isaev, p. 8,
1975).
In the dissertation on the topic “Leonid
Leonov’s mastery. Art of the psychological
analysis in early prose” (1971) P. Philippov
inclining toward the version of stylization of
Dostoevsky depicts a contradictory nature of
Leonov’s loanwords and creative discoveries by
the example of “Kovyakin’s Notes”. Detecting the
doubtless similarity of some thoughts of Kovyakin
and Makar Devushkin the researcher emphasizes
the specificity of the Leonov’s character: “The
humiliated and offended little person did not
dare to speak out of his latent qualities and did
not think that he had any advantages. The “little”
Kovyakin claims to be distinctive, he is assured
of his significance, but life rejects him defining
the real essence of this individual” (Philippov, p.
24, 1971).
The character’s sense of his own significance
is just connected with motif of the acquired grace:
Andrey Petrovich addresses to God with a prayer
to help him in his literary work, asks for patience
and strength to cope with an artistic task of
creation of annals of Gogulev town (Leonov, vol.
1, 1981). Similar to the authors of the Old Russian
annals Kovyakin finds equivalents to a private
event in the Sacred history, thereby proving the
personal right to compose texts. In Initial rhymes
the character addressing to God compares
himself to Tsar David whose gift (playing the
lyre, performance of psalms) protects him from
enemies (thereby the religious analogy implies the
political protection and preservation of the social
status to the contemporary chronicler Kovyakin
if God approves of his gift):
Here is Tsar David: he played the lyre,
And You destroyed his enemies.
And the sounds were salutary
In the mouth of David’s psalm (Leonov, vol.
1, p. 287, 1981).
For this travestied character the motif of
the gift becomes some kind of an equivalent
unit of communication both with God and with
the society surrounding Gogulev. By means of
the imagined gift he strengthens the idea of his
own chosenness that is not appreciable to the
contemporaries but having an eternal value in the
eyes of posterity.
In the novel “Badgers” (1924) that describes
the partisan movement the motif of gift as the
innermost essence of a person manifests itself
in the light of the love intrigue. A love triangle
formed by the protogonists (Mishka Zhibanda,
Nastya, Semyon), contradictory feelings toward
each other appear as a logic problem to be solved.
“The speculative” poetics of the author doesn’t
offer the only true key to the riddle, since a
human soul is a treasure (a treasure is buried,
hidden, unknown). When Mishka got intimate
with Nastya, he felt that their relationship is
only external and they still remained strangers
to each other. Nastya, in turn, seeking Semyon’s
attention does not understand either why he is so
far from her. The participants of the illocutionary
drama unfolded in the novel see an obstacle in a
treasure they are not destined to find: “You are
not mine… – restlessly tossed Mishka, ready
to strangle her. – What else do you want? – she
laughed coldly (Nastja – A.Z.). – The treasure is
in you. Give it to me… – Take it...” (Leonov, vol.
2, p. 254, 1982).
In the novel the motif of a treasure is also
connected with the motifs of mediocrity and
despair: Mishka, with all the originality of his
nature, does not possess a gift of penetrating
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into the essence of things, he is not given the
knowledge. He tries to get to the treasure using
the force (“ready to strangle”), the speed (“in
search of the treasure with hasty lips he broke off
fiery flowers of Nastya’s paporot’…”); it is vision
that he lacks. Ya.E. Golosovker in his work “Logic
of an antique myth” (1987) considers a binary
opposition of motifs of vision – maintenance.
These motifs appear in mythological texts
concerning additional distribution when one
quality forces out another one: blind Oedipus
knows more then capable to see, hundred-eyed
Argus does not know his fate. Thus, the motif of
the gift is realized in the novel in two variants that
we have determined: as a treasure (secret, essence
incomprehensible for a human – “for where your
treasure is, there your heart is” [Mf. 6.21] and as
a foresight (in the sense of its inaccessibility to
characters).
In the “Thief” (1927) the theme of the
treasure becomes a key one, searching for it
connects all the characters of the narration. First
of all, for the writer Firsov creation of a novel
about the life of the society’s lower classes is
realization of his creative gift. Secondly, building
the structure of the characters of the future work
basing on the meetings from his real life, Firsov
selects a valuable material on treasure presence.
Apparently, the insignificant image of singer
Zinka fascinates the writer with its treasure so
much that Firsov links with it the destiny of the
protagonist (Mitka) and the treasure reveals: “The
writer did not have to work long on the treasure:
soon Zinka repented her unrequited love in his
notebook crying as at the confession” (Leonov,
vol. 3, p. 87, 1982).
The degree of the artist’s talent is estimated
by the ability to find the buried talents of others
or to think them up; simultaneously discovering
of someone else’s treasure is equated to its theft,
therefore the author (and Firsov) makes the thief
the protagonist of the narration. The theft of
money and theft of spiritual mysteries require a
similar talent, and here again the linkage between
the primary meaning of the word (a monetary
measure) and its figurative sense (a gift) is
especially obvious: “Actually, I am also a thief
secretly wandering through life; I bag everything
that I like” (Leonov, vol. 3, p. 125, 1982), – Firsov
shares his thoughts with Mitka. In the article
‘Dostoevsky and Tolstoy” L. Leonov expresses
the same idea by an antonymous statement: “In
terms of the great Russian literature I would
designate the role of the writer as the inspector
on particularly important cases of the mankind”
(Leonov, vol. 10, p. 529, 1984). Differing among
themselves from the point of view of their social
status, the thief and the inspector have a general
seme expressed by the function of searching.
Self-detection of the treasure becomes a
special fortune for a “spiritual thief”, i.e. the writer:
“…the soul itself will offer you its sparkling”
(Leonov, vol. 3, p.128, 1982). Nevertheless, all
Firsov’s attempts to entice this sparkling from
Agey, Mitka Vekshin and Manka Vyuga remain
vain while “many are called, but few are chosen”
[Mf. 22.14]. The solution about the fiasco reason
lies, probably, in the author’s hints when he
characterizes his romantic colleague. In the text
Firsov is called a craftsman, i.e. he is deprived
a blessing talent which would make his thought
pathetic. The motif of mediocrity draws together
the images of Firsov and a minor official, Peter
Gorbidonych Chikilev. However, if the first
one connects the difficulties of creativity with
resistance of the “material”, the second one is
keenly aware of his own lack of talent and starts
to revolt against all extraordinary, talented and
pure.
The typical nature of the character-talenthater in Leonov’s art world is considered by
L.P. Yakimova as a confi rmation of the thesis
on the central role of the idea of equality for
the writer (Yakimova, 2003). In the “Pyramid”
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the image of rebellious mediocrity reaches
new height: Chikilev’s double, fi nancial officer
Gavrilov, dreams of destruction of the genius
and talent by socioeconomic repressions as “the
genius is an extremely antisocial phenomenon”
(Leonov, vol. 3, p. 363, 1982). In the “Pyramid”
an old man Dyurso also reflects on sociopolitical
significance of the talent and genius. Without
claiming to destruct the talent as a driving
creative force, Dyurso assumes it to be the
source of the future national and global conflicts
(in the context of religious symbolics for the
talent for the character is the cornerstone of
being rejected by constructors): “It is still only
a talent, but what if suddenly is a genius in front
of us? We may use such a word only for ancient
dead men not to cause a dangerous fermentation
for insult in workers. Genius, here is the future
crizzling of the world!” (Leonov, vol. 1, p. 237,
1994).
Uneasy relationship of Masha Dolomanova
and Mitka Vekshin are determined by the
motif of the inner treasure: feeling of lovehatred between the characters is fueled with the
knowledge of a mysterious treasure preserved
by everyone. Opportunity to leave and not to
make each other suffer is seen by the characters
only through mutual disclosing of the secret:
“You have to give everything for me, and what
will remain at the bottom of your soul I will take
myself in addition” (Leonov, vol. 3, p. 113, 1982);
“Do not tantalize me, do not covet, Mitya, take
my treasure which is already great while one can
neither rob it, nor extinguish it” (Leonov, vol. 3,
p.128, 1982). The conflict remains unresolved
while without a treasure the character cannot
participate in the plot development (Firsov’s)
any more.
In two subsequent novels (“Skutarevsky”,
“Road to the Ocean”) the motif of the talent
reveals on the verge of blinking of several
meanings of the word: a monetary talent and a
spiritual talent. Though in “Skutarevsky”(1932)
it is more fair to speak about the gift-talent
theme while in the centre of narration there is
a destiny of a creative person, we will consider
the talent as a particular motif characterizing the
image of the artist Skutarevsky, the brother of a
scientist. Throughout the narration the images
of brothers Skutarevsky are regularly compared:
what they wanted to achieve, what they have
reached as a result, by what means. On the
background of his well-known brother-physicist,
the artist Skutarevsky seems to be a loser: his
talent having flashed at the very beginning of
the way, is unexpectedly and incomprehensibly
extinguishing. The artist with the lost talent, as
a rich man who has forgotten where his treasure
is, cannot claim on the status preservation. The
hero is shown confused (searches but cannot
find – having lost his way), gravitating to the
archetype of the prodigal son (as images of two
brothers also appear in the parable): “He woke
Struff up and, shaking his shoulders, hoarsely
whispered to him, semistrangled: – Where is my
talent, eh? Where did you hide it? And Struff did
not understand half asleep, in his dim pupils the
horror of punishment was reflected: – I did not
take, I did not take … you look for it yourself!”
(Leonov, vol. 5, p. 167, 1983). The language
game constructed on the mixture of homonyms,
marks the isolation of Skutarevsky: people do
not understand not only new pictures of the artist
(the narrator names them coupons that hints at
financial implications of thetalent), but the speech
itself.
In the “Road to the Ocean» (1935) the images
of protagonists, Kurilov and Protoklitov, are
shaded by a set of “accessory” characters, that have
subsequently affected the destinies of the central
characters. One of these characters, Pakhomov,
appears as news from Gleb Protoklitov’s past.
Pakhomov possesses a valid treasure – the
knowledge of Gleb’s true origin, of his activity
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during the Civil War, and, without burying the
talent, uses compromising information in his own
purposes: “Without noticing, he had been living
four years for percent from his secret. That time
people were forgetful; it was necessary to touch
the main capital more often” (Leonov, vol. 5, p.
217, 1983). Specificity of the existing relations
between Protoklitov and Pakhomov is the feeling
of mutual patience. If the first is compelled to be
tolerant to the blackmailer not to lose the status,
the second, strangely enough, also suffers: the
cherished treasure does not give him rest, and he
opens it, despite the observance of all conditions
by the victim. Further coupling of the motifs of
the treasure and patience will be manifested in
the final novel “Pyramid”, when the affinity of the
treasure and impossibility of its easy obtaining
determine the width of the novel’s idea in the head
of the narrator. Thus, in the “Road to the Ocean”
there is a motif of the found treasure-talent
searched for by the characters of the “Thief”, but
the finding does not bring happiness to its new
owner.
In the “Russian woods” (1953) the motif
of the talent is revealed through the opposition
of the images of the artist (forester Vihrov) and
the trickster (pseudo-artist) – Gratsiansky. The
work of Vikhrov is directed on preservation of
the woods, is constantly exposed to attacks of
the former university companion Gratsiansky.
During Viktorov’s creative pause, Gratsiansky is
also compelled to be silent – he has nothing to tell.
Gratsiansky’s lack of talent is assimilated with a
fruitless fig tree which is fed with an earth juice, but
returns nothing to the nature (then this metaphor
appears in the “Pyramid”, in connection with the
images of Sorokin and Yulia Bambalsky). Here
the motif of the gift/talent is an additional to the
motif of despair. Vikhrov, a gifted scientist, does
not know despair: his spiritual forces are directed
on creation (restoration of wood resources). His
opponent Gratsiansky, indefatigably denying
protective projects of Vikhrov and having become
famous only at the expense of these attacks, is
driven by a destructive force.
Logics of the chain of the motifs gift –
creation, despair – destruction, is emphasized
with specific social environment of the characters.
The Vikhrovs including the adopted son Serezha,
has a set of acquaintances, the publication of
Vihrov’s works causes a particular interest in the
scientific world. Gratsiansky lives with his mother
and he is infinitely lonely; in scientific circles he
is known more as a critic, rather than a researcher.
Thus, the following schemes are embodied in the
images of the characters: gift – creation – society
(Vikhrov) and despair – destruction – loneliness
(Gratsiansky). If in “Skutarevsky” the motif of
the lost talent participates in creating the image
of the prodigal son, in the “Russian woods” the
return situation is realized: Vikhrov’s happiness
if in having a talent and a purpose, he does not
wander through life.
Conclusion
The motif of the talent always marking the
selected one in the general mass determines the
social and cosmological status of the protagonist.
Obviously, it is dependent in L. Leonov’s works.
If the miracle can appear being an independent
phenomenon, the talent loses its importance if it
appears out of the artistic chronotope. The artist
Skutarevsky does not know where his talent is
and when it disappeared; Pakhomov has found
his talent but he does not know where and when
to apply it. The valency of the motif of the talent
in L. Leonov’s fiction necessarily requires a
linkage with motif of cognition (Skutarevskyphysicist, forester Vikhrov). Otherwise, we meet
its antipode, the motif of mediocrity (Pakhomov,
Gratsiansky, Firsov). The motifs of search and
despair situations (as reaction to ineffectual
movement) become frequent satellites of the
talent.
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References
P.Ys. Chernykh, Historical-etymological Dictionary of the Modern Russian Language, vol. 2
(Moscow: Russky yazyk, 2002), p. 226, in Russian.
S.L. Frank, Subject of Knowledge. Soul of a Human, (St. Petersburg: Nauka, 1993), p. 580, in
Russian.
Ya.E. Golosovker, Logics of an antique myth, (Moscow: Nauka, 1987), p. 224, in Russian.
G.G. Isayev, Problem of style tradition of Dostoevsky in the works of Leonid Leonov 1920-th,
(Gorky, 1975), p. 8, in Russian.
L.P. Yakimova, The motif structure of the novel “Pyramid” by Leonid Leonov (Novosibirsk: SB
RAS, 2003), p. 250, in Russian.
N.V. Kovtun, “Village fiction” in the mirror of utopia (Novosibirsk: SB RAS, 2009), p. 494, in
Russian.
E. Lebedev, “Something about heart errors: a variety song as a social symptom” in New World,
10 (1988), p. 240, in Russian.
L.M. Leonov, Collected Works, vol. 1, (Moscow: Khudozhestvennaya literature (Fiction), 1981),
p. 502, in Russian.
L.M. Leonov, Collected Works, vol. 2, (Moscow: Khudozhestvennaya literature (Fiction), 1982),
p. 328, in Russian.
L.M. Leonov, Collected Works, vol. 3, (Moscow: Khudozhestvennaya literature (Fiction), 1982),
p. 614, in Russian.
L.M. Leonov, Collected Works, vol. 5, (Moscow: Khudozhestvennaya literature (Fiction), 1983),
p. 320, in Russian.
L.M. Leonov, Collected Works, vol. 10, (Moscow: Khudozhestvennaya literature (Fiction), 1984),
p. 631, in Russian.
L.M. Leonov, Pyramid, vol. 1, (Moscow: Golos, 1994), 237, in Russian.
D.S. Likhachev, Essays on the philosophy of art, (St. Petersburg: Russian-Baltic publishing house,
1999), 132, in Russian.
Old Russian Legends, (Moscow: Soviet Russia, 1982), p. 49, in Russian.
P.P. Philippov, Leonid Leonov’s Skill. Art of the Psychological Analysis in Early Prose (Tashkent,
1971), p. 24, in Russian.
E.G. Rabinovich, “Measured Burden”, in Noosphere and Art Creativity (Moscow: Nauka, 1991),
p. 148, in Russian.
I.P. Smirnov, “Error, God and Literature”, in Semiotic of Madness, ed. by N. Buhks (ParisMoscow: Europe, 2005), pp. 9-34, in Russian.
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Alena O. Zadorina. The Motif of the Gift in the Works of Leonid Leonov (1924-1953)
Мотив дара в прозе
Леонида Леонова (1924-1953)
А.О. Задорина
Сибирский федеральный университет
Россия 660041, г. Красноярск, пр. Свободный, 79
В статье представлен мотивный анализ на материале творчества Л. Леонова (за исключением
итогового романа “Пирамида”). Авторская манера писателя менялась на протяжении ХХ века,
склоняясь к различным стилевым течениям – авангарду, соцреализму, постреализму. Мотив
дара также раскрывался Леоновым с разных позиций, и мы попытались исследовать поэтику
всех художественных вариаций данного мотива, акцентируя внимание на его религиозной
сущности.
Ключевые слова: анализ мотива, персонажная структура; повествование.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 846-864
~~~
УДК 304
Civilizational Orientation of the Population
of the United Krasnoyarsk Krai:
15 to 60 Years of Age Residents
of Krasnoyarsk City
Maria I. Ilbeykina*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
In this article we shed some light upon the development of the concept of “civilizational orientation»
and create the concept of analyzing the conception of the world (and thence – relationship to the world,
and behavior) population of the united Krasnoyarsk Krai of 15 to 60 years of age. Methodological
base supports socio-cultural design, practical and research side of which is used way of questioning
of population of the region. The issue of civilizational orientation is especially important not only
at the level of government, political and social action, but the level of the definition of the vector of
cultural development in general, the formation of the sphere of ideals, which will cultivate generations.
Civilizational orientation is defined as the elected (no matter how rationally, so at the level of archetypal
empathy), the vector of development of society, a single human whole, creating and using certain
means to achieve the goals of existence itself, its culture, its own sphere of ideals. The results show
that the civilizational orientation is fixed by the notion of «Russian» relevant to the population of the
province, multi-ethnic and multi-religious, is the space of the Russian Federation, Krasnoyarsk Krai
(geographic) and meanings (the general mood in the desired improvements in the areas of culture, the
dominant family values).The article also gives recommendations on the development and deepening of
the cultural characteristics of the images of the «Russian», «Krasnoyarsk».
Keywords: socio-cultural design, civilizational identity, civilizational orientation, ethnic groups of the
Krasnoyarsk Krai, axiological fi xing, «Russian».
The work is carried out with the financial support of the federal purpose oriented programme «Scientific
and scientific-pedagogic staff in innovative Russia for 2009-2013» concerning the problem «Culture of
the small groups of indigenous peoples living in the North in the situation of global transformations:
foresight research until 2050 based on the materials of analysis of the Yakut ethnos» held within
the framework of the event 1.2.1 «Scientific investigations carried out by research groups guided by
doctors of science».
Point
The conceptual base of the issue implies
developing of the concept of «civilization»,
*
1
«civilization identity», contained in works
by B.S. Erasov, V.A. Bachinin, D. Zamyatin,
A.V. Kamenetz, A.I. Kravchenko, D.V. Pivovarov,
Corresponding author E-mail address: circ-circ@mail.ru
© Siberian Federal University. All rights reserved
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Maria I. Ilbeykina. Civilizational Orientation of the Population of the United Krasnoyarsk Krai…
V.N. Rastorguev which is built in the development
of the concept of «civilizational orientation»
and created the concept of analyzed ideology
(and thence – and treatments to whole world,
and behavior), the combined population of
Krasnoyarsk Krai of 15 to 60 years of age.
Methodological base underlies the socio-cultural
design, practical and research side of which used
a questionnaire form for gathering information
from the population of the region. The sociocultural design – is a special technology, which
represents a constructive, creative activity, the
essence of which is to analyze problems and
identify their causes, develop goals and objectives
that characterize the desired state of an object (or
the scope of project activities), devising ways and
means to achieve their goals. The object of sociocultural design is a complex formation including
overlapping of two subsystems: society and
culture. The subject of research in this context is
the definition of civilizational orientation of the
average adult resident of the Krasnoyarsk Krai
as a kind of initial «atom» of social structures,
relationships and cultural processes, media roles
and cultural values.
One of the most visible and visual trend
in contemporary society is globalization – the
process of ever-increasing impact on the social
reality of individual countries, various factors of
international importance: economic and political
ties, cultural and information exchange, etc.
Every innovation has both positive and
negative sides. Certainly, the expansion of cultural
contacts in the modern world, communication
and knowledge bridge gaps between nations.
However, the process of excessive borrowing is
dangerous, because of possible loss of cultural
identity. Potential loss of cultural identity lies in
the growing threat of assimilation – absorption of
a small culture by a larger one, in the dissolution
of cultural minority in the culture of a great
nation, heedless of the paternal culture with
mass emigration to another country and received
citizenship there. In this case, loss of cultural
identity and cultural dissolution can be full and
partial. On the one hand, open borders for cultural
impact and increasing cultural communication
can lead to the exchange of positive experiences,
enriching our own culture, its rise to a higher
stage of development, and on the other hand –
to its cultural exhaustion due to unification
and standardization, dissemination of identical
cultural samples worldwide (Kravchenko,
2000). This process involves an increased
intensification of communication and integration
of phenomena of reality, «blurring» of separate
individuality and brings them to the universal
common denominator, is a kind of unification
and сosmopolitization of humanity. Reduction
of the national identity of man and his sense of
belonging to a specific state, society and culture
is fraught with a loss of value orientations in this
world. In this case, nation-states lose the status of
not only the «survival of the units», but also the
dominant subjects of global political, economic
and cultural processes, increasingly; these
functions take on the military-political blocks,
economic alliances, network organizations, etc.
Reflection of what is happening in the humanities
can make certain predictions about the emerging
world order of the newest and in some cases it
is possible to argue that further development of
mankind will go towards reducing of the national
and socio-cultural (birth, professional) variety. In
this case, it`s necessary to delineate the process
of globalization (this process is inevitable) and
the contrary process – the process of saving their
own uniqueness of a society with its distinctive
traditions and lifestyles, correlating people
themselves with a certain «community», a
community that has a number of very specific,
«their» (in a confrontation with the «other»)
features. In the history of cultural studies and
sociology, and at the meeting of these sciences
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questions of the existence of human communities
or civilizations are extensively studied.
There are many definitions of civilization.
In general, most dictionaries define civilization
(from Lat. Civilis – civilian, government) as 1) a
synonym for culture and 2) level, stage of social
development, material and spiritual culture, and
3) the level of social development, next after the
barbarism (L. Morgan, F . Engels), 4) in some
cultural theories – an era of degradation and
decline in opposition to the integrity, the organic
culture (Kravchenko, 2000). In general, we can
distinguish the following important feature:
the «civilization» is always defined in terms of
«culture» and conceived through a correlation
with the more general notion of «sphere of
cultivation of ideals» (on D.V. Pivovarov).
Edition of «Cultural Studies. Collegiate
Dictionary» proposes a defi nition of civilization,
where «culture» denotes mostly the world
goals of human existence, «civilization» – a
world of resources that serve the achievement
of goals and objectives. Together they form a
common, though internally contradictory whole
(Bachinin, 2005).
In today’s cultural knowledge there is the
concept of «civilization identity». This notion is
based on an understanding of a civilization like
some over-ethnic, over-national, and in general
metahistorical Unity (Rastorguyev). Civilization
identity is a category indicating the first individual
to a particular civilization. This is the ultimate
level of socio-cultural identity of individuals
above which may be the identification of only
a planetary scale («earthling»). Its base is used
for the formation of a large ethnic community of
people, long-term residents in one region, based
on the unity of the collective historical destiny of
various nations linked by similar cultural values,
norms and ideals. At the same time with national
and regional identity, civilization identity is now
playing an increasingly important role in the
political culture of our country (and elsewhere),
facilitating the convergence of different
peoples – ethnic groups and religions in a united
civil society. However, the civilization identity
is a priority among the other levels of identity.
