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Journal of Siberian Federal University
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Humanities & Social Sciences
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Characteristics of Eastern Thought and the Philosophy of Kyoto
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1407-1422
УДК 140.8(520)
Characteristics of Eastern Thought
and the Philosophy of Kyoto School
Prof. Dr. Katsuhito Inoue*
Kansai University
Osaka, Japan
Received 05.02.2013, received in revised form 10.06.2013, accepted 12.09.2013
The character of modernized Western thought can be thought to consist in the observational
view which keeps a distance from things. In contrast, the character of even recent East Asian
thought consists in standing within the pure experience in which there is not yet a subject or
an object. For example, the Japanese philosopher Nishida Kitarō(西田幾多郎, 1870-1945)
often uses the phrase “mono-to natte-mi, mono-to natte-hataraku,(物となって見、物となって働く)”
which can be translated as, “Look/see by becoming the thing, work/do by becoming the thing.”
This phrase means that one should see from within the thing by going within the thing. That is
to say, in distinction from the West’s objectively logical thought, Nishida sought at the root of
Eastern thought a thinking that becomes the ‘thing’ completely. In other words, to transcend
the self, while standing in the existential world that envelops this self, and to stand on the
realized plane wherein things come to appear to the extent that the self is made of nothing. In
this sense, Nishida’s standpoint is related to what is called ”ko-wu, chih-chie”(knowledge which
reaches all thngs 「格物致知」)in the “Ta-hsüeh”(Great Study『大學). Hence, with regards to
Nishida’s philosophy, we can see that it cannot be thought in terms of a self and world, subject
and environment, and other such oppositionally constituted dualisms. Rather, both terms are
taken to be none other than contradictory, dialectical, and relational (sōsoku-teki相即的), and
are determined ‘topologically’ (basho-teki 場所的). This means that, as opposed to the modern
Western way of looking at the world from the side of the self, Nishida’s philosophy tries to look at
the self from the side of the world, i.e. from the side of things.
To give a much earlier example of Eastern verticality, Cheng Mingdao (程顥1032-1085) advocated
what he termed a ‘compassion of heaven and earth as one body(天地一体の仁).
We must pay attention to the fact that humanity is a self-awareness based not on observation but
on physiological sense. Before we see the objective world, we come into contact with everything
physiologically. Usually we live in pure and direct experience. There is not yet a subject or an object,
and knowing and its object are completely unified. This is the most refined type of experience. Zhaolun
(僧肇374-414)says in his work Zhaolun 『肇論』, “ Heaven and Earth have a common root. All being
and we are one body.” And also Chuang-tzu(荘子)says in Zhuangzi 『荘子』, “Heaven and Earth live
with us, everything in the universe is united with us.”
Keywords: Nishida Kitarō, the pure experience, the compassion of heaven and earth as one body, NeoConfucianism, The spirit of extension of knowledge and investigation of things, the logic of “immanent
transcendence”, the transcendent one, Awakening of Faith in the Mahayana, mirror that reflects itself,
the absolute place of nothingness.
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Prof. Dr..Katsuhito Inoue. Characteristics of Eastern Thought and the Philosophy of Kyoto School
The representative of Japanese philosophy,
the philosophy of Kyoto School, has a strong
religious color. It has close relationship with
Buddhism. In the case of Nishida Kitarō 西田幾
多郎 (1870-1945), it is related to Zen Buddhism,
especially Rinzai Zen.
While in the case of Tanabe Hajime 田邊
元 (1885-1962), his original thought is developed
from the thinking of Dōgen 道元, the founder of
Sōtō Buddhism, as well as the idea of absolute
other power from Shinran of Jōdo Shinshū
Buddhism. As for Nishitani Keiji 西谷啓治
(1900-1990), his position of “emptiness 空” is
from Zen Buddhism.
One may focus on the individual thoughts
and developments of the three thinkers, but
there is a common theme. In a sentence, it is
the relation of substance 体 and function 用.
In other words, it is the “logic of transcendence
and immanence.” Precisely speaking, Nishida’s
early thought of “pure experience” 純粋経験 is
a logic of the transcendent oneness, which later
has developed into the “self-determination of the
universal” 一 般者の 自覚的限定, “place of
absolute nothingness” 絶対無の場所, “absolute
contradictory self identity” 絶対矛盾的自己同一
and “ inverse correspondence” 逆対応. It has its
root in the logic of substance and function(t’iyung)体用の論理 in Mahayana Buddhism or
Neo Confucianism. For Tanabe, his “dialectics of
the absolute mediation (absolute conversion)” 絶
対媒介(絶対転換)の 弁証法 is the dynamic
relationship between the absolute and the relative.
It is nothing but the interpretation of the logic
of substance and function in Tanabe’s unique
dialectical thinking. Nishitani did not develop
philosophical logic in the manner of Nishida or
Tanabe, but he tried to overcome the nihilism on
the fringe of absolute nothingness, and grasped
the position of “emptiness” from the notion
of jijimuge (事事無礙、non-obstruction of
phenomena) in Kegon(Hua yan) Buddhism(
華厳仏教,Garland Buddhism. This approach has
a deep philosophical thinking, which is influential
to many readers.
However, the concepts of substance and
function are widely discussed in Awakening of
Faith in the Mahayana 『大乗起信論』. Two
concepts can be traced back to Sengzhao’s 僧
肇 (374-414) analysis of “ tranquil state(寂) ”
and function(用)” in his work Zhaolun『肇論』.
According to Tong Yongtong 湯用彤, “From Wei
Jin to Southern and Northern Dynasties, there are
many disputes among Chinese scholars. Being
apparently complicated, all of them refer to the
concepts of substance and function.”
However, it is not clear whether the concepts
of substance and function are from Buddhism
or Confucianism. According to Shimada Kenji
島田虔次, Christianity is a causal theory (God
as the cause and the world as the effect) that
the transcendent absolute personal God as
the absolute other creates the world ex nihilo;
while in Chinese speculative thought there is no
transcendent God or Creator, and hence the only
possible theory is the fundamental or potential
substance and function theory as in the case of
Buddhism and the Zhu Zi School 朱子学.1
In this paper, I shall grasp the essence of the
philosophical thought from Kyoto School from
the view point of the “logic of substance and
function” or “logic of transcendent immanence”
which is the very ground of Buddhism or Neo
Confucianism. However, I shall begin with a
brief introduction of the Zhu Zi School, the
original of Chinese thinking. The reason is that
Nishida Kitarō, who is the founder of Kyoto
School, was born in 1870. It should be noticed
that the Confucian tradition was influential to the
thinkers who were born in early Meiji period and
were active in late Meiji period. Confucianism
was not only an element in the making of their
thoughts, but was rooted in their spiritual life
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Prof. Dr..Katsuhito Inoue. Characteristics of Eastern Thought and the Philosophy of Kyoto School
since youth. At that time, it was not weird to see
students reading ancient Chinese texts, even for
those who studied in modern school established
according to new education system in 1872. What is the world view of the Zhu Zi School
that influenced the people in Meiji period or
the beginning of Japan’s modernization? I shall
explain it in the next section.
1. The Characteristic of the Zhu Zi
School and the logic of substance and
function (体用の論理)
in Eastern metaphysics
Zhu Zi School refers to a group of thinkers
such as Zhou Lianxi 周濂溪(1017-1073), Cheng
Mingdao 程明道 (1032-1085), Cheng Yi-chuan
程伊川 (1033-1170) and Zhu Xi 朱熹 (11301200) in Song Dynasty. It is also known as NeoConfucianism.
Confucianism used to be an important
element in political ethics, but it was a condemned
after the death of Confucius. In Qin Dynasty, there
was a period of burning of the books and burying
of the scholars焚書坑儒. Later in Han Dynasty
Confucianism was overpowered by Lao Zi’s and
Zhuang Zi’s teaching (老荘思想), while in the
Six Dynasty it was further mixed by Daoist and
Buddhist thoughts. Neo Confucianism or the Song
School was an attempt to revive the weakened
local traditional thought in Confucianism in a
systematic way. Based on the natural philosophy
of I Ching 『易経』, it developed a cosmology
from the theory of Yin Yang Five Elements 陰
陽五行説. It also formed a practical ethics from
the Four Books, i.e., The Great Learning『大学』
(Ta-hsüeh), The Doctrine of the Mean『中庸』
(Chung-yung), The Analects 『論語』
and The Book of Mencius『孟子』(Meng Tzu).
However, it also combined the popular Zen 禅
and Hua yan Buddhism 華厳教学as well as the
philosophy of Lao Zi and Zhuang Zi, which
developed into a speculative metaphysical
system. The Song School emphasized the moral
normative of human relationship such as the Five
Virtues 五常(humanity仁 ren , justice義 xi,
propriety礼 li, wisdom智 zhi, and confidence
信xin) and the Five Relationships五倫 (between
ruler and subject君臣, father and son父子, elder
and younger brother長幼, husband and wife夫婦,
friends朋友). The foundation of this thinking lies
in the idea the “Heaven and Earth are of same
root, and all beings are one body.天地与我同根、
万物与我一体” . Human world and natural world
are formed by the same principle, therefore the
grounds of moral laws can be found in natural
laws. Therefore, the ethical task for human being
is to remove the greediness and desires of one self,
and to become one with the Heaven and Earth.
One may say the characteristic of this school is to
provide ground for human ethics from the Heaven
or natural law. The essence of the moral norms of
human society is from the law of the Heaven.
(1) An Explanation of the Diagram
of the Great Ultimate
In Zhu Zi School, the ultimate reality of
the universe is grasped as “infinity and ultimate
(Wuji er Taiji, 無極而太極),” influenced by Zhou
Lianxi’s 周濂溪 An Explanation of the Diagram
of the Great Ultimate『太極図説』(Taiji tushuo).
In other words, the ultimate reality has no form,
sound or odor. As an infinity, the taiji 太極
brings the qi 気 that makes the movement of yin
陰 and yang 陽 possible. Moreover, the self
movement of qi 気 combines the five elements 五
行 (tree 木, fire 火, earth 土. metal 金 and water
水), creating all beings. Zhu Xi understands taiji
as li, which is essentially different from qi. The
relationship between li and qi can be rendered
as “first li and then qi 理先気後 (lixian qihou),”
which is an irreversible ontological relationship.
This idea can be traced back to Cheng Yi-chuan’s
程伊川 philosophy of “xing ji li 性即理.” Zhu Zi
School suggests a theory of life for all the beings
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Prof. Dr..Katsuhito Inoue. Characteristics of Eastern Thought and the Philosophy of Kyoto School
of the universe, here Zhu Xi follows Cheng Yichuan in understanding that the transcendent
li is “static 静.” The mainstream of Zhu Zi
School emphasizes a static li, which gives rise to
“seriousness居敬(jujing).” It is a theory about
the potentiality of motion. Therefore, static is not
an absence of motion; rather, it is an ultimate static
that includes the motion. It can be understood as
persons were cultivated. Their persons being
cultivated, their families were regulated. Their
families being regulated, their States were rightly
governed. Their States being rightly governed,
the whole empire was made tranquil and happy
(平天下ping tianxia) .3
Of above the ideas, the teaching of personal
cultivation, family regulation, state politics
“static in motion 動中の静” or “motion in static
and world peace require a way restricting one’s
own desires and developing concentrically into
the sphere of the community. This way builds
a sense of responsibility towards the public
sphere for the feudal class in Japan. It should be
noticed that Zhu Zi School is the origin of moral
consciousness to the West introduced as “bushidō
武士道.” Japanese in Meiji Period (including
Nishida himself) follows this tradition. In “The
Goal of Good Conduct” (part 3, chapter 12) of
Zen no Kenkyū善の研究, Nishida suggests
“Personality, which is both the unifying power of
consciousness and the unifying power of reality,
is first actualized in individuals,” and explains
the idea of “developing oneself, and hence the
(2) Four Books(四書): Emphasis
on The Great Learning(『大学』)
In Neo-Confucianism, The Great Learning
is regarded as the Written Legacy (遺書) of Kong
zi (孔子Confucius) . He says that the kernel ideas
are the three principles and the eight items.
What the Great Learning teaches, is
to illustrate illustrious virtue明明徳(ming
mingde); to revovate the people新民(xinmin);
and to rest in the highest excellence止至善(zhi
The ancients who wished to illustrate
illustrious virtue throughout the empire, first
ordered well their own States(治国zhiguo).
Wishing to order well their States, they first
regulated their families(斉家qijia). Wishing to
regulate their families, they first cultivated their
persons(修身xiushen). Wishing to cultivate
their persons, they first rectified their hearts(
正心zhengxin). Wishing to rectify their hearts,
they first sought to be sincere in their thoughts(
誠意chengyi). Wishing to be sincere in their
thoughts, they first extended to the utmost their
knowledge. Such extension of knowledge(格物
gewu) lay in the investigation of things(致知
Things being investigated, knowledge
became complete. Their knowledge being
complete, their thoughts were sincere. Their
thoughts being sincere, their hearts were then
rectified. Their hearts being rectified, their
family, the nation and the whole world” in the
following way:
Fundamentally, the center of the self is not
limited to the interior of the individual: the self
of a mother is found in her child, and the self
of a loyal subject is found in the monarch. As
one’s personality becomes greater, the demands
of the self become increasingly social. Such
social consciousness consists of various levels.
The smallest and most immediate is the family,
which is the first level at which one’s personality
develops in society. [...] The development of
social consciousness is not limited to the small
group of the family. Our mental and physical life
can develop in all of the various social groups.
At the new level beyond the family, the nation
unifies the entirety of our conscious activity and
oppresses a single personality. [...] The essence
of the nation is the expression of the communal
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Prof. Dr..Katsuhito Inoue. Characteristics of Eastern Thought and the Philosophy of Kyoto School
consciousness that constitutes the foundation of
our minds. In the context of the nation, we can
accomplish a great development of personality;
the nation is a unified personality, and the systems
and laws of the nation are expressions of the will
of this communal consciousness. [...] At present,
the nation is the greatest expression of unified
communal consciousness. But the expression of
our personality cannot stop there—it demands
something greater: a social union that includes
all humankind.4
This is a well known fact that in Zhu Zi
School, the morality of ethics community criticizes
radically the anarchical “world-renunciation 出
家主義” in Buddhism and “anti-civilizationalism
反文明主義” in the Daoist notion of “non-acting
nature 無為自然(wuwei ziran).”
(3) Seriousness (居敬jujing)
and ultimate Knowing (窮理qioangli)
As mentioned above, the ethical principle of
Neo-Confucianism begins from the
Cheng Yi-chuan’s notion of “xing is li.”
Hsing becomes li when it is internalized in
the individual being. It has two contradictory
elements, namely the nature of inborn (本然之性,
Benranzhixing) and the nature of disposition (気
質之性, Qizhizhixing ). The ethical task of human
being is to rectify the nature of character and to
return to nature of inborn, which is the origin of
the good. In other words, it is the idea of removing
the desire that can be found in “manifesting the
clear character” in The Great Learning, as well as
the Neo-Confucian idea of respect. According to
Zhu Xi, nature of inborn is in the state of “nondeveloped 未発(Weifa ).” This non-developed
state can be traced back to “potentiality 未発の中
(Weifazhizhong )” in The Doctrine of the Mean.
It is the absolute and static state of the mean, in
which the human passion of happiness, anger,
sadness and joy is not expressed. One may recall
Nishida’s poem: “Inside my mind is a profound
deep ground that the wave of happiness and
sadness do not stir.” The deep ground or mind is
nothing but the transcendent mind of the absolute
static non-developed state before any passion in
Neo-Confucianism and Cheng Yi-chuan. When
motion beings in the non-developed state, it
becomes developed, and hence one can express
the passions.
In other words, “Seriousness 居敬” is to
suppress the mind of developed and awaken the
mind of non-developed 未発. Zhu Xi tries to
study the li inside each being, as he writes, “even
a grass or an insect has li.” (『朱子語類』巻十
五,〔Zhuzi yulei , Classified Conversations of
Master Zhu Xi〕, Vol.15) It is the idea of “seeing a
thing by having a thing,” or the essence-intuition
of thing before a subjective way of seeing, and
to become one with the cosmic life. This way
of seeing can reveal the authentic nature of the
self. This is nothing but the so-called knowing
or investigation of things in The Great Learning.
This teaching of Zhu Xi discusses simultaneously
seriousness and knowing as the way for the sage.
It presupposes the ultimate unity of the li of mind
and the li of thing.
(4) The spirit of investigating things
and carrying knowledge to the utmost
extent (格物致知gewu zhizhi)
The spirit of investigating things and
carrying knowledge to the utmost extent lies in
the inquiry of li within a thing. Zhu Xi says;
The meaning of the expression, “The
perfecting of knowledge depends on the
investigation of things, “is this: If we wish to
carry our knowledge to the utmost, we must
investigate the principles of all things we come
into contact with, for the intelligent mind of man
is certainly formed to know, and there is not a
single thing in which its principles do not inhere.
But so long as all principles are not investigated,
man’s knowledge is incomplete. On this account,
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Prof. Dr..Katsuhito Inoue. Characteristics of Eastern Thought and the Philosophy of Kyoto School
the Learning for Adults, at the outset of its lessons,
instructs the learner, in regard to all things in the
world, to proceed from what knowledge he has
of their principles, and pursue his investigation
of them, till he reaches the extreme point. After
exerting himself in this way for a long time, he
will suddenly find himself possessed of a wide
and far-reaching penetration. Then, the qualities
of all things, whether external or internal, the
subtle or the coarse, will all be apprehended, and
the mind, in its entire substance and its relations
to things, will be perfectly intelligent. This is
called the investigation of things. This is called
the perfection of knowledge.5
One may find that it has common ground as
in modern empirical science. Theoretically, we
can say that Zhu Zi School has many elements of
a preparatory study of natural science based on
the method of modern induction.
In fact, the position of Zhu Xi ’s extension
of knowledge and investigation of things brings
fruitful outcomes to researches in Japan such as
Kaibara Ekiken 貝原益軒(1630-1714)’s Studies
of Japanese Herbs 大和本草, and Miyazaki
Yasusada 宮崎安貞 (1623-1697)’s Encyclopedia
of Agriculture 農学全書. The study of western
science in Japan in 18 -19 century is based
on Zhu Xi ’s extension of knowledge and
investigation of things , as in the case middle
Edo thinkers such as Yamagata Bantō 山片蟠
桃 (1748-1821) and Sakuma Shōzan 佐久間象山
(1811-1864). This is an important point that Zhu Zi
School contributed Japan’s modernization. As is
suggested by Lu Xiangshan 陸象山 (1139-1193),
“All the matters in the universe are included in
As is mentioned above, Nishida uses
expressions in his last years such as “approaching
the intrinsic nature or substance of a thing 物
の真実に行く”, “Thinking and acting not from
the subjective self but from the viewpoint of
things 何処までも物となって 考え、物となって
行う”, “The self is lighted up by the objective
自己が客観に照らされる.” All these
expressions are related to the essence of scientific
spirit. Nishida calls his position of “to become a
thing” as “radical objectivism.”6 This can also
be traced back to the position of “knowing and
investigation of things,” which is the maxim of
Zhu Zi School. In fact, Nishida quotes Zhu Xi ’s
infamous commentary of The Great Learning in
“Poiesis and Praxis,” collected in Philosophical
Essays (vol. 4). He adds, “What I meant by 格物
is to follow Zhu Xi , that is mono ni itaru 物に格
る. ( It means that the man turns the thing itself.
He regards all things and self as one body. To him
there is nothing that is not himself. He recognizes
all things as himself). The authentic objective
action is from this starting point.”7
(5) Li-qi dualism (理先気後lixian qihou,
first li then qi) and its criticism
The relationship between li and qi is
regarded as “first li then qi.” This is a criticism to
the speculative nature of Zhu Xi’s emphasis of the
transcendence of li in his “li monism.” In other
words, li is not the transcendent being of all the
phenomena; rather, it is only the acquiring of li 摂
理 in phenomenon(理一分殊liyi fenzhu). It is
impossible to distinguish between li and qi. This
idea can be found in Lu Xiangshan’s thought , as
well as in Ming Dynasty (16 Century) thinkers
such as Luo-Qinshun (羅欽順1465-1547) and
Wang Yang-ming (王陽明1472-1528)’s criticism
against Zhu Zi School . They do not agree the Zhu
Zi’s metaphysics of li, and propose a philosophy
of qi that emphasizes qi. The orthodox teaching in
Tokugawa period in Japan was Zhu Zi School, but
it was against a transcendent ultimate principle.
In this sense, it is closer to the philosophy of qi.
The original thinking of Japan in “thing-ism 即物
主義” can be traced back to this source.
Wang Yang-ming was not satisfied with
the doctrine of extension of knowledge and
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investigation of things of Zhu Zi School, he
followed the path of Lu Xiangshan to criticize Zhu
Xi’s position of “性即理xing ji li” and proposed
“心即理xin ji li.” His focus is on “conscience 良
知 (liang zhi, awareness 覚),” which is the nature
of human mind. His understanding of extension
of knowledge and investigation of things is no
longer Zhu Zi’s investigation of things 格物,
but realizing the conscience 致良知(zhi liang
zhi ). While Zhu Zi emphasizes meditation by
seiza 静坐(sitting- meditation), Wang focuses
on unification of knowing and action 知行合一
(zhixing heyi ) and training with things 事上磨
錬(shishang molian ).
However, the position of li-monism of
Zhu Zi School suggests the transcendent li is
participated in all beings. It becomes the idea
of “the differentiation of li as one principle 理
一分殊” that all beings can have li when their
own particular self is uncovered. This can be
found in the popular “Kanhua Chan 看話禅” of
Sung Dynasty as well as the influential notion of
“li shi wu ai理事無礙 (non-obstruction of the
nouminal principle and the phenomenal aspects)
and shi shi wu ai事事無礙 (non –obstruction
of the each phenomenal aspects)” in Hua Yan’s
teaching華厳教学. These are all related to the
logic of “substance and function.” In other words,
the logic of “immanent transcendence 内在的超
The concepts of substance and function can
be traced back to Zhu Zi (『中庸章句』Zhongyong
zhangju , Ch. 1 ): “The big entity is the body of the
Way; the Way can be approached only through the
Way.” It can also be found in the following (『朱
子語類』Zhuzi yulei , 1:1): “For yin yang(陰陽),
function is in yang while substance is yin. Motion
and motionless have no beginning; yin and yang
have no starting point.” It is suggested that nature
性 is substance 体, feeling 情 is function 用.
As mentioned, the original idea of substancefunction (or essence-function) was in Awakening
of Faith in the Mahayana『大乗起信論』, which
is widely discussed in Buddhist philosophy.
Awakening of Faith in the Mahayana is
said to be written by Aśvaghoṣa in 5 or 6
century, and was translated by Paramartha.
The book is usually regarded as a philosophical
text of Chinese Mahayana Buddhism, since the
original Sanskrit text is absent. The so-called
thinking of ru lai zang 如来蔵(tathāgata-garbha,
the Buddhahood in a living being) is rendered as
zchen yu sui yuan 真如随縁(following condition
of the true Thusness or the ultimate reality),
and the relationship of substance (体,t’i) and
function(用, yung) is analogically regarded as
the causal relationship between water and wave.
Substance is the basis and the self, while function
is a derivative of substance and its action. It is
a relationship between the original being and its
function, substance and its phenomenon.
Causal relationship is regarded as the
inseparability of cause and effect, for cause and
effect are like two separate things such as wind
and wave. However, the relationship between
substance and function is characterized as
the “unity of substance and function” or
“substance is nothing but function, function is
nothing but substance 体即用、用即体.” Unlike
wind and wave, the substance and function
cannot be conceived separately. Water can have
appearances such as big wave or small wave, but
the water itself (or moisture 湿) maintains this
self identity which transcends the form of wave.
In another way, we can say that water (substance)
has the function of moistening other brings.
Water is no longer water when it misses the act
of moistening. The self-ness of water lies in the
fact that it keeps its self identity by moistening
other but not moistening itself. As long as water
does not moisten water, it becomes water that
moistens other beings. The substance keeps the
self identity as “a unifying being” that unites
all the other beings. In this way, substance has
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a relationship with function called “not one not
different 非一非 異,” and it remains itself as
a transcendent being. Hence, as water is not
separable from wave, the transcendence is not
an external transcendence 外在的超越, but an
immanent transcendence. This transcendence
is immanent in all phenomena, which keeps
the self identity as being and self develops
as function (action 働き). This is actually the
systematic development of the transcendent
one 超越的一なるもの. It explains why the logic
of substance and function is an “immanent
2. Characteristic of Nishida’s
Philosophy: The logic of transcendence
and immanence (内在と超越の論理)
The central question of Nishida’s philosophy
in all phrases is the problem of the
“ultimate reality 真実在.” In his maiden work
The Inquiry of the Good『善の研究』 (1911), he
discussed the notion of “pure experience 純粋経
験,” which is regarded as the true reality itself or
the moment of approaching the true reality. By
pure experience, it is the consciousness that “The
moment of seeing a color or hearing a sound, for
example, is prior not only to the thought that the
color or sound is the activity of an external object
or that one is sensing it, but also to the judgment
of what the color or sound might be.” It is the
consciousness of the present without subject or
object: “There is not yet a subject or an object, and
knowing and its object are completely unified.”8
This primary consciousness is the sole reality
that develops itself from the state of the implicit
to that of the explicit.9 Pure experience, with the
contents of the activity of the true reality, further
differentiates from the original state without
subject or object 主客未分
into thinking or
reflection. It is the process of deepening the pure
experience, which keeps an ever-developing
unity of one-ness.
With the notion of pure experience, Nishida
tries to account for the unity of the consciousness
in direct experience, as well as the unity of
intellect-emotion-will 知情意. It comes to a
transcendent character in the following way:
“Over time I came to realize that it is not that
experience exists because there is an individual,
but that an individual exists because there is
I thus arrived at the idea that experience is
more fundamental than individual differences,
and in this way I was able to avoid solipsism.”10
The idea of the systematic development of the
“unifying being” with a transcendent character
has its very root in Zhu Zi School that discusses
li as the origin of all beings in “the differentiation
of li as one principle 理一分殊,” and the Hua Yan
teaching(華厳教学) of “li shi wu ai(理事無礙)
and shi shi wu ai(事事無礙)” that was influential
to Zhu Zi School as well as the popular “Kanhua
Chan(看話禅)” in Sung Dynasty. As mentioned,
the very essence of this idea is the logic of
substance and function(体用,t’i-yung), in other
words, the logic of “immanent transcendence.”
The idea of “systematic development of the
transcendent one principle,” which is the essence
of Nishida’s philosophical thinking, is based on
the logic of substance and function or the logic
of “immanent transcendence(内在的超越)”,in
other words, “infinity inside the finite.” In this
way, this is an idea covering Chinese Buddhist
philosophy as well as Sung metaphysics.
Through his study of Western philosophy,
Nishida tried to clarify the logic of substance
and function or the Eastern way of thinking.
We should notice that his logic of substance
and function focus on the transcendence of the
“immanent transcendence.” The transcendent
character of Nishida’s philosophy can be found in
his philosophical position established in his early
career: “the self has a self in oneself transcending
the self 自己は自己を超えたものに於て自己をも
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つ.” The most fundamental character of Nishida’s
philosophy is the intentionality towards the
“transcendent being 超越的な もの.”
As is well known, Nishida develops the
position of pure experience to the position of
the self-awareness 自覚, and later comes to the
position of “place of the absolute nothingness
絶対無の場所.” This process of development
is related to his “logical” investigation, and he
elaborates the position of the dialectical universal
弁証法的一般者 in a concrete way. Finally, the
position of pure experience is directed as the idea
of acting intuition 行為的直観, his final position
explains life in the world of historical reality in a
direct way.
Nonetheless, this process of development of
Nishida’s philosophy has a consistent ground in
“the determination of the self awareness of the
dialectical universal 弁証法的一般者の自覚的
限定.” This can be explained as the deepening of
the self awareness to the reality of the real self
through the media of absolute negation 絶対否
定を媒介とした実在の実在自身への 自覚の深
In other words, the world of absolute
reality is seen as the radical movement of a selfawakening system that the self reflects in itself.
To know the true reality, we cannot know from
the outside. The infinity of the reality is the deep
infinite self awakening. This is how the reality
knows the reality, or the reality deepens into the
infinity of the ground of the reality itself, or the
self-awakence of the ultimate reality itself (実在
Following this way of thinking, Nishida
realizes at the ground of the self-awakening of
the reality, there is the act of seeing 見るもの.
Later, his thought is to focus on this act.
This is also a deepening of the reality, which
cannot be reached by mere reflection. That is to
see without the seeing subject, where the self
turns the “place of absolute nothingness” . In
the place of nothingness an individual thing is no
longer the objective hypokeimenon specialized
by the subjective self. Here, each individual thing
is truly as it is. Such as-it-is-ness, that is, the
true Thusness is based on the place of absolute
nothingness. Nishida often compares it to the
“mirror” , where all things are nothing but the
reflected images .11
However, the most fascinating and suggestive
of Nishida’s uses of the metaphor have to do
with an idea of a “ self-enlightening mirror(自
ら照らす鏡)” to probe the philosophical ground
of self-illumination(自己返照). As Nishida
emphasizes, we should notice that the place of
nothingness is merely the identity of the self that
reflects the image of the self in itself; and the
mirror is “a mirror that reflects the self.”12 In
other words, all individual things are images that
are reflected in the mirror, but the mirror itself is
not the reflected image. Nevertheless the mirror
has an action of self- reflection that reflects itself
infinitely. Such an original action unfolds prior
to the representation of things. In Zen-Buddhism
such a mirror is dubbed “ a clear mirror 明鏡”.
What is in the mind of Nishida is exactly this
structure of mirror that reflects the things, where
the mirror itself has an action reverting the self.
Nishida uses the expression “mirror that reflects
itself(自己自身を照らす鏡) ” It is not a mirror
that reflects other things on itself infinitely, but
a mirror that reflects itself prior to reflecting all
other things on itself. In other words, the mirror
deepens itself into the very ground, and always
reflects itself through returning to the self. As
mentioned above, the mirror is becoming clear
before the representation of things. In this sense,
the clear mirror as such is an active development
that breaks down the static, fixed self, and returns to
the focus of the continuity of an infinite reflection.
This focal point is the axis to develop the self.”13
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Furthermore, this clear mirror remains clear by
always reflecting itself and returning to the self.
The returning to the mirror itself is nothing but
the self determination of the absolute present, in
this absolute other is the transcendent 超越的
なもの. This becomes clear when it touches the
problem of religion.
3. Logic of absolute media (絶対媒介の
論理)in Tanabe Hajime(田辺元):
Critique of Nishida’s philosophy
which the present presents the present 現在が現
在を現在化させてゆく. The present is becoming
the present 現在から現在へ, in which the flow is
not a running (流動) but a vertical movement(湧
出) like a spring. Or it is compared to a whirlpool. This center is not seen, but everything
springs out from the center and at the same time
everything is sucked into the center. We can also
say that with this reverting movement 遡及動
向 towards the invisible center, the back spring
逆流的湧出 becomes possible. While there is a
continuous spring of the present, there is also the
action of a never-ending hidden reversion 覆蔵
的帰滅. In this sense, the mirror which deepens
On the transcendence of the notion of
absolute nothingness, Tanabe Hajime radically
criticizes Nishida by the position of the dialectics
of absolute conversion 絶対転換. For Tanabe,
Nishida’s notion of absolute nothingness returns
to the absolute sphere, where the relatively
limitedness of human being is neglected. The
relative becomes the absolute under a continuous
identity, which is a static absolute one seen by
the acting medium externally. In other words,
the relative is subsumed by the place or the
itself into the very ground, and always reflects
itself and returns to the self is, so to speak, “an
eternal darkness 永遠の闇”. It follows that the
mirror reflecting itself is the mirror as such. The
“self identity自己同一” in Nishida’s expression
of “absolutely contradictory self identity絶対矛
盾的自己同一” is the absolute hindrance of the
hiding self. The total oneness of the place, where
the representation of the manyness of things as
manyness of things is possible, is the hidden total
oneness. “One is one 一即一” or one becomes
one can only be possible when it is disappearing
from the one and self hiding. The disappearing
qua spring 還滅即湧出 of the oneness of one,
or the “non-self self identity 即非的自己同一” is
what Nishida means by “seeing without seeing
subject 見るものなくして見るもの” or “reflecting
the self in itself with the self becomes nothingness
自ら無にして自己の中に自己を映すもの.” It is
precisely the true reality of the “place of absolute
nothingness 絶対無の場所.”
The absolute hindrance, which is the absolute
negation of self contradiction, of self identity is
the “absolute other 絶対の他.” Without doubt,
subsuming totality. This static one is a product of
metaphysical contemplation. In order to explain
all entities, Nishida’s position of the logic of soku(
即) is nothing but a genetic mysticism, which
is non-dialectical and ideological. It ends with a
kind of intuitionism. Now what is the position of
absolute conversion held by Tanabe?
According to Tanabe, dialectical thinking
is not merely the direct state of intuition that
transcends logic. Rather, it is nothing but the
development of negation qua affirmation 否定
即肯定 of logic as a dynamic ground. Through
negation the self deepens to its ground. To
return to this ground is not to return the static
ground of identity, but to deepen oneself to the
groundless ground 無底の根源, in which static
and dynamic become one 動静一如. The self is
only a relative medium. If there is a ground of
identity to be reached, it is not a transcendent one,
but a mere relative another one. In other words,
the transcendence is based on the medium of the
absolute negation(絶対否定) of the relative.
For Tanabe, the absolute becomes a
transcendent medium through the medium as the
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presentation of the absolute. It is impossible for
the absolute and the relative to become one body.
These two consist in the inter-mediation(相互媒
介) . It does not mean making the relative as an
absolute medium. The relative being preserving
relative, the absolute keeps the transcendent
being. The absolute is always an ultimate being.
This outer realm of the medium should not be an
intuited absolute. However, this relative unity of
the absolute and relative can be a faith in religion.
In religion, the faith in the transcendent and
the proof of the internal become one in ethical
conducts. It sets up the transcendence qua
From Tanabe’s position of absolute medium 絶
対媒介の立場, Nishida’s philosophy is criticized
as a non-mediated intuitionism. This criticism is,
however, based on Tanabe’s misunderstanding.
Tanabe would suggest Nishida’s philosophy as a
logic of the unmediated “soku 即,” but this is not
Nishida’s standpoint. Rather, the standpoint of
Nishida is the logic of “soku-hi 即非” that focuses
on absolute negation. Nishida and Tanabe have
different approaches to this “soku-hi” thought.
Tanabe emphasizes on the self-negating
conversion of the absolute 絶対の自己否定的転
換. This can be regarded as the absoluteness of
the absolute in contrast to a relative medium. In
contrast with Tanabe’s dialectic thought, Nishida
will suggest a discontinuous continuity of “soku(
即)” . Nishida emphasizes not the inter-mediation
(相互媒介) of the absolute and the relative, but the
outer-mediation, that is, the “absolute qua (soku)
the absolute – qua(soku) – the relative qua(soku)
the relative.” In other words, the absolute keeps
itself as the infinite being, and at the same time,
the relative keeps itself as the finite being, and in
this way these two being are combined in unity.
Nishida calls such a discontinuous continuity
“the absolute contradictory self identity(絶対矛
盾的自己同一). We can regard such a self identity,
so to speak, the transcendent absoluteness of
the absolute as the returning movement into the
Nishida might have noticed Tanabe’s
criticism, and he proposed the idea of “inverse
correspondence(逆対応)” in his late year as a
response. This notion can be found in his last essay
“Logic of place and religious worldview” (1945),
in which the neglected theme of religion is under
investigation. Here, the “absolute contradictory
self identity,” a dialectical ontological structure
expressed in a rather abstract way, is rendered as
an ontological relational structure hidden in the
place between the absolute and the individual
self. It is now freshly expressed as a logic. In
short, this is the love of God that embraces the
self facing away from God, and the compassion
of the 如来 that receives the desires 煩悩 of the
sinful self. This is the paradoxical situation, in
which the isolation between the individual self
and the absolute becomes one in a deep reality.
This situation, as quoted by Nishida, can be
found in Monk Daito’s words: “Separated by an
eternity, yet not separated even an instant; face to
face the whole day, yet not face even an instant
対.”15 Nishida interprets these words as “words
from mortals,” but I shall put it in the following
way: They are seen from the perspective of the
absolute. It means an internal direction for the
absolute towards the relative in self negation,
and an absolute irreversible self hindrance 絶対
に翻らぬ自己覆蔵性, which is transcendent in
nature. In the case of inverse correspondence,
it is not merely the relationship between the
individual existence and the absolute, but in the
ground of this relationship lies the reversed self
of the absolute that realizes the relationship. In
the analogy of the mirror, it is the movement
of the self reflecting mirror. The place reflects
the place itself in a return to the self, which is
a radical movement of disappearing qua spring.
According to Nishida,
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As the self negation of the absolute, God
is inversely correspondingly to himself and in
himself including the absolute self negation.
Thus, it is a being determined by himself. He is
an absolute being because he is also the absolute
Being is from nothingness; he is omniscient
and omnipotent.16
Here, the notion of “inverse correspondence”
is merely “to oneself.” The self-spring of the
absolute, in which the absolute will always be
the absolute, is simultaneously, a return to the
absolute self in the reverse direction of the spring.
The “inverse correspondence” of the absolute
self is creative action, in which the absolute
becomes the relative in self-negating reversing.
The expression “The Buddha is in all beings, all
beings are Buddha” is an example of such logic
of “inverse correspondence.” We should be aware
of this multilayer structure of the logic of inverse
The reversed covering of the absolute self
of the absolute is an autonomous hierarchy自体
的順序, which is prior to the self-awakening
hierarchy of the individual existence. As a result,
the relationship of inverse correspondence of the
absolute and the individual self has the structure
of “irreversible.” What is irreversible is that the
immanence transcendence is a transcendent
immanence; the transcendence will always be
The conflict between God and human being
is an inverse correspondence. Thus, our so-called
religious heart is not from ourselves, but from the
calling or action of God or Buddha. It is the origin
of our own selves.17
From Nishida’s words above, it shows clearly
why the “inverse correspondence” is irreversible.
In brief, Nishida does not have in his mind the
relation of the relative as in Tanabe; rather,
Nishida’s concern is on the relation of the absolute
self. It is clear that in the reverse movement of
the self negation of the absolute self, the absolute
becomes the absolute. In other words, he focuses
on sokuhi-self-identity, which is the condition of
the reversing of the oneself of the absolute one,
is one qua one, totality qua totality, absolute qua
absolute. He reckons that this sokuhi-self-identity
is the movement of the self-hindrance of the
It is right to say even Tanabe sees the
absolute negative turn of the absolute that is the
movement of the absolute self to be called as the
“revisit qua outflow” of the absolute. However,
Tanabe keeps his direction to grasp it as the
mediated correspondence of the relative. Nishida
puts the relation of relatives into blankets, and
sees the dynamic of the dimension of the absolute
self isolated from the relative. If the absolute and
the relative is a relationship of non-soku non-ri
不即不離, Tanabe’s absolute converse 絶対転
換 of the inter-media shows the aspect of non-ri
不離, while Nishida’s focus is on the aspect of
non-soku 不即. The absolute contradictory self
identity is not a inter-mediated “response 対応,”
but a “reverse response逆対応. ” As seen in the
quotation above, the reverse response is before the
relation between the absolute and the individual
self, but the relation to the absolute self of the
absolute. Tanabe sees the relational reversing of
the absolute and the relative, while Nishida sees
both sides of the irreversible that is the reversing
of the absolute self of the absolute, or the absolute
hindrance of the absolute. We can say Nishida
sees its ontological primacy over the reversing of
the relative. For the relative (thing) to be a relative
(thing), the absolute has to be absolute. The clear
mirror is clear, such as that things show as they
are. Nishida mentions “all being are Buddha, the
Buddha is in all beings.”18 It does not mean the
reversible relationship of the relative media of
the beings and the Buddha, but the independent
identity of the beings and the Buddha, or the
absolute transcendence of the Buddha over the
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beings. That is, beings can be beings only if the
Buddha is a (transcendent) Buddha. We should
bear in mind this expression of the irreversible
relation 不可逆的関係.
4. “Emptiness 空” in Nishitani Keiji:
Logic of jijimuge 事事無礙 based
on passion 情意
I shall also mention the case of Nishitani
Keiji.19 His philosophy is based on Nishida’s
philosophy, but through a subjective and existential
understanding he deepens the logic of “逆対
応” by associating it to kegon thought 華厳思想
(the thought of Garland). Nishitani enlightens
from his self awakening of the groundlessness
of ground of existence, and from practicing Zen
under the influence of Nishida. Standing on the
fringe of absolute nothingness, he promotes the
idea of “overcoming nihilism through nihilism.”
Unlike Nishida and Tanabe, who developed
their own systematic philosophies, Nishitani’s
deep and insightful thinking gains support from
Japan as well as in Europe. The starting point of
Nishitani’s philosophy is “emptiness 空” based on
Zen experience, but the logic of his philosophy is
rooted in kegon philosophy. He investigates into
the ground of Nishida’s logic of “逆対応,” but
explains the above-mentioned non-one and nondifference 非一 非異 relation of the absolute
and relative by the ideas of interpenetration 回互
and non-interpenetration 不回互, and develops
kegon’s notion of “one as many, many as one,”
as well as the logic of “rijimuge理事無礙” and
“jijimuge事事無礙.” Kegon school has its root
in hokkaiengi 法界縁起. Before dealing with
Nishitani’s philosophy, we shall briefly explain
the philosophy of kegon.
The first monk who focuses on the hokkai
法界(Dharma- realm) of kegon is the First
Patriarch Tu-Shan 杜順 (557-640), but the Fourth
Patriarch Cheng Guan 澄観 (738-839) was the first
one who systematized it as four hokkai(Dharma-
realm). Cheng Guan clarified the relationship
between “isshin 一心(one mind)” or the self
clear heart, and the real existence of all things in a
systematical way. The four hokkai are: 1) jihokkai
事法界(the realm of phenomena), 2) rihokkai
理法界(the realm of noumenal principle), 3)
rijimuge hokkai 理事無礙法界(the realm of
the non-obstruction of noumenal principle and
phenomenal aspects ) and 4) jijimuge hokkai 事
々無礙法界(the realm of the non-obstruction of
each phenomenal aspects). First, the ji of jihokai is
the actually existence or all beings. The individual
things maintain their own nature and difference.