You can select multiple types of identity: social,
professional, cultural, religious, etc. Depending
on the circumstances in which an individual is,
the first part extends or even dominates the one
identity that is relevant. Civilization identity is a
universal constant, unchanging characteristic of
society as a whole, is regardless of any specific
circumstances of individuals, social groups,
society itself is correlated with the civilization to
which they belong. In other words, a «civilization
identity» – is the knowledge of who «we», «where
we are». To the question of «where do we go»
answered the responsible understanding of the
«civilization» character or the vector of common
people.
Determination of civilizational orientation
is valuable because of knowing of exact potential
civilizational aspirations of society, so we
may fix the current situation in the minds of
people, visions of the future (they are connected
not only with the class, religious or national
characteristics, but also depend directly on the
general civilization orientation) and predict ways
for its further development. Appeal to the notion
of «orientation» (where the «direction» refers to
«striving toward a goal», «single-minded focus
on anything» (Collegiate Dictionary Ozhegova),
«line motion, path of development») can dissolve
up to date today among cultural studies the
problem of defining «civilization orientation»
and «civilization identity».
In other words, the question of determining
the civilization orientation – a matter of definition
of the objectives that produces one or another
civilization, the question of searching a motion
vector in the direction of those ideals that are
worth cultivating.
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Humanity`s activity alters their environment,
creating own culture, including both material
and spiritual component –ideas, values, norms,
patterns and more, and sociality, which includes
the entire set of relationships with other people
(economic, social and ideological political).
Cultural and social form a unity, which results in
a society.
For any civilization is characterized by
its own features, axiological install, what’s
acceptable and what is not acceptable, it
manifests itself everywhere, in all areas of
human life – from politics to interpersonal
relationships. Again, this is true in cultural
planning and forecasting developments (specific
applications of use).
Relate the type of sociality and culture (B.S.
Erasov (Blinov, 2008)): the spiritual production,
which is the product, and culture are closely
there with the production in general, including its
material and technological base, social and political
structure. In macro sociological plan accepted to
provide some basic types of sociality that meet
the original principle of the harmonization of
the spiritual with the material production, with
the corresponding social structure and political
dispensation. Scientist identifies two discourses
of culture, which may associate with the concepts
of «the West» – «East» (Yerasov, 1997).
Such division allows you to emphasize some
typical features characteristic of a person that
associates itself with the civilization of the West
or East. Features of the west-oriented civilization:
utilitarianism, optimization, and pragmatism,
individualism, alienation, moral flexibility,
plutocracy. Advantages of personality structure,
according to studies, it is efficiency, modernity,
dynamics, innovation, economic flexibility, the
exchange rate, the technological rush. But they
also generate and disadvantages: cynicism,
egoism, individualism, utilitarianism, alienation.
East-oriented Civilization is: contemplative, non-
economic motivation of labor, community, the
heroic scale of values, etc. As the advantages are
spiritual breadth, idealism, heroism, sacrifice,
community, loyalty. At the opposite – a negative
level, these same qualities make: disorganization,
laziness, passivity, obedience, tolerance of
violence, etc. Value systems of East and West
have autonomous boundary, i.e., both positive
and negative criteria are disjoint. Turning the
above into a simple formula, we find that the
«West believes it is. East in what may be in what
should be» (Zamyatin).
Values and orientations of society are made
indirectly, in the process of continuous interaction
with other cultures, whose concepts taken either
as «their», or rejected as «foreign». The choice of
benchmarks depends on the specific content of the
various components or forms of identity – the civil
and political, ethnic, religious, class, subculture,
locally-territorial, etc. The most important source
of identity is the «other» – society, nation and
civilization. Correlation to them is carried out
during the interaction of the complex cultural
factors that promote subjective perceptions and
socialization mechanisms mediated these ideas in
social practice.
In the modern world civilization identification
and civilization orientation is becoming
increasingly important. Civilization identity is
appear in humans for the most part when there
is a need to understand any global event, when
it is important to understand the differences or
similarities between the civilizations, which lead
to conflicts, or vice versa for calm coexistence.
Civilization identity of the individual – it`s some
of «passive identity», i.e. such that for the most
part do not realize in their everyday life, and
remains latent, dormant. If the everyday life of an
individual identifies himself by sex, occupational
and other characteristics («active identity»), the
issue of civilization identity arises when there
is a need understanding his own place, as well
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as its place of society, the country’s civilization
diversity of the world, m . e. in global positioning.
That`s why t research of civilization orientation
is actual – it is particularly important not only at
the level of government, politicians and public
figures, but the level of the whole definition of a
course of cultural development, formation of the
sphere of ideals, which will cultivate generations.
Methodological basis of determining the direction
of civilization people united Krasnoyarsk Region
serves socio-cultural research.
Investigation method
Sociocultural Studies – an emergent, new
degree occurred at the boundary of sociology
and cultural science. The possibility of sociocultural studies are broadly applicable in
the field of learning and solving problems
arising in the space of men`s social relations
to the subjects of culture. In cultural studies
there was a defi nite structure of sociological
methods for cultural studies: thus, the method
of sociological observation and subsequent
interpretation of empirical data is used both
Western and Soviet scientists (A. Giddens, A.
Radugin) method of the sociological survey,
which is the most popular and actively used
in cross-cultural research is also relevant to
scientists, the Europeans and their Russian
colleagues (C. Osgood, A. Pease, AV Korotaev,
and others), methods of processing and analysis
of sociological information is actively used
domestic researchers A Ya. Gurevich, EV
Mareyev, ML Gaspard and others.
As a method of study chosen socio-cultural
research, the main method in favor of a sociological
survey method that allows you to learn and
appreciate the cultural needs, determine the
basic and daily values, resulting in man’s relation
with the existing subjects of culture. The survey
is a method of collecting primary information
about the objective and (or) the subjective
evidence from the words of the interviewee. In
social studies typically use sample surveys for
public opinion research, customer demand, etc.
Primary assets – questionnaires and interviews
(Kravchenko, 2000). Sociological interview is
a method of «direct or indirect acquisition of
the primary social information through oral or
written request the researcher to a certain set of
people (respondents) with questions, followed
by registration and statistical processing of the
responses received, as well as their theoretical
interpretation» (Kravchenko, 2000).
But why is it becomes possible to apply these
data in determining the direction of civilization?
The character of the country, time and place
that is home to people, most clearly reflected
in the artistic culture, works of art in relation
to them, to the sphere of culture as a reflection
of themselves. Assessing the situation with the
culture as a whole, there is plenty of room for
interpretations of various aspects of the life of a
society.
Specificity of social and cultural studies,
which was already defined by A. Akhiezer (1994),
is to shift the center of gravity research society in
the sphere of culture and attitudes of people in
the area of interpenetration-antagonism of these
processes. The essence of social phenomena
is revealed through the analysis of transitions
between them, which reveals itself mechanisms
for transitions of thought and action between the
culture in society and the specificity of cultural
identity, society, and between part and whole,
between the conditions, means and ends this
process.
This socio-cultural research is based on a
model of sociological research, which appears
to form a questionnaire, and subject-matter –
the cultural needs and cultural leisure residents
of the regional area as an area of organization
and regulation of contemporary cultural policy.
Questioning refers to the quantitative methods
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of sociological research. Quantitative methods
are put into the center of the consideration
of general rules under which the complex
phenomenology of individual cases appear
repetitive or common symptoms. Quantitative
methods for social research aimed at the
general characteristics (for analysis of data on
the general grounds for subsequent typing).
According to G. Bernhard (2005), «the effect
of quantitative methods affects primarily in
that they allow you to thoroughly and in a
systematic way to discover new things».
A sociological survey consists of successive
stages:
1. Drafting of the questionnaire.
2. A sociological survey.
3. Collection of empirical data processing
(interpretation) of the information received.
4. Formation a scientific conclusion.
The structure of the questionnaire is
determined by an introductory greeting, a short
guide to the proposed issues. Followed logically
arrayed fifty, composed according to the object
and purpose of the study. Basic «building blocks»
of items is determined by themes:
– Planning and leisure free time;
– Frequency of visits to cultural and leisure
activities (for the last month, year);
– Leisure activities and the need to change
it (who must care about leisure residents
that still need to create for your leisure,
etc.);
– Civilization orientation (direction, other
states);
– Reasons for permanent residence in the
city.
Thus, all the blocks of questions help
you understand the values and socio-cultural
needs that are encoded in the socio-economic,
political, religious, educational and occupational
preferences and needs. Most of the questions have
«open» nature of having the string «other» that
allows the respondent to give his own (personal)
opinion, if it cannot arrange for an existing list
of choices.
Stage 1. Reasonable to choose the form of
the questionnaire is the need to interview a large
number of respondents in a relatively short time
and opportunity to observe directly surveyed
(read, think) in a printed questionnaire proposed
questions and answers.
Step 2. Development of sampling. In order
to study socio-cultural possess objectivity and
validity of the results for participation were
elected 500 people. The sample was determined
as follows: 100 respondents from ethnic groups
(Russian, Khakases, Ukrainians, Dolgans,
Germans living in the city of Krasnoyarsk).
Such a ratio allows equal participation of opinion
in determining the specificity of protection of
cultural services at present.
Sampling of ethnic groups was carried out
by several criteria:
– the group must have a long history of
residence in the Krasnoyarsk Territory,
– represents a relatively large group
numerically,
– are the national-cultural autonomy and
have their own ethno-cultural community
organizations,
– a member of the Socio-Cultural Committee
(createdduring the administration of
Krasnoyarsk Territory) to address the
joint specific socio-cultural problems;
– represent the interests and needs of
migrants as a city (center) and edges
(periphery).
In general, this sample is representative of
the socio-cultural research, as selected social
groups in the population are residents of the
Krasnoyarsk region, autonomous, strive to
preserve national identities and actively complicit
in the development of intercultural relations in
the city and region.
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Stage 3. A sociological survey. Sociocultural study was conducted in the period from
07/01/2010 to 09/30/2010, when the representatives
of national communities have taken some time
for the mass survey.
Stage 4. Collection of empirical data
processing (interpretation) of the information
received.
Findings:
500 questionnaires were collected, 100 of
them were filled by representatives Khakases
organization, 100 – Ukrainian, 100 – Dolgans
(residing on the Krasnoyarsk Krai), 100
questionnaires filled out by representatives of the
Russian ethnos, 100 – the Germans. Age category
was determined by the adult population (aged 16
years and older).
4 National are Orthodox (90 to 98 % in one
or another ethnic group), Germans – Catholics
(56 %).
«Political affiliation» – have no such majority
of the respondents, only 4 % named Russian
party «United Russia» as a political force, which
they trust, and being connected. Ukrainians and
Germans (4 and 7 % respectively) are politically
active.
Describing the reasons for permanent
residence in the city, the Russian note the
presence of jobs and high-paying job; Khakases –
though the presence of any work, family and
children for the Ukrainians have become the
main motivating factor family and friends; of
Dolgans it – family and love for the city and the
edge and, fi nally, the Germans – the availability
of work and family.
Thus, there is predominantly introverted
dominant values, material stability and family
well-being. Territory is attractive for the possible
synthesis of the material and spiritual life
(interpersonal relationships, communication,
ancestors and descendants) of representatives of
several different nationalities.
With regard to the prospects of moving to
another city, then 83 % Russian answer to this
question in the negative, the Khakases is 60 %,
exactly half of the respondents Ukrainians – as
a negative response, Dolgans prefer to move to
another location in 90 % of the responses, as well
as the Germans (57 %).
37. Would you like to move to another city in
another locality?
37.1. – Yes – 254 (50,9 %)
37.2. – No – 236 (48,6 %) (Fig. 1)
Further, the questionnaire offers to decide
on the direction, where would like to move: the
question «Would you like to live in cities and
places located in the West?» finds a positive
51,50%
51,00%
50,50%
50,00%
49,50%
49,00%
48,50%
48,00%
47,50%
47,00%
37.1.
Fig. 1
37.2.
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60,00%
50,00%
40,00%
30,00%
20,00%
10,00%
0,00%
38.1.
38.2.
Fig. 2
70,00%
60,00%
50,00%
40,00%
30,00%
20,00%
10,00%
0,00%
39.1.
39.2.
Fig. 3
response in 61 %of Russian people, only 12 % of
Khakases in 49 % of Ukrainians have, Dolgans
4 % and 52 % of Germans.
Question 38. Would you like to live in cities
and places located in the West?
38.1. Yes – 283 (56,7 %)
38.2. No – 217 (43,2 %) (Fig. 2)
The sentence «Would you like to live in
cities and places located in the East», Russian
in 69 % percent answered “no», Khakases in
71 %, Ukrainians 68 %, Dolgans 85 %, Germans
66 %. In the North – all interviewed in the 9597 cases of a hundred flatly answered «no». With
regard to the South, the Russian agreement to live
there in 58 cases out of a hundred, Khakases –
49 Ukrainians in 68, Dolgans in 87 and the
Germans – in 58.
Question 39. Would you like to live in cities
and places located in the East?
39.1. Yes- 207
39.2. No-283 (Fig. 3)
Question 40. Would you like to live in cities
and places located in the North?
40.1. Yes-158
40.2. No-342 (Fig. 4)
Question 41. Would you like to live in cities
and places located in the South?
41.1. Yes-206
41.2. No-294 (Fig. 5)
The situation is a change of residence is
a serious move, which go to residents of the
Krasnoyarsk Territory is not at risk. It`s possible
be noted some variations: for example, with some
margin, the Russian would be willing to change
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80,00%
70,00%
60,00%
50,00%
40,00%
30,00%
20,00%
10,00%
0,00%
40.1.
40.2.
Fig. 4
55,00%
50,00%
45,00%
40,00%
41.1.
41.2.
Fig. 5
their place of residence in the West, probably
due to more attractive financial position,
formed a generalized notion of “easier”, “more
affordable” life; Dolgans make choices toward
the South, which may be associated desire to live
in areas with a more favorable climate. Somewhat
different situation in the ability to change the
city – voices of the respondents were divided, an
equal number of respondents (2 out of 5 national
teams willing to take this step, 2 refused, 1 in
the undefined condition) are in terms of a local
change of residence to be more mobile and ready
for change.
The most important question: «Would you
like to live in another state?» gave the following
results. Members of the German diaspora –
the ones who only 68 % answered «no». The
remaining respondents were almost entirely
giving their preference to Russia (from 85 to
90 % of negative answers to the question about
the possibility of living in another state).
Flexibility for constructing of the
questionnaire allowed to simulate two situations:
one of them – a proposal to select the country
where the desire to leave the respondent in that
case, he had had a real opportunity; the second –
the situation is an alternative, suggested meaning,
what factors are important and outweigh the
desire to migrate.
Of all the world states for residents of the
Krasnoyarsk region have the greatest appeal: to
the Russian – Russia (both 85 % of respondents
answered, the second most popular response –
«never thought about it» chosen by 15 %), for
Khakases – Russia is the most attractive 2/3
respondents (60 %), equal (20 %) votes gaining
the U.S. and China (that is, in fact, being three
times less popular models of ideology and state
system, which ought to strive); Ukrainians see the
potential country of residence as Russia(45 %),
and some European countries (47 %); Dolgans
in 10 cases out of 100 call to Russia, the other
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70,00%
60,00%
50,00%
40,00%
30,00%
ˀ́̔1
20,00%
10,00%
0,00%
Fig. 6
respondents have never thought about such
questions, the Germans had expressed a
preference for European countries, in most cases
(49 % vs. 35 % for Russian).
Question 43. What state would you choose
for permanent residence, if you had a real
possibility? (You can select any number of
responses).
43.1. Russia – 163
43.2. European country – 298
43.3. USA – 269
43.4. Canada – 164
43.5. Australia – 107
43.6. China – 98
43.7. India – 20
43.8. Turkey – 44
43.9. Central Asian nation – 7
43.10. Latin American state – 16
43.11. Never thought about it – 0
43.12. I would not want to change
anything – 173
43.13. Difficult to answer – 0 (Fig. 6)
That is potentially thought about moving is
considered, but what's interesting: the definition
gets only an abstract geographic focus (West,
South). A situation arises a certain idealization,
departing from the understanding of the
specificity (both pluses and minuses) of residence
in another country, and hence the philosophical
and psychological parties; and in general in the
minds of the people live in certain myths about
what «good is there where we do not» , about a
certain cardinal contrasted life out «there» and
«here», and when it comes to specifics, here and
there are situations of «never thought about it»,
and priority is given to Russia. It is important to
stress once again that the most representative,
this feature is for living in the region Russian,
Khakases and Dolgans.
The main reasons that influence the desire
to remain in the province, call: Russian – job
availability (35 %), including the highly (20 %),
family, children, parents (15 %) and study at
the university (10 % ) Khakases – primarily
for them is the family, children, parents (one
quarter of respondents chose this answer),
and any work experience after high school (16
and 15 %), as well as prospects for economic
and social development of the region (13 %);
Ukrainians – exclusively human relationships
such as friendships (45 %) and family (40 %);
Dolgans – for almost half of respondents
(45 %), this love of country, land, and family
(35 %) and prospects for economic and social
development of the region (20 %); for the
Germans leading factors are availability of
jobs (30 %), family (25 %) and belief in the
prospects of development of the province along
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25,00%
20,00%
15,00%
10,00%
5,00%
0,00%
Fig. 7
with arranging the material situation in terms
of higher salary (15 %).
Question 44: 44. If you do not want to move
anywhere, or leave, what makes you stay in the
Krasnoyarsk region? (You can select any number
of responses)
44.1. Yenisei, taiga, the unique nature -76
44.2. Availability of jobs -21
44.3. Studying -62
44.4. Work experience after college -13
44.5. Any work -10
44.6. Only a highly paid job -18
44.7. Family, parents, children – 38
44.8. Love for their city, the edge – 18
44.9. My good friends – 98
44. 10. The effect of habit – 41
44. 11. Prospects for economic and social
development of the region – 17
44. 12. Nothing makes -16
44. 13. Difficult to answer – 15
44.14. Your reply – 4 (Fig. 7)
Thus, the northern indigenous peoples
prefer a permanent place of residence to see
Russia; Ukrainians and Germans are in «limbo»
status, do not accept fully their present location
as a mother, «Homeland». Thence – the direction
of civilization, «Russia» is for those who is a
citizen of Russia, considers himself a Russian
and has definite plans, hopes to develop her and
himself in it. In this case over actuality seems
the problem of studying culture, it features the
indigenous peoples of the North, Krasnoyarsk
region, because It is they «will grow» in the near
future (the union of the Krasnoyarsk Territory
with Taimyr and Evenkia autonomous area,
whose goal was to create a large region with an
effective system of administrative management,
formally, in fact, building a full-fledged
interaction is not recited, at the moment there are
some local motions) and research shows that the
intentions of Khakases and Dolgans serious (they
say as a motivational factor of faith in long-term
development of economic and social spheres of
the edge).
Gender of respondents: almost equal ratio of
men and women of every nationality, age – all
nationalities mostly men from 40 to 49 (of 23
people (Ukrainians) to 45 (Dolgans)), from 26 to
39 (about 30 people in each group) and 15 people
of every nationality from 19 to 25 and from 50 to
59 years.
Education: Russian are specialized secondary
education (35 %), incomplete higher (30 %),
medium (21 %), Khakases – 45 % of respondents
have finished higher, 35 % – secondary special and
10 % – secondary education; Ukrainians – 33 %
with a medium-specific, 24 % with incomplete
higher, and 21 % with higher education; Dolgans –
45 % of medium-specific, 23 % with a mean and
10 % for higher and tertiary education; Germans –
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40 % with incomplete higher education, 32 with
secondary special and 18 % of the average.
Professional affiliation of respondents:
Russian – creative professionals (18 %), science
and profession of teaching profession (13 % each),
students (10 %), Khakases – teaching profession
(21 %), creativity (14 %) and the profession of
science (12 % ), Ukrainians – technical (12 %),
creativity (14 %), service sector jobs (12 %) and
food trades (11 %); Dolgans – teaching profession
in 38 % of the respondents, another 36 % –
agricultural workers, the Germans – creative
professions (17 %), science profession (14 %) and
students (11 %).
Thus, provided the sample of respondents is
representative, covering an adult population of
5 nationalities living in the united Krasnoyarsk
Territory.
According to research by A.J. Shemanov
(Shemanov, 2007), addresses the issues of identity
of an individual (national, cultural, psychological),
attempts to highlight the mechanisms of human
reflection in the definition of self, there is a
process of «dis-universalization» – when each
person to become a cultural creature must learn
to disuniversalization generalized in the forms
of cultural experience. Only then will people
be included in the universal experience of
mankind, and his own experience acquires the
characteristics of universality. The acquisition
of this ability is a process that occurs throughout
life, and passes its phases. But since this ability is
a condition of all vital manifestations of man, so
far the acquisition of this skill in favor of his basic
life strategies. Cultural life is becoming pervasive
condition of its activity (Shemanov, 2007). Life
experience is transmitted and generally makes
available to most had acquired his rights, and
for other means of translating this experience in
cultural forms. In this case, all those phenomena
that were clearly manifest data questionnaire
(the dominant family values, orientation to the
residence not only in their own country but also
in its region, the choice primarily educational /
creative professions, etc.) suggest that serves as a
universal quality of the «Russian», or – emergent
which arising on the border of Western and
Eastern values.
According to the definition proposed in the
book «Dialogue of Cultures and Civilizations»,
«civilization» is defined as a concept, which
marks the refracted and the dynamics of deep
cultural values in large systems of human living
arrangement. It can be even shorter: civilization
is defined as something meaningful about human
unity of time, space and the sense of (Dialogue
of Cultures…). Survey data confirm the idea
that at this stage relevant to the population of the
province, multi-ethnic and multi-religious, are
the space of the Russian Federation, Krasnoyarsk
Territory (geographic) and meanings (the
general mood in the desired improvements in
the areas of culture, the dominant family values).
Civilizational orientation combined population
of Krasnoyarsk Territory – the «Russian», the
connection of Oriental (family) and Western (the
belief in the prospects for social and economic
development of the region, striving to get an
education) values and aspirations.
Results
1. The concept of «civilizational orientation»
is not the same thing with the concept of
«civilization identity». «Civilizational identity»
is a kind of framework, support for selfdetermination of the individual in the surrounding
society and the world, universal, constant society
as a whole. Civilizational identity is conformal
the civilization to which the individual belongs,
the social group;
2. The most important problem of
determining the direction of civilization – is a
unified design representation of a social group
about the future, the direction of motion to the
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ideals of cultivated, the ability to predict the ways
of further development towards a common goal /
adjustment / change it, the ability to operate the
specific axiological attitudes of civilization, from
politics to interpersonal relationships;
3. Civilizational orientation is an elected
(both rational and at the level of archetypal
empathy) vector of development of society, a
single human whole, creating and using certain
means to achieve the goals of existence itself, its
culture, its own sphere of ideals.