The next rihokai focuses on li 理(Principle) the
opposite of ji事(phenomena). There are notions
such as rihō 理法(the noumenal truth) or ritai
理体(the noumenal substance), or rishō 理性
(the noumenal principle). However, li should
not be misunderstood as the noumenon realm
opposite to the phenomenal realm, or actual realm
opposite to the ideal realm. All beings with engi
縁起(pratītya-samutpāda , coming into existence
by depending on other things )are determined by
the rihō (principle) of engi. They do not have the
ground of their being, and hence they are mujisyō
無自性(non-self nature). In rihokkai, the manbō
万法(all beings) is conceived as mujisyō or
emptiness. Furthermore, the third “rijimuge
hokkai” explains the sōsokuenyū 相即円融
(Pronounced enyū; ‘perfect and fused together’
; said of the reality-principle established in the
Tendai and Kegon sects that all existences are in
themselves perfect and interfused.)relationship
between the phenomena of ji (phenomena)
and the shinnyo真如(the true thusness, the
ultimate reality)as ritai 理体としての真如(the
true ultimate reality as noumenal substance).
All causal laws are in jihokkai if seen from the
position of phenomenon, and they are in rihokai if
seen from the position of mujisyō or emptiness.
They are not two separate worlds, but two
faces of one thing. When jihokkai and rihokkai
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are combined together as one, the individual
things and emptiness become one. In the fi nal
realm of “jijimuge hokkai,” things in the world
are independent yet maintain a harmony. Things
exist as individual entities, but they do not
prevent the existence of the other. They coexist by knowing their limits. This is the unique
philosophy of enyū 円融, yūzū 融通, muge 無礙
in kegon. How can we understand further this
deep philosophy of the relationship of the enyū
of things?
In Mahāyāna Buddhism, there is a notion
that “human beings and dharma are empty 人法
倶空.” I (subjective self) and dharma (objective
being) are all empty. It shows that all dharma are
empty. In other words, the causality that things
are empty is at the same time as the emptiness
awaken when the subjectivity of the subject
becomes self-less 無我. It brings the following
question: what is the structure of moment in the
presentation of enyu, when I and the dharma are
The logic of engi(縁起) is not the same as
the formal logic of identity. The formal logic of
identity is the logic of the objective world. The
logic of the world of engi is the logic that breaks
down the logic of the standpoint of objectivity,
or the formal logic of identity. This logic can be
found in “emptiness is form; form is emptiness”
or “one is many, many is one.” Why this logic
is emphasized in Mahāyāna Buddhism? It is
because it stands and thinks from destroying
the position of subject-object dichotomy. It is a
way of expression when all objective thoughts
such as thing, man, self are destroyed, it comes
the standpoint of a “self” cannot be objectified.
Here all the beings are no longer objects 対象
or objectified thing 客体 from my perspective.
Things exist as they are. We see the beings
as being; we see the shinnyo 真如 directly.
For example, Nishitani suggests the notion
of the “realistic awakening of reality, that is,
realization of ultimate reality実在の実在的自
覚.” It is the standpoint of yuishiki mukyo 唯識
無境 in Yuishiku School.
In case we know our own self, it is a
reflective act in which the self is objectified. It is
to know thing by projecting oneself to the plane of
consciousness. Here, there are the knowing I and
the known I. The known I in reflection is not the I
as such, but a I objectified 対象化 and ideated 観
念化. The authentic I is the I at present, a subject
as such who reflects and sees the objectified I.
To grasp the present I as such is not to objectify
the subject and reflect on it, but to intuit the living
self as such. It is to return to the state before
reflection or differentiating. The differentiation of
subject and object in pure experience is the “nondiscriminating wisdom 無分別智” in yuishiki唯
識(Weishi). As firstly explained by Vasubandhu
世親 in his work Vimshatika『唯識二十論』, the
yui 唯of yuishiki means to negate any object 境.
There is no such thing as objectified object. To
know there is no such object is yuishiki.
However, even in yuishiki there is a knowing
subject who realizes one’s self. In this sense,
knowing 識 has the nature of non-knowing 非識.
To put it another way, knowing has its object in
presenting oneself. It becomes one with this object
in nothingness. Knowing does not objectify the
object; rather, knowing becomes the object and
knows the object. It is to know the object as it is,
in which object has the nature of non-knowing.
Becoming the object, it does not mean object is the
subject facing the position, but to know the object
from within the object. Alternatively, the object
is known without being objectified by the subject.
It is a matter of self-knowing or self-awakening
of the object. Here, the object is presented as it
is, and it becomes the object of “yuishiki mukyō
唯識無境.” Meanwhile, it also becomes “yuikyō
mushiki 唯境無識.” That is, to see the thing as it
is. Even in beings such as grass, tree, insect or
fish, there is a reality of the self that cannot be
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(ultimate reality). Emptiness, jissō and shinnyo
are synonyms. In Prajñāpāramitā Sūtra『
般若経』, there is an expression of “form is
emptiness(色即是空); emptiness is form(空
即是色).” According to the wisdom of Prajna,
jisso and shinnyo are not objects. They are
nothing but themselves. For such a wisdom,
to know jissō and shinnyo is to know itself. A
wisdom and jissō are one body. For the wisdom
truth is revealed as it is. Every being becomes
emptiness, while the nature is revealed as it
is. This is the meaning of “Emptiness is no
different from form; form is no different from
speaking, “emptiness” acts by encompassing
the all being of “form” in absolute nothingness,
while it reveals the authentic nature of the all
being of “form.” Beside, this simultaneity is a
feeling of self identity arising from the place
where subject and object are not differentiated.
Emptiness is therefore not a mere void; rather,
it is a fundamental act that all beings projected
to their original place. “Emptiness” is absolute
nothing is a sense that all beings are absorbed
by the absolute nothingness in itself, but it is an
open act that has never ends infi nitely. Here, the
self identity of absorbing and opening should be
to know itself is, so to speak, for the jisso to
know itself. In other words, it is the “realistic
self-awakening of the reality.” In Mahāyāna
Buddhism, it is the “double emptiness of
human being and dharma(人法二空).” Here, to
know and being known is the same. Reality as
the notion of soku in “Emptiness is form; form
is emptiness.” Nishitani calls this position of “kū
空 and soku 即” as “free opened space 自由な開
け.” He emphasizes the openness of the world of
poetic image, or “the emptiness as passion 情意
としての空”, which is before logical thinking.
objectified. The wisdom of the yuishiki mukyō as
yuikyō mushiki is the “hannyaharamitsu 般若波
羅密,” or the wisdom of Prajna.
The notion of “emptiness” means the
absence of all object 対象. Meanwhile, it refers
to the wisdom of the absence of object. This
wisdom is the wisdom of knowing the essence
of thing without objectification, which means
jissō 実相(true reality) or shinnyo 真如
Tang, Yongtong,『漢魏兩晉南北朝佛敎史上冊』Kan-gi-ryōshin-nanbokucyō bukkyōshi jōsatsu, Zhonghua Publisher, 1955, p.333; Shimada Kenji島田虔次,「体用の歴史に寄せて(Tai-yū no rekishi ni yosete)」
究』.Cyūgokusisōshi no kenkyū, Kyōto University Press, 2002, p. 303.
Shimada Kenji,『朱子学と陽明学』Shushigaku to Yōmegaku,(The Zhu Zi School and the Wang Yang-ming School), Iwanami Shinsho, 1985, p. 5.
Translation by James Legge : The Original Chinese Texts of The Work of Laou-Tsze, The Great Learning, The Doctrine of
the Mean with their Japanese Translations & Notes, 『英和双訳 老子・大学・中庸』, 二三子堂書店 , 1933
『西田幾多郎全集』第1巻, Nishida-kitarō Zensyū(NKZ)Vol. 1: 129-130. Iwanami Syoten
Translation by James Legge, op.cit.
NKZ 9: 19.
NKZ 9: 230.
NKZ 1: 9.
NKZ 1: 52, 22, 48.
NKZ 1: 23-24.
NKZ 3: 429.
NKZ 10: 320.
Tanabe Hajime,『正法眼蔵の哲学私観』 Syōbō Genzō no tetsugaku-shikan. 『田邊元全集』第五巻, Tanabe Hajime
Zenshū, Vol. 5. 筑摩書房 Chikuma Shobō, 1963.
NKZ 10: 317, 325. 662.
NKZ 10: 316
NKZ 10: 325
NKZ 10: 316
Nishitani’s major works include What is Religion 『宗教とは何か』and Position of Zen『禅の立場』. His collected works (26
vols.) are published by Sōbunsha 創文社. Nishitani Keiji Chosakushū, Vol. 10, & Vol. 11, Sōbunsha, 1987. 『西谷啓治著作
集』第10巻, 第11巻. In this paper, I will only introduce his philosophical thoughts instead of mentioning all his works.
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Prof. Dr..Katsuhito Inoue. Characteristics of Eastern Thought and the Philosophy of Kyoto School
See, Nishitani’s important paper, “空と即(Kū to Soku)”. Nishitani Keiji Chosakushū, Vol. 13, Sōbunsha, 1987.『西谷啓
治著作集』第13巻. 創文社
Восточное мировоззрение
и философия школы Киото
Профессор Кацухито Иноуэ
Кансайский университет
(Осака, Япония)
Может показаться, что современное западное мышление заключается в философии
наблюдения, которая характеризуется сохранением дистанции по отношению к вещам.
Прямо противоположным является мировоззрение Восточной Азии, которое заключается в
чистом опыте, где нет разделения на субъект и объект. Например, японский философ Нисида
Китаро(西田幾多郎, 1870-1945) часто использует фразу «mono-to natte-mi, mono-to nattehataraku,(物となって見、物となって働く)», которую можно перевести как «Смотри, становясь
вещью; работай, становясь вещью». Смысл фразы заключается в том, что для того, чтобы
увидеть мир чужими глазами, необходимо проникнуть внутрь такого смотрящего. То
есть в отличие от западного объективного логического мышления Нисида искал в основе
восточной мысли философию полного становления «вещью». Другими словами, чтобы выйти
за пределы своего «я», находясь в реальном мире, который окружает это «я», необходимо
переместиться в реализованную плоскость, где становится понятно, что «я» сделано
из ничего. В этом смысле точка зрения Нисиды связана с так называемым ”ko-wu, chihchie”(знанием, которое постигает все вещи「格物致知」) в “Ta-hsüeh”(Великое учение『大
學』). Таким образом, ссылаясь на философию Нисиды, мы можем увидеть, что невозможно
рассуждать, противопоставляя друг другу собственное «я» и мир, субъект и окружение и
аналогичные противоположные друг другу дуализмы. Скорее, оба понятия рассматриваются
не иначе, как противоречащие друг другу, диалектические и относительные ( sōsoku-teki相即
的) и определяются «топологически» (basho-teki 場所的). Это значит, что противоположно
тому, как западный взгляд на мир рассматривает мир отдельно от личности, в философии
Нисиды личность рассматривается с точки зрения мира, т.е. глазами вещей.
В качестве более раннего примера, демонстрирующего восточную вертикальность, Чэн
Миндао (程顥1032-1085) пропагандировал то, что он называл «небо и земля в одном теле»(天
Необходимо обратить внимание на тот факт, что осмысление человечеством себя основано
не на наблюдениях, а на физиологических чувствах. Прежде чем мы смотрим на объективный
мир, мы вступаем с ним в контакт физиологически. Обычно мы живем с чистым и прямым
опытом. Еще нет деления на субъект и объект, а знание и его объект абсолютно едины.
Это самый чистый вид опыта. Чжаолунь (僧肇374-414)в своей работе Чжаолунь 『肇論』
говорит, «Небо и Земля имеют одно происхождение. Все мы существуем и являемся частью
одного целого». Так же рассуждает Чжуан-цзы(荘子)в Чжуан-цзы『荘子』, «Небо и Земля
сосуществуют в нас, все, что есть во Вселенной, связано с нами».
Ключевые слова: Нисида Китаро, чистый опыт, небо и земля в одном теле, неоконфуцианство,
дух расширения знаний и исследования вещей, логика постоянной трансцендентности,
трансцендентное, пробуждение веры в махаяну, зеркало, которое отражает себя, абсолютное
место небытия.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1423-1432
УДК 78.01 (470)
Reflection of the Main Directions
Didaskal Feodor Krest’ianin’s Creative Activity
in Monuments of Writing XVI–XVII Centuries
Nicolai P. Parfentiev*
Southern-Ural State University,
76 Lenin’s, Cheliabinsk, 454080 Russia
Received 14.02.2013, received in revised form 02.06.2013, accepted 17.09.2013
Sources indicate that Feodor Krest’ianin was one of the most outstanding representatives of
professional musical art of Russia XVI – the beginnings XVII centuries. It is no mere chance that the
Russian tsars, starting from Ivan the Terrible, entrusted him with teaching and looking after their
singing diaki, members of the Sovereign’s court choir. Records made by one of the singers (Anonymous
Diak) can reveal the very essence of Feodor Krest’ianin’s mastery of creating his own chants and
“razvods” (explanations by writing simple neumatic signs the melody lines of complicated ciphered
(closely code) neuma formulae inscriptions) in terms of canonical art as well as it can allow to present
some of the didascalos’ teaching techniques. Active work to create razvods of compound neumes,
formulas and «the wise lines» is a special kind of creativity and the emerging theory of individual
authorship. Without the restoration of a theory and its application in the analysis of author’sabout
chants it is impossible to get correct conclusions about the originality of the works of leading great
masters of Russian medieval music. The article describes a method of reconstruction of such theory
and presenting it in the form of musical ABC of Feodor Krest’ianin.
Keywords: medieval music, ancient (old) Russian musical – written chanting art, data on theory and
activity of chanting masters, author’s creativity, Feodor Krest’ianin.
Work is executed at financial supported The Russian Humanitarian Scientific Fund, project
Historical conditions in Russia of XVI
century have prepared growth in a society of
interest to creativity of musical – written chanting
art’s masters. Ancient historical writings, musical
theoretical treatises, remarks accompanying the
chants in the chanting manuscripts show, that the
special aura of reverence surrounded the name
of Moscow master Feodor Krest’ianin. Studying
of this composer’s (raspevschik’s) and teacher’s
(didaskal’s) life and activity show, that he was
one of the most outstanding representatives of
professional – musical art of Russia XVI – the
beginnings XVII centuries (Parfentiev, 2009,
403-414). Here we will focus on consideration of
his creative activity as didaskal (theorist, teacher),
reflected in the old manuscripts.
Among the narrative sources one cannot but
mention «Foreword, from which and from what
time the beginning was of eight-echoes chanting
in our Russian ground». From this historical
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Nicolai P. Parfentiev. Reflection of the Main Directions Didaskal Feodor Krest’ianin’s Creative Activity in Monuments…
writing we get to know Feodor Krest’ianin’s
early life. These data can be characterized by
high authenticity as far as they can be proved
by other sources, even some documental ones.
“The Foreword” says that Krest’ianin “told his
pupils that in Novgorod the Great there were old
masters Sava Rogov and his brother Vasily”. The
outstanding Savva Rogov’s pupils are Feodor
Krestyanin, Ivan Nos and Stephan Golysh.
“Ioann Nos and priest Feodor Krest’ianin lived
during Ivan the Terrible’s reign and even in his
favorite village in Aleksandrova Sloboda”. The
same source reads that later Krest’ianin “was
here, in the reigning city of Moscow, and sang
znamenny chant and taught others to do it and his
work is still glorious” (RNB. Q.1.1101, 201).
Feodor Krest’ianin’s entire creative life was
connected with the best Russian masters of chant
art – the tsar’s singing diaki. When the court
moved to Moscow Krest’ianin starts his service
in the Tsar’s court Blagoveschensky Cathedral.
Being a priest and a chant master who had a good
command of chant art he also starts teaching the
tsar’s singers. During a long period he created
chants for this choir and taught young singers.
His authority of a singer and a didascalos was
enormous among the diaki, he was called the
teacher, the master. At the court his common
nickname “Krest’ianin” (Peasant) was replaced
by “the Christian” definition common to all
The character of Feodor Krest’ianin’s
activities can be traced by the extant chants
and their fragments made by one of the singers
(Anonymous Diak), they contain rather extensive
comments. These records are in Russian State
Archives of Ancient Acts (RGADA). The
records date back to 1598–1607 and cover the
final period of the master’s life. This work can
reveal the very essence of Feodor Krest’ianin’s
mastery of creating his own chants and “razvods”
(explanations by writing simple signs the melody
lines of complicated ciphered or so-named closely
coded neuma formulae inscriptions) as well as
it can allow to present some of the didascalos’
teaching techniques.
The most part of their life the singing diaki
were likely to spend at the court. There was
existed a special “singing chamber” where the
diaki stayed during their free time. In this chamber
the singers had a rest and continued their work
enlarging their repertoire, copying chant books
and studying the chanting with their master’s
help. Here they were given food and drinks, here
they were preparing state chanting manuscripts
(books). As far as teaching young singers of chant
art is concerned it was done in a different place
with the participation of the most experienced
singing diaki. (Parfentiev, 1991, 103).
Most probably Feodor Krest’ianin’s duties
included not only teaching young singers but also
assistance and guidance in various activities of
the choir. For this reason the master supervised
the diaki’s writing in their special copybooks
(RGADA. Holding 188. Inv.1. №1573, 86, 161,
165, 220, 365, 366). Here Krest’janin worked
together with the most experienced singing diak
who himself could be called a master. The above
mentioned records of the Anonymous Diak
convey a lively atmosphere that reigned in the
singing chambers. Let us have a look at some days
from Krest’ianin’s life as a teacher or didascalos.
November, 27, 1598. Under the direction
of Feodor Krest’ianin the diaki were working
at znamenny chants for mastering complicated
formulae as well as special master signs, that
were common in the community of the singing
diaki at that time and specified the pitch of the
neumatic signs (low, high, higher etc) and some
nuances in the melodic development of the chant
(rapidly, loudly, steadily, lightly, quietly etc).
As an example the end of the
chetverodesiatnitsu” of the eighth mode was
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performed – the line «Prihodya vo imya Gospodne
tsar Izrailevo» – with an extensive inner syllabic
singing of the last word consisting of 59 neumatic
signs. The Anonymous Diak quotes the master
who told his pupils then: “This fita is loud-voice”
(RGADA. Holding 188. Inv.1. №1576, 1). The
doxastikon was usually performed on Lazarus’
Saturday, on the eve of Palm Sunday, on the
sixth week of the Great Lent, – i.e. in spring. Its
performance in November was done apparently
for the sake of training.
Close study of old chant books brings us
to the conclusion that copies of the doxastikon
with razvod’s appeared only in the beginning
of the 17th century. Earlier chants had another
fixation in the form of a sequence of concise
complicated encrypted (closely coded) neuma
formulas. Singing and teaching practice forced
the didascaloi to impart not only oral skills of
singing these difficult melodic formulae but
also writing skills of copying their razvods
(explanations) in chant books. The author’s
peculiarities of these writing razvods were greatly
appreciated not only by pupils and therefore they
became one of the leading artistic principles of
the “raspevshiks” (old-Russian chant composerssingers) (Parfentieva 1997: 21 et al.). The chant
versions of the doxastikon which have the author’s
peculiarities, various interpretations of razvods
appeared in Feodor Krest’ianin’s time. Note that
while the melodic content of all variants of the
final line was different from the «Krest’ianin»
version. This gives us reason to believe that the
master showed the court singers his own formula
(so-named fita) razvod.
The diaki were likely to sing two gospel
sticherons as well right after the singing of
the doxastikon on that very day, November,
27, 1598 – the 5th and the 10th ones (the 5th and
the 6th modes respectively). Both chants are
recorded in great detail. It is a well-known fact
that Feodor Krest’ianin is the author of one of
the musical versions of “The Gospel Sticherons”
stylized as the Bolshoy (Great ) Znamenny Chant
(Brazhnikov, 1974). That is why there arises
the question whether the singing diaki were
performing Feodor Krest’ianin’s variants of
The comparative analysis of the record
published by M. V. Brazhnikov (the so-called
Krest’ianin’s interpretation in recording of the
17th century) with the records of the Anonymous
Diak (the 5th and the 10th sticherons of 1598)
shows that both variants present one and the
same razvod formulae structure of the chant.
Krest’ianin’s version here is characterized by
unique peculiarities that variety within some
formula. The nature of those differences with the
earlier variant of the Anonymous Diak still points
at the fact that both variants belong to the same
chant school. They are likely to present different
stages of the author’s version of chanting “The
Gospel Hymns”. Thus, in 1598 the singing diaki
practiced various formulae and specific neumes
of the 5th and 6th modes on the basis of “The
Gospel Hymns”, which were created with the
help of Feodor Krest’ianin (otherwise – by him
There is another example of March 21, 1600.
On this day in connection with the upcoming
Easter Feodor Krest’ianin performed the Hymn
to the Theotokos «Shine, shine, New Jerusalem».
The Anonymous Diak recorded this chant with
the comment: “Krest’ianin sang on March 21,
1600 (RGADA. Holding 188. Inv.1. №1585: 1).
Unfortunately, it is not clear whether Krest’ianin
performed his own version. Thus, we get the
following. While preparing for the Easter
celebrations Krest’ianin and the Anonymous
Diak specified the chant of the Hymn to the
Theotokos. For its performance they chose a
complicated melismatic singing in the style of
Demestvenny Chant written in usual znamenny
(not demestvenny) neumatic notation. The
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Anonymous Diak compared it with the earlier
version of Krest’ianin’s chant and made one more
revised variant which was to be followed by the
pupils «on the advice» of the master Krest’ianin
himself (Parfentjev and Parfentjeva, 2006, 108109).
It should be noted that the text of the hymn
to the Theotokos had numerous musical versions
in different styles and notations. Such abundance
of versions points at the specific attitude of the
chanters to the performance of this chant on
Easter and the creative freedom, as well. The
Anonymous Diak’s variants are quite scarce.
We can see that on the whole it is one and the
same variant which was quite popular among
the singing diaki and belonged to the tradition of
the tsar’s choir (this fact does not exclude Feodor
Krest’ianin’s authorship either who has worked
here for decades under five Tsars).
Thanks to the draft copies of the manual
made by the Anonymous Diak we can assume
that he was a professional singing diak, a true
successor of Feodor Krest’ianin. His knowledge
was very deep, his methods of teaching combined
theory and practice. In his manual the Diak
presents the razvods basing on the text edited
under Krest’ianin’s direction. At the same time
the Anonymous Diak acts as an artistic person
and allows some deviations from the main text
which results in the diversity inside the formula
razvods. This slight diversity points at the vitality
of singing practice and reflects the endless
creative search of the musical theoretical thought.
It lies in the framework of Krest’ianin’s tradition
which serves the basis of the tsar’s choir activities.
(Parfentjev and Parfentjeva, 2006).
During his lifetime Feodor Krest’ianin was
known not only as a renowned master and teacher
but also as an outstanding musical theorist.
Teaching the tsar’s singing diaki and mastering
his art, Krest’ianin started as many other
didascaloi to create and write his own lengthy
musical razvods (explanations, instructions
which must indicate a melodic movement) of
the elaborate and compound neumatic ciphered
formula inscriptions. The ability to understand
the musical meaning of ciphered neumatic
formulae was an obligatory requirement for the
masters who teach. In exceptional cases special
reference books were formed. M. V. Brazhnikov
in the manuscript of the first half of the 17th
century found a document “Fity razvodnye,
Krest’ianin’s variant” which comprised razvods
of formulae (popevkas, litsos and fitas) made
by the outstanding singer for some chant books
(RNB. Pogodin № 1925, 183–194; Brazhnikov,
1974). Some variants made by Feodor Krest’ianin
can be found in reference sections of various
chant books of the 17th century.
The master’s professional erudition was
based first of all on his ability to restore by heart
and write by simple neumes the melody of a great
amount of formulae. This formula fund made up
the author’s ABC which reflected the theoretical
basics of his creative work. Studying the great
master’s works is impossible without mastering
all the peculiarities of his formulae razvods. That
is why starting to investigate Feodor Krest’ianin’s
legacy one should bring together all his
authorship formulae razvods found in different
sources, define their peculiarities and compare
them with the same formulae interpretations of
other masters. These peculiarities obtained with
the help of the formula analysis should be taken
into account while attributing, analyzing and
deciphering Feodor Krest’ianin’s chants. The
author’s chanting ABC book – the collection of
neumes, popevkas, litsos, fitas, etc as well as “the
wise lines” – should serve the main tool of this
analytical work.
Feodor Krest’ianin’s ABC book of the
Znamenny chant presents the most extensive
collection of melodic formulae. It was restored
on the basis of the 17th century manuscripts
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–reference books, including the master’s “Fitnik”
and his author versions of chants. The structure
of this ABC follows the composition of the oldRussian chant references of the 17th century and
is formed according to the ascending principle
of theoretical knowledge — popevkas, litsos,
fitas. In each part of the ABC the formulae are
grouped according to their mode – “glas”. Each
separate formula in ABC is given in one column
in the form of the ciphered specific inscription in
another – in the form of its razvod-explanation.
Where it is possible the razvod is deciphered and
transcribed into the modern linear notation. The
ABC is accompanied by the index of sources for
each of the formulae.
Thus, the main collection of Feodor
Krest’ianin’s “popevkas” in ABC is based on
the profound theoretical treatise of the early
1670-s “Notification for those who wish to
study chanting” written by Alexander Mezenets
(Alexander Mezenets, 1996). A number of other
“popevkas” is reconstructed on the basis of
chants in the master’s variant (Parfentieva 1997:
230–234). However, besides “popevkas”, Feodor
Krest’ianin created his own razvods for litsos and
fitas formulae.
The above-mentioned reference book “Fity
rozvodnye, Krest’ianin’s interpretation” includes
the fitas from the Octoechos, Festive collection of
sticherons, Hirmologion, Gospel sticherons, etc.
At the same time this reference book contains
“litso” formulae. All in all there are 35 of them.
Besides this theoretical manual the rich material
on the litso formulae reconstruction of Feodor
Krest’ianin’s ABC book is contained in the
chant doxastikons “Vo vertepo voselilsya” and “
Davyd provosglasy” and the cycle “The Gospel
Sticherons”. The method of determining the
uniqueness of the formulae and complex neumes
author’s razvods which with a high probability
allow to consider these razvods as specific features
of the creative master, whose name is indicated by
work, was developed by N.V.Parfent’eva. Thus,
not only theoretical reference book of Krest’anin,
but his works of authorship provided material for
the reconstruction of the ABC section of litso
formulae. (Parfentjeva, 1997, 230-250).
In accordance with the tradition of compiling
old-Russian musical theoretical manuals the
fita list also finishes Feodor Krest’ianin’s
ABC. It is common knowledge that fita and litso
formulae are similar phenomena that is why the
reconstruction method can be the same. This
section is supplemented by the list of fita formulae
from “The Fitnik” made by Feodor Krest’ianin.
The analysis of fita formulae from Feodor
Krest’ianin’s “Fitnik” brought N. V. Parfentieva
to the conclusion concerning the theoretical base
of fita structure in general. It was proved that
the razvod (interpretation) of fita was “made up
of separate blocks, the chanter while writing it
was working not on the separated neumes level,
but on the level of block constructions”, that
the compositions of all fitas under analysis are
compound and that the razvods-interpretations
of different fitas may coincide on the block
level (Parfentieva 1 subsequently 990, 137–138;
Parfentiev and Parfentieva, 1993, 239 etc.). The
same results were obtained subsequently by
Z. M. Gusseinova (Guseinova 2001, 144).
It should be noted that this method of
reconstructing the ABC as a theoretical base of
the master’s creative work demands close study
and precise following the verbal text of original.
This circumstance is of high importance here,
as it allows to define the borders of formula
razvods-interpretations in a proper way and
excludes all possible mistakes. It becomes even
more significant during the fita reconstruction.
One more technique which allows to restore
and define formula borders is the comparison of
these formulae razvods with analogous formulae
razvods in the chants to which they refer. The
sources prove that old-Russian chanters while
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compiling their reference books took the formulae
from the chants and marked the sources. In Feodor
Krest’ianin’s “Fitnik” there are the names of
chant books, church services and genres of chants
where from the formulae were taken. However
this information sometimes needs specifying.
Thus, starting the contrastive analysis of the
formulae in “Fitnik” and “Gospel Sticherons” in
Feodor Krest’ianin’s interpretation, one should
define them and single them out not only in the
theoretical manual and all the 11 sticherons,
but also restore the missing ciphered formula
inscriptions. For the formulae under analysis one
should define their stylistic peculiarities as the
formula composition in the works of various styles
is different. The analysis proved that the formulae
in the “Fitnik” and the formulae in the “Gospel
Sticherons” in Feodor Krest’ianin’s interpretation
differ: one and the same hymnographic text has
different neumatic inscriptions and razvodsinterpretations. Their contrastive analysis is
impossible. As it turned out, Feodor Krest’ianin’s
“Fitnik” contains some formulae which were
taken not from his author “Gospel Sticherons”
which belong to the Bolshoy (Great) Chant, but
from different ones – the Small Chant. These
sticherons cycles of various styles differ from
each other on the structural level. (Parfentieva,
2004, 37-50).
Feodor Krest’ianin’s “Fitnik” and a great
amount of formulae he used in the chants point at
the master’s encyclopedic erudition and extensive
knowledge of the Znamenny chant theory. One
more encyclopedia of the Great Chant singing is
the above-mentioned cycle “Gospel Sticherons”
in Krest’ianin’s interpretation. The material of
this great work helped to restore 19 “popevka”
formulae, 279 “litso” formulae and 80 fita
Everything that was found and restored
in this field made up the author’s ABC of the
Znamenny style chanting which allows better
deciphering and analyzing Feodor Krest’ianin’s
works. The Znamenny style ABC contains 283
formulae in the form of inscriptions, their razvodsexplanations by simple neumes and deciphering
in modern linear notation, 157 formulae – in the
form of coded inscriptions and their razvodsexplanations by simple neumes (so far without
deciphering interpretation). Thus, there are
reconstructed 440 formulae referring to Feodor
Krest’ianin’s creative activity (Parfentieva 1997,
230–60, 273–292). The “razvod”’s (explanations)
of these formulae present his work concerning
the indication a melodic content of neumatic
formulae inscriptions. Undoubtedly, the master’s
theoretical knowledge in the field of old-Russian
art was not limited by the number of these
formulae, which he could easily interpret.
The available materials allow restoring
Feodor Krest’ianin’s ABC of the Putevoy style
chant. Among the manuscripts belonging to the
tsar’s singing diaki there was found a unique
document written by the Anonymous Diak who
recorded “The Jordanian Troparions” in the
version of the renowned master (1600). The record
presents Krest’ianin’s version of the Putevoy
style chant construction formed in the 1580-s.
It belongs to the earliest razvod writings. Before
“The Jordanian Troparions” were written in form
of neumatic ciphered inscriptions. The formula
razvods-interpretations are made on the level of
variability inside the formulae in the Stolpovoy
On the base of the neumatic manuscripts it
became possible to restore the formula structure
of the sticherons. The restored neume coded
inscriptions together with Feodor Krest’ianin’s
razvods-interpretations by simple signs given in
the form of the table present the restored ABC of
the Putevoy chant. The ABC consists of formula
inscription, its interpretation and deciphering
according to the manuscripts of the second
half of the 17th century which had the cinnabar
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marks and signs. All in all the ABC contains 51
formulae. Some fitas are used several times but
they have variants of inscriptions. The reference
book contains 10 fitas. The rest formulae refer
to the “popevka” (Parfentieva 2006, 186–197).
Thus, thanks to the performed reconstruction
of the Putevoy Cnant ABC one can assess the
theoretical knowledge of the chanter in the field
of a new, more complicated style. He could
easily interpret the Putevoy chant inscriptions by
means of the Stolpovoy notation, imparting his
knowledge to his pupils –the tsar’s singing diaki.
The new sources of Putevoy chant interpretation
performed by the master will further allow to
supplement this ABC.
The next phenomenon in Feodor
Krest’ianin’s musical and theoretical legacy is
the Demesvenny ABC of chanting. The text of
the chant “Da molchit vsyaka plot’” [Let any
flesh keep silent] found in the chant manuscript
of the late 16th – early 17th century with the mark
“Krestyanin’s interpretation” serves the material
for the reconstruction (GIM. Synod.-Pevch. №
1357, 23–24).
In the earliest period of its existence (the
1480-s – the beginning of the 16th century) the
chant “Da molchit” was usually fixed in two ways:
in the form of coded neumatic formula Stolpovoy
style and coded neumatic formula Demestvenniy
style. Graphically both variants differ a lot but
contain the same number of formulae – 32. They
do not have fita formulae or any information
concerning different modes. The next stage in the
development of chanting takes place in the 16th
century. The most stable, typical variant of this
century appears on the base of the previous one
in the Stolpovoy fixation (archetype). The typical
chant copies are well-known due to the great
number of the 16th century manuscripts.
On several grounds chant is identified as
demestvenny (Parfentjeva, 2007, 214-218). All
in all there are 34 formulae in the Typical chant
(because of trebling the Hallelujah). To sum up,
the typical variant is a new graphical type of
the chant record, which took the formulae of an
earlier archetype. The majority of the formulae
are correlated as the inscription (archetype)
and the razvods-interpretation (typical variant).
By the 1580-s the amount of interpretations
began growing. In the 1590-s there appeared
the first interpretation of the chant “Da molchit”
which almost fully corresponds to Krest’ianin’s
graphical variant. At the turn of the 16th – 17th
centuries this interpretation variant was widely
spread in the manuscripts, but the attribution
mark (Krest’ianin’s interpretation) can be found
only on one of them (GIM). Other texts of that
time are either identical or similar to the given
interpretation variant made by Feodor Krest’ianin
(Parfentieva 2007, 220).
Besides Krest’ianin’s interpretation at the
turn of the 16th – 17th centuries there appeared
numerous interpretations of the chant “Da
molchit” in the other author’s versions. The
special research proved that all of them came
from the typical chant in the form of its graphical
modification. The existence of these variants
allows us to distinguish the peculiarities of
Feodor Krest’ianin’s interpretation (Parfentiev
and Parfentieva, 1993, 127-132).
As we can see Krest’ianin’s chant appeared
on the base of the typical variant which in its
turn absorbed the archetype tradition. The
research resulted in the reconstruction both
of the inscription variant (according to the
typical variant and sometimes the archetype)
and formula razvods-interpretation from
Feodor Krest’ianin’s chant. Consequently the
reconstruction of Krest’ianin’s Demesvenny
ABC was performed. There are 34 formulae in it
so far, they are given in inscriptions and razvodsinterpretations. Following Alexander Mezenets’
tradition we presented Feodor Krest’ianin
interpretations in juxtaposition with Stroganov’s
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(ussol’e) masters’ razvods-interpretations of the
same formulae inscriptions. Differences in these
variants occur in the framework of variability
inside the formula. The ABC contains the linear
notation variant of interpretations made by the
manuscripts of the late 17th century (Parfentieva
2007, 225–231).
The reconstructed ABCs of the Znamenny,
Putevoy and Demesvenny styles of chants
containing such an impressive material are
evidence of Feodor Krest’ianin’s own theory of
music recorded in the 17th century manuscript
The study of Feodor Krest’ianin’s life and
work as a didascal proves that the master was
one of the most renowned representatives of the
professional musical art in the late 16th – early
17th centuries Russia. His natural gift, deep
knowledge in the field of church-singing theory
gave rise to the development of his own artistic
career and brought him fame and recognition
among the contemporaries. It is no mere chance
that the Russian tsars, starting from Ivan the
Terrible, entrusted him with teaching and looking
after their singing diaki. Krest’ianin’s author
razvods-interpretation of the coded inscriptions
of formulae not only facilitated the mastering
of the singing repertoire but also formed the
ABC of the master which included formulae
and their interpretations in all the existing
styles (Znamenny, Putevoy, Demestvenny). The
restoration of this ABC allows deciphering and
studying originality Feodor Krest’ianin’s works
with great authenticity. It is of great importance
as far as many of the master’s works are to be
studied in the future.
1. Alexander Mezenets i drugie. Izveschenie… zhelaiuschim uchit’sia peniyu. 1670. Publikatsiya,
perevod i issledovanie N.P. Parfentieva; commentarii Z.M. Guseinovoi. [Alexander Mezenets and others.
Notification… to those learning to sing. 1670. Published, translated and studied by N. P. Parfentiev;
comments by Z. M. Guseinova]. Cheliabinsk, 1996. 584 p.
2. Brazhnikov M.V. Fedor Krest’ianin. Stikhiry [Feodor Krest’ianin. Sticherons]. Pamiatniki
russkogo muzikal’nogo iskusstva. Vip. 3. [The monuments of the Russian musical art. Issue 3]. Moscow,
1974. 247 p.
3. Guseinova Z.M. Fitnik Fedora Krest’ianina [Fitnik of Feodor Krest’ianin]. St. Petersburg,
2001. 188 p.
4. Parfentiev N.P. Professional’nye muzykanty Rossiiskogo gosudarstva XVI–XVII vekov.
Gosudarevy pevchie diaki i patriarshye pevchie diaki i podiaki. [Professional Russian musicians of the
16th–17th centuries. The Tsar’s singing diaki and the patriarch’s singing diaki and podiaki]. Cheliabinsk,
1991. 446 p.
5. Parfentiev N.P. About Activity of Feodor Krest’ianin – the Master of Musical-Written Art
of XVI – the Beginning XVII Centuries. Journal of Siberian Federal University. Humanities & Social
Sciences. 2009. V.2 (3). P. 403–414.
6. Parfentieva N.V. О nekotorykh osobennostiakh avtorskikh razvodov fit (po pevcheskim
rukopisiam XVII v.). [Some features of author’s razvods-interpretations of fitas (by chant manuscripts
of the XVII century)] Muzikalnaya kultura Srednevekov’ia. Vip.1. [The musical culture of the Middle
Ages. Edition 1]. Moscow,1990. P.133-140.
7. Parfentieva N.V. Tvorchestvo masterov drevnerusskogo pevcheskogo iskusstva [The
masters’creative works of the old Russian chanting art]. Cheliabinsk, 1997. 340 p.
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8. Parfentieva N.V. О metodakh issledovaniya myzikal’no-teoreticheskikh osnov tvorchestva
Fedora Krest’ianina (XVI v.) [Methods of study of the theoretical foundations of Feodor Krest’ianin’s
musical creativity (XVI century)]. Traditsii i novatsii v otechestvennoy dukhovnoy culture [Traditions
and innovations in the national spiritual culture]. Cheliabinsk, 2004. P.37-50.
9. Parfentieva N.V. Formul’no-intonatsionnaya azbuka moskovskogo raspevschika XVI veka
Fedora Krest’ianina [Formula-intonation ABC of Moscow raspevschik –composer Feodor Krest’ianin
XVI century]. Kul’tura i iskusstvo v pamiatnikakh i issledovaniiakh. Vip. 4 [Culture and art in
monuments and researches. Edition 4]. Cheliabinsk, 2006. P.186-197.
10. Parfentieva N.V. K rekonstruktsii avtorskoi formulno-intonatsionnoi azbuki demestvennogo
raspeva moskovskogo mastera Fedora Krest’ianina (um. ok. 1607) [The reconstruction of author’s
formula-intonation ABC Demestvenniy style of Moscow master Feodor Krest’ianin )( +1607)]. Kul’tura
i iskusstvo v pamiatnikakh i issledovaniyakh. Vip. 5 [Culture and art in monuments and researches.
Edition 5]. Cheliabinsk, 2007. P.212-231.
11. Parfentiev N.P., Parfentieva, N.V. Usol’skaya (Stroganovskaya) shkola v russkoy muzike
XVI–XVII vv. [Usolye (Stroganov) school in the Russian music of XVI-XVII centuries]. Cheliabinsk,
1993. 348 p.
12. Parfentiev N. P., Parfentieva N. V. Khronika tvorcheskoi deiatel’nosti Feodora Krest’ianina v
1598–1607 gg. [Chronicle of Feodor Krest’ianin’s creative activity in 1598-1607]. Kul’tura i iskusstvo
v pamiatnikakh i issledovaniyakh. Vip. 4 [Culture and art in monuments and researches. Edition 4].
Chelyabinsk. 2006. P.100-129.
– Gosudarstvenniy Istoricheskiy Muzey [State Historical Museum, Moscow]
RGADA – Rossiyskiy Gosudarstvenniy Arkhiv Drevnikh Aktov [Russian State Archives of
Ancient Acts]
– Rossiyskaja Nacionalnaja Biblioteca [Russian National Library, St. Petersburg]
Отражение основных направлений
творческой деятельности дидаскала
Федора Крестьянина
в памятниках письменности XVI–XVII вв.
Н.П. Парфентьев
Южно-Уральский государственный университет,
Россия 454080, Челябинск, Ленина, 76
Источники свидетельствуют, что Фёдор Крестьянин был одним из самых выдающихся
представителей профессионально-музыкального искусства России XVI – начала XVII в. Не
случайно именно ему русские цари, начиная с Ивана Грозного, доверяли обучение и воспитание
своих певчих дьяков, составлявших Государев придворный хор. Записи некоего Безымянного
Дьяка раскрывают применявшиеся Крестьянином как дидаскалом (учителем, теоретиком)
приемы в обучении певческому делу и при разводе сложных знаков и формул нотации,
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показывают суть его творческих подходов при написании собственных музыкальных
произведений в условиях средневекового канонического искусства. Активная деятельность
по созданию разводов к сложным знаменам, формулам и «строкам мудрым» представляет
собой особый вид творчества и складывавшуюся индивидуальную теорию «мастеропения».
Без восстановления данной теории и применения ее в ходе анализа авторских песнопений
невозможно получить верные выводы о своеобразии произведений ведущих направлений и
выдающихся мастеров русского средневекового музыкального искусства. В статье показаны
пути реконструкции такой теории и представления её в виде интонационной Азбуки Федора
Ключевые слова: древнерусское музыкально-письменное искусство, средневековая музыка,
теория и деятельность мастеров, авторское творчество, Фёдор Крестьянин.
Работа выполнена при финансовой поддержке Российского гуманитарного научного фонда,
проект №13-04-00077.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1433-1442
УДК 165.0
Paradigmatic Assumptions of Thinking in Law:
Philosophy of Science and Methodology
of Science Considerations
Csaba Varga*
Hungarian Catholic University,
H-1428 Budapest 8, Postal Box 6, Hungary
Received 05.02.2013, received in revised form 04.06.2013, accepted 09.09.2013
The article considers what is meant by fact, concept, as well as logic and thinking within the contrast
of objectivism and subjectivism, as well as their compromise in postmodernity.