4. The concept of «civilization» always
refers to the concept of «culture», defi ned in
terms of it, hence the relevance and presented
arguments about civilizational orientation of
people of the united Krasnoyarsk Krai is not
only based on answers to direct questions (like
«to what nationality you belong»?, «Would
you like to change their place of residence in
Russia to another country?», etc.), but based on
respondents’ answers to questions of indirect
(«Who should take responsibility for organizing
your cultural and leisure activities – state or
private entrepreneurs?»);
5. Socio-cultural studies based on the method
of questioning adult multiethnic population of
the united Krasnoyarsk Krai (representatives of
ethnic diasporas on the territory), can make an
civilizational orientation of respondents, and
by extrapolation – and civilizational orientation
of the residents of the Krasnoyarsk Krai – as
Russian;
6. The sphere of culture as an area
of cultivation (production, cultivation and
consumption of ideals) is primary in relation to
existing within its civilization, the process of
cultural life and social life – interpenetrating
processes;
7. Questioning of 500 people (100
representatives from Khakases, Russian,
Ukrainians, Germans, Dolgans at the age from 16
to 60 years) allowed us to identify the following
major features of the situation civilizational
orientation in the Krasnoyarsk Krai:
– Dominant introverted values, material
stability and family well-being. Region
is attractive for possible synthesis of the
material and spiritual life (interpersonal
relationships, communication, ancestors
and descendants) of representatives of
several different nationalities;
– Possible change of residence – a potentially
thought about moving is considered,
but the definition gets only an abstract
geographic focus (West, South). There is
a situation of some idealization, departing
from the understanding of the specificity
(both pluses and minuses) of residence
in another country, philosophical and
ideology sides, and when it comes to
specifics, here and there are situations
«never even thought of», and priority is
given to Russia. The most representative,
this feature is for living in the region
Russian, Khakases and Dolgans;
– The northern indigenous peoples prefer
a permanent place of residence to see
Russia. Ukrainians and Germans are
in «median» status, do not accept fully
their present location as a motherland,
«Homeland». Thence is the direction of
civilization, «Russia» is for those who is
a citizen of Russia, considers himself a
Russian and has definite plans, hopes to
develop her and himself in it;
– Over-actuality is the task of studying
culture, especially indigenous peoples of
the North, Krasnoyarsk Krai, because,
according to the issue, Khakases and
Dolgans are serious about staying in
Russia and promote its development (they
say as a motivational factor of faith in
long-term development of economic and
social spheres of the edge);
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– At this stage relevant to the population
of the province, multi-ethnic and
multi-religious are the space of the
Russian Federation, Krasnoyarsk Krai
(geographic) and meanings (the general
mood in the desired improvements in
the areas of culture, the dominant family
values).
Recommendations:
1. Constant work on the development
needs to be done, deepening the culture as a
sphere forming outlook, production areas and
the cultivation of ideals (state, community,
and nation) until the formation of functional,
application programs. This question cannot be
solved only within the culture; it should correlate
with the formation of relationships that guide
society in this process. This requires a search for
points where the specificity of cultural changes
in specific relationships, and vice versa. Since
the focus of civilization residents of Krasnoyarsk
Krai – the orientation toward the «Russian-ness»,
certain middle between the worlds of East and
West, an important role in the visual representation
of the possibility of their integration should be
undertaken by the state. Already in force to ensure
the state general social functions (maintaining
order, protecting the population, the regulation
of critical systems functioning of society), it
is essential for the culture, without which the
society is at the mercy of local forces and local
interests. To date, the state acts as a «customer»
and «sponsor» – it is external, organizational or
financial circumstances of the cultural life and
activities. State, embodies the power and influence
society as a whole, to unite and protect the top,
the condition of stability and order, become the
subject of apology and admiration – it is the inner
side, which should be developed and cultivated.
2. According to the results of questioning,
irrespective of their ethnic affiliation, all 5
groups prefer to remain in Russia. In this case,
the responsibility for organizing the living
conditions, including and leisure activities,
almost 90 % of the respondents assign to the
State. Despite the significant negative response
to the question of the possibility of changing
the state as a place of residence, the majority
of respondents in questions about the cultural
component of a dominant position give it the
institutions of power as a regulator of human
relations and cultural entertainment. Arrange
in Russia opportunities for career development,
more or less acceptable material position and
the presence of stable family ties (between
the generations, educate future generations,
friendships). Controversial issues of civilizational
orientation (geographic area of potential change
of residence) can be solved by more active policies
of the state. However, the orientation of Russian
citizens in the state does not correlate directly
with their self-identification as «Russians» (not
by chance every nationality distinguishes itself,
self-determined). The point, apparently, that
the task of constructing a modern nation-state,
Russia has not yet been resolved. Thence – the
uncertainty of the cultural characteristics of the
image of «Russian». It is need to fill it made sense
and positive values, which would be understood
to mass consciousness. As for national identity, it
is largely based on ideas about the development
of civilization, economic resources, social,
cultural and historical past. These components
of identity are not contradictory. But in order for
there to combine the state should build a system
of relations based on mutual understanding and
trust, in recognition of the rights and interests
«other», i.e. create the backbone of a multicultural
society.
3. The most important means of maintaining
civilization identity has always supported the
education system, particularly humanitarian.
It is should be more intensively to develop
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courses, clubs, articles on history, art, culture,
the culture of the indigenous population of the
province, and spend it as soon as possible in a live
mode – arranging meetings, parties, field trips,
collaborative activities.
4. Strengthening the development and
funding of programs for study and interaction
with indigenous peoples inhabiting a particular
locality. The question of Russia’s development
model is open; the direction of the transformation
indicates that as a reference coordinate system is
chosen close cultural and economically attractive
West. However, modernization is carried out with
an eye to the traditionalist installations which are
based retrospective positive orientation identity.
The Future of the large multicultural communities,
to which Russia belongs, and the consolidation of
various components of its elements is impossible
without a clear and positive colored civilizational
orientation. In its basis – the common cultural
reference points, the logic of cultural unity in
diversity.
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University, 1 (2007), 113-116, in Russian.
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Цивилизационная направленность
населения Объединенного
Красноярского края:
жители города Красноярска
в возрасте от 15 до 60 лет
М.И. Ильбейкина
Сибирский федеральный университет
Россия 660041, г. Красноярск, пр. Свободный, 79
В данной статье строится разработка понятия «цивилизационная направленность»
и создается концепция, анализирующая мировоззрение (а отсюда – и мироотношение,
и поведенияе) жителей объединенного Красноярского края в возрасте от 15 до 60 лет.
Методологической базой выступает социокультурное проектирование, в практическоисследовательской части которого применен способ анкетирования населения края.
Исследование цивилизационной направленности особенно важно на уровне не только
государственных, политических и общественных действий, но и определения вектора
культурного развития в целом, формирования той сферы идеалов, которую предстоит
культивировать поколениям. Цивилизационная направленность определяется как
избираемый (сколь рационально, столь и на уровне архетипического вчувствования)
вектор развития общества, единого человеческого целого, создающего и использующего
определенные средства по достижению целей существования самого себя, своей культуры,
собственной сферы идеалов. Результаты исследования показывают, что цивилизационная
направленность фиксируется понятием «российскости». Актуальными для населения
края, многонационального и многорелигиозного, оказываются пространство Российской
Федерации, Красноярского края (географическое) и смыслы (общий настрой в желании
улучшений в области культуры, доминанта семейных ценностей). В статье также даны
рекомендации по развитию и углублению культурных характеристик образов «российский»,
«красноярский».
Ключевые слова: социокультурное проектирование, цивилизационная идентичность,
цивилизационная направленность, этносы Красноярского края, аксиологические установки,
«российскость».
Работа выполнена при финансовой поддержке федеральной целевой программы “Научные и
научно-педагогические кадры инновационной России на 2009-2013 гг.” по проблеме “Культура
коренных и малочисленных народов Севера в условиях глобальных трансформаций: форсайтисследование до 2050 г. на материале анализа якутского этноса”, проводимого в рамках
мероприятия 1.2.1 “Проведение научных исследований научными группами под руководством
докторов наук”.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 865-873
~~~
УДК 316:1
The Role and Status of Knowledge
in the Post-Modern Interpretation
of the Information Society Theory
Irina A. Zhuravleva*
Irkutsk State University
3 Lenin st., Irkutsk, 664003 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
The article describes the experience of the socially philosophic consideration of the status problem and
the role of knowledge in the modern information society theory. The author points out and considers a
totally different research, where knowledge, as a forming factor of modern society, plays the dominant
role.
Keywords: post-industrial concept, information society theory, knowledge society concept,
knowledge.
Introduction
The emphasis that was laid on the
technologic advance, the growth of economic
value of information activity and codification
of theoretical knowledge as determinants of the
formation of a new society by postindustrial
ideologists caused a wide range of theories that
considered those factors as formative, including
the information society theory. According to the
supporters of this theory, the growth of knowledge
accumulation and information gathering in
the 20th century (which was of an exponential
character) and the pace of the development of
telecommunication and information technologies
show the post-industrial society transition into a
new quality of information society.
At first, the formation of the information
society theory as a new ideologeme of the
post-industrial vector of development of the
*
1
modern civilization was determined by practical
realization of their technicistic ideal by the
developed countries (first of all by the USA and
Japan).
Before the post-industrial concept of Daniel
Bell came out, the research of the Japanese
scientists represented analytical programs of the
increase of the role of information in the society,
but all together they formed the “information
society” concept that mainly functioned as a
unique futurological image that has not yet
transformed into a reasoned concept of prospects
of the social development.
It is necessary to emphasize that there
isn’t one established concept of the information
society; there is a variety of interpretations
that often differ by the fragmentarity of the
problem outlook, the absolute pluralism of the
approaches and opinions, as well as by the use
Corresponding author E-mail address: irlend@mail.ru
© Siberian Federal University. All rights reserved
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Irina A. Zhuravleva. The Role and Status of Knowledge in the Post-Modern Interpretation of the Information Society Theory
of a big number of terms and concepts which
are frequently not constructive at all. There are
many definitions of the information society,
every one of which suffers from limitation
caused by the methodological weakness of
the information society identification criteria.
Many famous Western and Russian researchers
attempted to give them definitions. Thus, Frank
Webster distinguishes: “…five definitions of an
“information society” each of which presents
criteria for identifying the new one. These are
technological, economic, occupational, spatial
and cultural information society. Of course these
need not be mutually exclusive, though, as we
shall see, particular theorists emphasise one
or other factors in presenting their particular
scenarios” (Webster, 2004, p. 14). However, all the
numerous supporters of the information society
concept as a new type of the social organization
couldn’t invent a universal, subjectivism free
criterion according to which it could be possible
to classify existing societies and periodization of
the historical development. Webster points out
that most of the information society definitions
basically have quantitative characteristics
(quantity of white-collars, percentage of the
intangible sector in GDP, etc.), but quantitative
variables themselves mean just more
information – they don’t mean the formation of
a new type of the social organization. According
to his figurative speech: “…we now have more
cars than in 1970, but no one even tries to define
us as a “car society” (Webster, 2004, p. 32).
of the information society theories to point out
the researches that are not based on quantitative
criteria, but on the qualitative ones. Those are
the researches that differ from the majority a lot.
According to Webster, such researches: “…do
not proceed from the assumption that nowadays
there is more information (it’s obvious), but from
the assumption that the kind of that information
has changed our lifestyle. This definition means
that the theoretical knowledge underlies in our
behavior…” (Webster, 2004, p.14). However,
he acknowledged that there are only a few
researchers who contend that the modern society
doesn’t need such a deep research of the meaning
of information because meaning is informative
itself. For them the modern society is the society
where knowledge plays the dominant role, which
has never happened before. Moreover, the British
professor thinks that in regard to the society
that’s being formed it would’ve been better to
use the term “knowledge society”. This term: “…
means much more than the piled up information
bits. Although the priority of the theoretical
knowledge is not considered in the information
society theories well enough, there are still
enough reasons to think of it as a characteristic
feature of the modern times” (Webster, 2005,
p.37 – 38). It’s exactly those “changes of system”
caused by the increase of the role of theoretical
knowledge that were reflected in the works of
Manuel Castells, Antony Giddens, Jean-François
Lyotard, Mark Poster and others.
Example
Urgent problem
Active discussion of the “information
society” concept and of a great number of
publications that represent different models of
the information society don’t give us a chance
to discuss all variants of interpretations of this
phenomenon in one article. We state a rational
and realistic problem – out of the great variety
One of the leading theorists of the modern
information society is Manuel Castells, who
gave proof of the network logic of his baseline
structure. The network society is a social
structure that characterizes the information
era of social development, though with a big
variety of aspects depending on socially cultural
and institutional specific character. The model
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presented by Castells became a synthesis of
empirical studies and a huge analysis which
he has been researching for 14 years in many
countries, including Russia. The model was
mentioned in the trilogy: “The Information age:
economy, society and culture” that was published
in 1996 – 1998 and in Webster’s opinion, that put
him in one line with the leading researchers of
the information age (Castells, 2000).
Castells differentiates the famous concept
of the “information society” and his own concept
of the “informational society”. It’s important
that, in the former, information in the society
plays the defining role, but in M. Castells’s
opinion, information and information exchange
accompany the development of the civilization
all the way along the whole human history and
the term “information society” itself is of no
analytical value to the definition of peculiarities
of a new society. He uses the “informational
capitalism” concept in which both, an adjective
and a noun, have a certain meaning. The
adjective emphasizes the process of expansion
of information that symbolizes an absolutely
new character of relations. The noun emphasizes
the permanency of forms of economic relations
(pursuit of profits, principles of market economy,
etc.). The network society was born as a result
of joining capitalism and information revolution.
The dominating functions and processes of this
society are organized on the basis of “networks”
that connect people, universities and countries.
It is necessary to acknowledge that the network
form of the social organization has existed before,
but the “new paradigm” of the informational
capitalism that transforms the material ground
of the society forms conditions for the pervasive
prevalence of networks into all structures of
society. Networks define a new social structure
which is an extremely dynamic and open
system that’s capable to interpret innovations
without disturbing its balance. Networks are the
effective tools for preserving and developing
capitalist economy that is based on flexibility and
adaptability. Using the argumentation of some
theorists who reasoned the profound changes
in the stratification system and pointed out new
categories of workers, social groups and even
classes (Robert Reich – “symbolic analysts”,
Alvin Toffler – “cognitariat”, Peter Drucker –
“knowledge worker”), Castells proves that
informational labor is the basis of a new (network)
society and that informational capitalism that is
based on information labor signifies the change
of era.
In the mid 1990s the concept of postmodernism is being developed in the foreign
sociology along with the information society
theory and its attention to the technological
aspects. The concept emphasizes the formation
of a new personality and the place of this
personality in modern society. The discourse of
post-modernism that tried to interpret the most
important cultural transformations of the end of
millennium means a lot to the modern social theory.
The problematization of changes in the world of
information, communications and technologies
as a productive critical dialogue with postmodernism has a great theoretical significance.
The question about the status of knowledge,
about the right of rationality in its enlightenment
interpretation to have a claim on the main criterion
and meaning of the development of human culture
and society is the key to understand the postmodern condition to the most famous exponents,
such as Jean-François Lyotard, Mark Poster and
Jean Baudrillard. A French philosopher JeanFrançois Lyotard researches the phenomenon of
post-modern in the sphere of knowledge. In his
famous research “The postmodern condition”
published in 1984 he studies the problem of
transformation of scientific knowledge in the
information society emphasizing the range of
problems in one of the “sectors” of experience – in
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the world of knowledge and discursive practice –
and researching virtualization as delegitimation
of knowledge, model of delegitimation and
post-modern era (Lyotard, 1998). The subtitle
of the book “Postmodern condition: a report
on knowledge” reflects the main purpose of the
book which is to give a report on knowledge
condition in the most developed Western
countries for the Council of the universities of the
government of the Province of Quebec. The postmodern idea of knowledge starts with the scepsis
demonstrated by the author regarding the rule of
consensus that admits that the real value of the
statement between the sender and the receiver can
be achieved under the condition of one universal
mind. The author thinks that deep changes of the
status of knowledge and information in modern
society are interconnected and take place in
two directions. First of all, the point is that the
emphasis is transformed from the essential
knowledge value into the result achievement, in
other words, using the Lyotard terminology, in the
direction of performativity in the organizational
system. The author emphasizes: “The nature of
knowledge cannot remain unchanged within
this context of general transformation. It can fit
into the new channels, and become operational
only if learning is translated into quantities of
information” (Lyotard, 1998, p. 17). The author
means that reproductions and transmission of
knowledge and information are determined by
demand and by the possibility of operationalization
and practical use. Secondly, Lyotard asserts that
knowledge and information acquire properties
of goods, and market mechanisms are needed in
the information sphere. According to him: “The
old principle that the acquisition of knowledge
is indissociable from the training (Bildung) of
minds or even of personality itself, is becoming
obsolete and will become even more so. This
attitude of the suppliers and users of knowledge
to the knowledge they supply and use is now
tending and will increasingly tend to assume
the form already taken by the relationship of
commodity producers and consumers to the
commodities they produce and consume that is
the form of value (fomie valeur)” (Lyotard, 1998,
p. 17). The display of the stated factors brings
to the beginning of the situation of post-modern
in science. Science is reviewed in such terms as
subjectivism and relativism that are specific to all
“grand narratives”. Science itself cannot find the
reason to legitimation and loses trust.
The point of view of the American
sociologist underlies in the traditions of postmodernism and in a new range of problems of
the information society analysis. The sociologist
belongs to the French intellectual tradition of
structuralism and post-structuralism of Mark
Poster. In the initial period of the formation of
the information society ideology the value of
theory and reliable information was emphasized,
but in the next period there is a tendency to
research unscientific information, prospects of
forming the information society in connection
with “loss of the privileged status of scientific
discourse”. Researches of the problems of the
scientific knowledge-unscientific knowledge
ratio, the reliable and unreliable information ratio
and information on the “true-false” scale became
urgent. Theorists of post-industrialism ignored
the language problem on the level of theory as
well as on the level of social sphere. The concept
of the “mode of information” developed by Poster
is meant to “decode” the linguistic meaning of
new forms of social interaction (Poster, 1990).
Unlike positive and optimistic supporters of
the information theory, its critics do not tend to
overestimate an increase of impact of information
on social development and, moreover, to judge
too soon about formation of a new type of society
and changes in the nature of social and economic
relations. Information society is not emphasized
directly in the theory heritage of one of the most
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famous English speaking representatives of
the modern sociological idea Antony Giddens.
Moreover, according to Frank Webster, he wasn’t
interested in the range of problems of information
society and he thought about this idea skeptically.
Giddens believes that the role of information in
modern society shouldn’t be overestimated; it has
always been an “information” society and increase
of information value doesn’t mean that it’s time
to talk about forming a new type of society.
We are observing the phenomenon that doesn’t
go beyond the existing social practice which is
“informatization” of social networks. Even though
Giddens doesn’t acknowledge the existence of
information society and doesn’t point out the
formation of knowledge society, the information
processes, new opportunities and risks linked
to them take the key place in his theory. The
reflexive modernization theory developed by
Giddens is very interesting to us scientifically as
its theses have something in common with ideas
of the theorists of knowledge society, such as Nico
Stehr, Peter Weingart, Ulrich Ufer and others. His
reflexive modernization, according to Webster, is
an epoch which is “characterized by heightened
social- and self-reflection as the basis for
constructing the ways in which we live. If it is the
case that, increasingly, we make the world in which
we live on the basis of reflection and decisions
taken on the basis of risk assessment (rather than
following the dictates of nature or tradition), then
it follows that nowadays enormous weight will
be placed upon theoretical knowledge to nourish
our reflection” (Webster, 2004, p.40). In the book
“Reflexive modernization: politics, tradition and
aesthetics in the modern social order” Giddens
together with two other outstanding scientists U.
Beck and S. Lash discusses how modern society,
by means of reflexive modernization, transforms
its basic characteristics, such as formations of
class, stratum, occupations and nuclear families
(Giddens, 1994). The key thesis of the reflexive
modernization theory is a thesis about increasing
organization of social life that gradually loses
“built-in” elements. “Built-in” elements are the
elements that are controlled by society, not a
person. Getting freed of built-in elements gives a
modern person freedom of choice; people stopped
trusting implicitly to their destiny and became its
masters. The increase of reflexivity underlies in
the basis of the increase of choice. By reflexivity
Giddens means gathering of information that lets
people obtain knowledge that is necessary for a
conscious choice. One of the consequences of
the phenomenon of intensified reflexivity is the
increase of the role of theoretical knowledge. It
was described by Giddens and is of interest to us.
Even though he doesn’t differentiate information
and knowledge and first of all discusses abstract
knowledge, he still emphasizes that the modern
world is based on their accessibility and
reproduction. In his opinion, the key role of
knowledge becomes the indication of the forming
society.
The modern stage of concept development
of the information society is associated with
generalization of new empirical data and
extrapolation of trends. The researches in the
sphere of transforming post-industrial and
information societies into a knowledge society
in which economic and social aspects of
information society play dominant roles became
much more active. Most of the American and
European researchers started to emphasize on the
role and meaning of knowledge, and not on the
role of information. That caused a range of new
definitions of modern society as the knowledge
society. In English speaking countries people
call it “knowledge society” and “knowledgeable
society”, in German speaking countries –
“Wissensgesellschaft”,
French
researchers
call it “capitalism cognitif” and “societe de
la connaissance”. The concept of knowledge
society as the future society became a point of
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social interest. In the beginning of 1990s the
researches that discussed emancipation of the
knowledge society concept from the theories
of post-industrialism and information society
were published. The most important works were
presented by an American economist Robert
Reich “The work of nations. Preparing ourselves
for 21st century capitalism” (Reich, 1999),
the famous American economist, one of the
developers of the modern theory of management
Peter Ferdinand Drucker and his work “Postcapitalist society” (Drucker, 1993), the German
sociologist who was one of the leading theorists
of the “knowledge society” Niko Stehr “Wissen,
Arbeit, Eigentum” (Stehr, 1994). It’s important to
point out that not only those works but the whole
range of ideas and discussions devoted to a new
and now determinative role of knowledge in
economic and social organization were presented
in various publications and turned out to be quite
needed. This indicates a strong demand for the
discourse of the knowledge society itself in the
modern social theory.
Those researchers who see formation and
development of a new type of society as a result
of social qualitative changes that were caused by
theoretical knowledge support the idea expressed
by the founder of post-industrialism Daniel
Bell about theoretical knowledge that can be
detached from quantitative factors “analytically
and, possibly, essentially”. By the beginning
of the 1960s a very important social change
has occurred in the industrially developed
countries: the number of skilled specialists and
managers (“white collars”) started to increase
over the number of industrial workers. In 1959
the exponent of so called “managerism” Drucker
foresaw the further development of this tendency
and invented the term “knowledge worker”
which means a cognitive worker or a knowledge
specialist. In 1969 he coined the term “knowledge
society”, although only some people know that for
the first time the term “knowledge society” was
used by an American political scientist Robert
Lane in 1966 to describe the impact of scientific
knowledge on the sphere of public politics and
management. However, it was Drucker who
brought the new term up to date in social context
and developed it in details in his latter works in
the 1990s. At the same period such key concepts to
modern society as “learning society” (suggested
by Robert Hutchings in 1968) and “life-long
learning” (introduced by Torsten Husen in 1974)
came to existence. It was associated with fixation
of a special role of knowledge as the main factor
of social transformations in modern society in the
socio-political discourse.