Keywords: fact, concept, logic, thinking; objectivism, subjectivism.
The need for a change of paradigms
The system of co-ordinates reflecting the
potentialities of understanding brings up three
blocks of thinking tradition. The first is called
objectivism, the second subjectivism. The
third block represents some rational search for
compromise somewhere between the extreme
values. This is the concept mainly spread on
Anglo–American scientific areas, and is most
justifiable from the perspective of so-called
cognitive sciences.
All in all, as a consequence some initial
suspicions came to be confirmed, suggesting
that (1) there are no things but processes; (2) the
‘thing’ cannot be other than an aspect or snapshot
abstraction of the process; hence (3) cognition is
nothing but the function of naming; therefore (4)
description has to be regarded more as intellectual
modelling (or presentation) than ontological
reflection (or reproduction) (Varga, 1999).
Objectivism can be summarily characterised
as naive realism. Its opposite, subjectivism,
rather means just negation, a counter-trend.
They form a false alternative to one another.
The so-called modern conception is an
intermediate consideration. It is more based on
interdisciplinarity drawing from experiential/
experimental sources, reminiscent of natural
sciences, which, for instance, cognitive sciences –
psychology, linguistics, philosophy and biology,
as applied to the topic – seek to form.
Example 1: What are facts?
According to acquired conceptual traditions,
we are supposed to speak about ‘fact’ as congruent
with “objective reality”.
This conceptual congruence implies that
when speaking of “fact” we speak of reality
proper. For it is presumed that the sole thing out
of consideration is that it happened to be us to
establish this fact, thus being somehow personally
© Siberian Federal University. All rights reserved
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involved as part of the process. A NIETZSCHEan
view, on the other hand, would suggest that facts
as such are not to be found in reality at all. What
we may still find there, considering them facts,
are purely arbitrary human constructs at most.
They are rather the extrapolations of our will
aimed at power [Willen zur Macht], not more than
some sort of artificial social constructs. From
this perspective of the social process, at first,
we invent something, then, as a result, we so to
say populate the world with “facts”. Yet, this is
extrapolation proper.
However, “objective reality” is not inherent
in facts. Facts are ultimately nothing other than
relational concepts, which are recording that
in our personal existence we relate to certain
aspects of reality in given ways. Thus, the process
of “establishing facts” purports that we have
selected some part – for practical reasons, e.g.,
to serve our so-called “cognition” – from some
relative whole that we call “reality”. By this we
concomitantly give expression to the realisation
that we are somehow personally involved in
the process of claiming something to be a fact.
Accordingly, when we say “fact” we declare our
cognitive approach to some aspects of reality
selected from the total whole regarded as reality
(Varga, 1995, ch. 2, 25-55).
According to the epistemological view that
perceives the world as an aggregate of facts (this
being the so-called naive realism), the world
around us is composed of nothing but facts. Facts
are simply present in our environment, being
parts of nature. Thus, facts simply exist. They are
FRANK once made a startling remark: “For
court purposes, what the court thinks about the
facts is all that matters. For actual events …
happened in the past. They do not walk into the
court.” (Frank, 1949, 15) What does this mean?
Only an initiative to cognition can result in the
establishment of some relationship with those
facts. It would be in vain to cry out: “Hey, people!
Some fellows are killing each other here!” What
could underlie such a cry can become a fact only
through the process of cognition and through the
naming done within cognition. Thus, “facts” in
and of themselves are not parts of any trial, unless
we – only provided that we are parties to a trial at
all – take them there in the proper way and form.
FRANK’s expression also involves that facts
do not “exist” in the sense that we might ascertain
whether they prevail or not by simply observing
their existence. Hence, facts do not “exist”.
However, we can make statements about facts,
in relation to facts, on their prevalence as facts,
and so on. Therefore, from statements like “it has
been established as a fact that…” we can definitely
learn that (1) there is something with which we
have entered a cognitive relationship, and (2) we
have posited it as an element of cognition. The
mere fact is that we make statements about states
of affairs. More precisely, the fact lies exclusively
in the way and by the force of which we establish
this. So, facts are a result by the force of which
we can establish that we have entered into a
relationship with the existence of a thing, or with
the accomplishment of an event – that is, with
something the accomplishment of which is not in
the least necessary.
This is a relational concept. Hence, to be
able to talk about facts presupposes the existence
and prevalence of our establishing a cognitive
relationship with them. One of the further
preconditions is to posit them as the subject of
our cognition. Thus, when we speak of facts,
we speak of something purely objective as well
as of our subjective relationship to it. Properly
speaking, establishing a relationship between the
two actually leads to the stating of its prevalence
as a fact.
What is the meaning of the extensive and
intensive infinity of the world as termed by the
philosophy of nature? The idea surveyed above
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suggests the following option: the totality is
one total entity. That is, the totality is totally
interrelated and the separation of ‘construction’
from ‘operation’ within this totality can only be
artificial, a purposefully invented purely mental
construct. No such duality exists in “reality”, their
discretely distinct qualities being merely human
hypostases. Such a distinction can be made only
on analytical grounds, for the sake and within
the framework of our own explanation (Varga,
1995, 93, 113 & 152). In reality conceived like
this, the number and configurations of aspects,
relations and potentialities are infinite. And, as a
matter of fact, material reality does not have any
“aspects” whatsoever. “Things” of the world –
objects – simply exist and prevail. It is merely an
additional aspect that we humans eventually exist
and occasionally establish some relationship with
certain things. However, in order to establish
a cognitive relationship with things, we must
endow them with certain characteristics and
aspects. We must pick out a characteristic only
selected by us from the total context of the total
whole, isolate it as an independent bearer of some
feature(s), and then name it as such. In order to be
able to “reasonably” relate to two items we must
create some kind of “analogy” between them by
means of abstraction. Seeking such analogies is
not fictitious in the sense that the characteristics
or aspects serving as bases to an analogy are
indeed to be prevalent regardless of our actions.
But it is man-made and artificial in the sense that
the characteristic concerned is identified by a
creative human initiative through isolating those
objects from the total whole, shedding light on and
naming them. The number of feasible relations
between two stones the world is infinite, and so is
the number of possibly relevant aspects.
Social conventions, presuppositions and
paradigms undoubtedly play a role in the processes
of appropriating reality. For example, let us take
an elementary situation: what can a human do
to his partner? Within the European civilisation
we believe that there is no magic any more, and
even the description of nature can be achieved, to
the extent possible, through its “own” terms (not
presuming the direct intervention of God). The
world becomes “reasonable” due to such – and
not other – presuppositions and paradigms.
The primary consequence of this is that
we at least feel comfortable somewhere and
this is in our own culture. When in contact with
another culture, we necessarily lose the thread of
interpretation and the bases of understanding.1
For example, in a culture of magic the actors must
deal with entirely different conditions. In the
once British Commonwealth former colonisers
met plenty of situations in the tribal cultures
ruled by the principles of English law, when the
natives realised that an evil eye was cast upon
them and they were bound to defend themselves.
Since the evil eye is deadly, its threat must be just
as deadly. So, it is not by mere chance that the
defence wielded against these threats might cause
the injury of those casting the evil eye, perhaps
even (and justifiably) their death. However, the
natives had to defend themselves because if they
had not done so, they would have endangered
not only their lives but the chances of their afterlives as well. The British regarded such similar
considerations as blank superstition, which they
considered to be against the minimum conditions
of civilisation, and since it qualified as a threat
to life it deserved unconditioned punishment
(Seidman, 1966; Saltman, 1991). In sum, it is our
cultural dependence that selects the conceivable
aspects of fundamental human relations, thus,
among other things, what “can” qualify as facts.
Inasmuch as the world is infinite both
extensively and intensively, the total whole
is also wholly correlated at any given time.
Totality is totally one, that is, totally interrelated.
Consequently, the way we explain the construction
and operation of the world, and what elements we
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can use and in what configuration within it, will,
in principle, be of infinite variety. In any kind of
representation and reproduction, the variability of
elements as well as the sets of arrangements and
the configurations thereof will also be infinite. It
is our practical interests towards and our practical
relationship to the world that will select what we
elevate (isolate, identify and name) from among
The Greek concept of ‘truth’ involves
precisely such a connection. Tālethes in the
original sense means that we elevate, pick up
and hold something to the light (Kendal, 1980,
especially 2, 3, 12 & 21-22). This already
presumes some relationship. We can only
elevate, pick up and hold something to the light
if leaving everything else in its environment in
the shadow. By pronouncing tālethes we confess
that there is an agent in operation, and this is
us, subjects who want to cognise by elevating
something and shedding light on it. This agent
draws something into the range of its inquiry, but
by doing so overshadows everything else. Thus,
the classical Greek understanding of the truth
already implies, at least on an intuitive level, the
recognition that truth is based on selection. By
declaring something to be the truth we deny the
truth (taken in the same sense) of everything else.
That is to say, numerous other considerations
could also be regarded as truths, but we selected
exactly the one we needed in the given context.
Obviously, the story here is not at all about us
being hopelessly subjective. Conversely, what it
speaks about is that humans create their social
world through their practice, and they do so in a
manner continuously fed back by the results of
the same practice. Or, “social scientific theories
… are based on pretheoretical suppositions.
… They are normative assumptions about the
nature of man, the nature of society, and the
relationship between man and society.” (Israel,
1978, 63)
In consequence, what we regard as selfevident in a given context also depends on our
cultural presuppositions. We think that water is
simply composed of two units of hydrogen and
one unit of oxygen. Although, closer analysis may
reveal that in practice we know as many kinds
of water as there are various cultural uses for it.
So ‘water’ does not depend on its concept and
chemical composition, but on its practical uses
and recognised human utility as sea-water, riverwater, lake-water, brook-water, rain-water, the
water from melted ice, or the humidity gained from
collecting morning dew (etc.). In other words, it
is the social interpretation of vital (geographical,
meteorological, and further on) conditions that
determines the types of water we distinguish and
name in language. Some languages apply dozens
of distinctions to specify what the clouds, rain,
snow and ice are like, or what the water is like in
a ditch or a brook. Hence, we can by no means
state that ‘water’ just “exists”. For it is not the socalled ‘water’ that exists with such self-evident
unambiguity, but the aggregate of culturally
defined relations within the frameworks of which
water is perceived by us, actors, who share its
curses and blessings in our practice (Balekjian,
Example 2: What are notions?
The objectivist trend claims about notions
that they (1) reflect reality; (2) have clear-cut
boundaries; and (3) “objectively” correspond
with reality, (4) providing a neutral, objective, and
true perspective on reality. The subjectivist trend
claims that notions (1) can only reflect themselves,
(2) are arbitrary, (3) rely on historically incidental
social conventionalisation, and (4) build on the
continued actualisation of the respective social
practice by re-conventionalising conventions.
Let us have a look at what the so-called
naive realism says on the tenets of the objectivist
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Ad (1): Is the notion a reflection? For a naive
realist, we have reality on the one hand, and our
thinking capacity on the other, and we reflect the
former on the latter, while mentally processing
the former through the instrumentality of
language. Needless to say, we make use of our
thinking capacity through language in order to
mentally reconstruct reality: we reflect it, or at
least model it, even if somewhat transforming its
form. Patterns, however, always differ from the
patterned to some extent, but are still the same
concerning certain relevant and determinant
features. They are not mechanical or photographic
mirrors, but something to which we have also
contributed in the process of their selection and
Ad (2): Do notions have clear-cut boundaries?
For a naive realist, notions are reflections of reality
with boundaries defined by nature. By means of
rational reconstruction, science must strive to
draw the boundaries of notions as accurately as
possible. So, what we achieve through cognition
is the reflection of what has already been inherent
in the thing.
Ad (3): Do notions “objectively” correspond
with reality? When cognising, we only pattern
the construction, organisation and stratification
of reality on a conceptual plane, and, accordingly,
our notions on reality will be nothing other than
the reflections of the structure of reality.
Ad (4): Do notions provide a neutral, objective
and true perspective on reality? This assumption
suggests we should apparently be able to cognise
without having our existence (human and social
perspectives) reflected in the process of cognition
in one way or another.
What does subjectivism suggest from
the opposite positions? And, how can the
contradiction between the two extreme views be
converged into one synthetic cognitive view?
Ad (1): In philosophy, NIETZSCHE started
arguing that man – nolens volens – always speaks
of himself, projecting his own desires onto theses
of cosmic dimensions even when engaged in
theory-construction. Although we may be able
to reveal some agreement-like congruencies
between people, these still do not reflect reality
but our most intimate desires at most.
This apparent extremism of subjectivism
does not lack all truth, as far as its critical
directions are concerned. LUKÁCS once used in his
Ontology of the Social Being a rather appropriate
expression when, assessing the ontological
correspondences of cognitive images of reality,
he referred to “tendential unity”.2
There is a school of language philosophy,
which claims that language is of metaphorical
origin and nature (Lakoff & Johnson, 1980).
From among the pioneering opinions, VAIHINGER’s
doctrine of fictions claimed that we always act in
a way as if doing something else: for instance,
when we refer to a norm we actually pattern
the desirable order of reality (Vaihinger, 1911).
Accordingly, we do not (and cannot) know what
reality is, but we nevertheless make certain kind(s)
of propositions(s) about it. It is plainly enough for
us to make it conscious that we thereby merely
give expression to our belief that it would be
satisfactory if reality were like this, because it
will be enough for the successful continuation of
our practice to posit only this much about reality.
Hence, our system of concepts is by no means
a mechanical mirror linked to certain aspects
of reality either arbitrarily or exhaustively, but
an image which is concomitantly an aspect and
conceptual projection of our human relations
upon reality.
Ad (2): Since notions cannot be found in
reality, it is ourselves who treat the realm of
notions as if they had (could have) any boundaries
at all. “The ‘reality’ which we apprehend in
perception and direct intuition presents itself
to us as a whole in which there are no abrupt
separations.” (Cassirer, 1961, 141)3
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All of this by no means implies that our
notions lack boundaries or limitations. It only
means that when we debate and eventually
misunderstand each other, one of the reasons
for this may be that we use notions in different
ways. In such a case, we must clarify with
ourselves and between each other that we can
only continue our debate reasonably insofar as
we conceptually distinguish these differently
understood notions.
For instance, equality of rights is violated
by both positive and negative discrimination
amongst ones supposed to be otherwise equal.
The intervention of legal policy narrowing
the equality of otherwise equal parties may
in such cases weaken the principles of the
legal order through its practical constraints,
to fundamentalise it so as to become chaotic.
That is, in such a practical case tertium datur
on the fi nal analysis. Since between the two
extreme values – i.e., the conceptually divided
and unconditional self-identifying affi rmation,
on the one hand, and the unconditional refusing
negation (as, for instance, affi rmative action and
negative discrimination, standing for inclusion
and exclusion, respectively) – both neutrality
and well-intentioned indifference may be
wedged in.
Our presupposition that usually follows
such a clarification suggests that the boundaries
of notions have now been truly set by definitions
given this way or by some tacit means. So from
now on it appears as if notions had boundaries
indeed. Yet, the history of human discourse
proves the exact opposite, and this is one decisive
lesson of linguistic reconstruction: questions
of boundaries arise again and again, the more
unclear the notional relations which describe
things, the more often. The final outcome is
even more troublesome. As we may know from
historical experience, social and moral issues
cannot be settled once and for all. And this is so
not because humans cannot recall past events due
to their feebleness or because being natural-born
trouble-makers they even destroy their own past
as if driven by bad instincts. On the contrary: it
is a basic fact of socio-ontological importance
that in historical dimensions and in an overall
social context man never does anything in vain,
and whatever he ends up doing he does because
he feels that he must – on the basis of his usual
deliberations, sober reflexion and responsible
Let us elucidate the issue with an example
from legal history. After completing his
investigations on the driving forces of Roman
legal development, the Scottish historian of
private law WATSON launched another comparative
inquiry (Watson, 1974). He proved that we can
hardly speak of legal development proper. Man is
one of the ugliest and laziest creatures on planet
Earth: he does not create anything unless bare
necessity forces him to. And if he finally ventures
anything, he does it with minimum effort. So,
if there is any chance, he follows beaten paths,
works with ready tools, and always uses – by
adapting – the ones at hand. Therefore, he invents
something only when there is no idea or thing
available in his environment to shape further or
re-adapt. So necessity urges him to be creative, to
consider making his own move, or even to invent
WATSON’s historical justification steps from
a trivial example. Namely, on the territory of the
Fertile Crescent (in ancient Mesopotamia), the
goring of an ox proved to be a deadly danger. It
happened very often, so the question of who was
liable for the damage and what compensation
was due had to be regulated by law. Well, in this
civilisation extending over an immense territory,
all the autochtonously evolving cultures used
the same construct, the normative wording of
which (although in different local languages)
was even the same (Finkelstein, 1973; Jackson,
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1974). Looking for further proof, WATSON found
a similar example in JUSTINIAN’s codification.
For the conceptual distinctions and classification
applied in JUSTINIAN’s Institutiones – its structure
and breaking down not being self-evident or
even the sole alternative in the context of the
late Roman historical development – have in
fact become the standard pattern for internal
systematisation especially of the civil law on the
European continent. Accordingly, our entire legal
culture seems to rely on inveterate conceptual
incidentalities, random improvisations, findings,
moreover, sometimes even gross errors and
misunderstandings. For we are accustomed
to taking every ready or half-ready tool and
conceptual initiative from the treasury of the past
and simply re-adapting it if we so need, often
without any genuine critical reconsideration,
unless some strange and rather exceptional reason
forces us to act differently.
So, all phenomena, situations and events are
of infi nite variety. Human interest approaches
them in various ways, differentiating and
naming almost randomly selected correlations
from among them as aspects, to build them back
later into the phenomenon, situation or event
in question in the course of their theoretical
reconstruction. This is the reason why human
cognition is claismed to be reflective and
constructive at the same time.
In the final analysis, boundaries of notions are
in function of the discourse (situation or context)
to a certain extent. Every discourse questions and
challenges these boundaries recurrently, because
each discourse is in principle a new discourse:
it differs from the previous one as it requests an
answer for a situation somewhat modified since
then in some of its aspects. In the same way, in
English law, the hundreds, thousands or even
millions of cases embodied in and by the body
of precedents accumulated do not add up to an
exhaustive system, for it is by far not necessary
that the new situations emerging at any given
time require an answer along the same path
taken once by a past individual decision. The
judge may recourse to novation in any phase of
the procedure, by presenting – with reference to
equity, justice, or to other pleas and exceptions, as
well as measures and steps to take – the decision
he suggests as providing a relatively new answer to
an entirely or partially new situation, or to newly
conceptualised facts that may constitute a case
in law, that is, a different answer reacting more
sensitively and suitably to the issue, in followance
from the deliberation of those principles that may
come into account.
As a general theoretical conclusion, in
principle, notions are open because their closure
cannot be but casual: done artificially, exclusively
in given direction(s) and context(s), with validity
for the given discourse(s) only. The availability
of a notion in and of itself, with boundaries
marked within and for the given discourse, never
anticipates future boundaries. Each discourse
has to face a new situation with new contextual
potentialities, therefore it has a chance to resolve or
question any kind of earlier closure by modifying
and re-actualising these notional boundaries
(with the prospect of re-conventionalisation).
Ad (3): This is the framework within which
the question of whether notions can “objectively
correspond” with reality can be raised at all. Well,
we usually prefer those sets of notions which
display more potential in justifiability and less in
falsifiability. We want to maximise justification
and minimise falsification at the same time. We
are also bound to realise that we can only justify or
falsify a theory by means of another theory, since
we do not have any direct media or instruments of
control at our disposal.
Within a given world-view and set of
underlying paradigms, one accepts that theory
as true, proven or at least provable, which
corresponds the most to given methodical
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principles of the scientific methodology accepted
by the relevant community at a given time. Only
that theory must be accepted and preferred
to other feasible alternatives, which displays
the strongest explanatory force with the least
exposition to attack.
‘objective reality’:
the thing itself
system of reflection of reality
corresponds with
neutral and objective,
providing true
perspectives on
the thing itself:
the course,
interconnection and
sequence of things;
aspects and necessity
thinking builds upon the
paradigm of
between the essence
and the phenomenon
objective, which
relies on logical rules
progresses from
the general to the
The respective trends can be characterised
as summed up in the table below (Lakoff, 1989):
The progress achieved within the last
decades from the standing positions stabilised in
the past century is striking (Varga, 2011).
arbitrary social
reflection of itself
relies on arbitrary
social convention
modern conception
cognitive relationship selected by man and
supported by his interest
covered by realistic features of reality, but
concomitantly shaped by man’s interests towards
its openness in a given direction can only be closed
down artificially
built upon the reconventionalisation
of conventions
never detachable from the prevailing world-view,
tradition and cultural presuppositions
external web,
applicable or
non-applicable at
the mathematics of descriptive propositions: claims
that insofar as we make propositions within the
same context and in the same time, and link these
propositions conceptually, then, once a premise or
conclusion is accepted as true or false, we thereby
establish a deductive relationship between its truth
or falsity
there is no metaphysics of things: only the practical
relationship of man to things selects and names the
everything is
builds upon personal
its direction is
For instance, under the conditions of the standardisation of health procedures globalised, the feasibility of a culturespecific interpretation has as well to appear as a scientific problem (Landy, ed., 1977; MacLeod & Milton, ed.,
“In one way or another, these subjects are from the beginning confronted (eventually: short of perishing) with the scope
of action given to them in the total process at any time. Accordingly, a certain tendential unity will assert itself on
every domain, without lending a kind of absolute unity to the process (in the sense of the old materialism or as a logical
consequence following from HEGEL’s logic).” (Lukács, 1971, 296)
As to the use of concepts all this notwithstanding, logic separates so-called class-concepts deciding on inclusion from
so-called order-concepts suitable only for characterisation (Hempel & Oppenheim, 1936).