Drucker presented his point of view on
modern situation and prospects of development
of the Western civilization in the aforementioned
book “Post-capitalist society” published in 14
countries and translated into 8 languages. The
name of its first chapter “From Capitalism to
Knowledge Society” is quite significant (Drucker,
1999). According to Drucker, modern era is
the era of radical changes of the basis of social
structure – transformation of capitalist society
into knowledge society (Drucker, 1999, p. 7071). Drucker believes that only the Renaissance
era and formation of the basis of the industrial
society era can be called similar in their historic
meaning. He emphasizes that this process
happens under the influence of radical changes in
the knowledge concept itself. “At the present time
knowledge is systematically and intentionally
used to define what kind of knowledge is needed,
whether getting such knowledge is reasonable and
what’s needed to be done to provide efficiency
and innovation” (Drucker, 1999, p.95).
In the beginning of the 1990s some
remarkable attempts to invent preliminary
versions of concepts of the knowledge society
as post-modern interpretation of the information
society theory were made. The range of problems
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of the knowledge society becomes wide-spread in
the works of German scientists Nico Stehr, Peter
Weingart and Gotthard Bechmann.
Nico Stehr, who is a professor at the
Zeppelin University in Friedrichshafen and one
of the greatest researchers of the transformation
processes of modern societies into knowledge
societies, developed a separate scientific and
philosophical knowledge society concept. His
concept is consonant with the ideas of Webster
and Giddens in a way, but in his discussions he
goes much further postulating that we are already
in the knowledge society, main characteristic
of which is the desire of a person of the 21st
century to make the whole life comfortable on
the basis of knowledge, but not only its separate
parts. The foundation of Stehr’s concept is a
wider interpretation of theoretical knowledge
considered as “universal characteristic of a
person”. It includes theoretical knowledge
as well as all knowledge codified, abstracted
away from practical application and amenable
to generalization (Stehr, 1994). He points out
the following knowledge forms: informative
knowledge necessary for understanding; efficient
knowledge that is used in production; actual
knowledge used in everyday practice. Stehr
gives the priority to scientific knowledge that
pushes other forms of knowledge out of their
traditional niches, entering all spheres of social
and individually private life and even those
kinds that constituted on the basis of unscientific
knowledge, such as traditional, ordinary, religious
and philosophical knowledge. The strengthening
of the social role of knowledge and its world-wide
expansion makes “absolvent action potential” for
people and society, but also entails unpredicted
risks and uncertainties.
The
German
researcher
Gotthard
Bechmann, one of the most famous theorists,
presented his interpretation of knowledge society
which was rather informative and peculiar.
Bechmann considers modern society on the basis
of synthesis of metaphorical macromodels that
reflect its essential characteristics like modern
society as information society, risk society
and knowledge society. For Bechmann it is the
unscientific knowledge involvement that is
“central dimension of a new form of knowledge
production” (Bechmann, 2010, p.30). Therefore,
he emphasizes socially determined processes
of expansion and reproduction of scientifically
invented knowledge as well as universally
recognized knowledge viewing knowledge
society as modern stage of information society.
Resume
According to this analysis, emphasis on
information society as a research object holds
general scientific meaning and information
interactions take part in object domains of
different studies and scientific fields. However,
the emphasis on the increase of the role of
knowledge in the society with computer and
telecommunication technologies, value of
scientific, theoretical knowledge and/or accurate
information is common in foreign researches as
well as in Russian researches in the context of
ideology of information society.
Summing up, it is necessary to point out
that the information society theory considerably
enriched the concept of the modern stage of social
development, but the process of its formation
and development has been and still is complex
and contradictory. Various interpretations of
information society that recently became public
considerably differ from the interpretations of
the end of the 20th century. On the one hand,
theorists of information society, unlike postindustrialists, rather consciously started to
research private problems of modern society,
“…which cannot allow this concept to have a
claim on the status of integral social doctrine”
(Inozemtsev, 1999, p.61). On the other hand, one
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Irina A. Zhuravleva. The Role and Status of Knowledge in the Post-Modern Interpretation of the Information Society Theory
cannot help acknowledging that various recent
interpretations of information society are notable
for a great flexibility, transparency and adequacy
of constantly appearing information innovations
in society. Modern transformations in the
considered concepts are not strictly determined
in a technical and economic way; the problems
of social development, politics and culture
development are being researched. It’s necessary
to point out that the emphasis on the increase
of the role of knowledge in the society with
computer and telecommunication technologies
is common in foreign researches as well as in
Russian researches in the context of ideology of
information society.
In conclusion, it should be noted that
informationalization of society states challenges
to the modern social theory. Multidimensional
and multilevel mosaic of the forming society
assumes big variability of scientific researches
of this phenomenon, such as economic, social,
political, legal and philosophical researches.
We believe that it is indicative of changes in the
structure of information society caused by the
change of the role of knowledge as well as of
paradigm condition of modern researches.
References
M. Castells, The information age: economy, society and culture / M. Castells; translation from
English edited by O. I. Shkaratan; State University of Higher School of Economics. (M.: University of
higher school of economics 2000), 606, in Russian.
P. Drucker, Post-capitalist society/ New post-industrial wave on the west. Anthology// edited by V.
L. Inozemtsev.(M.: Academia, 1999), 67-100, in Russian.
A.Giddens, Beyond left and right – the future of radical politics (Cambridge: Polity Press, 1994).
V. Inozemtsev, Prospects of post-industrial theory in a changing world // New post-industrial
wave on the west (M.: Academia, 1999), 956, in Russian.
J.-F.Lyotard, The postmodern condition: a report on knowledge II Theory and history of literature.
(Minneapolis: University of Minnesota Press, 1999), vol. 10. 110.
M.Poster, The mode of information. Poststructuralism and social context. (Chicago: University of
Chicago Press, 1990), 208.
R.Reich, The Work of Nations: Preparing Ourselves for 21st Century Capitalism // New postindustrial wave on the west. Anthology / edited by V. L. Inozemtsev. (M.: Academia, 1999), 506-527,
in Russian.
N.Stehr, Arbeit, Eigentum und Wissen: Zur Theorie von Wissengesellschaften. (Frankfurt a. M.:
Suhrkamp, 1994), 249.
F.Webster, Theories of the information society / Frank Webster; translated from English by M. V.
Arapov, N. V. Malykhina; edited by E. L. Vartalova. (M.: Aspect Press, 2004), 400, in Russian.
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Irina A. Zhuravleva. The Role and Status of Knowledge in the Post-Modern Interpretation of the Information Society Theory
Роль и статус знания
в постсовременных интерпретациях
теории информационного общества
И.А. Журавлёва
Иркутский государственный университет
Россия 664003, Иркутск, ул. Ленина, 3
В статье представлен опыт социально-философской рефлексии проблемы статуса и
роли знания в современной теории информационного общества. Из всего многообразия
его интерпретаций автор выделяет и рассматривает те кардинально отличающиеся от
большинства исследования, в которых доминирующую роль играет знание, выступающее
системообразующим фактором современного общества.
Ключевые слова: постиндустриальная концепция, теории информационного общества,
концепция общества знаний, знание.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 874-883
~~~
УДК 330.342.2
Opportunities of the Comprehensive
Neo-Schumpeterian Economics
for Innovation-Based Economic Development
Evgeny A. Kapoguzov*
Omsk State University
55 Mira, Omsk, 644077 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
In this article the topics of Comprehensive Neo-Schumpeterian Economics (CNSE) are considered.
The main differences between this approach and basic Schumpeterian model are discussed. Therefore
the reasons of the Schumpeterian renaissance in recent studies are analysed. The 3-pillars as central
elements of CNSE and empiric research about their contribution to the future-oriented innovationbased economy are considered. In conclusion the challenges of application of CNSE in Russia are
discussed.
Keywords: Neo-Schumpeterian Economics, economic development, innovation-based economy,
economic co-evolution.
From Neoclassical to Comprehensive
Neo-Schumpeterian Economics
The crisis of neoclassical economics, caused
by the inability to explain the economic crisis using
the traditional economic models, has proposed
more attention to alternative approaches. Despite
rigorous research and analytical potential of the
new (modern) institutional economics (NIE), in
this article we will consider a different approach,
which is able to become one of “corner stones” of
the theory of innovation-based economy. There
are talks about innovations-oriented (based)
development at scientific and political levels.
The approach, proposed by the famous German
economist G. Mensh and outlined in the article
published in “Journal of Economic Theory” (№ 3,
2009), suggests countries refuse to simply restore
*
1
global economy and move to its renovation on the
basis of innovative development (Schumpeter,
1988). The G. Mensh’s explanation of crisis
is connected with the divergence between the
innovations in financial sector and innovative
financing and activity of bankers – focused on
innovative development in real sector. Other
concept, we will be discussing in this article,
was developed by Professor Horst Hanusch,
University of Augsburg (Germany), the president
of J. Schumpeter Society (http://www.iss-evec.
de) and his team. This approach was called as
Comprehensive Neo-Schumpeterian Economics
(CNSE).
During the past three decades in economic
theory some approaches have appeared. They are
based on ideas of J. Schumpeter, presented in “The
Corresponding author E-mail address: egenk@mail.ru
© Siberian Federal University. All rights reserved
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Theory of Economic Development”, and his later
works “Capitalism, Socialism and Democracy”
(1942), “The March into Socialism” (1950). We
have noted the following most significant, in our
opinion, theories:
– Endogenous Growth Theories with
technological
progress
(P.Aghion,
P.Howitt, P.Romer, R.Barro e.a), that
developed Schumpeter’s idea about
the role of accumulation of knowledge
and presented factors influencing the
economic growth (investments in
R&D, fundamental science; technology
diffusion; protection of intellectual
property rights for inventions and
innovations);
– Evolutionary Economics (R. Nelson,
S. Winter), picked up the idea
of
Schumpeterian
Selection
of
Entrepreneurs;
– Approaches, focusing on the collective
innovation process, development and
changes. The process of learning is
considered as a social and interactive
process with collective innovations and
heterogeneity as a source of innovation.
But the question is why Schumpeterian
renaissance began only seventy years later
after the first edition of “Theory of Economic
Development”. One of the explanations is the
long success of Neo-Keynesian economic policy
and later Neo-conservatism with its monetary
statically focused recipes. The Keynesian
approach corresponded to the time of exiting
the Great Depression, when an expansion of
aggregate demand was needed. The same way the
monetarism and the supply-side economics offered
after “energy and oil shocks” of 1970th became
adequate to the changed external conditions in
the situation of stagflation and raw materials
shocks. At the same time, the development
of “new” knowledge-based economy, IT and
sharp growth of interdependent branches have
required other macroeconomic recipes and other
explanations of the reasons of occurrence and
variants of development of the situation. The
Neo-Schumpeterian approach, focused not on the
financial and fiscal side of economic development,
but on industrial dynamics and structural changes
in real sector, looks very competitive and more
attractive.
Other explanation of Schumpeterian
renaissance is the attempt to formalise
theoretical verbal propositions of Schumpeter.
Neoclassical economics has an active application
of mathematical methods. It is characterised by
rational individuals and the price mechanism
responsible for an efficient allocation of
resources within a set of constraints. NeoKeynesian Economics with demand-oriented
macro approach, based primarily on short term
processes occurring in non perfect markets, often
used mathematical instruments. But all these
approaches with their analytical stringency have
failures when it comes to analysis of dynamic
phenomena endogenously caused by the economic
system. Avoiding the inflation in Neo-Keynesian
Economics, the exogenous Solow-Swan model
has given chance for Schumpeter’s “Creative
Destruction” in mathematical layout. The works
on physics and biology, theories of chaos and
self-organisation, and synergetic theory, have
reflected in the development of so-called AgentBased Modeling1.
From Orthodox Neo-Schumpeterian
Economics to CNSE
According to Schumpeter the process of
economic development is both evolutionary and
revolutionary one. The revolutionary “Creative
Destruction” is manifested in repeating cycles
of effective monopoly and effective competition,
when the previous forms of economic activity and
the whole branches die away. The evolutionary
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aspect of Schumpeterian development is shown
in a similar, but incremental process. Creative
and innovative activities play a special role in it.
They form the basic foundation of evolutionary
process with its power connected with the
immanent nature of attitude to capitalism and its
drivers: egoism, aspiration to enrichment, selfrealisation. Thus, the economic development
should be considered as active changes, caused
not only by exogenous factors.
The entrepreneur as a central actor in
Schumpeterian development, as it is known,
creates new combinations of production factors.
Whether it is a product or process innovation,
or new market development, or technology or
raw materials development, or organizations
innovation – the main driver is Smith’s animal
spirit of Entrepreneurships. Profit making,
a creative and risk-bearing activity, leads to
destruction of the old and construction of the
new.
Thus, the key elements of Schumpeterian
theory of economic development are:
– the character of evolutionary economic
development: innovations as an object of
change and technological progress;
– the entrepreneur, in contrast to
static investor-capitalist or manageradministrator, as an active actor, is the
subject and the initiator of economic
development and thereby equally the
creator of structures and shapes, changing
them.
In the 1980-s on the basis of Schumpeterian
theory of economic development the so-called
“Orthodox Neo-Schumpeterian Economics”
(ONSE) began to develop. The founders of this
concept were Ch. Freeman and G. Dosi. The key
elements of ONSE are:
– the entrepreneurship and technological
innovation are the basic principles and
they determine and they are responsible for
development of economies by removing
and overcoming limiting constraints;
– the innovation competition instead of
price competition as the coordination
mechanism of interest;
– true uncertainty in the sense of Frank
Knight enters the scene.
An important element for Neo-Schumpeterian
economic development is enhancement of national
innovation system. The national innovation
system, consisting of various sectors of the
economy, numerous public and private research
organisations, as well as numerous political and
administrative institutions can be regarded as a
good example for synergy creating structures.
Cooperation of the enterprises and networks,
technology transfer centres and business
incubators, technopolices etc. can be attributed
to national innovation system. This idea of
collective evolutionary process is the subject of
Comprehensive Neo-Schumpeterian Economics
(CNSE). It is defined as “an approach dealing
with dynamic processes and corresponding coevolutionary processes. The dynamic process
cause qualitative transformations of economies
driven by introduction of various innovations
(technological, institutional, organisational,
social dimensions)” (Rosmainsky).
According to Schumpeterian approach,
knowledge and technological innovations are the
drivers of economic development. At the same
time, technological innovations are not developed
in vacuum. In a greater degree, “development”
should be defined as a complex phenomenon,
supported by the real sector as a pillar, but taking
into account the influence of financial and public
sectors. If earlier Neo-Schumpeterian researches
were focused on studying the transformation
processes in real sector, then recently the
understanding of difficult interconnections has
appeared and CNSE is used for their analysis and
explanation.
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Three Pillars
of Neo-Schumpeterian Development
The given approach has normative and positive
perspectives. From a normative perspective there
are three basic pillars of economy: real, financial
and public sectors (Fig. 1).
The basic elements of Neo-Schumpeterian
approach are innovations and as a result
orientation of all the actors of economics towards
the future. The orientation towards the future
means the necessity, ability and readiness to
address the uncertainty and overcome it using
new ways and approaches. The process of
overcoming the uncertainty is connected with
going beyond the borders of set conditions. It
concerns both the spheres of the existing limited
resources and creations of new various economic
opportunities. Going beyond the borders means
progress and changes of the current situation.
The progress and changes occur in all the spheres
of public life though first of all technological
progress defines the situation in real sector of
economy. Its dynamics assumes accompanying
equally oriented towards the future processes of
changes in financial and public sectors.
Thus we can talk about Neo-Schumpeterian
co-evolutionary processes. Its innovation drivers
are based on intention and readiness of all
the agents involved. The stronger the national
and global economy shows up such attitude of
economic agents, the clearer you can identify the
connection of Neo-Schumpeterian system with
Smith’s principles of market economy.
At the same time Neo-Schumpeterian
approach demonstrates a new normative
paradigm. A situation is defined not by a shortterm profit maximisation and allocative efficiency
of prices, but agents orientated towards the future,
acting innovatively within co-evolutionary
process of economic and social dynamics,
carrying out changes and progress, and facing
the uncertainty.
The uncertainty is a key element of positiveempirical analysis of Neo-Schumpeterian
economics. The pace of real sector economic
development can slow down or accelerate. This
process can be explained by both cyclical nature
of economic development and the theory of long
waves in particular. At the same time, it is possible
to observe co-evolutionary process in other
spheres: financial and public sectors. Insufficient
orientation of financial sector toward future,
including low readiness to provide liquidity and
venture capital, finally influences the real sector
Fig. 1. The three pillars of Comprehensive Neo-Schumpeterian Economic Development (Hanusch, Pyka, 2007)
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and has negative impact on innovation activity of
enterprise.
Insufficient orientation of public sector
toward future is shown in low budget spending
for Health care, Education, R&D and deficient
intention to modernise, reform social and
political structures and institutes. It ultimately
has a negative influence on economic dynamics
in real sector.
The economic development depends strongly
on situation in these three sectors. The periods
of depression can occur between the periods
of rapid growth and recession. This typical
Schumpeterian development of economy is the
basis of the concepts of a Neo-Schumpeterian
corridor (Fig. 2).
Far-reaching
Neo-Schumpeterian
development takes place in a narrow corridor
between the extremes of uncontrolled growth
and exploding bubbles, on the one hand, and
stationarity, in other words, zero growth and
stagnancy, on the other. The desirable process
is the one that keeps the system in an upside
potential including both overheating-protection,
i.e., from macro-level bubble explosions and
from micro-level insane explosive growth, and
downside protection, i.e., from macro-level
stagnation and from micro-level bankruptcy.
The economic history of the 20th century
illustrates that the two threats – overheating and
bubble explosion on the one side and stagnation
on other side – shape economic development. The
examples of such development are Japan, Germany
and the USA. After World War II both Japan and
Germany were within the Neo-Schumpeterian
corridor and the USA were below its borders.
But further the USA returned, and Japan and
Germany in 1990s years dropped out of the
corridor. What had happened? In both countries
growth-friendly institutional arrangements were
generated. In particular, it concerned the financial
sector and its close interaction with the real sector
on the basis of joint risk-taking in the middle- and
long-term economic development (“Keiretsu” in
Japan, “Rhine Capitalism” in Germany). These
countries were focused on the development of
each of elements of the economic system; the
system of interdependence of all participants
Fig. 2. The Neo-Schumpeterian Corridor (Hanusch, Pyka, 2005)
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(stakeholders) was generated. In the USA, where
the financial sector was focused on the short-term
interests, the similar structures did not develop.
To the end of the 1970s the German
“Economic Wonder” began to disappear and
“Wohlfahrtstaat” could not cope with the new
challenges, globalization and IT-revolution, in
particular. In fact, Germany overslept the first
stage of knowledge-based economy in all the
three pillars. Only after the crisis of 2007-2009,
due to weak euro and technological innovations,
Germany drifted upwards from the stagnation
sector. In the 1980s Japan reached the peak of
its economic development. But later moved to
the decade of depression and near-zero growth,
caused by huge bubbles in financial and the real
estate markets, which lead to enrichment of some
agents, but after their bursting, affected the whole
economy.
By contrast, the USA in the 1990s
transformed from depression economy into the
one of the OECD-leaders. It was connected with
the rate of creation of firms in IT-sphere, managed
and financed by venture funds, combined with
intention of private and public sector to invest in
R&D.
The role of financial sector, bank sector in
particular, in Neo-Schumpeterian sustainable
growth is very important. Schumpeter himself in
his “Theory of Economic Development” (1912)
strongly emphasised the role of both the creative
entrepreneur and the risk-friendly banker. Bankers
and industrial entrepreneurs should be considered
in a symbiotic relationship. The major task for
financial sector should be seen in the acquisition
and supply of capital for firm actors. So such a
cautious and prudent banker as J.P. Morgan did
not play only the banker’s role, but became the
largest investor of American railroads.
The main driver for development in the
financial sector during the last decade was the
use of pension and insurance funds, first of all
private, aspiring to a high risk level. Thanks to
profit aspiration there were investment banks
and similar structures actively involved in all the
spheres including mergers and absorptions. Socalled “venture capital funds”, aspiring to high
profits from invested in the enterprises capital,
give a chance even to financial losers to earn on
their investments. If all goes smoothly, it becomes
a wonderful symbiosis of Schumpeterian real
and financial sectors, which not only meets the
requirements of the economic dynamics of the
time, but also appears to be a valuable recipe for
success and growth of modern economy. It could
be seen most clearly in the US economy in the
1990s. But it was also one of the main reasons of
the current global financial crisis.
The future orientation of Neo-Schumpeterian
approach makes it necessary to rethink the
role of monetary policy and central banks. In
Monetarism and Neoclassical approach, this role
is defined the following way: control of inflation
and stability of national currency exchange rate.
The real sector, thus, is playing a secondary
role. From a Neo-Schumpeterian perspective the
central bank has the task of supporting the policy
focused on Schumpeterian growth and providing
the enterprises with necessary liquidity. The other
task is to prevent the speculative fluctuations in
the financial market. It is necessary to supplement
traditional monetary policy with psychological
influence on expectations of economic subjects,
and direct intervention in chains of communication
between real and financial sectors, where there
can be a regulation of Schumpeterian symbiosis.
Increasing Role of Public Sector
In orthodox Neo-Schumpeterian Economics
public sector played very humble role. The
Neoclassical approach has an advanced and
diversified theory of public sector, built on the
theory of the public goods and paradigms of
welfare economics. But NSE does not answer
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the question about normative and positive
justifications of the state actions and their
comparison with the market.
Of course, within the Neo-Schumpeterian
approach the public sector is analysed from
positions of future orientation and uncertainty.
Innovations, future orientation and uncertainty
reflect the starting points of Neo-Schumpeterian
theory of public sector.
The ideas about uncertainty, as a reason of
origin of a state, are reflected in the idea of social
contract in the area of income redistribution.
The uncertainty of the future, the aspiration of
a society to mitigate the consequences of loss
of incomes, creates a basis for social policy, and
displays the actual foundation of the state as an
organisation, authorised to provide realisation
and monitoring of contractual conditions.
A good insurance from uncertainty can be
a social contract with a fixed duty of society to
finance science and education and provide social
security. It concerns both the infrastructural and
educational organisations, such as kindergartens,
schools, universities and academies on the one
hand and social services on the other. Both
coordination and organisation of these actions
can be transferred to the state.
Thus, Comprehensive Neo-Schumpeterian
Economics is characterized by the following key
theses:
– the emphasis on qualitative, innovation
driven development;
– the connection between all three pillars of
development – industry (real), finance and
public sector – that distinguishes it from
orthodox Schumpeterian Economics,
focusing on real sector development;
– innovations and uncertainty as connected
factors of economic development and
ubiquitous phenomena, characteristic for
each of the three pillars and intrinsically
interrelated;
– interrelation and interaction (co-evolution)
between the sectors;
– the necessity to guide a national economy
within Schumpeterian corridor for
sustainable and dynamic development.
The inter-relationship between these
three sectors occurs in the spheres connected
with development, while each of them plays its
significant role. The state creates institutions as
the rules of the game, provides infrastructure
development, and also invests in fundamental
science. Development of the international
and interregional competition for capitals
provides inflow of investments, and they are
directed to countries and regions with the most
attractive investment climate. One more form of
interrelationship is a public-private partnership
in R&D. It can be realised by creation of
business-incubators, and special taxation regime.
The interaction of real and financial sectors is
demonstrated in creation of hi-tech firms with
venture capital and financing start-up projects.
Comprehensive Neo-Schumpeterian
Economics Potential:
Empirical Data
There is a question that follows: how such
theoretical approach as CNSE can be applied
to analysis of modern trends of economic
development? Here are two cases to consider.
As it has already been mentioned above, a
long period of stagnation in Japan in the 1990s
was caused by shifting from the top (exponential
growth) of Neo-Schumpeterian corridor to the
bottom (stagnation) because of rapidly increased
gap between profitableness of investment in the
financial and real estate markets and profitableness
of the real sector. After the bursting of the bubble
in the given markets, Japanese economy moved
into a long period of stagnation, which is still
affecting it. The other bubble appeared in the
world financial markets of hi-tech firms in 2000,
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bursting together with “Enron” and “WorldCom”
scandals. The latter became possible because of
the absence of interaction between three pillars
of economic development, and also because the
American system of the financial markets had
nothing in common with the difficult system of
interaction between the stakeholders, existing in
models of bank financing of Japan and Germany.
The other case is connected with development
of “new” economy in Europe, Japan and the USA
and roles of three sectors in their development. The
analysis of 18 European countries, Japan and the
USA accomplished using the data for the period
1996-2000, various indicators, characterising the
situation with future orientation of these countries,
allowed to come to the conclusion that the
following countries are above the Schumpeterian
corridor: Ireland, the USA and Finland corridor,
while Italy, Germany, Japan and Switzerland are
in a stagnation zone. The various indicators used
included indicators of technological development,
private and state sectors expenditures on research
and development (in particular BERD (Business
Expenditure on R&D), level of interest rates,
etc. Generally 24 indicators on real sector, 35 on
public and 10 on financial were used (Mensch,
2009). As for the influence of separate sectors on
results of concrete countries they are: Germany
is on the second place within its group in public
and real sector and on the fifth in financial sector.
The similar situation is in Denmark: it is on the
third place in the group in public and real sector
and on the ninth in financial sector. Great Britain
shows good results in financial sector (second and
third place accordingly), but only the fifth on real
sector indicators. The most advanced country on
all three sectors is the Netherlands, while Italy is
the outsider.
Conclusion
This approach to the analysis of economic
development allows us to consider, in our
opinion, the Comprehensive Neo-Schumpeterian
Economics could be a possible alternative to
Neoclassical model when giving a theoretical
justification of national innovative economic
system. The future orientation and analysis of
interaction between the sectors responsible for
innovative development can serve as a starting
point for application of the approach for crosscountry and inter-regional analysis of innovative
process. At the same time, the application of the
given approach has restrictions connected with the
following patterns of institutional environment of
Russian innovation business:
– low level of protection of the property
rights;
– short-term orientation of economic
agents and consequent “investment shortsightedness” (Hanusch et al., 2007);
– lower appeal of investments into the social
capital in comparison with investments
into the human capital;
– the absence of working mechanism
of transformation of inventions into
innovation products and well-functioning
institutions of commercialization of
ideas.
The overcome of these burdens, in our
opinion, is a necessary condition for transition
to Schumpeterian type of corporate capitalism
with innovation system as a self-development
mechanism. But both in the Schumpeter’s
approach and in NSE, the development is
impossible without an actor – an initiative, free
from “bound hand and foot wit red tapes” and
shortage in liquidity entrepreneur. It is obvious
that growth of innovation development institutes
should start from a collective innovation action
problem, in which all stakeholders (entrepreneurs,
bankers, and officials) are involved. In this
regard, the discussion about modernisation of
economic system should start from a change of
basic institutes of development, but with an active
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state policy in the spheres of science, education
and infrastructure. Otherwise, it will be very
difficult for Russia to get out from negative of
1
Global Innovation Index (GII), despite billion
expenditures for development programmes,
financed by the state budget.
Pyka A., Fagiolo G., Agent-based-Modelling: A Methodology for neo-Schumpeterian Economics, in: Hanusch, H.,
Pyka, A. (Ed.) Elgar Companion to Neo-Schumpeterian Economics, Cheltenham: Edward Elgar, p. 467-487
References
V.E. Demetiev, Economic Bubbles in Long-Wave Dynamics: Avoid or Dose Out. Part 1, Economics
of Contemporary Russia, 2 (2009), 7-19, in Russian.
I.E. Frolov and I.G. Chaplygina, Contemporary Problems of Scientific and Technological
Development Models construction, Economics of Contemporary Russia, 1 (2009), 7-24, in Russian.
H. Hanusch, Zur Bedeutung Schumpeters und der Schumpeterianischen Okonomik am Beginn
des 21. Jahrhunderts, Unternehmergeist/Unternehmertum in Anknupfung an Joseph A. Schumpeter
(Zürich, 2007), 11-12.
H. Hanusch and A. Pyka, Manifesto for Comprehensive Neo-Schumpeterian Economics, History
of Economic Ideas, 15 (2007), 11-29.
H. Hanusch and A. Pyka, Principles of Neo-Schumpeterian Economics, Cambridge Journal of
Economics, 31 (2007), 275-289.
G. Mensch, Schumpeterian Solution to the Current Crisis, The Journal on Economic Theory, 3
(2009), 170-175
I.V. Rosmainsky, Why Do the Androgenic Growth Patterns Not Work in Post-Soviet Russia?,
Institutional Transformation of Economics in Post-Soviet States, Proceedings of International
Conference “Institutional Transformation: Federal and Regional Levels”, ed. by S.N. Levin, 32-36, in
Russian.
J. Schumpeter, Capitalism, Socialism and Democracy, (Moscow: Economika, 1995), in Russian.
J.A. Schumpeter, Theorie der wirtschaftlichen Entwicklung, (Munchen und Leipzig:
Duncker&Humblot, Reprint 1988), The Theory of Economic Development, (Moscow: Progress, 1982),
in Russian.
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Потенциал комплексной неошумпетерианской
экономической теории
для инновационной экономики
Е.А. Капогузов
Омский государственный университет
Россия 644077, Омск, пр. Мира, 55
В статье рассматриваются ключевые элементы комплексной нео-шумпетерианской
экономической теории как теоретического фундамента экономического развития
инновационного типа. Анализируются интеллектуальные предпосылки данного подхода и
его отличия от ортодоксального шумпетерианства. Приводится концепция «трех столпов
экономического развития» и обсуждаются эмпирические данные тестирования данной модели
на макроуровне. Анализируются возможности применения данного подхода как альтернативе
неоклассике при теоретческом обосновании инновационного типа развития.
Ключевые слова: неошумпетерианство, экономическое развитие, инновационная экономика,
экономическая коэволюция.
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Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 884-893
~~~
УДК 347.78.025
The Object of Criminal Appropriation
of Authorship (Plagiarism)
Natalia Yu. Rychkova*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
In the article a personal non-property right to authorship is argued to be a supplementary direct
object of a crime, specified in Art. 146, Part 1 of the Criminal Code of the Russian Federation. It
does not allow to provide proper defense of rights of a person by the Criminal Code of the Russian
Federation. Thus, the provisions of Art. 146, Part 1 of the Criminal Code of the Russian Federation
require revising.
Keywords: criminal law, object of a crime, plagiarism.
Point of View. The opinion existing in the
criminal science that a personal non-property
right to authorship is the main direct object of
the crime as it is described in Art. 146, Part 1
of the Criminal Code of the Russian Federation
1
is debatable. This opinion is based not on the
description of actus reus of this crime. On the
contrary, while analyzing it we can come to the
conclusion that the personal non-property right
to authorship plays the role of the supplementary
direct object. But it does not correspond to the
true value of the right to authorship, therefore no
proper defense of the rights of the person can be
provided by the Criminal Code of the RF. Thus,
the provisions of Art. 146, Part 1 of the Criminal
Code of the RF require revising.
Example. Plagiarism if it has inflicted great
damage to an author or any other right holder
is a criminal offence under Art. 146, Part 1 of
the Criminal Code of the RF. Some criminal
*
1
scientists notice that the main object of this
crime is social relations arising in connection
with realization of the right for freedom to create
literary, artistic, scientific, technical or other
kinds of works (Commentary on the Criminal
Code of the Russian Federation (by paragraphs),
2010: 544; Commentary on the Criminal Code
of the Russian Federation, ed. by V.T. Tomin and
V.V. Sverchkov, 2010). But this right for freedom
to create cannot be the object of plagiarism, as
creation of a work or performance means that this
right has not been violated.
Creation of a work or performance results
in different property and non-property rights.
But these rights appear as a result, and not in
connection with the realization of this right for
freedom to create.
Thus, it is more correct to consider a copyright
and neighboring rights defended and guaranteed
by the Constitution of the Russian Federation (Art.
Corresponding author E-mail address: natalirychkova@yandex.ru
© Siberian Federal University. All rights reserved
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44, Part 1) as the direct object (Criminal law…,
2006: 434; Criminal law of Russia…, 2007: 400;
Criminal law of Russia…, 2008: 260; Bondarev,
2008: 11; see also: Machkovsky, 2005а: 62-63).
The obvious merit of this standpoint consists
in refusing to consider this right for freedom to
create as the direct object of plagiarism, though
the frame of rights referred to the direct object is
unjustifiably wide.
Let us turn to the Civil Code of the Russian
Federation1. According to Art. 1226 of the
Civil Code of the RF a range of intellectual
rights emerges as a result of creating a work
or performing. These rights include a right to
authorship, a right to indicate author’s name, a
right to maintain identity, a right to make the
work public, a right to have an opportunity to
realize a right of an art work 3 reproduction, an
exclusive right to a work or performance and
some other rights (Art. 1255, 1315 of the Civil
Code of the RF). Not all these rights can be
considered the direct object of plagiarism. Only
the right to authorship, the right to indicate
the author’s name that belong to personal nonproperty rights and the property4 exclusive
right can play “the role” of the direct object of
plagiarism.
There is another opinion in the law literature
on this issue: “As the right to authorship is a
personal non-property right, plagiarism should
be considered a violation of personal nonproperty rights” (Fedoskina, 2007: 119). Basing
on this statement we can consider a personal nonproperty right to authorship as the main direct
object of the crime described in Art. 146, Part 1
of the Criminal Code of the RF.
Despite the differences between the two
approaches to the notion of the direct object
of plagiarism mentioned above, the right to
authorship is believed to be either a part of the
main direct object of this crime or its main direct
object. But if we agree with this statement, it
means that this right has to correspond to all the
attributes of such an object.
According to the opinion of D.I. Aminov
and I. I. Bryka “…the main direct object of the
crime is the most valuable social benefit from
the point of view of social interests (italicized
by the author) among those which are damaged
by this crime. Moreover, this object should be
determinative both for qualifying (italicized by
the author) the action and choosing a certain place
of the criminal rule in the general legislative
system” (Criminal law of Russia…, 2009).
Formally, recognition of the right to authorship
as the main direct object of plagiarism should
result from the position of Art. 146, Part 1 of the
Criminal Code of the RF in the structure of the
Criminal Code of the RF, from its position in the
chapter in which crimes against constitutional
rights and freedoms are described and should
be confi rmed by the name of the article and
description of the punishable offence. (Lopatin
and Doroshkov, 2010).
Nevertheless, the analysis of the description
of the crime’s objective part given in Art. 146, Part
1 of the Criminal Code of the RF puts us in doubt
that the personal non-property right to authorship
is really the main one and not the supplementary
direct object of the crime. Art. 146, part 1 of the
Criminal Code of the RF prohibits plagiarism. The
definition of the notion “plagiarism” is described
neither in criminal, nor in civil law. The legal
science interprets it in different ways, for example,
as “using the works of other authors in one’s own
work without referring to their names, publishing
somebody else’s work under one’s own name
or publishing a work created in co-authorship
without reference to the name of the co-author
...” (Serebrennikova, 2006), “distributing to the
public somebody else’s work or a part of it and
representing it as one’s own, publishing a work
created in co-authorship without referring to the
co-author ...” (Commentary on the Criminal Code
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of the Russian Federation, 2007), “publishing
somebody else’s work under one’s own name or
publishing a work created in co-authorship without
referring to the co-author etc.” (Commentary on
the Criminal Code of the Russian Federation, ed.
by V.M. Lebedev, 2010). The resolution No. 14
of the Plenum of the Russian Federation Supreme
Court “About the practice of criminal cases trial
on the infringement of copyright, neighboring,
inventor’s and patent rights and about illegal use
of a trademark” of 26th April 2007 says that if the
fact of plagiarism which infringes the copyright
under Art. 146, Part 1 of the Criminal Code of the
RF has been established, the court should bear in
mind that this wrongful action can be expressed
in particular in presenting oneself as an author
of somebody else’s work, in distributing to the
public somebody else’s work or a part of it under
one’s own name, in publishing a work created in
co-authorship without referring to the names of
co-authors.
It is impossible, of course, to plagiarize
the authorship as a personal immaterial benefit,
thus plagiarism is usually expressed in giving
somebody else’s work or a performance recording
as one’s own, and there are various ways of doing
that. The most common way is using a work
(Khokhlov, 2007) or a performance recording
that belong to another person without reference to
the author’s name, for example, when a plagiarist
copies a title, some phrases or paragraphs of
somebody’s work and includes them in his own
work, when he publishes someone’s whole work
or some parts of it under his own name. Illegal
use can affect any element of the form of the
work or recording of the performance defended
by the law: the text as a whole, some sentences,
the title of the work. The next way is less popular:
an author does not name his co-authors without
their consent, or a person claims oneself to be an
author of someone else’s work. All these actions
misrepresent a true creator.
Using someone else’s work (wholly or
partially) and representing it as one’s own leads
to violation of not only the authorship right, but
of the exclusive right as well. Irrespective of
the illegally used volume of the work it always
means the infringement of the exclusive right,
i.e. the right to use scientific, literary or artistic
work at one’s own discretion in any legal way. It
is provided by Art. 1229, 1270, 1274 of the Civil
Code of the RF. According to Art. 1229, 1270
of the Civil Code of the RF the author has the
right to use scientific, literary or artistic work at
his own discretion in any legal way, including its
reproduction. Other people cannot use this work
without the author’s consent, except for the cases
provided by the law. Art. 1274 of the Civil Code
of the RF enumerates such cases of free use of
the work provided that the name of the author
whose work is used (cited) and the source used
is referred to with due acknowledgement. Thus,
plagiarism is aimed at two objects at once, both
of them claim to be the main direct object of
encroachment. This conclusion is also fair when
the performance recording is illegally used (Art.
1306 of the Civil Code of the RF).
Unlawful presentation of oneself as a single
author of a co-work (a performance recording)
or announcing oneself as an author of somebody
else’s work does not always cause infringement of
the exclusive right to the work. It can be violated
indirectly: as a result of violation of the personal
non-property right to authorship. If a person
just presents himself as an author, but does not
intend to publish the work and get fees for it, the
exclusive right is not infringed. On the contrary,
if he uses the work and gets money for the illegal
use, the exclusive right is violated. Plagiarism
also results in breach of the right to authorship
only, for instance, when the protection period of
the authors’ exclusive right is over, and the work
or recording of the performance can be used by
any person.
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Despite the fact that the right to authorship is
always an independent direct object of the crime,
and the exclusive right is not always infringed,
the right to authorship is a fundamental right
which results in realization of all other author’s
rights including the exclusive right; infringement
of the right to authorship without violation of the
exclusive right is not a crime. This follows from
the description of Art. 146, Part 1 of the Criminal
Code of the RF in which heavy damage inflicted
to the author or any other right holder is an
obligatory element of actus reus.
There are different opinions in the law
literature what kinds of criminal consequences
are covered by the notion of heavy damage.
According to one of the opinions these
consequences are of immaterial character, and
therefore some scholars suggest taking into
account “the degree of constitutional rights
violation, detriment to the business reputation
as a result of uncontrollable distribution of
counterfeit copies with bad quality recordings
etc” (Voshchinsky, 2003: 61). Another point
provides for that heavy damage may include
not only material but also moral harm (Russian
criminal law…, 2009: 140-141; Serebrennikova,
2006; Smirnova, 2007: 95). According to the
third opinion, it includes only material damage
(Mordvinov, 2004: 42). The Plenum of the Russian
Federation Supreme Court in its resolution No.
14 claims that heavy damage described in Art.
146, Part 1 of the Criminal Code of the RF is the
real damage and loss of profit only; a victim can
claim for moral damages by a civil lawsuit in a
criminal trial.
The question is what property consequences
of this crime refer to the damage.
Detriment of the authorship can inflict
directly only moral damage, but indirectly any
other harm, including material harm. Thus,
feeling anxious and uncomfortable, a person has
to apply for medical care, and therefore bear the
expenses to recover his health. Thus, we have
to find out whether these expenses that arise as
a result of this distress, should be considered as
the damage of the crime. But there is no direct
correlation between such property damage and
plagiarism. It is obvious that an indirect intention
which usually accompanies plagiarism does not
cover this property loss, while the probability
of its emergence is abstract and uncertain. So
property damage that arises as a result of inflicted
moral damage should not be considered as the
damage of this crime.
The damage may cover only those property
damages which are caused by infringement of
the exclusive right to the work or performance
recording. No matter how it was violated the
material damage caused had been embraced by
the criminal intent of the offender.
So, moral damage is not taken into account
when criminal proceedings are instituted, only
the amount of property damage is important in
such cases.
But illegal use of a work or a performance
recording not always cause heavy damage. For
instance, using some pieces of someone else’s
work can hardly result in significant material
damage, so this action does not constitute the
body of the crime. It means that despite the fact
of breaking the right to authorship, this object is
not defended by the Criminal Code of the RF.
Refusal to defend this right means that it is not
considered to be the social benefit which is the
most valuable from the point of view of social
interests. On the contrary, this social benefit is of
minor importance like the supplementary object
of the crime.
The legal rule fixed in Art. 146, Part 1 of
the Criminal Code of the RF is primarily aimed
at protection of the author’s exclusive right; it
is definitely confirmed by the circle of victims
described there. Among the victims mentioned
in this Article we can see not only authors, but
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other right holders as well. In accordance with the
current civil law only individuals are entitled to
authorship, the right to authorship is inalienable,
that is why if this right is broken only the author
can suffer moral damage. The property damage
is always inflicted on the exclusive right holder:
the author or any other right holder under the
law or contract. Therefore, a publisher having
an exclusive right to reproduce the work, can
claim the initiation of criminal proceedings, if
this work being the object of the exclusive right
has been reproduced by another person without
reference to the creator’s name. Thus, only in
case of property damage there is a sufficient
ground to initiate criminal proceedings against a
wrongdoer.
Unwillingness of the legislator to give a
personal non-property right to authorship the
significance of the main direct object of the
crime is also seen when we compare the kinds of
penalties specified in Art. 146, Part 1 and Part 2
of the Criminal Code of the RF. Plagiarism unlike
the illegal use of the work (performance recording)
does not result in sentencing to imprisonment.
Thus, the encroachment on the two objects at
once – the right to authorship and the exclusive
right – does not impose punishment as heavy as
the punishment provided for violation of only one
object – the exclusive right. It should be noted
that in comparison with the current Criminal
Code of the RF the pre-revolutionary Regulations
of Criminal and Correctional Penalties of 1845
provided that a person who encroached on two
objects at once, i.e. the right to authorship and
the exclusive right, could be sentenced to more
serious punishment.
The Regulations of Criminal and
Correctional Penalties of 1845 described two
bodies of crime: forgery of the authorship (an
intentional illegal reproducing of someone else’s
work under one’s own name; now it is a kind
of plagiarism) and counterfeiting (unlawful
reproducing of someone’s whole work; now
it is a kind of the illegal use of a work). While
committing a forgery of the authorship was
punished by deprivation of all special rights and
imprisonment up to 16 months, the penalty for
counterfeiting was only deprivation of freedom
for a term from 3 months to a year.
We can look at the problem from another
point of view: low-level legislative value of
the personal non-property right to authorship
and inefficiency of the defense caused by it,
are clearly seen through an extremely high
imbalance of the criminal defense of the property
right holders. The Criminal Code of the RF in
Art. 146, Part 1 and Part 2 provides two bodies
of crimes the main direct object of which is the
exclusive right. The difference in qualifying a
committed act depends on the fact whether it
was only the exclusive right that was violated
or at the same time the right to authorship was
neglected. For example, if someone else’s work
was illegitimately reproduced under one’s own
name, it is qualified under Art. 146, Part 1 of the
Criminal Code of the RF, but if it was illegally
reproduced under the name of the author, this
action should be qualified under Art. 146, Part
2 of the Criminal Code of the RF. Institution of
criminal proceedings under Art. 146, Part 1 of
the Criminal Code of the RF results in greater
difficulties as the body of this crime belongs
to result crimes. While institution of criminal
proceedings under Art. 146, Part 2 of the
Criminal Code of the RF is much easier than the
previous one, as the body of this crime belongs
to conduct crimes. The type of punishment
fi xed in Art. 146, Part 2 of the Criminal Code
of RF is more serious in comparison with the
one that may be imposed on a person who
committed an offence described in Art. 146,
Part 1 of the Criminal Code of the RF. Thus,
the publisher whose exclusive right was violated
as a result of publication and distribution of the
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counterfeit copies of the work is always in a
more advantageous position than the publisher
whose rights are defended under Art 146, Part
1 of the Criminal Code of the RF. Meanwhile
violation of the exclusive right in both examples
is equally dangerous for the community, but
entails different penalties. It appears that the
kind and the size of the penalty specified in Art.
146, Part 1 of the Criminal Code of the RF is
insufficient even to defend the exclusive right,
and speaking about the reality of the defense of
the personal non-property right to authorship
does not seem to be possible.
Including heavy damage as a criminalizing
feature indicates that the right to authorship in
the body of the crime specified in Art 146, Part
1 of the Criminal Code of the RF occupies the
position of a supplementary, but not the main
object. However, the genuine meaning of the
authorship right does not conform to the “role”
assigned to it.
The right to authorship is a personal nonproperty right (Art. 150 of the Civil Code of the
RF). Therefore, infringing on this right within
the framework of classification of crimes against
constitutional rights and freedoms of a person
and a citizen used in the criminal law should
be referred not to crimes that infringe social
and economic rights and freedoms (Russian
criminal law…, 2009: 133) or economic rights
and freedoms (Criminal law of Russia …,
2008: 260), but to crimes that violate personal
rights and freedoms. The actual reason of the
contemporary description of plagiarism in Art.
146, Part 1 of the Criminal Code of the RF is the
priority of authors’ property rights over personal
non-property rights in the civil law. As the
intellectual property is considered, fi rst of all,
as a product, so the right to authorship is used to
name the author in the trade turnover; that is why
it is valued as an obligatory condition to enter
other, as a rule, property relations. Maintaining
a normal trade turnover of the intellectual
property is an important, but not the only task
of the personal non-property right to authorship.
Its fi rst aim is to guarantee recognition of an
original author or a performer and to give him a
proper recognition. Thus, an effective protection
of the personal non-property right to authorship
means comprehensive defense of the person’s
interests; so this right must “occupy the place”
of the main direct object of plagiarism.
It can be achieved in various ways. Firstly,
the interpretation of the notion “damage” can
be changed determining only its immaterial
consequences. Secondly, the description of Art.