1. W.H. Balekjian, “The Concept of Fact in the Physical Sciences and in Law”, in Theory of
Legal Science, ed. by A. Peczenik et al. (Dordrecht: Reidel, 1984), 183–188.
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2. E. Cassirer, The Logic of the Humanities [Logik der Kulturwissenschaften] (New Haven:
Yale University Press, 1961).
3. J.J. Finkelstein, “The Goring Ox”, Temple Law Review, 46 (1973), 169-290.
4. J. Frank, Courts on Trial: Myth and Reality in American Justice (Princeton: Princeton
University Press, 1949).
5. C.G. Hempel & P. Oppenheim, Der Typusbegriff im Licht der neuen Logik (Leiden: Sijthoff,
6. J. Israel, “Remarks Concerning Epistemological Problems of Objectivity in the Social
Sciences”, in Research in Sociology of Knowledge, Sciences and Art, vol. I, ed. by R.A. Jones
(Greenwich [Connecticut]: Jai Press, 1978), 63-80.
7. B.S. Jackson, “The Goring Ox again”, Journal of Juristic Papyrology, 18 (1974), 55-93.
8. G.H. Kendal, Facts (Toronto: Butterworths, 1980).
9. G. Lakoff, Cognitive Science and the Law (New Haven [Connecticut], Yale Law School Legal
Theory Workshop, 1989) [manuscript].
10. G. Lakoff & M. Johnson, Metaphors We Live By (Chicago: Chicago University Press, 1980).
11. D. Landy, ed. Culture, Disease, and Healing: Studies in Medical Anthropology (New York:
Macmillan, 1977).
12. Gy. Lukács, A társadalmi lét ontológiájáról [Zur Ontologie des gesellschaftlichen Seins], vol.
III (Budapest: Gondolat, 1971).
13. R. MacLeod & L. Milton, ed. Disease, Medicine, and Empire: Perspectives on Western
Medicine and the Experience of Colonial Expansion (London: Routledge, 1988).
14. M. Saltman, The Demise of the »Reasonable Man«: A Cross-cultural Study for a Legal
Concept (New Brunswick & London: Transaction, 1991).
15. R.B. Seidman, “Mens Rea and the Reasonable African: The Pre-scientific World-view and
Mistake of Fact”, The International and Comparative Law Quarterly, 15 (1966), 1137-1156.
16. Cs. Varga, Theory of the Judicial Process: The Establishment of Facts (Budapest: Akadémiai
Kiadó, 1995).
17. Cs. Varga, Lectures on the Paradigms of Legal Thinking (Budapest: Akadémiai Kiadó,
18. Cs. Varga, Theory & Philosophy of Law: Norm, Logic, System, Doctrine & Technique in
Legal Processes, with Appendix on European Law (Budapest: Szent István Társulat, 2011).
19. H. Vaihinger, Die Philosophie des Als-Ob: System der theoretischen, praktischen und
religiösen Fiktionen der Menschheit auf Grund eines idealistischen Positivismus (Berlin: Reuther &
Reichard, 1911).
20. A. Watson, Legal Transplants: An Approach to Comparative Law (Edinburgh: Edinburgh
University Press, 1974).
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Csaba Varga. Paradigmatic Assumptions of Thinking in Law: Philosophy of Science and Methodology of Science…
Парадигмальные предположения
мышления в праве: философия науки
и методология научного суждения
Чаба Варга
Венгерский Католический университет
H-1428 Будапешт 8, А/Я 6, Венгрия
В статье рассматривается, что на самом деле означает концепция, а также логика
и мышление в контрасте объективизма и субъективизма, а также их компромисс в
Ключевые слова: факт, концепция, логика, мышление, объективизм, субъективизм.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1443-1449
УДК 343.197 (664)
The Politics of Wartime Rape Prosecutions
in Sierra Leone Special Court
Galina A. Nelaeva*
Tyumen State University,
10 Semakova Str., Tyumen, 625003 Russian
Received 15.10.2012, received in revised form 06.06.2013, accepted 10.09.2013
Out of all quasi-international tribunals established in the 1990-2000 by the international community
the Sierra Leone Special Court stands out when it comes to prosecution of rape and sexual crimes
committed during the civil war in the country. The court, which combines both international and
national elements, was established by the United Nations upon request from the Sierra Leonean
government in 2002. The article looks at the background surrounding the establishment of the tribunal
as well as factors that enabled prosecution of wartime rape and sexual assaults within that tribunal.
Keywords: wartime rape, international criminal tribunals, Sierra Leone Special Court.
Background: wartime rape
in the Sierra Leonean context
The nine-year civil war in Sierra Leone was
fought between the Sierra Leone Army and the
government-aligned Civil Defense Force against
Revolutionary United Front (RUF), which
aimed to overthrow the government. RUF was
notorious for its atrocities committed against
civilian population, including rape, mutilations
and the kidnapping of children. On 7 July 1999,
the Lomé Peace Agreement officially ended the
war by offering amnesty to RUF and a powersharing arrangement with the rebels. In the
period 1991-1999, between 1 to 2 million people
became refugees, 50 000 died, 5000-10 000
became amputees, 5000-10 000 were raped and
10 000 children were forcibly recruited to fight
(Beigbeder, 2002:179). Physicians for Human
Rights conducted a survey on the issue of sexual
violence, and found that 89 % of the respondents
(in four locales) reported to have been raped,
33 %-gang raped. Most of the victims were raped
by RUF soldiers. Rape was often accompanied
by mutilations or sexual slavery. The level of
pregnancy was high. Women believed to have
been virgins were specifically targeted for abuse.
Sexual violence against men was also widespread
(Amowitz, 2002: 513-521). The Human Rights
Watch report also highlighted that women were
often abducted by the rebels, virgins were often
singled out, though not necessarily.1
It has to be noted that the Sierra Leone
conflict (and rape, in particular) did not receive
much international coverage. According to B.
Nowrojee, “throughout the decade of conflict,
most journalists paid little or no attention (and
subsequently failed to publicize) the widespread
and ongoing attacks directed against women and
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Galina A. Nelaeva. The Politics of Wartime Rape Prosecutions in Sierra Leone Special Court
girls. Sexual violence was Sierra Leone’s invisible
war crime” (Nowrojee, 2005: 87). Unlike the
conflicts in Yugoslavia and Rwanda, the conflict
in Sierra Leone never involved the targeting of a
specific group (which is why it was impossible
to agree on the inclusion of genocide within the
subject-matter jurisdiction). However, because
of images of amputations and mutilations during
“Operation No Living Thing” undertaken by
paramilitaries and later on, the violations of the
Lomé Peace Accords that talk of involvement in
the conflict began in the Security Council (Fritz
and Smith, 2001: 394).
In June 1998, the UN Observer Mission
was established in Sierra Leone by the Security
Council. The UNOMSIL team, in cooperation
with the ECOMOG (Military Observer Group
of the Economic Community of West African
States) began investigations into human rights
The fighting and atrocities did not stop
with the signing of Lomé Peace Agreement,
however. They continued into 2000 and 2001.
The continuation of atrocities challenged the
legitimacy of the amnesty, and Sierra Leone
government accordingly requested the United
Nations to create a special tribunal. The President
of Sierra Leone, Ahmad Tejan Kabbah, in his
letter to the United Nations asked assistance
in bringing to justice those responsible for the
atrocities committed during the country’s civil
war. The country had no resources to initiate
criminal investigations, but it had a strong
determination to do so.
Establishing the Special Court
for Sierra Leone
Security Council Resolution 1315 (August
14, 2000) called on the Secretary-General to start
negotiations with Sierra Leone on the issue of
creating the Court. A formal agreement on the
project was reached in January 2002 in Freetown.
The Court became operational in July 2002. The
Parliament of the country ratified the agreement
and enacted implementing legislation.
The question may be posed as to why a
quasi-international tribunal, rather than a truly
international one, was established. One of the
reasons might be a lack of political support for
creating another expensive international tribunal
(the so-called “Tribunal fatigue” of the Security
Council). Establishment of the court was the
result of joint efforts by the Security Council and
the government of Sierra Leone. In accounting
for Sierra Leone’s interests in creating the
tribunal, one has to consider the issue of amnesty
granted by Lomé Agreement signed on 8 July
1999. Security Council passed a resolution on 20
August 1999, in which it welcomed the signing
of the peace agreement, even though it meant
impunity for human rights violators. The UN
Secretary General’s special representative to
Sierra Leone objected to the validity of amnesty,
arguing that those who committed war crimes,
crimes against humanity or genocide shouldn’t
be granted amnesty (McDonald, 2002: 123).
Combatants of the Revolutionary United Front
(RUF) failed to observe the peace agreement
provisions and continued to attack civilians. In
May 2000, they captured 500 UN peace-keepers.
On 14 August 2000, the Security Council passed
Resolution 1315 (2000), which called for bringing
criminals to justice, in the light of “very serious
crimes committed within the territory of Sierra
Leone against the people of Sierra Leone and
United Nations and associated personnel and at
the prevailing situation of impunity.”2 With the
government calling for the establishment of a
tribunal (which already held some suspects in
custody) and the U.S. and the U.K. expressing
their support for prosecutions, the plan for a
hybrid tribunal came into being.
The date of 30 November 1996 was selected
as the beginning of rationae temporis jurisdiction
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Galina A. Nelaeva. The Politics of Wartime Rape Prosecutions in Sierra Leone Special Court
(to begin at the outbreak of hostilities in 1991 was
deemed to have been too heavy a burden on the
Court). On 30 November 1996, the parties sought
a peaceful settlement of the conflict. In any case,
the period from 1996 was believed to encompass
the most serious crimes. One of the three trial
judges and two of the five appeal judges were
appointed by the Sierra Leone government.
Subject-matter jurisdiction was a combination
of crimes prohibited both internationally
and nationally. They included crimes against
humanity, violations of common Article 3 of the
Geneva Conventions and Additional Protocol
II, as well as crimes against peace-keepers and
the recruitment of children. Sexual offenses
against 13-14 year-old girls were included as
part of domestic law.3 In general, the Court was
designed to prosecute only those who “bear
greater responsibility for war crimes and crimes
against humanity.” Genocide was not included in
the subject-matter jurisdiction, since there was no
consensus that crimes committed in the course
of the conflict amounted to genocide.4 Generally,
the Statute extends the ICTY and ICTR reference
to rape as a crime against humanity by explicitly
including other categories of crime, such as
forced pregnancy, sexual slavery, enforced
prostitution and other forms of sexual assault.5
The Statute also calls for an appointment of staff
with experience in gender-related crimes (Article
15.4). Rules of procedure and evidence contain
witness-friendly provisions (related to consent,
for instance).6 In general, there has been a number
of problems outlined by scholars, which could
impede effective prosecution of rape and sexual
violence, such as no express provision prohibiting
the questioning of prior or subsequent sexual
conduct of the victim.
The first indictments, issued on 7 March
2003, were followed by a number of arrests.
Despite fears that the difficulties in the Statute
might impede investigations and prosecutions
of rape, out of 13 original indictments, 10
contained charges of rape (it is worth noting that
these charges were included in the indictments
from the beginning, rather than later, by way of
amending an indictment, as was the case in the
ICTR)7 Ten of the accused were apprehended.
One of the indictments was issued against Charles
Taylor, then the President of Liberia (charging
him, inter alia, with rape), but Taylor obtained
asylum in Nigeria in August 2003.8 Ex-corporal
Foday Sankoh, leader of the RUF died in custody,
Sam Bockarie was reported dead in Liberia and
Johnny Paul Koroma went into hiding.
The first trials began in June 2004. One
of the defendants was Sam Hinga Norman, the
deputy defense minister, a controversial figure
with considerable popularity.
The defendants were charged with war
crimes, crimes against humanity and violations
of international humanitarian law, including
murder, rape, looting, burning, attacks on peacekeepers, and so on. OTP’s Investigation Section
was charged with collecting information.
The number of indictments containing rape
and sexual violence is quite striking. It has to be
born in mind that the Court has a limited time
frame and limited resources (it has to complete
the trials by the end of 2006 and is financed
by voluntary contributions). Given these time
constraints, the Chief Prosecutor has to make
strategic choices as to what indictments to file.
The Prosecutor’s office was willing to include
rape and sexual violence among the charges. The
role of David Crane, the former Chief Prosecutor,
is often emphasized: “The original Chief
Prosecutor, David M. Crane, was very active
in bringing charges on crimes of rape, sexual
slavery and – a new count under “other inhumane
acts” – forced marriage.”9 Crane has made a
considerable effort to investigate and prosecute for
sexual violence. He “spearheaded a prosecution
strategy that incorporated sexual violence crimes
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Galina A. Nelaeva. The Politics of Wartime Rape Prosecutions in Sierra Leone Special Court
from the outset, which was consistently followed
by the staff on a daily basis. The work of the
Special Court has repeatedly demonstrated that,
even with extreme constraints, the political will
of the prosecutor and his senior staff can shift
the balance toward justice for victims of sexual
crimes” (Nowrojee, 2005: 99).10 Crane appointed
experienced female investigators to deal with
this kind of crime. Chief of Prosecutions, Luc
Cote, “followed through to ensure inclusion of
this evidence in the courtroom and has dedicated
a trial attorney to the prosecution plan for the
sexual violence crimes” (Nowrojee, 2005 : 100).
The role of non-judicial mechanisms
in addressing wartime rape
and sexual violence
A Truth Commission was established
by Sierra Leone Parliament at approximately
the same time and was operating parallel to
the Court.11 The UN High Commissioner on
Human Rights provided substantial assistance
to the government in drafting the Truth and
Reconciliation Commission Act in 2000. The
Commission itself was housed as a project of the
UN Office of the High Commissioner for Human
Rights in Geneva. One of the most controversial
aspects of the Sierra Leone Special Court was
the prosecution of minors. In the course of
the conflict, a large number of atrocities were
committed by child soldiers, who themselves had
been abducted, forced to take drugs and induced
to commit crimes. An important issue was how
to reintegrate child offenders into society. Thus,
the Security Council noted that, “the Truth and
Reconciliation Commission will have a major
role to play in the case of juvenile offenders, and
the members of the Security Council encourage
the Government of Sierra Leone and the United
Nations to develop suitable institutions, including
specific provisions, related to children, to this
end”[UN Doc.S/2000/1234]. The Truth and
Reconciliation Commission became an important
actor in addressing crimes committed by children.
This non-judicial mechanism was also crucial in
hearing testimonies from victims (if the victim
agreed to give a deposition). Since the Court was
designed to prosecute only high-ranking officials,
the Truth Commission provided the opportunity
for the victims to come forward with their stories.
Priscilla Hayner in the ICTJ report notes that a
significant number of perpetrators came forward
to the Truth Commission, “more than 13 percent
of the 8000 individual statements are directly
from the perpetrators, and approximately a third
of those who appeared in the hearings admitted to
their own wrongs, often in front of the TRC during
its initial hearings, but after seeing that there was
no reaction from the Special Court for those that
did testify, many clamored for the opportunity
to speak” [ICTJ: 4]. The Sierra Leonean TC
“developed a methodology to uncover accounts
of sexual violence. The Commission decided that
women should make their statements to women
statement-takers trained to deal with accounts
involving rape and sexual violence. In addition,
Commissioners and staff held public ‘town hall’
meetings and reached out to many women’s
groups and agencies dealing with women,
educating them about the goals of the TRC. The
Commissioners also accepted suggestions and
aid from these organizations.”12
National and international NGOs cooperated
with the government, the Truth Commission
and the Special Court. They organized marches
demonstrating solidarity with rape victims.
Women’s organizations were frequently contacted
by the Truth Commission to encourage them
to participate in the hearings. The Ministry of
Social Welfare, Gender and Children’s Affairs, as
well as policewomen from Family Support Units
also attended the hearings. Trainings for women’s
organizations were often held by UNIFEM. One
of the Organizations actively working in Sierra
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Galina A. Nelaeva. The Politics of Wartime Rape Prosecutions in Sierra Leone Special Court
seems to have been the most effective. It was
able to bring to trial a number of important
defendants. Efforts were also made to disseminate
information about the proceedings to the public,
there were no apparent fi nancial complications.
A reason for the comparative success in
serving justice is, fi rst of all, the government’s
willingness to cooperate with the Court and,
importantly, international support-particularly
that of the United States--in providing fi nancial
help and professionals. Commitment on the part
of the Prosecutor and his office (as well as the
Truth Commission staff) was instrumental in
making sure that rape and sexual violence were
recognized as one of the most serious crimes
committed in the conflict. “The work of the
Special Court has repeatedly demonstrated that,
To date, out of the four quasi-international
tribunals, the Sierra Leone Special Court,
although criticized for its use of selective justice
(it was meant to prosecute only senior officials),
even with extreme constraints, the political will
of the Prosecutor and his senior staff can shift
the balance toward justice for victims of sexual
crimes” (Nowrojee, 2005: 99).
Leone was Physicians for Human Rights. They
collected evidence of abuses and provided direct
help to survivors. Human Rights Watch was also
involved in documenting abuses. Workshops
on gender crimes have been held by the Court,
with the participation of Sierra Leonean women’s
groups. “The Outreach Section has liaised with
a broad range of Civil Society groups, including
a number of women’s groups, prominent Sierra
Leonean women, and so on.”13 Sierra Leone
Special Court sought not only to investigate
and prosecute these crimes, but also to expand
the scope of international humanitarian law to
include “forced marriage” as a crime against
humanity. 14
“We’’ll Kill You if You Cry”. Sexual Violence in the Sierra Leonean Conflict. Human Rights Watch. January 2003. Available at:
SC Res.1315 (2000). Available at: %20
Article 5 (crimes under Sierra Leonean law): “The Special Court shall have the power to prosecute the persons who have committed the following crimes under Sierra Leonean law : a. Offenses relating to the abuse of
girls under the Prevention of Cruelty to Children Act 1926…i. Abusing a girl under 13 years of age, contrary
to section 6 ; ii. Abusing a girl between 13 and 14 years of age, contrary to section 7 ; iii. Abduction of a girl
for immoral purposes, contrary to section 12.” Statute of the Special Court for Sierra Leone. Available at: %3D&.
Articles 2-5 of the Statute list the crimes that can be prosecuted. Article 2 covers crimes against humanity.
Article 3 covers violations of Common Article 3 of the Geneva Conventions and Additional Protocol II (law
applicable in an internal armed conflict). Article 4 lists “other serious violations of international humanitarian
law”, and Article 5-“crimes under Sierra Leonean law”. Ibid.
See Article 2: “The Special Court shall have the power to prosecute persons who committed the following
crimes as part of a widespread or systematic attach against any civilian population:…c. Enslavement…f.
Torture; g. Rape, sexual slavery, enforced prostitution, forced pregnancy and any other form of sexual violence; h. Persecution on political, racial, ethnic or religious groups; i. Other inhumane acts.” Article 3: “The
Special Court shall have the power to prosecute persons who committed or ordered the commission of serious
violations of Article 3 common to the Geneva Conventions…and of Additional Protocol II…These violations
shall include: a. Violence to life, health and physical and mental well-being of persons, in particular, murder
as well as cruel treatment such as torture, mutilation or any form of corporal punishment…c. Outrages upon
personal dignity, in particular humiliating and degrading treatment, rape, enforced prostitution and any form
of indecent assault…h. Threats to commit any of the foregoing acts.” Ibid.
Rule 96 (i)-(iii). Available at:
See Prosecutor v.Charles Ghankay Taylor, Case No. SCSL-2003-01 (Indictment), 3 March 2003; Prosecutor v. Foday Saybana Sankoh, Case No. SCSL-2003-02 (Indictment), 3 March 2003; Prosecutor v. Johnny
Paul Koroma, Case No. SCSL-2003-03 (Indictment), 3 March 2003; Prosecutor v. Sam Bocharie, Case No.
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Galina A. Nelaeva. The Politics of Wartime Rape Prosecutions in Sierra Leone Special Court
SCSL-2003-04 (Indictment), 3 March 2003; Prosecutor v. Issa Hassan Sesay, Case No. SCSL-2004-15-PT
(Indictment), 5 February 2004; Prosecutor v. Alex Tamba Brima, Case No. CSL-2004- 016-PT (Indictment),
5 February 2004; Prosecutor v. Morris Kallon, Case No. SCSL-2004-15-PT (Indictment), 5 February 2004;
Prosecutor v. Augustine Gbao, Case No. SCSL-2004-15-PT (Indictment), 5 February 2004; Prosecutor v.
Brima Bazzy Kamara, Case No. SCSL-2004-016-PT (Indictment), 5 February 2004; and Prosecutor v. Santigie Borbor Kanu, Case No. SCSL-1004-016-PT (Indictment), 5 February 2004. Available at:
Shaoli Sarkar mentioned, for instance, that in the AFRC and RUF trials, “sexual violence formed a critical
part of the charges against accused persons for both of these cases. Counts 6 through 9 of the amended indictments for the AFRC and RUF trials include charges of sexual violence. Of the 59 AFRC and 98 RUF witnesses, 11 AFRC and 16 RUF witnesses testified about an act of sexual violence inflicted upon their persons.