146, Part 1 of the Criminal Code of the RF can
be changed in such a way, when immaterial
character of the harm caused by plagiarism
becomes obvious to everyone. For this purpose
some authors in criminal science suggest, fi rst
of all, using an attribute of serious violation
of rights and lawful interests instead of heavy
damage (Oreshkin, 2006: 7); secondly, refusing
to name a right holder as a potential victim
(Glukhova, 2004: 9; Oreshkin, 2006: 7). But we
cannot agree with the fi rst way of solving the
problem as it does not correspond to the rule
of law and we cannot support the second one
because it can violate the principle of fairness.
Plagiarism, fi rst of all, causes moral damage.
According to Art. 151 of the Civil Code of
the RF, moral damage is defi ned as physical
and moral sufferings. Therefore, if the author
suffers because of plagiarism it would become
a prerequisite for imposing criminal liability on
the wrongdoer. But it is very difficult to fi nd out
whether a person really suffers from an offence
even in civil trials. There is no single opinion
in science and practice about the right way of
solving this problem now. Very often different
courts pass contradictory judgments though the
circumstances and facts of the cases are rather
similar. But it is even much more difficult for
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a court to determine the gravity of sufferings.
So, the defi nition of moral damage given in
the Civil Code of the RF does not allow us to
provide uncontroversial civil court practice
and, consequently, it should not be used while
deciding if a person is criminally liable or
not. Moreover, it is difficult to speak about the
direct intention of the offender to cause moral
sufferings as a necessary element of the body
of the crime because different people react to
plagiarism in different ways: one author may
become furious, the other remains indifferent.
For this reason it is necessary to refuse
including the attribute of consequences of
committing a crime in the body of plagiarism.
This proposal also corresponds to the true value
of authorship as a personal immaterial benefit.
We should support L. G. Machkovsky who
said: “The criminal liability for a plagiarism
of copyright and neighboring rights objects
should not be connected with the necessity of
establishing the fact of damage, its amount, and
assessment of this amount as heavy damage.
These actions encroach on fundamental human
values and that is why they are very dangerous
for the society irrespective of the consequences
they have caused” (Machkovsky, 2005b: 46). The
scholar reasonably offers to exclude the words
“if this action caused great damage to an author
1
2
3
or any other right holder” from the description
of Art 146, Ppart 1 of the Criminal Code of the
RF (Machkovsky, 2005b: 46).
Finally, making up the body of plagiarism
as a conduct crime is one of the world trends in
the criminal protection of authorship. Criminal
Codes of some states, i.e. the Netherlands and
Sweden (Dvoryankin, 2003: 18), Spain (The
Criminal Code of the Kingdom of Spain, 1998:
87), Byelorussia, Tajikistan, Kyrgyz Republic,
Georgia (Podshibikhin, 2006: 56), Uzbekistan,
Turkmenistan (only for computer programmes,
databases and some other objects) do not include
the consequences of committing a crime in the
body of this crime. So, excluding the attribute
of heavy damage from Art. 146, Part 1 of the
Criminal Code of the RF also corresponds to
contemporary tendencies of the criminal law
development.
Resume. The personal non-property right
to authorship will become the main direct
object of the crime provided that the attribute of
heavy damage is excluded from the description
of Art. 146, Part 1 of the Criminal Code of
the RF, and this description will be made up
as “Plagiarism”, so plagiarism will become
a conduct crime. It will help to eliminate all
contradictions and provide efficient protection
of the right to authorship.
Hereinafter referred to as the “Criminal Code of RF”.
That is paintings, sculptures, graphic art, designs, graphic stories, comic books and some other works, applied arts, architecture and park and garden designs are not included (art. 1259 of the Civil Code of the RF).
In the opinion of the legislator an exclusive right is a property right (art.1226 of the Civil Code of the RF).
References
M. Yu. Bondarev, Criminal law protection of intellectual rights, thesis abstract prepared the
degree of candidate in law (Ph.D.) (Moscow, 2008), in Russian.
Commentary on the Criminal Code of the Russian Federation (by paragraphs), ed. by A.V.
Brilliantov (Moscow: Prospect, 2010), in Russian.
Commentary on the Criminal Code of the Russian Federation, electronic resources, ed. by V.M.
Lebedev (Moscow: Norma, 2007), in Russian. Available at the database “Garant”.
Commentary on the Criminal Code of the Russian Federation, electronic resources, ed. by V.M.
Lebedev (Moscow: Publishing house Yurait, 2010), in Russian. Available at the database “Garant”.
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Commentary on the Criminal Code of the Russian Federation, electronic resources, ed. by V.T. Tomin
and V.V. Sverchkov (Moscow: Yurait-Izdat, 2010), in Russian. Available at the database “Garant”.
Criminal law of Russia. Parts General and Special, lecture course, ed. by A.I. Rarog (Moscow:
TK Velbi, Publishing house Prospect, 2008), in Russian.
Criminal law. Parts General and Special, textbook for higher educational institutions, ed. by N.G.
Kadnikov (Moscow: Publishing house “Gorodets”, 2006), in Russian.
Criminal law of Russia, practical course, ed. by A.I. Bastrykin and A.V. Naumov (Moscow:
Volters Cluwer, 2007), in Russian.
Criminal law of Russia. General part, textbook, electronic resources, ed. by V. P. Revin (Moscow,
Yustitsinform, 2009), in Russian. Available at the database “Konsultant plus”.
O. Dvoryankin, “Criminal aspects of intellectual property in Russia and abroad”, Intellectualnaya
sobstvennost. Avtorskie i smezhnye prava, 4 (2003), 16-21, in Russian.
N.I. Fedoskina, “Infringement of a copyright and neighboring rights: content and kinds”, Zurnal
rossiskogo prava, 11 (2007), 110-120, in Russian.
G. O. Glukhova, Criminal liability for infringement of copyright and neighboring rights, summary
of thesis, prepared to get the degree of candidate in law (Moscow, 2004), in Russian.
V.A. Khokhlov, “Practical issues of applying the rules of compensation as a result of exclusive
rights infringement”, electronic resources, Zakon, 10 (2007), in Russian. Available at the database
“Konsultant plus”.
V. N. Lopatin and V.V. Doroshkov, Defense of intellectual property. Pressing problems of theory
and practice, vol. 3, electronic resources, ed. by V. N. Lopatin (Moscow: Publishing house Yurait,
2010), in Russian. Available at the database “Garant”.
L.G. Machkovsky, “Intellectual property: criminal law protection”, Zakonodatelstvo, 11 (2005),
61-68, in Russian.
L.G. Machkovsky, Crimes against constitutional rights of a person and a citizen: problems of
theory and practice of legal regulation, thesis abstract prepared to get the degree of doctor in law
(Moscow, 2005), in Russian.
A. Mordvinov, “Defense of intellectual property right”, Zakonnost, 11(2004), 41-42, in Russian.
M.I. Oreshkin, Criminal liability for infringement of a copyright and neighboring rights in
audiovisual works, thesis abstract prepared to get the degree of candidate in law(Ph.D.) (Moscow,
2006), in Russian.
Plenum of the Russian Federation Supreme Court “About the practice of the criminal cases trial
on the infringement of a copyright, neighboring, inventor’s and patent rights and about illegal use of
a trademark”, the resolution of 26th April 2007 №14, Byulleten of the Russian Federation Supreme
Court, 7 (2007), 3-10, in Russian.
L. Podshibikhin, “Defence of the rights to computer programs in the states- members of SNG”,
Intellectualnaya sobstvennost. Avtorskie i smezhnye prava, 3 (2006), 51-60, in Russian.
Russian criminal law, textbook in 2 volumes, vol. 2, special part, ed. by L.V. Inogamova-Khegay,
V.S. Komissarov and A.I. Rarog (Moscow: Prospect, 2009), in Russian.
A.V. Serebrennikova, “On the question of the necessity of the improvement of article 146 of the
RF Criminal Code”, electronic resources, Sovremennoye pravo, 10 (2006), in Russian. Available at the
database “Konsultant plus”.
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Natalia Yu. Rychkova. The Object of Criminal Appropriation of Authorship (Plagiarism)
E.A. Smirnova, Methodology for investigating of violation of a copyright to computer programs
and databases (Saint-Petersburg: Saint-Petersburg law institute of Prosecutor General office), 2007, in
Russian.
The Criminal Code of the Kingdom of Spain, ed. by and with the preface of N.F. Kuznetsova and
F. M. Reshetnikov (Moscow: Publishing house Zertsalo, 1998), in Russian.
The Criminal Code of the Republic of Byelorussia, personal site of V.S. Levonevsky (URL:http://
pravo.levonevsky.org/kodeksby/uk/20100505/str7.htm, 2006-2010), in Russian, (the date of visiting:
30.07.2010).
The Criminal Code of the Republic of Byelorussia, site of OSCE Office for Democratic Institutions
and Human Rights (URL:http://www.legislationline.org/ru/documents/action/popup/id/14100/preview,
2004-2010), in Russian, (the date of visiting: 30.07.2010).
The Criminal Code of the Republic of Tajikistan, site of OSCE Office for Democratic Institutions
and Human Rights (URL:http://www.legislationline.org/ru/documents/action/popup/id/14346/preview,
2004-2010), in Russian, (the date of visiting: 30.07.2010).
The Criminal Code of Kyrgyz Republic, site of OSCE Office for Democratic Institutions and
Human Rights (URL:http://www.legislationline.org/ru/documents/action/popup/id/14305/preview,
2004-2010), in Russian, (the date of visiting: 30.07.2010).
“The Criminal Code of Republic of Georgia”, Zakon: web-journal of the Association of lawyers
of
Primorye
(URL:http://law.vl.ru/comments/show_article.php?art_id=489&sec_id=61&law_
id=12&law_name=%CC%E5%E6%E4%F3%ED%E0%F0%EE%E4%ED%FB%E5+%EE%F2%ED
%EE%F8%E5&sec_name=%D3%E3%EE%EB%EE%E2%ED%FB%E5+%EA%EE%E4%E5%EA%
F1%FB+&art_name=%D3%E3%EE%EB%EE%E2%ED%FB%E9+%EA%EE%E4%E5%EA&page=
46, 1999-2010), in Russian, (the date of visiting: 30.07.2010).
The Criminal Code of Republic of Uzbekistan, site of OSCE Office for Democratic Institutions
and Human Rights (URL:http://www.legislationline.org/ru/documents/action/popup/id/14405/
preview2004-2010), in Russian, (the date of visiting: 30.07.2010).
The Criminal Code of Turkmenistan, site of OSCE Office for Democratic Institutions and Human
Rights (URL:http://www.legislationline.org/ru/documents/action/popup/id/15853/preview, 20042010), in Russian, (the date of visiting: 30.07.2010).
M. Voshchinsky, “Criminal liability for infringement of a copyright and neighboring rights
according to the new edition of article 146 of the Criminal Code”, Rossiskaya yustitsiya, 6 (2003), 6163, in Russian.
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Объект преступного
присвоения авторства (плагиата)
Н.Ю. Рычкова
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье обосновывается, что личное неимущественное право авторства является
дополнительным непосредственным объектом преступления, предусмотренного ч. 1 ст. 146
Уголовного кодекса РФ. Это не позволяет обеспечить полноценную уголовно-правовую охрану
прав личности, и, следовательно, диспозиция указанной нормы требует изменения.
Ключевые слова: уголовное право, объект преступления, присвоение авторства, плагиат.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 894-901
~~~
УДК 821.111
“Fact-Fiction” as an Epistolary
Forming Component of the Novel
by B. Bainbridge “According to Queeney”
Tatyana A. Poluektova*
Krasnoyarsk State Pedagogical University
named after V. P. Astafiev,
89 Ady Lebedevoi St., Krasnoyarsk, 660049 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
In this article the correlation between fi ctional and documentary origins in the novel “According
to Queeney” by Beryl Bainbridge is analysed. This novel belongs to the genre of biographical
novel. The researcher analyses the peculiarities of this correlation in epistolary part of novel,
which occupies one of the main parts in the narrative texture of the novel. Bainbridge, describing
the life of the character, relies on authentic facts, and herewith interprets them according to her
vision.
Keywords: contemporary British literature, biographical novel, fact, fi ction, non fi ction, faction,
letter(s), a variety of interpretation, S. Johnson, B. Bainbridge.
Point
The correlation between fact and fiction in
a literary work is one of the topical problems of
modern literary criticism, both in Russia and
western countries.
For modern literature, especially English
one, the process of substitution of the literature
by fact-fiction literature is typical. There are
several reasons for it and in this article we will
name only some of them. A. Livergant believes
that “nowadays the fact appears more fascinating
than something existing in the imagination …,
fiction is perceived by many as rather “frivolous”,
light-minded, and entertaining occupation than
important and responsible one as it has been
considered before” (Livergant, 2008).
*
1
Professor Marina Balina, Illinois Wesleyan
University, USA explains the increased interest
to “the fact literature” by “postmodernism
influence that helped this literature to become
independent from a well-known linearity of the
narration, the “patchy” nature of the memory …
reflects the modern survival with its instability
and fragmentariness in the best possible way.
<…> the freedom of new literary memoirs, its
accessibility to adjacent genres (philological
research, essay, review, anecdote, and travel
sketch) gives huge possibilities for any literary
experiment” (Balina, 2003).
The introduction of letters in a novel
or the creation of a novel in the form of
correspondence becomes especially popular
Corresponding author E-mail address: tatjana.poluectowa@yandex.ru
© Siberian Federal University. All rights reserved
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in the 18th – the beginning of the 19th centuries
“…in the 18th century it was a world in which
personal communication, both private and
public, aristocratic and low, was a diligently
cultivated activity. A world in which paper and
pen, calligraphy, letters and signs of punctuation
carried a huge emotional load, and displayed, to
those who could read them well, an immense
reservoir of hidden aspirations and memories,
bodily pleasures, and subconscious ghosts”, –
Professor Pia Brînzeu, University of Timişoara,
Romania tells in the book review of “EighteenthCentury Letters and British Culture” (2006) by
Clare Brant (Brînzeu, 2009).
Classical epistolary novels were written by
S. Richardson, J-J. Russo, etc.
“The epistolary form of a novel … reflects
the initial but very important stage in the
development of the genre form. The shift from
fact to fiction begins with the record of events and
incidents” (Solovieva, 2008).
In the known glossaries, both Russian
and English, the fact is based on a real event
or phenomena; the fiction is usually based on
something imaginary, fictitious.1 These are two
key notions and definitions for this article.
N.A. Bugrina singles out four types of
fiction: 1) imagery, i.e. the use of vivid language
to represent an object, action or idea and create
an image: the biographer creates not events or
facts, but that environment in which these events
and facts exist, that is actually the art fabric of
the novel; the author can imagine surroundings,
landscape, location, he can change the appearance
of the character, his behaviour, speech or inner
monologues, but he should base his narration on
a document; 2) plot creating: the biographer adds
some fictional characters and events, but they exist
only in the background of real historical events;
3) the documentary-fiction: the document thought
up by the author presents a certain episode, some
local event and produces an impression of the
real evidence; 4) fiction-hypothesis: with its help
the author does not reveal or supplement the
facts of the original biography of the character,
but explains them; it is an assumption, a version
of the writer which does not affect the reality
(Bugrina, 1986).
When the writer starts to describe the life of
a person he changes the available documentary
sources and that always results in “radical
transformation of individuality, re-comprehension
of the empirically established fact” (Ushakova,
2001).
In this vein the point of view of Y. Andreev is
correct: “fictional biography is not a chronological
enumeration of the facts of life, but it is a
narration with some elements of fiction, which
help to reveal the image of historical personality
and epoch” (Andreev, 1962).
It is obvious that “in English literature –
unlike, perhaps, any other literature – there
are first class writers, who became famous by
writing not “fiction”, but so-called “non-fiction”
(Livergant, 2008). “Non-fiction” is considered as
the term for biographies, travel sketches, letters,
etc. in spite of the fact that this English term is not
translated today.
Example
The works by Beryl Bainbridge (1934-2010)
have one of outstanding places in the history of
modern English literature.
The novel “According to Queeney” (2001)
by Beryl Bainbridge is one of her latest novels
about real people and real facts in the British
history. Markus Hiltl considers these novels,
including “According to Queeney”, can be
defined as “faction”, “a term composed of the two
words “fact” and “fiction”, is more appropriate to
her specific style of historical writing as it is less
focused on understanding historical processes
and the realistic painting of a historical picture
and more inclined to use historical facts and
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persons as a background for the expression of
universal themes, such as the human folly, the
impossibility of communication or the cruelty of
human relations” (Hiltl, 2006).
In the western literary criticism the term
“faction” describes the literature which is based
on the fact, but interpreted rather freely.
“According to Queeney”, which can be called
a biographical novel (biographie romancée),
shows “a private” life of a historical person of the
18th century – Samuel Johnson (1709-1784) – who
was a poet, biographer, lexicographer, essayist,
editor and reviewer.
We should point out that nowadays there
exists a demand for the biographical genre in
Great Britain in spite of the fact that it has
an old tradition. According to A.G. Bakanov
“a modern person enjoys the possibility to
get closer to some well-known historical
personalities and feel the peculiarity of the
inner world of the past”, but for him “the
originality of the plot created by the author is
also important” (Bakanov, 1987).
From lots of well-known facts of his life B.
Bainbridge chooses the least known one, that is
his complicated and ambiguous relations with
Hester Lynch Thrale,2 the wife of a well-known
brewer of that time Henry Thrale.
In official sources there is little information
about the Johnson’s acquaintance with the Thrales
in January 1765. When Johnson became almost
like a member of their family, Streatham Park
became the place where intellectual evenings
took place. Oliver Goldsmith (1728-1774), David
Garrick (1717-1779), James Boswell (17401795), Joshua Reynolds (1723-1792) and others
were regular visitors of these evenings. Later
to show the respect for Johnson, Henry Thrale
built the library, containing books, bought on
his recommendations, as well as portraits of his
well-known friends, painted by Reynolds: “Its
design, Sam”, he had said, “will be mine but I
depend on you to choose the books on its shelves”
(Bainbridge, 2002, 33).
Richard Bernstein thought that Bainbridge
“has devised a plot in which the history is
solid and yet the truth is subjective or, to put it
differently, in which the characters experience
separate realities” (Bernstein, 2007).
The fact of this acquaintance can be
considered as biographical since “it did not
influence upon his popularity at all, but it was
important for his private life, since in their circle
he had the brightest and the happiest part of his
life” (Scherbakova, 2001).
The criterion of the selection of the
biographical material, according to G.O. Vinokur,
is the following: “to become a biographical fact the
historical fact (the event, etc.) must be experienced
(italics added) by the person” (Vinokur, 2007).
The acquaintance of Johnson with Hester Thrale
is a historically recognised fact while close
relations are not mentioned anywhere. Writing
this biographical novel Bainbridge turned this
fact into the biographical.
At this point from the novel we choose the
correlation of fact-fiction in the epistolary part of
the novel.
It is well known that introduction of letters
in the text of a biographical novel was popular in
the 18th century. The most well-known example
is a letter in “The Life of Samuel Johnson” (1791)
by Boswell. In the genre of “new biography” the
document remains the main (and, sometimes,
the only) means of creating authenticity and
polyphony. L. Ginzburg pointed out that “there is
a constant connection among fiction and history,
memoirs and biography – so called “human
documents” (Ginzburg, 1971).
In one of the interview B. Bainbridge
confessed that one of the reasons of writing a
novel was Queeney’s letter (daughter of Hester
Thrale), which she cited in the novel and which
ran “our mother’s original and persevering
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dislike of her children arose from a hatred of
our father” (Bainbridge, 2002, 202). Exactly this
fact is a reason of the strange relations between
Johnson and Hester Thrale. Moreover, according
to the novel, Henry Thrale is rather fond of other
women.
In “According to Queeney” the document
(both fictional and authentic) is a part of artistic
texture of the novel.
On the basis of the novel there are invented by
Bainbridge so-called texts “like the document” –
letters, written by Hester Thrale’s elder daughter
Queeney3 and constantly appearing on pages of
the novel with full information about the address,
date, the author: “to Miss Laetitia Hawkins, Sion
Row, Twickenham, Sept. 21st, 1807 – from H.М.
Thrale”, “To Madame d’Arblay, 54 rue Basse,
Passe, France, August 4th, 1810 – from H.М.
Keith”, etc.
The total number of the chapters – seven,
the number of letters, written by Queeney, – the
same. They are: six letters are correspondence
with Miss Laetitia Hawkins 4, one – with Fanny
Burney5. Queeney got acquainted with Fanny at
one of the parties, given by Doctor Burney. The
understanding appeared quickly: “Fanny Burney
took an instant liking to Queeney, who, though
only fourteen years of age to her twenty-five,
appeared quite able to converse on equal terms”
(Bainbridge, 198).
Miss Hawkins, who wants to become a writer
and supposes that “Johnson Circle” written by
her, will be popular with the public, begins this
correspondence. She tries as hard as possible to
get information from Queeney about Johnson’s
personality and his milieu. The information
given in the letter is of a private nature. So, for
instance, in the first letter Queeney recalls “Dr.
Johnson dropping to his knees to have a better
look on Miss Reynolds’s new shoes” (Bainbridge,
22), and also that he had a hen called Socrates.
There is information that his watch, which he
left under the pillow, “cost seventeen guineas
and was encased in tortoiseshell” (Bainbridge,
133). Queeney writes about Johnson as a
remarkable swimmer, which while swimming
waves his arms and heaves the waves, and even
speaks of particularity of his indigestion: “His
preoccupation with orange peel was due to
persistent indigestion, a malady brought on by his
irregular eating habits; he either fasted or gorged
himself” (Bainbridge, 169).
From the letter included in the penultimate
chapter of the novel which was written by
Queeney to Fanny Burney, we learn that Ms.
Hawkins asked Burney to recollect the time spent
with Johnson.
Queeney’s letter is an answer to the letter
written by F. Burney, telling that Miss Hawkins
asked her to recall time, spent with Johnson.
In the letter to Miss Hawkins Queeney’s
unwillingness to answer can be felt: “Over the
years her letters to me have rained down like
autumn leaves, and neither evading her many
questions, not a few of them of an impertinent
nature, nor ignoring her correspondence has
procured the desired result, namely that she let
matters rest” (Bainbridge, 200).
Answering L. Hawkins to comment on
the relations between her mother and Johnson,
Queeney gives only one phrase: “ … she needed
an audience and he a home” (Bainbridge, 168).
Queeney’s correspondence allows us to see,
who Johnson was for “others”. The reader sees the
reality through Queeney’s subjective perception.
It is proved by the fact that often the version of
the events recollected by Queeney, contradicts
the version given in the previous chapter. In the
structure of the novel the letters allow us to see,
from a different angle, the Johnson’s character
and his inner world, and also serve as the means
of the reconstruction Johnson’s psychological
portrait (or image) through Queeney’s personal
memories.
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Bainbridge plays with the reader. The created
letters give the impression of the authenticity of
the correspondence.
In the novel, besides made-up letters, there
is also a real document – S. Johnson’s letter to
H. Thrale. It just the case when “the biographer
can use as a subject of a biographical narration
only those realities which are definitely (even
indirectly) designated, named or testified”
(Valevsky, 1995, 38).
In the novel that is the correspondence of
Johnson with H. Thrale. The suppressed feelings
can be seen in the letter (existing letter), written in
rough tone, because of her coming marriage. We
give both variants of the letter for comparison:
the original letter (I) and letter, presented in the
novel (II):
I
Madam: July 2, 1784
If I interpret your letter right, You are ignominiously
married, if it is yet undone, let us once talk together. If
You have abandoned your children and your religion,
God forgive your wickedness; if you have forfeited
your Fame, and your country, may your folly do no
further mischief.
If the last act is yet to do, I, who have loved you,
esteemed you, reverenced you, and served you, I who
long thought you the first of human kind, entreat that
before your fate is irrevocable, I may once more see
You. I was, I once was, Madam, most truly yours,
SAM. JOHNSON
I will come down if you permit it.
(emphasis added – T.P.)
[The letters of Samuel Johnson, 338].
As we can see there is no significant
difference between the letters, but they are not
identical.
In the letter given in the novel there is no
exact date though it is placed in chapter 1780-4.
The exact date of the letter is July, 2 (Friday),
1784.
There are differences in form of address: in
the original letter when writing about H. Thrale
he spells the pronoun “You” with small letter
while in the second letter it is written with a
capital one. This, probably, can be explained, on
the one hand, by the grand style of the letter, on
the other – by the respect to the addressee. This
is also true about the noun “fame”, written in the
first letter with small letter, in the second – with
a capital one.
II
Madam, if I interpret your letter right, you are
ignominiously married; if it is yet undone, let us once
talk together. If you have abandoned your children
and your religion, God forgive your wickedness;
if you have forfeited your fame and your country,
may your folly do no further mischief. If the last act
is yet to do, I, who have loved you, esteemed you,
reverenced you and served you, I who long thought
you the first of human kind, entreat that before your
fate is irrevocable, I may once more see you.
[Bainbridge, 234 – 235].
There are some reasons to consider that
this very letter inspired B. Bainbridge to write
a novel, based on Johnson’s relationship with
H. Thrale. In our opinion, A.L. Valevsky’s
statement here is perfectly relevant. He states
that, “the life should become presented in the
form of the text (historical evidence, memoirs,
some document, archive files, etc.) and then
it becomes the subject of the attention of a
biographer” (Valevsky, 1995, 39).
Also in the second letter two sentences,
given in the first one, are missing: “I was, I
once was, Madam, most truly yours, SAM.
JOHNSON” and “I will come down if you permit
it”. This can be explained by the personal will of
the writer, who selected authentic material for the
novel. Also it can be said that Bainbridge’s novel
is neither a scientific, nor academic biography,
which demands the scrupulous observation of
facts and accuracy of the interpretation. While
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fictional biography is free from the scientific
accuracy (it does not contradict the facts or turns
it to fiction).
Starting from this very letter, written
several months before Johnson’s death, Hester
Thrale began a new life and that was the end of
her friendship with Johnson. He realised that he
had lost the dearest person, and understood how
much she had meant to him. This very moment he
felt suffering and solitude.
This letter is, probably, the only evidence
of any relations between Johnson and H. Thrale.
It is real. So the peculiarity is the variations of
interpretation of this document.
D. Zhukov considers that “fiction is justified
only in case when there are no other sources of the
information, but it must not disagree with the logic
of the image” (Zhukov, 1980). So B. Bainbridge
does not simply state the fact of their ambiguous
relations, but searches for psychological reasons of
the behaviour of the character in the first place.
Resume
Thus, the epistolary part of the novel
“According to Queeney” is based on such type
of fiction, as “documentary-fiction” (according to
classification by N.A. Bugrina). It is illustrated by
Queeney’s letters made up by B. Bainbridge to
create the impression of their absolute authenticity.
The introduction of Johnson’s real letter in
the imitation of Queeney’s correspondence
strengthens this impression.
The letters, especially written by Queeney,
enable us to see not only the events of Johnson’s
private life, but also to get into his inner world.
Thanks to them, we can see entirely different
Johnson – in his house, household surroundings,
with his drawbacks.
The fiction, presented in them, is used by B.
Bainbridge to “portray the inner and emotional
life of the writer, as his well-known (factual)
biography does not always reflect the emotional
and psychological life of the person” (Kazantseva,
2004).
In the genre of fictional biography the
document or the reference to some documentary
source is very important. The novel “According
to Queeney” is based on real facts and authentic
documents, concerning relations between S.
Johnson and H. Thrale, not mentioned in the
official sources. The document, given above,
confirms the fact of these relations and gives
authenticity to the narrative.
Introducing letters, B. Bainbridge extends
the right of the document into the space of artistic
text.
In this genre some suggestions are possible
but they should not be claimed the historical facts.
B. Bainbridge “added” relations, connecting
two people for twenty years. We think that
L. Ginzburg is right stating that: “factual
digressions cancel neither authenticity as a
structural principle of a novel, nor its cognitive
and emotional possibilities. This principle makes
the documentary literature documentary; and the
aesthetical structure makes it literature (italics
supplied). For aesthetic value the selection and
creative combination of elements, reflected and
transformed are obligatory” (Ginzburg, 1970).
In the novel “According to Queeney” B.
Bainbridge adds the documentary facts to the
real facts with a considerable part of the author’s
imagination which is close to reality, subjective,
unauthentic.
Reconstructing relations of the characters,
B. Bainbridge tries to reveal that possible past,
which remained unknown on paper. But this past
is unknown.
Thereby, in the novel “According to
Queeney”, B. Bainbridge fills blanks (or “gaps” –
a definition by an American researcher P.
Kendall) in relations between Johnson and H.
Thrale, because there are no documents about
some periods. There are some moments in the
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relationship between Johnson and H. Thrale
which are not proved by any documents.
In biographies there is always some invention
and B. Bainbridge has reconstructed the possible
variant of the image of S. Johnson.
The harmonious combination of documentary
sources with artistic fiction is a bright, genreforming sign in the novel “According to Queeney”
by B. Bainbridge, comprising the peculiarities of
both fiction and fact literature.
The novel “According to Queeney” belongs
to a genre of the biographical novel; it is one of
the bright examples of modern literary process
which V.V. Strukov describes the following way,
“the vanishing of the borders between literature
1
2
3
4
5
6
and history. Historical knowledge in the end of the
20th century influences genre features of works of
fiction: historical accuracy loses its importance
and appeal for postmodernists, it is replaced by
imagination» (Strukov, 2000).
Liza Picard in The Daily Mail marks that in
this novel “Bainbridge is brilliant at combining
established fact and compelling fiction, the one
deftly underpinning the other”6.
Publishing this novel B. Bainbridge
again proved that she “is one of the most
skilled of contemporary novelists – ruthlessly
unsentimental, darkly funny and possessing her
own unique vision of the variety and vanity of
human nature” (Rennison, 2005).
Ref. The Dictionary of the Russian language by S. Ozhegov and Webster’s Encyclopedic Unabridged Dictionary on the
English Language.
Hester Lynch Thrale (born Hester Lynch Salusbury and after her second marriage, Hester Lynch Piozzi) (1741-1821). She
has some articles, such as «Anecdotes of the late Samuel Johnson», 1786.
Hester Maria Thrale (1764-1857), but then H.M. Keith, after 1808.
Laetitia Matilda Hawkins (1760-1835) – John Hawkin’s daughter, who was wtitten biography of S. Johnson (1787).
Fanny Burney (then madame d’Arblay) (1752-1840) – doctor Burney’s daughter, author of novels and plays.
On the back of the cover.
References
Y.А. Andreev, “Russian Soviet historical novel (20-30- years)” (Moscow-Leningrad, 1962), 8, in
Russian.
B. Bainbridge, “According to Queeney” (London: Abacus, 2002).
A.G. Bakanov, “English historical novel. Some ideological art problems” in The Literature of
England. The 20th century (Kiev: Vishcha school, 1987), 45, in Russian.
M. Balina, “Nonfiction Literature: imagination and reality”, Znamya, 1 (2003), 194-195, in
Russian.
R. Bernstein, “Using Solid Historical Fact to Show Truth’s Fancy», The New York Times, Saturday,
September 29, (2001). http://www.nytimes.com/2001/08/08/books/books-of-the-times-using-solidhistorical-fact-to-show-truth-s-fancy.html
N.A. Bugrina, “Soviet historical prose. Questions of history, typology, poetics”, Synopsis of
thesis (Gorkiy, 1986), 10-15, in Russian.
M. Hiltl, “According to Queeney”, The Literary Encyclopedia 13 March 2006 http://www.litencyc.
com/php/sworks.php?rec=true&UID=12015
L.YA. Ginzburg, “About psychological prose” (Leningrad, 1971), 6, in Russian.
L.YA. Ginzburg, “About documental prose and principles of character construction”, Literature
questions, 7 (1970), 63-64, in Russian.
Pia Brînzeu, “Clare Brant “Eighteenth-Century Letters and British Culture”, The European
English Messenger, Vol. 18.1 Spring (2009), 69.
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A. Livergant, “National prejudice”, Fact or fiction? The anthology: essays, diaries, letters,
memoirs, aphorisms of English writers (Мoscow: B.S. G. – Press, 2008), 13, in Russian.
N. Rennison, “Beryl Bainbridge”, Contemporary British Novelists (London, New York, 2005), 17.
N.А. Solovieva, “England of the 18th century: sense and feeling in artistic mind of the epoch”
(Moscow: Formula prava, 2008), 46, in Russian.
V.V. Strukov, “Artistic originality of the novels by Peter Ackroyd: (about the problem of the British
postmodernism)” (Voronezh, 2000), 25, in Russian.
T.V. Scherbakova, “Samuel Johnson (1709-1784) – a writer and literary critic”, Synopsis of thesis
(N. Novgorod, 2001), 11, in Russian.
The letters of Samuel Johnson. Volume IV. 1782-1784, ed. by Bruce Redford (Oxford: Clarendon
Press, 1994).
V.Е. Ushakova, “Literary biography as a genre in the works by P. Ackroyd”, Synopsis of thesis
(М., 2001), in Russian.
A.L. Valevsky, “Biography writing as an art discipline”, People: Biographical almanac, 6 (1995),
in Russian.
G.О. Vinokur, “Biography and culture”, foreword by V.A. Vinogradov, second edition, corr. and
edd. (Moscow, 2007), 37, in Russian.
D.А. Zhukov, “Biography of biography: Reflection about genre” (Moscow: Sov. Russia, 1980),
in Russian.
G.V. Kazantseva, “Biographical novels “Pushkin” and “Lermontov” by V.P. Avenarius: history,
theory, genre poetics”, Thesis (Ioshkar Ola, 2004), 33, in Russian.
«Факт-вымысел» (fact-fiction)
как основа эпистолярной составляющей
романа Берил Бейнбридж «Согласно Куини»
Т.А. Полуэктова
Красноярский государственный
педагогический университет им. В.П. Астафьева
Россия 660049, Красноярск, ул. Ады Лебедевой, 89
В статье анализируется соотношение вымышленного и документального начал в романе Берил
Бейнбридж «Согласно Куини», представляющем собой жанр романизированной биографии.
Исследователь анализирует особенности этого соотношения в эпистолярной части романа,
занимающей одно из главных мест в повествовательной ткани произведения. Бейнбридж,
описывая жизнь героя, опирается на подлинные факты и при этом интерпретирует их
согласно своему, авторскому, видению.
Ключевые слова: современная английская литература, роман-биография, факт, вымысел,
письмо, вариативность истолкования (интерпретация), С. Джонсон, Б. Бейнбридж.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 6 (2011 4) 902-915
~~~
УДК 13:572
The Essence of a Person as the Interaction
of Three Components:
Biological, Social, Spiritual
Arkadiy A. Tuman-Nikiforov*
Krasnoyarsk State Agrarian University,
90 Mira, Krasnoyarsk, 660049 Russia 1
Received 3.06.2011, received in revised form 11.06.2011, accepted 17.06.2011
The article deals with the essence of a person from the point of view of dialectical methodology. The
essence is regarded as a unity of three components: biological, social and spiritual. The greatest
attention is devoted to the spiritual component of human nature. This is due to the fact that modern
humanity is in a state of acute spiritual crisis, to overcome which it is necessary to study properly a
phenomenon of spirituality in all its manifestations. The second reason is that from the spiritual side
of his/her nature the person influences himself/herself, society and the surrounding.
Keywords: human existence, spirituality, individuality, personality, categories, opposition, essence,
phenomenon.
Objectives: To consider the essence and
nature of a person, personality – as a set of social
and spiritual, and the essence – as a combination
of biological, social and spiritual qualities.
Tasks: To analyze the philosophical,
psychological and other approaches to
understanding and studying personality, to develop
a generalized (philosophical and psychological)
approach, to show the person’s essence as a
complex, dynamic system which consists of
three major subsystems, as well as a variety of
relationships and connections between them.
Methodology: the dialectical method is used,
in particular, in the identification and analysis of
the conflicting parties and trends (the unity and
struggle of the opposites) when considering the
bipolar scientific categories.
*
1
Discussion: Consideration of the person’s
nature as the interaction of not two but three
constituent parties does not contradict the
dialectical and materialist methodology. It may
seem that the categories interrelation scheme in
the dialectical tradition must contain only paired
categories acting in a contradictory unity with each
other. Indeed, in Marxist philosophy it is usual to
oppose the following pairs:the individual – the
social, the spiritual – the corporal, and the ideal –
the material. The second and the third pairs are
sometimes identified with each other. However,
it should be noted, that the identification of solid
and tangible in this case is improperly. The
material should be understood as the biosocial,
as the social is also the material, as well as the
natural. And then contrasting the material – the
Corresponding author E-mail address: ATuman-Nikiforov@yandex.ru
© Siberian Federal University. All rights reserved
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spiritual (in this case it just may be identified
with the ideal, as the owner of the spirituality
is “an ideal subject”, who is by himself in the
subject-object relations), we can understand the
person’s essence just as a unity of the material
and the spiritual, and the material can be treated
as a combination of the biological and the social.
Then the person’s essence consists in the unity of
the biological, the social and the spiritual.
But what does the biological mean? What is
the social? What is the spiritual?
What should be taken as biological aspect of
human? Is it possible to equate biological aspect to
natural? “Nature” is a really polysemantic word.
If human “nature” is considered as conditions,
sufficient for his existence and development, it
means that in this case, nature should be identified
not with biological but with biosocial (spiritual
aspects are also involved in human essence, but
it is doubtful that spiritual could be referred to
natural). However, if “nature” is regarded as:
environment (or geographical environment at
planet’s scale); complex of natural conditions
(social conditions are to be considered as
artificial); aggregate object of natural science; as
an existence pattern (opposed to social), it means
that natural could be equated to biological. In this
context, nature should be considered primarily
as a complex of physical and chemical reactions.
As far as physical and chemical in living forms
transform to biological, natural (from the
viewpoint of natural science) can be qualified as
biological.
Biological aspect of human essence
involves: biological body, which specifies
human’s objective (labor) activity by its
design; mortality, dependence on external
environment – temperature, air pressure;
oxygen concentration; dietary; muscular load,
landscape, regimen, susceptability to diseases;
biological necessities like energy, oxygen,
essential nutrients, water, rest, comfort
temperature, desire for having children,
protection from external hazards and hostile
environment, areal comfort and activity;
biological level of human’s mind – irritability,
reflexes, instincts, sexuality. All these factors
compose biological aspect and every social and
mental activity implies these circumstances.
What should be referred to social aspect
of human and his personality? This question
merits detailed consideration because supporters
of biosocial interpretation tend to affiliate
with social aspect some factors that are going
to be included in spiritual aspect. It is rather
difficult to separate social from mental just
because spirituality as well as personality are
forming and developing during the processes of
sociogenesis (spirituality of patrimonial man)
and socialization (spirituality of individual). Let
us recall that interdetermination doesn’t mean
equality. Therefore, while analyzing human it
is essential to distinguish social and spiritual.
From social point of view, human primarily is a
member of society that is included in the system
of social relations.
The social aspect implies many factors like
human’s inability to live segregated from society,
participation in system of social relations,
social correlation with collective actions of
individuals as well as community spirit, mutual
support, cooperativeness, self-denial, attempts
to rebuild society, to eliminate social drawbacks
and to create righteous society. In the context of
social aspect human acts as a citizen – a member
of society. How does the peculiarity of a citizen
as an individual with sociality come out? Firstly,
a human is presented as a subjected of social
relations, which cannot be actualize without
becoming a matter of human’s activity by
interacting with other members of society. The
analysis of relationship among categories as well
as human’s role in it is connected with scheme of
society analysis.
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So, social aspect, as opposed to spiritual,
means a variety of different social forms of
interaction that are shaped into social relations
and can finally coincide with a scheme of society.
Social man is a sum of social relations, which
can be present or former, material or ideal. From
this point of view, every socialized individual is
a citizen, who exhibits particular characteristics
of sociality. Social aspect is manifested in
the fact that formation and development of
personality is impossible without processes of
antroposociogenesis (personality as patrimonial
trait) and socialization (individual personality)
It is also obvious that personality cannot exist
without society, because it is implied in social
relations and capable of mutual support, selfdenial, trying to eliminate social drawbacks and
to create righteous society. Thus, personality
is formed by society and depends on it and its
deterministic influence, on the one hand, and
on the other hand, it has an impact on society,
forms and rebuilds it, makes society dependent
on collective actions of individuals.
Spiritual aspect is not only an extension (or
application) of social aspect, but its dialectical
opposition, which has self-sufficient content,
importance and value and is equal to any other
aspect. What is the difference between social
and spiritual in a human? The distinguishing
criterion is the following: social features (like
sociability or asociality, collectivity or egoism,
morality or immorality and so on) could be
realized on a desert island as contrasted to
spiritual features like rationality , optimism,
courage, diligence, creativity, will. What
should be referred to spiritual aspect of human
personality? Does this spiritual aspect exist
apart from social aspect? Or is it right to consider
personality as only a social characteristic of
individual, as a system of his social relations and
roles, which are represented during the process of
working activity as well as to regard spiritual as
automatic manifestation (continuance, addition)
of social aspect?
Word “spirituality” also has different
meanings. From Christian and Islamic point of
view, spirituality means intimacy with the Lord,
a permanent correlation between Commandments
and human’s deeds and thoughts, an attention and
preparation to the afterlife. Hindus and Buddhists
believe that spirituality implies observance of
different spiritual disciplines, primarily meditative
disciplines like Yoga. Religionists would be in
doubt about “spirituality of atheists”. However,
this word is used by materialistic philosophy.
In this context, spirituality is connected with
ideal “interior” of a person, including mental
characteristics and psychological constitutions.
D.S. Tsyvanyuk defines spirituality as
“the highest level of personality development
and self-supervision, which consideres superior
human values as main motivational and
conceptual controllers”(Tsyvanyuk, 2009: 334).
I.A. Shulgina believes that the most notable
definition of spirituality sounds like “Spirituality
is a complex of fundamental characteristics of
person’s mentality (his soul), which expresses
ethic, esthetic, intellectual, cognitive and
ecological content that maintains genuinely
human in person (principles of humanity) and
also helps to overcome earthliness in worldview
and culture; the essence of spirituality is made
up of Faith, Hope and Charity, Sophia (the Holy
Wisdom), Beauty, Justice, Harmony” (Kosichev,
Platonov, 1998: 17). From this definition, I. A.
Shulgina drew the conclusion that “it is mistake
to equate spiritual and rational (in its Scientist
interpretation). That is not the same. At the turn
of the Millennium, spiritual and rational should
be considered as oppositions (Shulgina, 2004:
344). I don’t agree with this point of view.
Spiritual and rational (conscious) are not
identical, but there is no opposition between
this aspects. Rational is a part of spirituality (in
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a general sense). And spirituality in a narrow
sense (implying active, creative, volitional
part of human’s mind) is much similar (but not
opposed) to rationality and soulness as a part
of spirituality. Of course, all this manifestation
like creativity, will and so on could also be
irrational. However, there is a bond between
consciousness and spirit, rational and spiritual.
In addition to it, Shulgina notices that “the basis
of new spirituality is Love as attitude” (Shulgina,
2004: 344). I can admit that it is true if we use
“spirituality” in the widest sense. Love is one
of the acmes of soulfulness as an emotional
attitude to world, as a reaction (Hate could also
be a reaction, but Love is much more productive)
to the outside world, other people, respond to
himself, to society and nature, Universe and
Existence. If this reaction is represented in
the form of Love, it could become a basis of
Soulfulness as well as Spirituality, just because
Soulfulness is a part of Spirituality.
E.V. Sennitskaya supposes that spirituality in
general terms is an ability to go through different
states (Sennitskaya, 2003: 259). In my opinion,
this definition is better suited to soulfulness. And
spirituality in narrow sense could be described as
an ability to exhibit activity and creativity, and
in general sense (as a segment of personality) –a
person’s inner world, an anthropic, over-bestial
elements of mentality, a mental phenomena and
processes that couldn’t be traced to biosocial
aspects. This definition of “spirituality” is in
accordance with the framework of materialism,
which interprets “spirituality” in the same
way. The only thing that raises doubts is an
idea of regarding spiritual as a consequence, a
manifestation and a part of social aspect, which
is typical of Marxism and different materialistic
trends. From my point of view, spirituality is of
importance to personality structure and even to
its essence, which is completely irreducible to
biological and social aspects.
Spirituality can be divided to individual and
collective. Collective spirituality is connected
with a spiritual sphere of social life as well as with
unifying spiritual activity, oriented to production
of nonmaterial benefits and values of intellectual
culture. Individual spirituality is involved with a
self talk, a discourse as well as with processes of
reflection and self-consciousness, when “a person
leaves himself to himself” (Polezhaev, 2004).
Spirituality is regarded as the highest,
humanistic levels of human’s mind that set it
apart from animal’s psychology. It is supposed
that there are three levels: perception of reality,
emotional response to it and a level of creative
activity (connected with creative transformation
of reality). First level is associated with
consciousness, the second –with a soul and the
third one – with spirit. I figure that there are no
other levels that distinguish (compose spiritual
aspect) human’s mind apart from animal’s
psychology and make it (mind) unique. That is
why spiritual aspect is revealed as a complex of
consciousness, soul and spirit or perception of
reality, emotional response to it and dynamic
actions towards it. As a follower of dialectic
materialism, I don’t want to become suspected of
idealism or religiosity while speaking about soul
and spirit. However, I think that these two words
are not indicative of idealism and religiosity and
don’t have only idealistic connotation. According
to P.V. Smirnov: “Even if we don’t share
religious and mystical concepts of soul, it is still
impossible to avoid such concepts as soulfulness
or indifference, spiritual riches or soullessness,
spiritual culture, enlargement of mind and spirit,
spiritual needs. From a perspective of information
need’s approach to mental and behavioral analysis,
soul and spirituality are realities of human’s inner
world, which could be explained by materialism”
(Smirnov, 1989: 68).
Soviet philosophy tended to refer spirituality
to consciousness as well as to consider the
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latter as social characteristics. “The fact of
classifying a concept of spirituality as a part of
consciousness has become really specific for
the past decades in our country” (Minasyan,
2004: 183). “Consciousness is the highest
level of mental activity of human as a social
subject” (PED, 1983: 622). From sociological
point of view, consciousness is considered as
spiritual life of society including all forms like
science, philosophy, art, morality, religion, legal
awareness, social psychology” (PE, 1970: 43).