” E-mail from Shaoli Sarkar, OTP, May 5, 2006. On file with the author.
Charles Taylor was apprehended and handed over to the Special Court on 29 March 2006 following pressure
exercised on Nigeria by the U.S. government. Taylor made his fi rst appearance before the Court on 3 April
2006, and pleaded not guilty to all the 11 counts of the indictment (which include war crimes, crimes against
humanity, and other serious violations of international humanitarian law, including sexual slavery and mutilations). However, for fear that his trial might disrupt peace in the country, requests were made to try Taylor
in the International Criminal Court in the Hague. For more, see, for example: Charles Taylor’s Initial Appearance // U.C.B. War Crimes Studies Center, Sierra Leone Trial Monitoring Project Special Report. April 3,
2006. Available at:
E-mail from a SLSC official, April 28, 2006. On file with the author.
The importance of the political will of the prosecutor and his staff was also mentioned by Patricia Sellers,
gender advisor at the ICTY, who added that the Special Court staff had meetings with the ICTY team, and
it was emphasized that crimes of rape and sexual violence should not be overlooked in the Special Court.
Interview with Patricia Sellers. ICTY. May 3, 2006. On file with the author.
The Truth Commission was established to promote reconciliation and was mandated to “pay special attention
to the subject of sexual abuse.” The Truth and Reconciliation Commission Act (Sierra Leone). Available at: The TC functioned from mid-2002 until 2004. It produced its
final report and recommendations in 2004.
E-mail from Shaoli Sarkar, OTP. May 5, 2006. On file with the author.
E-mail from a SLSC official, April 28, 2006. On file with the author.
“The Prosecutor has creatively used the section of “other inhumane acts” under crimes against humanity-a
seriousness to the enumerated crimes-to expand legal recognition for the types of sexual violence that women
endure in conflict” (Nowrojee, 2005: 101). As noted above, the Statute itself is more expansive than those of
the ICTY and the ICTR.
1. Amowitz, L. et al. (2002). Prevalence of War-Related Sexual Violence and Other Human
Rights Abuses Among Internally Displaced Persons in Sierra Leone. Journal of American Medical
Association, 287 (4), 513-521.
2. Beigbeder Y. (2002). Judging Criminal Leaders: the Slow Erosion of Impunity. Mass.:
Martinus Nijhoff Publishers.
3. Fritz N, Smith A. (2001). Current Apathy for Coming Anarchy: Building the Special Court for
Sierra Leone. Fordham International Law Journal, 25, 391-412.
4. Hayner P. (2004). The Sierra Leone Truth and Reconciliation Commission: Reviewing the
First Year. Case-study series. International Center for Transitional Justice. January 2004. Available
at rstyear
5. McDonald, A. (2002). Sierra Leone’s Shoestring Special Court. ICRC Review, 84,
6. Nowrojee B. (2005). Making the Invisible War Crimes Visible: Post-Conflict Justice for Sierra
Leone’s Rape Victims. Harvard Human Rights Journal, 18, 85-107.
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Galina A. Nelaeva. The Politics of Wartime Rape Prosecutions in Sierra Leone Special Court
Политические аспекты
рассмотрения изнасилований
в Специальном суде Сьерра-Леоне
Г.А. Нелаева
Тюменский государственный университет
Россия 625003, Тюмень, ул. Семакова, 10
Девятилетняя гражданская война в Сьерра-Леоне велась между армией страны и проправительственными Гражданскими оборонными силами (Civil Defense Force) против
Революционного объединенного фронта (Revolutionary United Front). Среди преступлений,
совершенных в ходе конфликта, были изнасилования и насильственные действия сексуального
характера, нередко сопровождавшиеся увечьями или сексуальным рабством. Военные
столкновения и преступления не закончились с подписанием мирных соглашений в Ломе и
продолжались в 2000 и 2001 годах. Таким образом, правительство страны приняло решение
обратиться к ООН с просьбой создать специальный трибунал для осуществления правосудия
над лицами, ответственными за преступления, совершенные во время гражданской войны. В
статье рассматривается политика Специального суда Сьерра-Леоне в области уголовного
преследования индивидов за совершение изнасилований в ходе вооруженного конфликта, так
как несмотря на ограниченные временные рамки, ограниченные финансовые возможности и
другие проблемы практического характера, Суд сумел разработать определенную стратегию
рассмотрения данных преступлений.
Ключевые слова: Специальный суд Сьерра-Леоне, международные трибуналы, изнасилование.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1450-1460
УДК 101.9
Rival to the Time:
a Search for Specific Features
of A. F. Losev’s Personality
Maxim A. Butin*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia
Received 18.11.2012, received in revised form 24.02.2013, accepted 02.09.2013
There has been modeled a structure of personality of Aleksey Fedorovich Losev, a Russian philosopher.
We have tried to apply Losev’s developments on theory of personality and myth to the author of this
theory and critically consider to what extent the real personality corresponds to his own research on
Keywords: russian philosophy, A. F. Losev, Plato, personality, face (person), subject, object,
intellegentia, eidos, mind (nous), spirit, matter, body (corpus), myth, miracle.
To the 120th anniversary of Aleksey Fedorovich Losev
Copyright holder – Aza Alibekovna Takho-Godi
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Maxim A. Butin. Rival to the Time: a Search for Specific Features of A. F. Losev’s Personality
It is difficult to write about A. F. Losev.
He is an infinite value beyond all the rational
speculations. The authors, who write about
A. F. Losev, should particularly keenly realize the
incommensurability and the subsequent dramatic
interrelations between them as authors and the
man they write about. One should spiritually
correspond and feel the destination to such
writer’s work. Though this is true to any kind
of work but a matter of understanding culture
and such precious and unique crystals of spirit
as A. F. Losev arising from its ground requires
such mental attitude and spiritual power that are
unique and exclusive themselves.
To tell in such a way does not mean that one
should refuse from one or another methodology
of study and rational clarity as a result of its
use. But the point is out of any use of some
methods and complex of methods in the sphere
considered, a sphere of the highest achievements
of society, i.e. culture. If it is true that a method
is “a form of movement of the very substance”
(G. W. F. Hegel), an instrument for study, a
method for unique subject matters should be made
anew every time. That is why A. F. Losev, to use
A. I. Herzen’s word, can be measured neither by
English, nor by French measure, nor by German
philosophy’s measure even for an inch. We need
a special measure here – Losev’s one.
But we could also retort here: for every
phenomenon and every person are unique in
their ultimate reality, hence one should treat them
according to their merits.
All this is true but not every person or
phenomenon deserve close attention. And
nowadays just reason in its positivistic expansion
without any restraint proclaims a formula of
depletion of actuality through reflection. No,
reflection is always incomplete, and if it occurs,
it always follows actuality. After all, it is a fact
of actuality, and if it really pretended to deplete
actuality, it should also include the products of
its own enlightenment in the sphere of reflexive
analysis; it should venture at reflection of
reflection and so on and hopelessly so on up to the
point of formation of “ephemerae of ephemerae”
and writing “diaries of ephemeral butterflies”
(Jean Paul).
Denying so “perspective” pastime, one
may come to the thought that mind is given to
a human not for exercises in subtle reflective
affectation but for solution of real problems of life
and real problems of being. And the experience
of solutions of these problems and questions
by geniuses of the humankind, and hence by
A. F. Losev, is beneficial: it not only deserves but
requires study and comprehension. There are no
reasonable alternatives to history of culture in
general and history of philosophy in particular.
But the unreasonable alternative here is
to present the point that history of culture and
philosophy is an end in itself. Such an idea deprives
the mentioned history of self-consciousness but
nourishes it with illusions. History of philosophy,
the Russian history of philosophy at least, except
for A. F. Losev and two or three names, is entirely
like this, with self-consciousness almost docked.
So it would be quite unreasonable to ask lots of
questions from lots of authors of lots of books
on history and philosophy impressive by their
optional character of judgments; their judgments
are even often true concerning factual matters
but they completely exclude connection with an
author’s personality and actuality. Such books
(not their authors) raise a question of sense of
their own existence at the readers. They ask not
an author but a reader: as for you, why do you
need all these “necessity and chance” given in
these pages in front of you? Then there come some
“interesting interpretations”, “new approaches”,
“original reviews”, and “fresh views” – generally,
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the answers do not go beyond these. But all these
are nothing but a trick and a wrapping for platitude
often aware itself as that platitude. It is as if the
problem is solved! It is as if one needs just a fresh
view to embrace the entirety and bring it to alive
and proximate end!
The books raising such questions and people
giving such answers directly point at the fact that
platitude and unreason may affect even scientia
and homo sapiens. And then intensive and even
exhausting work of mind may turn out to be a
form of unreason and avoidance of cursed and
very often damned questions of life.
Give up all your misty words,
Hypothetic lie,
To the questions damned and cursed,
Give us straight reply.1
The orientation to the world, individuality,
society in its history and, as a consequence,
denial of “simple hypotheses” can bring anyone
(even those ones who study at universities) to
the conviction that least of all history of culture
and philosophy should be a toy for the mind
which can possibly be refined and sophisticated
in itself but socially infantile, hence infantile in
its sophistication and fastidiousness. The thing
it chooses as its toy unambiguously displays the
extent of its infantility.
Reason should be serious and high-spirited
even in its games and jokes; otherwise it is not
reason at all. A. F. Losev writes: “Time is pain
of history”. But a relief of pain means a relief of
history. A historian’s mind is to be courageous,
serious and fearless for a historian gives his heart
to time – otherwise he is not a historian.
Death and Time reign in the world.
You should not call them lords…2
But this “reign” of Time and Death can be
overcome only by draining the cup of suffering
to the lees gathering times in eternity.
S. S. Averintsev writes about his teacher
A. F. Losev: “It seems that since Vasily Rozanov
and Pavel Florensky there has not appeared
anyone who dared speak about the subject
matters, which are customary to call the abstract
ones, with such ultimate frankness. Each word
is thick and ponderable; each word has its scent
and taste, and, by the way, it is a very strong
prose not despite of but due to its angularity and
roughness. It is difficult to forget such passages
as the description of internal atmosphere around
the New-European representation of Cosmos in
“The Dialectics of Myth”; they sink into the mind
and worries imagination. The emotional tone
is apropos here for Losev’s matter is history of
philosophy not as a painless “filiation of ideas”
but as a tragedy. His point is a tragic history of
philosophy, not some other one”3. I would let me
to give one of such passages about the tragedy of
philosophy and philosopher here.
A. F. Losev writes in his “Essays on
Ancient Symbolism and Mythology” (1930):
“But now let us speak out the other idea – here
it is about not the logical content of dialectics
but about its extra-logical value. Suppose we
have admitted the fact that its antinomics is
logically justified. But is it justified in life or
at least widely philosophically? What is the
explanation of this laughing and behaving
rather outrageously self-contradiction of being
and everything thinkable? We should think here
as follows. The strangeness and queerness of
deductions of dialectics entirely depends on that
we, who wish to deal with dialectics, indeed,
have got into a very strange and extraordinary
area. Such area is an area of pure reason. Look
at the life. Where can you fi nd pure reason,
pure sense, and perfect consciousness here?
Everything flies, changes, and becomes opaque,
clarified and opaque again. A whole thought
is permeated by casual sensations and images.
Eidoses of things are so often beclouded by
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various external additions. If it is not Plato’s
“Cave”, anyway, it is not anything better in
point of clarity and lucidity. Everything is fuzzy
and turbid; everything yearns, suffers, and acts;
everything is blind, aimless, and irresponsible.
Certainly, life is also full of sense, meaning,
clarity, light, and purpose. But, in general, being
is an indissoluble mass of passions and reason,
joys and pains, light and dark. But we have
suddenly come to a want to become dialecticians.
What does to be a dialectician mean? To be a
dialectician means to see all the entirety of life
as something undivided. To be a dialectician is
to be able to derive every particular and hardly
distinguishable moment from that entirety and
to be able to bring it back to that entirety. To be
a dialectician means to be able to see not only
with eyes but with mind, to be pure in mind.
Let dialectics also comprise everything out of
reason. All the same, it comprises by reason
in a mind and for a mind. But where and when
do we use pure reason in our life? Where and
when are we able to see? Where and when is our
thought a pure mirror of being and its inner life
pulse? It almost never occurs to us in our life,
and we have suddenly come to a wish to become
dialecticians. Hereupon, how can it be surprising
that our fi ndings in such an “unvital” sphere will
appear to be strange, weird, and puzzling? Is not
it puzzling to try to live in reason and to speak by
reason? Is it not a tightrope-walking to balance
in the height of pure reason trying to move away
from the brink of abyss as far as possible? Yes,
dialectics is puzzling because it is a mind, nous.
Philosophy is an acrobatic art for one have to
be an equilibrist in life in order to fence oneself
off that very “life” and “reality” and in order to
make one’s thoughts pull together and live their
own life. Thus, dialectics is eccentric not more
than a philosopher nowadays (in Plato’s time,
too). And its conclusions are not stranger than
a desire to live by one’s reason in reason while
life rages and bears malice against every reason
and meaning.
But dialectics becomes apprehensible in its
antinomic substance. We could see that dialectical
propositions are completely antinomic and selfcontradictory. Why? Because we retreated from
life experience and habits of everyday life and
took exclusively ideas of reason. A purely idea
of reason is to be contradictory, i.e. to sublate
(Aufheben) itself, since we have already sublated
it from life and being. It is like a creature able
to live only in water, and when it is withdrawn
out to the air, it pants and flutters in a desire to
return to its home element as soon as possible.
It is like a bird caught and put in a narrow cage.
A creature born for freedom but put into a jail
shivers, struggles and cannot wait until he is able
to fly freely in the boundless sunny dome of the
sky. And pure ideas of dialectics are those living
creatures withdrawn from the element of free air
and put into the cage of systematic differentiation.
They cannot wait until the moment they are able
to plunge into the ocean of life again and live in
the absolute unity with it.
This is the vital nerve of dialectical
contradictory nature – it lies in deficiency of
life and abstractness of philosophy. But what
should we do? Here is the sense and tragedy of
a philosopher. A philosopher “loves wisdom”
and wants to understand life. But life is not only
understanding. Therefore, in order to understand
life, i.e. as if in order to become closer to it, a
philosopher has to go away from it at some
distance, sometimes very far and sometimes he
has to retreat from it at all. One cannot understand
life without living and creating life, otherwise
what should a philosopher understand? But one
cannot understand life without retreating from
it and retirement into eremitical “contemplation
of ideas”, otherwise when and how can one find
time to understand life? This contradiction is
an essence of a philosopher. And it is also his
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tragedy. It becomes clear, profoundly clear the
condition of thought when an affirmation is equal
to a negation, for philosophical life is like that
and the very life is like that. Certainly, this is a
tragedy of culture in general for culture is, first of
all, creation of understanding of life.
It is unnatural and awry to dwell in the
sphere of abstract ideas and their dialectics, for
life is not an idea and it is not only dialectics.
But it cannot be helped. Of course, it would be
better not to suffer and die. But what can we do?!
If a human is destined to live like that so it could
be a pure idea and think like that so it could be
a completeness of every life aspiration, it cannot
be helped. So let us not reproach dialectics
because of philosophy of contradiction. In
general, philosophy in its essence and life in its
essence are like that”4.
We would make an inexcusable mistake if
we thought that A. F. Losev, who wrote this about
philosophy and a philosopher and about life and
culture in such a way, made an exception for
himself and did not consider his life to be a tragic
one, and regarded himself as one of philosophers
out of that tragedy of philosophy, the philosophers
“who saw a joyful life and laughed at the very
death”. But the tragedy with all its possible breadth,
and even universal breadth, always has some
definite inevitability, vastness, and omnipotence
of chance realized post factum as suddenness.
Therefore every philosopher will always find
some contradictions even in simply logical terms
of mistakes, mess, and absurdity, etc. whether he
realizes or does not realize the tragedy of being:
he cannot evade inevitability and in awaiting
suddenness he cannot be prepared for it and give a
clearly logical and worthy answer. Otherwise it is
not inevitability and suddenness and therefore life
is not a tragedy at all. However if we have decided
to push through into life, come from philosophy
to society and history with philosophy, reach a
personality, such “contradictions” should also
find social and historical explanation and should
be absolutely solved in a progression of unbroken
thought. But this is elementary.
However A. F. Losev’s tragedy of his
philosophical existence in its specific nature was
formed not only as a process of various reactions
to various influences of life, i.e. excess of pace of
destructive influences over the pace of adequate
reactions when life, as they call it, “has dabbed”.
A. F. Losev’s tragedy is rather static, stiffened
once and for all, combined with a full realization
of a tragic personality unable to put up with such
a life, an essentially invariable but essentially
disgusting life.
This almost quarter-century public silence
alone speaks about this constancy in life. And
what about the manuscripts which were written
in 1918 and could not find their publisher until the
philosopher’s end of life in May, 1988? And what
about the Areopagite’s corpus twice translated
from Greek and twice lost for a Russian reader?
And what about three library disasters happened
to A. F. Losev? Twice the library was robbed
and looted and once it was even entombed
in the bottom of the crater from direct hit of a
demolition bomb fallen on the house where
A. F. Losev’s apartment was. A. F. Losev wrote
about his second disaster: “The last hope of return
to scientific work has died, for who am I without
the library? It would be similar as if Chaliapin
lost his voice or Rachmaninoff were without his
grand piano. What shall I do, a musician, who has
lost his instrument, which can be restored by no
But the most important feature of constancy
and hard fixedness of life influences on A. F. Losev
was that A. F. Losev had to make creation of
understanding of life all alone in cultural vacuum.
But this life, this physical life in about ninety-five
years, is not like that it could allow A. F. Losev to
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form his own school of philosophy. And in this
case, this is obvious: the greater philosopher and
the longer his life – the deeper and more acute its
Yet A. F. Losev had disciples. But either
his or their impossibility to speak aloud or to
write in public excluded them from the diurnal
consciousness of culture. And we do not have to
mention the arrangements of life on reasonable
basis and active participation in the raise of reason
degree of actuality (one never can say that this
degree is too high) in the scope corresponding to
A. F. Losev’s capabilities of mind.
Finally, here are these two senseless
alternatives of being of mind emerged for
A. F. Losev: either to fold his hands completely or
to come to social consciousness in its inevitably
transformed forms. A. F. Losev mind could not
be inactive and it was also impossible for him to
be indifferent to the society. So he consciously
had to teeter on the brink of truth and fallacy
since 1953 (the year of break of silence in
public starting from 1930) until the end of his
life. A. F. Losev decided on “deception exalting
us” in full awareness of this deception and the
fact that it does not exalt his own Losev’s mind
and personality, – on the contrary, it humiliates
them. And afterwards there would certainly
appear some “smart alecks” reproaching him for
retreat from pure truth, pure mind and for other
sins like these. Such pseudo-guardians of truth
should be asked: what have they done? And what
were they doing when A. F. Losev was bringing
the truth in such inevitably distorted forms to
the public?
Because there is merely no one who can be
on a par with the author of eight-volume “The
History of Classical Aesthetics” in Russian
history of culture and philosophy. And that is
true not just for the Russian antiquity studies but
also for all the works in all fields and periods of
spiritual culture.
For instance, refer to the works by such
greatly authoritative historian of the Old Russian
literature and culture as Dmitry Sergeyevich
Likhachov. Academician D. S. Likhachov is a
head of the whole school in Russian cultural
studies and history and criticism of literature.
He is an author of lots of works and a founder
of his own school in Russian studies. However
all these could not serve as the base of the works
even remotely similar to “The History of Ancient
Aesthetics” by A. F. Losev in profoundness,
detailed elaborations and global comprehension.
But Losev had one and a half thousand years of
tradition of antiquity studies which is not the
same for history of Russian culture and literature.
But we should not forget that A. F. Losev worked
alone while academic institutes were not able to
organize their potential for something similar to
what one man was doing.
Meaning is not a function of time though
it can be mixed with matter and thus it gets
temporal being hence it has its history. Therefore
one cannot say that detailed and fundamental, that
is perfect works will appear by themselves after
fifty or hundred years. Where from will these
“works” appear without thinking and labour? In
terms of resources, manpower, libraries and other
things, the academic science was in a much better
position than A. F. Losev. Nobody prevented it
from making up for lost time and matching
research traditions of antiquity studies as well
as history of Russian culture according to the
accumulated potential. But one has to condole with
the academic science because it has lost socialist
competition, the competition under socialism,
to A. F. Losev. Undoubtedly, “The History of
Classical Aesthetics” has enlarged the difference
between meaning potential of antiquity studies
and that one of history of Russian culture.
However it seems that I contradict myself –
I demand impossible from the academic science
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and try to compare what is impossible to be
compared and then I lament that the comparison
is not worth a row of pins. Still less I would like to
reproach the academic science in general and one
of its best, sagest, noblest, and most honorable
representatives – D. S. Likhachov, in particular.
Indeed, it is impossible to demand impossible
things. But this shows (now it is a comparison
again…) what A. F. Losev is capable of. This
fetches out the dazzling light of the meaningful
substance represented in his “The History of
Ancient Aesthetics”.