Confirming relations between social and spiritual
characteristics and dependence of spiritual
characteristics on processes of socialization (in
the context of ontogeny) and sociogenesis (in the
terms of phylogeny), I also consider this kind
of characteristics not as only invariant of social
characteristics (as it is supposed by biosocial
conception), but as a dialectic breakthrough, a
completely new phenomenon, which, in spite
of its connections with social and biological,
is completely different from both. Therefore,
I consider human essence as an inseparable
integration of three aspects: biological, social
and spiritual. Spiritual aspect, in its turn, can be
regarded as dialectic unity of consciousness, soul
and spirit.
There were different models of human’s
integrity (consisting of three parts) during the
history of philosophic thought. Plato believed
that human is a controversial unity of body, mind
and soul. Christianity (especially Paulicians and
Gnostics) distinguished body (flesh, soma, biota),
soul (psyche) and spirit (pneumatics). According
to L. Feuerbach human is a unity of material,
sensual and spiritual (rational and moral)
existence. However, the model represented in
my study is different from all these models. It
is especially different form the second one, my
model is extremely materialistic, not idealistic
regardless of using traditional idealistic concepts
like “soul” and “spirit”. This model is close
to biosocial conception, but there is one big
difference. Spiritual characteristics are not
regarded as invariant of social characteristics,
but are believed to be special aspect of human
existence.
From my point of view, mind (consciousness),
soul and spirit that were pointed out by ancient
and Christian thoughts are elements of spiritual
aspect, which in turn is revealed as a part of
human essence. Body (biological aspect) is its
second part. But social part as one of the most
important aspects wasn’t pointed out by ancient
and Christian tradition. Although, Aristotle
defined a human as a “political animal”, he didn’t
developed this conception. However, the idea was
amplified by philosophy of Marxism that pays a
lot of attention to analysis of relations between
human and social world.
N.N. Chomutova wrote: “The ratio of two
levels of the human existence – the individual
and the social – always brings the researchers
to the analysis of the human relationships with
the social world”. (Chomutova, 2004: 558). We
can agree with this but only with the significant
reservations. The juxtaposition of the individual
and the social, although it is often found at the
philosophical literature – wrongly, as it opposed
to the spiritual and the corporal. The corporal
should be contrasted with the uncorporal
(which can be understood as a set of energy and
information flows which are not clearly defined,
or physicality. This definition of the uncorporal
does not contradict the understanding of the
materialist tradition, while the abstract opposition
of the spiritual to the corporal has obvious tone
of idealism), organic corporeality can be opposed
to the inorganic. The individual confronts the
collective, but not the social because the latter
is a broader concept and is not limited only by
the collective of people, but also includes other
diverse qualitative manifestations, in particular
the individual social (V.V. Mironov, calls it
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as “the individual properties of the sociality”
(Mironov, 2005), A.S. Panarin writes about
the social and representational functions of the
individual (Panarin, 2002)). Firstly, it is “the
society, reflected in a person”, and, secondly,
the role and the place of a person in society. In
ontological terms of social counters the natural, as
a qualitatively different structure of the essence,
in socio-axiological terms – antisocial, as the
destructive processes and phenomena that lead to
the destabilization of the society, to its destruction
and death, but in anthropological terms – the
spiritual, as the individual inner essence opposed
to its external (social) essence.
Thus, the human essence has not two but
three levels – biological (natural), social and
spiritual essence, as well as two sides – individual
and collective essence. The analysis of the
human relationships with the social researchers
world displays, firstly, the ratio of two sides of
human existence – individual and collective,
and, secondly, the ratio of two levels – spiritual
and social human being. The latter is especial
because the individual does not fully enters into
various relationships with the social, natural
world, namely the spiritual aspect of his/her
personality, his/her individual consciousness,
the individual soul (emotional perception and
emotional contact), individual spirit (the creative
impact on the surrounding (including the social)
world, but is also inextricably linked with willful
exposure).
In the same source N.N. Chomutov notes
that genuine human existence that reflects his
uniqueness, his thoughts and feelings – this is the
individual being. In my opinion, “an individual
being, reflecting the uniqueness of each, his
thoughts and feelings” (by N.N. Chomutova)
is not necessarily true, just as the collective is
not necessarily untrue. The first indicators are
quite applicable to A. Hitler and many others
(smaller) evildoers, and the second to millions
of ordinary Soviet (and not Soviet) people,
together with those who built socialism, were
involved in industrialization, collectivization,
who fought against Adolf Hitler, etc. It is hardly
legitimate to recognize the essence of the former
as more authentic than the essence of the second.
Authenticity or non authenticity of life and
human essence is defined not by the individuality
or collectivity, uniqueness or typicality, but it
is defined by it’s all consistent with what an
individual is, what it is for him is “be himself”.
For some people it is individualism and even
selfishness, and for other people, on the contrary,
it is collectivism and altruism. Some tend “to live
for themselves” and others, on the contrary, for
other people, for society, some tend to stand out, to
emphasize their uniqueness, and for other people
it is more important “to be like everyone and not
to stand out”. When a person realizes in his life
what he actually is and that he is close to, it can
be characterized as his “true” essence, but when,
due to some reasons, he is forced to adapt and
conceal “his true face”, it can be characterized
as “not true” essence. However, his thoughts
and feelings are really important because while
pretending to have their words and deeds in his
mind he is still “himself”.
But here another aspect appears. “True”
and “not true” existence can be understood in
two senses, and “true” and “not true” being in
one more. Every time when we think about the
person’s humanity and inhumanity, when we ask:
“Is he a person?” or ascertain: “This couldn’t
be done by normal people”, – we mean truly
human existence as person’s tribute existence,
corresponding to how, from our point of view, the
person’s behavior and existence should be. Then
the existence and activities of Adolf Hitler and
alike cannot be called as a truly human existence.
However, from this point of view, the person’s
true and non true behavior and existence must
be determined, again, not by individuality or
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collectivity, uniqueness or typicality, but how
they conform to their fullest expression and
disclosure of the nature and person’s essence.
The person’s essence should be disclosed in his
existence. True person’s existence implies optimal
realization of his biological, social and spiritual
qualities. And at the same time his thoughts and
feelings are very important, not in themselves,
but as a manifestation of his spiritual component,
without which there cannot be truly human (in
the axiological sense) existence.
However, spirituality can be multidirectional.
Not every spirituality has a direct relationship to
a truly human existence, but only the positive
oriented spirituality, which carries the strong
positive charge, aiming to serve the ideals of
goodness, justice, truth, love and beauty, and
even more broadly directed for good, not evil
deeds, to serve not only his individual goals
and interests, but the goals and interests of
society and mankind as a whole. Thoughts and
feelings (emotions) of a true person as well as
his character and will, his activity-creative
expression and his biological and social skills
should be directed to it.
On the one hand the social in a person
can be combined with a biological concept of a
united term “material in person”. But at the same
time, the social and spiritual can be combined
to define the unity by the term “personality”. It
should be said that the term “personality” was
established in philosophy, sociology, psychology
and other sciences long ago, but the first thing
that immediately catches the eye and wary when
you start to get acquainted with the relevant
literature on personality – a variety of definitions,
with different, sometimes significantly different
positions, treating the content of this notion. Here
are just some of them (Tuman-Nikiforov, TumanNikiforova, 2008).
1. “Personality – the human individual as
a product of social development, the subject of
labor, communication and cognition, determined
the specific historical conditions of society”, and
at the same source: “the concept of personality
represents the whole man in the unity of his
individual abilities and social functions (roles)
carried by him”.
2. “Personality is an everyday and scientific
term for the human individual as the subject of
relationships and conscious activities (face, in
the broadest sense) or a stable system of socially
significant features that characterize the individual
as a member of a society or community. Although
these two concepts as the integrity of the person
(Latin persona) and the personality as his social
and psychological image (Latin personalitas) –
terminology are quite distinguishable, they are
sometimes used as synonyms”, and at the same
source: “... in general psychology personality
often means a core integrating principle which
binds various mental processes of the individual
that inform his behavior with the necessary
consistency and stability.”
3. “Personality – a human being with a
multitude of social instincts, the social responsible
individual.”
4. “Personality – is the partner of the
historical process, one of the five billion people
living on the planet Earth (I wonder who is it? It
seems, 4999999999 people are not personalities),
the holder of the identity”.
5. “Personality – individual focus and
expression of social relations, and functions of
people, the subject of knowledge and transform of
the world, the rights and responsibilities, ethical,
aesthetic, and all other social norms”.
6. “Personality – a person taken in their
certain aspect as a member of a particular social
group”.
7. “Personality – is not just a carrier of
specific historical social relations, but the person
who has an active influence on them according
to their individual abilities and inclinations,
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consciousness and organized nature, labour and
socio-political activity”.
8. “Personality – a multi-dimensional and
multi-level system of psychological characteristics
that provide the individuality, the temporal and
situational stability of the person’s behavior”.
9. “The person acts as a consolidated set
of related internal conditions through which all
external influences are refracted (these internal
conditions also include psychic phenomena –
mental properties and states of the personality.
The most important psychological component of
these internal conditions is the properties of the
central nervous system)”.
10. “Focus – the system forming factor of
the personality structure”.
B.S. Bratus represents the personality as a
systematic education, existing in levels, reflecting
in each of them in a special way: “the level of
existence” – is the level of activities changing
each other, “the level of culture” – a level of the
values system, “the level of meanings” – it’s a
level of dynamical consciousness systems which
include the person’s relation to reality (Bratus,
1998).
As you can see, there isn’t even a rough
consensus in this area. Maybe the personality –
is not a scientific term? But in the philosophic
encyclopedic dictionary it is clearly indicated that
the personality is an“everyday and scientific term”
(PED, 1983: 314). Maybe the fact is that, as it is
written by L. H’ell D. Ziegler: “The conceptual
meaning of the personality is multifaceted – it
covers a wide range of internal mental processes
which reason features of the person’s behavior
in various situations. In dealing with such a
complex concept, it is impossible to imagine
any of its simple conceptual definition” (H’ell,
Ziegler, 1999: 22). The concept “personality” is
very complex and broad, it is difficult to define
it. However, while the researchers have not found
a more or less clear and unambiguous definition
which adequately reflects the essence of the
personality as a phenomenon and its essence
and inner content, it is impossible to continue
the research in the direction associated with the
personality and his manifestations.
The second thing that catches your eye
when you begin to study the personality’s
problems, the lack of certain integration between
different aspects of its study, primarily between
the philosophical and social sciences on the
one hand and the psychological on the other. In
PED the first definition of the term is “everyday
and scientific”, but much lower, there is what is
meant by a personality in psychology, thereby
implicitly separating the psychological concept
of personality from scientific (PED, 1983: 314315). In PE the first subsection is “personality in
philosophy and sociology”, and then subsection
“a personality in psychology” (PE, 1964: 196201, 201-202).
Any phenomenon must be studied from
different sides, but obviously there must be a
synthesis of different approaches, generalization,
integration. Philosophy should just act as a link
between the sociological, psychological and other
aspects of the personality study. There should
not be a separate philosophy or the personality
philosophical notion. It is good idea to consider
a personality from the different aspects, but it
should also be understood as something united in
the sense of the phenomenon, essence, concepts
(definitions). Philosophy is to combine different
aspects to consider and study the personality and,
hence, these aspects may be relatively independent
of each other, but should not be separated from
philosophy, from a philosophical approach to the
study of personality. But in practice it is not so. In
fact, philosophy and sociology are combined into
a single philosophical and sociological approach
which studies the personality as a social individual
in the unity of his social qualities, properties,
links, etc., and the psychological approach
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exists in isolation and interacts weakly with the
philosophical and sociological approaches.
This suggests one of the following
explanations for this: 1) the philosophy, sociology
and psychology study some different (minimum
two) phenomenon, the term personality is used
by them in different meanings and in reference to
different phenomena, 2) psychology deals with (at
best case) some minor and insignificant researches
in this area, the main researches are limited by
the philosophical and sociological directions. The
first conclusion is in fact confirmed if we look
at the first seven of the above definitions, taken
from philosophical literature and the last three,
taken from the psychological. In psychology, a
personality means an integrating principle linking
different mental processes of the individual and
informing his behavior the necessary stability and
in philosophy and sociology – human individual
as a subject of public relations and conscious
activities, such as social quality of the individual.
Integrating understanding of the personality,
combining philosophical, sociological and
psychological approaches have not been occurred
by me.
This situation cannot be considered normal.
Definition of the personality should reveal the
meaning and content of this notion, to emphasize
the qualitative differences of personality from all
the rest (of the non-personality), the differences
which form the personality as it is rather than
other phenomena. Most of the above mentioned
definitions do not meet these criteria. They list
the characteristics inherent to this phenomenon,
fix facts reflecting how the personality may
appear in certain specific conditions, the result
(product) of which it is, on which it depends, etc.
But all these facts only characterize one or the
other side of the personality, but not the whole
personality, not the meaning and content of the
concept. Moreover, the meaning and content,
must obviously be disclosed with some common
positions rather than in isolation from its social
and its internal characteristics.
If we turn to the personality understanding
in modern psychological science and
psychological theories of the personality, so there
is not any discernible unity in understanding
and interpretation of what is the personality and,
especially, in understanding and interpretation of
the reasons according to which the personality
theory must be formed. The same L. H’ell and D.
Ziegler separate fifteen directions of the modern
personality theory. If even in psychological
science there is no common understanding and
interpretation of the personality, then, is it possible
to find a common understanding by synthesizing
philosophical, sociological, psychological and
other aspects of its research? Or should we agree
that each time speaking about the person, we
will definitely specify what one of its numerous
meanings we have in mind?
One more problem to solve – whether each
person is a personality? Some people believe that
not, the others claim otherwise. From my point of
view, the personality is every person, and since
the personality of one person is not identical
to the personality of another, complementary
concepts that stress this distinction must be
understood – “personal identity” and “individual
inherent personality”. Thus – “a person in
general” should be understood as something
general, that is inherent in absolutely all people
(and perhaps not only them, if we admit the
possible existence of other individuals in space
or other dimensions) independently on their
individual (including individual- personality)
differences; individual (personal) inherent
personality (individual personality) – as a single
manifestation of general, occurring in a single
unique copy only of the individual, personal
identity – as a special personality, as a measure
of dissimilarity of one person to another. The
category of “personal identity” is a “person in
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general” in its actual, individual embodiment and
at the same time, “personal identity” in its unity
with the common, i.e., in comparison with other
personal personalities. The personal identity
includes not only individual manifestations (like
individual personality), but also the personality
individual features, what exactly stands it out
among the other personal personalities and how
it is separated. A comparison is possible in both
quantitative (smarter, kinder, more active), and
qualitative (good – bad, great – not great (void))
aspects. “Nobody is born a personality, a person
becomes a personality during the complex
process of development, socialization and selfactualization” (Vinogradova, Kazanova, 2004:
133), i.e., in the process of social (socialization)
and spiritual (self-actualization) development.
G.F. Nikiforova raises the important
problem of the uniqueness and the personality
universality (Nikiforova, 2004). This problem
is solved as follows: the personality universality
is that a personality (a set of social and spiritual
qualities) is every adult, mentally normal person,
in this sense, a personality is a universal, essential
quality of a person closely associated not only
with the individual, but with “a man in general”;
but, at the same time, every individual is a
unique personality, different from the personality
of other individuals, a unique individual
combination of social and spiritual qualities. That
is the uniqueness of each individual. The term
“personality” itself emphasizes its universality,
but in order to emphasize its uniqueness, it
is desirable and feasible to introduce some
additional terms: “individual personality”,
“personal identity”, “personal individual”.
The personality is universal, but its concrete,
individual embodiment – personal uniqueness
(personal identity) – is always unique.
However, what makes the personality of
each person, and what exactly not have those
who cannot be considered a person (children
“Mowgli”, for example)? It seems that at the
turn of philosophy, sociology and psychology
in the psychological and philosophical areas
of research a person and his personality, the
following understanding of the personality can
be formed: the personality – the unity of the two
closely related but distinct aspects – the social
and spiritual (relatively independent sphere
of the spirit, psyche, which does not always
fully manifest externally (in public relations,
relationships, activities, actions), and has its own
mental-emotional being) on the material basis
of the biological. The unity of the social and
spiritual (just in the person’s personality) is that
spirituality is not possible without the processes
of socialization, and socially is impossible without
social consciousness (which in turn is impossible
without individual), and the difference is that
social – is social relationships and spirituality –
is higher, human layers of the psyche. The social
and spiritual divorce as follows: social – is
external – the set of links and relationships with
other people, society, and spirituality – is inner –
the mental-emotional being of the individual.
What is traditionally called a personality in
philosophy and sociology more correspond the
term “citizen”, and what is called personality
in psychology – the term “individuality”, a
personality in this sense is a combination of
both of them. The combination of the citizen and
individuality is a set of general and special. The
citizen – a combination of all social relations,
individuality – is, first and foremost, man’s inner
world through which refracts the combination of
all external influences (and hence the combination
of all social relations). As a result each time it
turns out the personal response to them. The
phrase “a good citizen” refers to the relationship
of the spiritual and social. Conscientiousness
refers to spirituality, but if a person consciously
strives to be a citizen, his citizenship is formed
faster, better and more positive.
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Generalization of philosophical, sociological
and psychological approaches to the study of
personality must include the study of the social
transition to the level of spiritual (psychological)
and spiritual transition to the level of social,
their mutual interdependence and determinism.
Reduction of the spiritual to the social which
is common to certain philosophical trends,
including Marxism, lead to random theories of
backwardness (by virtue of their social status),
the believer, religious peasants and non-believers,
anti-religious, conscious (again by virtue of their
social status) proletariat. Actually it is not so
simple and just social status does not explain the
spiritual features of the individual or the whole
class, social group, layer, their religion or atheism,
belief or unbelief.
It should be emphasized that to identify a
personality with an individuality and analyze
them as the internal, mental-emotional being
of the individual, as a set of internal conditions
through which all the external influences on an
individual are refracted, is common to the modern
psychological science. I analyze the personality
as a measure of dissimilarity of one individual to
another, and this individuality may appear in any
of the three aspects of human nature – biological,
social and spiritual. It is an inner, spiritual, mental
and emotional being of an individual which I term
as “intellectual”, “intelligence”.
So, the meaning and content of the concept
“personality” are disclosed by the understanding
of the personality as a unity of “external” (outside
social image, social status, social roles and
qualities of the individual) and “internal” (what
the individual is in fact, an internal “something”
(the latter is defined by me as the spirituality),
determining the nature of the human interactions
with the world). The sociality and spirituality
are united in the sense that spirituality does not
arise out of the sociality processes, regardless
of sociogenesis (the spirituality of the ancestral
person) and the processes of socialization and
enculturation (the spirituality of the individual),
but the sociality is impossible without the social
and individual consciousness, without the
spiritual spheres of the society, the society itself
is impossible without its spiritual component and
without consciousness as it is. But the sociality
and the spirituality differ in the sense that the
sociality – is the “external world” of a man,
his relationships with other people, his social
properties and relations, and spirituality – is the
“inner world” of a man, his thoughts, emotions,
desires, etc. (all of them have their own mentalemotional being, not always fully realized and
manifested outwardly, in public relations and
communications).
“Mowgli” children have neither one nor
the other, but they are, in our perception, not
full human beings not only because they are
not included in our society and have no social
qualities, but primarily because they do not
have spirituality, inward, higher, actually human
psyche layers. Of course, their lack of spirituality
is explained by the fact that they have not passed
the process of socialization, and this once again
confirms the idea that the man’s sociality and
spirituality exist not separately and not together,
but “joint-separated”, i.e. there are two distinct
sides, aspects of one phenomenon – the personality.
In the man’s nature the biological is in unity
with the social and spiritual, and personality – a
combination of social and spiritual, biological and
it is not at all. Indicating that the biological is the
material basis of personality, we draw attention
to the fact that personality, at least, the person’s
identity is not possible outside the biological
body, while at the same time, the foundation is
not in the nature and content of the individual,
the body belongs to the essence rights, but does
not apply to his personality, his citizenship and
intelligence. And speaking specifically about the
person, we should recognize that a personality
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as a special phenomenon is one for everybody
(no reservations are relevant as long as the term
“personality” is used. It does not contain direct
reference neither to the person’s personality, nor
even to the personality of an individual), but if
you want to specify the differences, we should
say, firstly, the person’s personality, the alien’s
personality, the humanoid’s personality, etc., and,
secondly, if you need to identify the individual
personality differences of different people,
personal differences of the individuals, you can
use one of the following terms: “the personality
of the individual”, “personal individual”,
“individually peculiar personality”, “personal
personality”, “personal individuality”, etc.
In addition, stressing that the personality is
constructed on the basis of biological material, I
mean, first of all, it is the person’s personality,
which is not possible in isolation from its biological
body, but, nevertheless, the body is not a part of
the person’s personality, the person’s personality –
it is his sociality and spirituality. With regard to
the aliens’ personality, it can be constructed on
the material basis of not biological, but something
else (and even if the biological, this biological may
differ significantly from the person’s biological
body), but there cannot be the absence of the
material basis of the personality, otherwise we
will have to acknowledge the correctness not of
the materialistic, but of the idealistic and religious
understanding of the personality. However, the
differences between the material basis point just
to the difference of the humans and aliens essence,
the personality is identical (if not identical, then
it is not a personality but a qualitatively different
phenomenon needed to by called by a special
term). Thus, a person’s personality is based
on the biological, and the spirituality – on the
material (biosocial), but just as the biological is
not included in the structure of the personality,
the same way the biosocial is not a part of the
spirituality, as well as the spiritual is not included
in the structure of the biosocial (as the supporters
of the person’s biosocial conception believe), and
has its own mental-emotional being.
Results: All the qualities and properties
of a person are considered by us as a system
consisted of three major subsystems, as well as
various relationships and connections between
them. When studying a person, it is necessary to
consider all these subsystems both individually
and in combination, their mutual influence on
each other. The greatest attention should be
paid to the study of the spiritual component of
the person’s nature. This is due to the fact that
modern humanity is in a state of the acute spiritual
crisis. To overcome the crisis it is necessary to
study a phenomenon of the spirituality in all its
manifestations and the fact that it is the spiritual
side which influences the person himself, society
and the surrounding world as a whole. It should be
understood how a spiritual component of person
influences him, society and the world as a whole
(understand that a person as a free acting being
can and should make of himself (and not only
of himself) himself) in order to optimize this
influence to achieve its maximum effectiveness
and positivity.
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Arkadiy A. Tuman-Nikiforov. The Essence of a Person as the Interaction of Three Components: Biological, Social, Spiritual
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Arkadiy A. Tuman-Nikiforov. The Essence of a Person as the Interaction of Three Components: Biological, Social, Spiritual
Сущность человека как взаимодействие
трех составляющих:
биологической, социальной, духовной
А.А. Туман-Никифоров
Красноярский государственный
аграрный университет
Россия 660049, Красноярск, ул. Мира, 90
Статья посвящена рассмотрению сущности человека с позиций диалектической методологии.
Сущность рассматривается как единство трёх составляющих: биологической, социальной
и духовной. Наибольшее внимание уделяется изучению духовной составляющей сущности
человека. Это связано и с тем, что современное человечество находится в состоянии острого
духовного кризиса, для преодоления которого необходимо как следует познать феномен
духовности во всех её проявлениях, и с тем, что духовной стороной своей сущности человек
воздействует на себя самого, на общество и окружающий мир.
Ключевые слова: сущность человека, духовность, индивидуальность, категории, противоречие,
сущность, феномен.
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