From this point of view, “The History
of Classical Aesthetics”, like all the other
A. F. Losev’s works published after 1953, most
of all needs not lamentation or laugh, admiration
or dislike (one cannot go without them but they
should not be senseless and precede realization),
but social and historical comprehension.
This work should be considered to be
merely primary and elementary in historical
and philosophical study even if there are various
possible individually psychological and other
difficulties of just comprehension of what is written
and difficulties of reflexive following the author’s
thought by a reader’s one. Unfortunately, history
of philosophy is often substituted by formation of
some kind of synthesis from the elements of that
comprehended thing, which becomes unique in
its marketplace spontaneity and narrow-minded
optionality. And then all these things are sent to a
printing press. The subsequent comparison with
an original is almost always not in favour of that
so called research. Why should one write about
Plato in obscure, approximate and rough was
when we can publish Plato himself and read him
But this means that a historical and
philosophical research must not be limited by
one or another summary of an original read, for
a summary is always poorer than the original
epitomized. Why should we be content with the
In a historical and philosophical research,
though a reconstruction of meaning is
indispensable, it should be exactly a reconstruction,
i.e. it should not be as direct and immediate as the
very meaning under reconstruction. Therefore,
a reconstruction is to define a heart of meaning
of an original as well as methods of shift from
this focus of meaning to its periphery, i.e. the
methods of comprehension of that periphery by
that meaning.
But a work of philosophy does not exist in
vacuum. It is imprinted in the tradition of meaning,
enveloped by that tradition, continues it and
thus negates it in its former mode. Accordingly,
a historian of philosophy should take pains of
comprehension of interaction of the tradition of
meaning and a work of philosophy under study.
As well, this tradition of meaning is not
the ultimate reality on the ground of which one
or other masterpieces of philosophy took root,
grew, and flourished. Tradition is made by men
and society existing within times. So we should
take the context of the whole social and cultural
actuality in which one or another spiritual
tradition arises and exists.
We can keep to various views on the
relation between spiritual tradition and social
and historical actuality. For instance, we can
think that one or the other of them is primary
and determinative in that relation; one of them
can be the part of the other and vice versa. But,
perhaps, nowadays, at the end of the 20th century,
it is impossible to think of them as absolutely
autonomous, irrelative and never associated with
each other. But if it is so, the features of influence
of social and historical actuality on one or another
work of philosophy are to be brought to light.
According to A. F. Losev, social and historical
explanation should be definitive explanation of a
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work of philosophy. But then A. F. Losev himself
deserves such explanation most of all.
Did critics of A. F. Losev muse upon the
sources of his turn to Antiquity? Why does
that person have to preach Plato, a thinker who
lived twenty-four centuries ago, to venture on
disguise in literature and nevertheless to risk his
own well-being and life? Why should he get into
trouble because of Plato? Well, let Plato endure
troubles! Here is one of specific features of
social and historical actuality which gave birth
to A. F Losev and befell him. A. F. Losev, a son
of his 20th century, turns to 5 century B. C. and
pays his exploratory attention to Plato though
he definitely knows about the future enmity of
actuality to him, A. F. Losev, because of that
Therefore it is important to understand
social and historical actuality in its contradiction:
it needs comprehension of the previous ages
which gives birth to the men who are willing
to meet this need of actuality before the deed
of self-sacrifice. And that actuality is willing
to send the precious crystals of spirit under
grindstone, which it has grown with such labours
and dedication.
Thus, according to A. F. Losev’s methodology,
it will be right and adequate to study his creative
life and personality as a specific phenomenon of
social and historical actuality. And it is silly to
reprove a person for one or other kind of mistakes.
It is important to understand them as mistakes of
the very actuality when a person making mistakes
is a part of the whole in that actuality.
It is important to realize those mistakes
as a consequence of inability of that actuality
to contain really pure light of truth inside and
thus content only with one or another cloudy
and obscured view of that truth, “meonized
eidos”. And, by the way, it is also important to
understand that A. F. Losev made certain efforts
so that a thoughtful reader could find a way to the
full light and pure shine even in that meonized
face. Deliberateness and contradictory character
of many Losev’s statements leave no doubt about
entire and adequate Losev’s awareness of what
comes in a contradictory, cloudy, and deliberate
form here.
Every person is given to us and important
for us (as well as for himself) foremost because
of his actuality, i.e. not because of his ruined
opportunities and dreams that have not come
true, but because of his opportunities and dreams
that have come true. This is an old thought spoken
out by N. A. Dobrolyubov in relation to works of
literature: “The things that an author wanted to
tell us are not as important to us as the things that
have been brought out by him, even if they it was
involuntary and as a consequence of a truthful
representation of life facts”5.
But the emphases I would like to put on
this problem are considerably different and even
opposite to those ones of N. A. Dobrolyubov.
N. A. Dobrolyubov grounds his right to judge
about actuality on a work of literature without
any particular reckoning of some subjective
mood, desires, and motives of an author of a work
of literature. If an artist is really great, he cannot
help conveying actuality in its essence. And
N. A. Dobrolyubov is still quite profound to deny
author’s “volitions” completely, and thus he comes
to objective positions. But those “volitions” have
their own importance, though secondary ones.
N. A. Dobrolyubov orients himself according
actuality as “life facts” and he judges about life
and facts by a work of literature.
But I would like to turn backward – to judge
an author’s personality from a work of literature.
And though such reorientation brings about some
kind of increase of the significance of author’s
intentions, dreams, hopes, and so on, however,
in this case, they are in the background. A work
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of literature, a fact of literature is a result of a
person’s objectification. So we shall not repel
a personality from an object, and, moreover,
according to A. F. Losev, a personality is an
identity and a synthesis of subject and object.
And if a work of literature contains a sense of
one or another fragment of actuality or the whole
actuality, it means that a sense is to be involved
in identification of a personality and be included
in his entire identification.
Once I was bluntly amazed by ontological
capacity and breadth of one short note by
N.A. Berdyaev, who was not deep as a writer
because of his unsystematic character of writing,
and sometimes he was even didactic and banal,
but, perhaps, he was with some spark of genius
due to that unsystematic character of writing.
Namely, once, it seems that it was in his “Selfcognition”, Berdyaev quoted something from
F. M. Dostoyevsky’s “Demons” and added that
despite the phrase belonged to Shigalev but still it
did not matter. A reader may say: “What nonsense!
How can one inscribe F. M. Dostoyevsky’s
thoughts in long-eared Shigalev’s notebook?”
What should we say to that? We should not
identify Shigalev with Dostoyevsky but we should
include Shigalev’s thoughts and Shaiglevism into
F. M. Dostoyevsky’s world outlook.
And, perhaps, it is time to refuse from the
ill positivistic manner to esteem only one or
other abstract principles directly thrown out
of actuality with its unscraped remnants for a
world view. Who said that a world view must
surely be abstract and theoretical one and have
a formal record and any record at all? There is
no such thing in life. The elements of a world
view under investigation, which form that world
view and mingles with each other, are badly
perceived or are not realized by subjects of a
world view; these elements may be brought to
their pure essence on purpose of reasonable
clarity. But, fi rstly, it is important to realize that
it is we who bring that world view to its most
possible clarity, not a subject; secondly, when
the most possible limit of clarity and pure bases
of a world view are achieved, we should defi ne
what consequences of those bases are brought
about by a subject of a world view and what area
a subject could elicit with a part of light given to
him according to the bases of his world outlook;
videlicet, we should defi ne how and to what
extent pure ideas mingled with matter and what
“things” have come from that mixing and what
matter has been transformed and converted per
sample of those ideas.
Hence, it appears that if an author’s subject
were not completely equal to one or another
outlying object and if an author’s personality
did not go beyond such objectivity which makes
an author’s body given by Mother Nature, i.e.
by father and mother, no writer’s work as well,
as any other kind of work, would be possible to
N. V. Gogol, that very genius and all-time
N. V. Gogol, declared very explicitly that he
could fi nd every vice of his characters in his
own soul. For vice depiction requires not only
an abstract ability of abstract and notional
reflection. An artist needs to feel and pass
through the singularity of a depicted thing and
to give it, at least, specific touch of life. Though
here the artistic quality of a work of art appears
to be problematic, and the way of artist’s attitude
to a depicted thing in moral terms is quite a
different question; that is a question of author’s
conscience which is, by the way, alive and it is
not a calculating machine. But it is clear that in
order to represent some filth and outrage truly,
even though to condemn and defeat those filth
and outrage, it is absolutely necessary to gaze
into them, to open one’s mind and soul for them
and to let filth and outrage in oneself.
And here we should raise a question about
specificity of one or another person’s world
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Maxim A. Butin. Rival to the Time: a Search for Specific Features of A. F. Losev’s Personality
outlook. Why did F.M. Dostoyevsky exactly
produce the consequences out of the bases of
his world view causing the prototypes of men
killing old women and to prototypes like Pyotr
Verkhovensky, the Stavrogins, Versilov, Myshkin
or the Karamazovs? Why did the principles of his
world outlook in interaction with the actuality
lead to such results? While L. N. Tolstoy writing
at the same time the results of interaction of world
outlook bases with actuality were considerably
Apparently, every ordinary man as a man
of the largest caliber, a genius, is ontologically
limited both in his intellection and in his practical
activities (in a less degree – in his caprices and
claims, although, in the long run it is not without
them): he is able to be neither the abstract mind
nor the absolute doer. The nature of initial and
primary premises in a personality structure and
the kind of field it could turn to the consequences
of intellective and subject-practical terms
characterizes it as a specific and distinctive from
other personalities.
Now we will try to approach closer to
A. F. Losev. In his time, too, many people
did many things: dug deep to the most useful
minerals, bandaged the paws of wounded dogs,
drank “the bitter”, wrote greeting cards, and rode
home-made scooters devised of planks, nails, and
big ball-bearings. Well, we can say: they were
It is obvious that even if A. F. Losev ever
bandaged dog’s paws and even if he wrote
greeting cards to them – those affairs were not
of the principal kind determining his life and
giving meaning and sense to it. The main thing
determining A. F. Losev’s life should be sought in
his works, for they most essentially filled his life.
Herewith, it is not so important how A. F. Losev
wanted to appear and speak out as how he has
spoken out. It is not so important that because of
some reasons, A. F. Losev failed to accomplish
the conceived things but the most important thing
is what has been done and created by him, though
it might be without any special intention to create
or it was a respond to very unpleasant and even
destructive impact from the outside.
Works of a man or any other field of
substantial appearances of a personality to the
world and people is an essence and the ultimate
reality of a person. If a person has a field of being
most adequate to that person, we can ascend or
descend to that field through that field of reality
only, not through another. There is merely no any
other field, and we can judge the personality only
by his displays, but to judge essentially means to
judge from essential manifestations which are to
be somehow set apart from all others.
By H. Heine („Zur Lazarus“).
By Vl. S. Soloviyov.
Averintsev, S. S. In Memory of Teacher. – Context – 1990. Moscow, 1990. – P.4.
Losev, A. F. Essays on Ancient Symbolism and Mythology. – Vol. 1. – Moscow, 1930. – Pp. 539-541.
Dobrolyubov, N. A. When Will a True Day Come? (“On the Eve”, I. Turgenev’s novel “The Russian Herald”, №1, 1860.) –
Dobrolyubov, N. A. Works (in 9 volumes). – Vol. 6. – Moscow, 1963. – P. 97.
1. Averintsev, S. S. In Memory of Teacher. Context 1990. Moscow, 1990.
2. Around Losev: Three philosophical and practical meetings.
3. Gogotishvili, L. A. Early Losev. Questions of Philosophy, № 7, 1989.
4. Dobrolyubov, N. A. When Will a True Day Come? (“On the Eve”, I. Turgenev’s novel “The
Russian Herald”, № 1, 1860.) Dobrolyubov, N.A. Works (in 9 volumes). Vol. 6. Moscow, 1963.
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Maxim A. Butin. Rival to the Time: a Search for Specific Features of A. F. Losev’s Personality
5. Erofeev, V. The Last Classical Thinker. Losev A. F. A Passion for Dialectics: Philosopher’s
Contemplation on Literature. Moscow, 1990.
6. Losev, A. F. Vladimir Solovyov. Moscow, 1983.
7. Losev A. F. One of the Greatest Pleasures in Life… Bibliophile’s Almanac. Issue № 14.
Moscow, 1983. P. 28.
8. Losev, A. F. Essays on Ancient Symbolism and Mythology. Vol. 1. Moscow, 1930. Pp. 539541.
9. Proclus. Elements of Theology. Losev A. F. The History of Ancient Aesthetics. Vol. 3: High
Classical Period. Moscow, 1974.
10. Rostovtsev, Y. A. Midnight Vigils. Around Losev: Three philosophical and practical meetings.
11. Spirkin, A. G. About meetings and conversations with A. F. Losev. Ancient culture and
Modern Science. Moscow, 1985.
12. Shpet G. G. An Essay on Development of Russian Philosophy. Part 1. Moscow, 1990.
Соперник времени:
в поисках специфики личности А.Ф. Лосева
М.А. Бутин
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье теоретически выстраивается структура личности русского философа Алексея
Фёдоровича Лосева. Осуществлена попытка применить лосевские наработки по теории
личности и мифу к самому автору этих теорий и критически осмыслить, насколько
соответствует реальная личность её собственным исследованиям о личности.
Ключевые слова: русская философия, А.Ф. Лосев, Платон, личность, лик, субъект, объект,
интеллигенция, эйдос, ум, дух, материя, тело, миф, чудо.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1461-1470
УДК 94 (47) : 94 (571)
Impact of Social Stereotypes on the Perception
of Siberia by the Inhabitants of European Russia
in the XIX-th Century
Tatyana V. Gryaznuhina and Alexander G. Gryaznuhin*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia
Received 30.01.2013, received in revised form 02.02.2013, accepted 06.06.2013
The paper deals with the formation of perception stereotypes of Siberia by the population of the
European part of Russia, shows the influence of stereotypes on the establishment of social and
psychological relationships between different social groups. These issues are analyzed on the example
of V.G. Korolenko, whose works most clearly reflected in figurative Siberia stereotype of the author
and the people who surrounded him during his political exile at the end of XIX century.
Keywords: exile, culture, Russia, Siberia, the stereotypes, V.G Korolenko.
The history of development of communication
links between the European part of Russia and
Siberian region has represented a great interest
for researchers. Relying on “the norms of ethics,
morality, and rectitude and implementing
within the standard rules of etiquette”, the
communication helped to identify distinctive and
unique features of interacted cultures, influenced
the forms of their mutual stereotype perception.
(Remizov, 2011: 31). A diversity of specific
features in its development has made Siberia
attractive as a special social and cultural aspect.
It used to have an aura of unpredictability and
incomprehensibility, the monumental might and
vigour. This has a special impact on how Siberia
was stereotyped in the cultural and psychological
aspects, and it formed an image perception of the
region in the minds of the Russian European part
inhabitants. Lack of awareness about the lifestyle
of Siberia its dissimilitude and difference from
traditional knowledge available about the region
led to a cultural and psychological gap between
the inhabitants of the central part Russia and
Siberia. Formation of this distance was facilitated
not only by the differences in lifestyle, but also
by different religious consciousness of region
inhabitants. As it has been noted by a number
of researchers, if Siberian people was slightly
religious and had “their own particular outlook
on life”, the settlers from the Russian provinces
“had the higher religious and moral
consciousness” (Lityagina, 2006: 120).
Immigrants from Central Russia to Siberia were
mostly peasants, “basic characteristic of whom
was the deep religiosity. It reflected the world
outlook and views of peasants to life... moral
norms that are passed on from generation to
generation” (Sinyakina, 2011: 99).
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Tatyana V. Gryaznuhina and Alexander G. Gryaznuhin. Impact of Social Stereotypes on the Perception of Siberia…
And if geographically Russia and Siberia
were considered an organic whole in cultural and
psychological terms they kept identifying “friendor-foe”. For a visitor travelling into Siberia, the
territory up to the Urals border was identified as a
“friend territory” whereas the territory behind the
Urals was recognized as alien, unfamiliar, “foe”
territory. G. Kennan, an American traveller, who
visited Siberia in the 80s of the XIX-th century
describes his experience. “A quadrangular pillar,
built of brick, with the coat of arms of a European
province Perm fixed on the one side and that of
the Siberian province of Tobolsk fixed on the
opposite side of it was seen as the boundary; the
“Siberian Boundary Stone”. G. Kennan writes
that “no other territory in Russia had invoked so
much curiosity in a traveller, as this little forest
glade, with the stone pillar, consecrated with grief
and human misery. No other border pillar in the
whole world had witnessed so much grief, such
severe hardship as this one, the countless brokenhearted creatures had passed it …one were
completely fraught with sorrow, others -seeking
consonance in tears; the third prostrating biting
the dust of their motherland and kissing the cold
stone pillar, as if it was the symbol of all the
most dearest, that they had left once...” Having
crossed the border, people “had to part with the
Motherland, and with love” (Kennan, 1906: 32).
Emotionally-coloured stereotypical perception
destructive philosophy of thinking often proved
to be much stronger than logical reasoning.
However, being a part of Russia, Siberia
was naturally involved in a nationwide cultural
interaction. The cultural interaction between the
center and the region was carried out by people
who due to various life circumstances found
themselves into Siberia. Among them were those
who came voluntarily to work in a province,
but the vast majority were criminals and those
convicted for political reasons. Only in the
Yenisei province the total number of convicts as
on January 1, 1908 amounted to 50,163 (Statistical
Review, 1908: 78). Study of the process of crosscultural interaction, “arising during the relations
of the migrant and the host country”, reveals the
principles of co-existence of different ethnic and
social groups. During the migratory movement in
the human mind there is the start of the process of
identification of cultural differences, the function
of culture translation, definitions of the rules of
behavior between migrants and the host cultural
environment (Zamaraeva, 2011: 815).
Depending on the reasons and purposes of
these people stay in Siberia formed their perceptions
and stereotypes of the region, shaped their strong
opinion on the lifestyle of local inhabitants. These
stereotypes, in turn, determined the behavioural
style, influencing the relations between people.
The existing stereotypes facilitated to explain
and understand the new conditions of existence
the people were compelled to. The problem
was only in the extent to which these patterns
reflected an objective reality, as they were
mostly generated by those whom Siberia turned
to become a confined destination. And then, the
stereotypes though consciously or subconsciously,
generated a negative perceptions of the region
as a whole. Thus, the stereotype of appearance,
as a subliminal message, affected interpersonal
relations. The prisoners were surrounded by
gendarmes, people with low moral culture, and
often unattractive look, so as they were attributed
all the vices and weaknesses, contributing to firm
negative personal perception.
The existing significant differences between
the regions had added to the core principle of the
stereotyping. The information about these people
reached the central Russia through the publications
in the newspapers and the personal impressions and
experiences of those who visited Siberia. In these
cases the formation of the social stereotype was
conducted through psycho-semantic approach,
implemented through the paradigm of subjective
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understanding, that is, all the knowledge, all
the information about something was obtained
through an intermediary-recipient. Such obtained
information carried the experience of the spiritual
life of another person. The reconstruction of
being was carried out through the construction
of subjective semantic spaces. (Petrenko, 2006:
56) However, such sources of information may
not always be objective, and thus, the stereotypes
formed on the basis of the sources were not always
true and accurate. N. Yadrintsev in one of his
essays writes that “the exiled and exilic poetry
receives the impression of a subjective sensation,
transmits a picture of the country based on single
experiences, the country for exile is drawn
entirely other guess, he was always elegizing,
whining and venting spleen in his hatred upon the
destination of the exile. His sympathies in another
country. Under these conditions, the country
cannot inspire a singer whereas a poet will
forever remain alien to it “(Kolosov, 1906: 217).
Regionalists also noted that the existing cultural
and historical differences have contributed to the
development of relations between the regions.
The inhabitants of European Russia had the
stereotype perception of Siberia as a raw material
market and a culturally and economically weak
region. It reflected, in their opinion, the model of
the “relations of European conquistadors to the
aborigines”, the conquistadors “deprived them
of humanity, fully identifying with the flora and
fauna”, that “gave them the right to act against
them on the basis of the presumption of complete
moral freedom to satisfy their own interests”
(Emelyanov-Lukyanchikov, 2004: 124). N.
Yadrintsev’s conviction in the existence of special
Siberian regional anthropological and culturalpsychological type laid in the basis of his idea
about cultural identity of Siberia. Regionalists
acknowledged that the Siberian issue could
be resolved only with the change of relations
between regions that in turn was directly related
to the change of stereotype perception of Siberia
by whole Russia (Asoyan, 2012: 30).
Coming to Siberia with definite world
outlook, the exiled got what they had expected
to see. People tend to easily generalize isolated
facts, and translate them to the status of laws.
Moreover, such generalization leads to the fact that
even insignificant differences are tremendously
exaggerated. The information that proves the
stereotype contributes to its sustainability, while
some inconsistency is often ignored. Some
single examples of inconsistencies with the
stereotype can co-exist, even contributing to its
stability. Stereotypes affect the human mentality,
behaviour, interpretation of events, and thereby
acquire a social meaning. In determining a
human behaviour, stereotypes attribute this
behaviour by certain factors and reasons. From
this point of view, some facts from the biography
of V.G.Korolenko who refused to take an “oath
of allegiance” to the new tsar, and in 1881 was
exiled to Yakutia may stir a great interest.
Having crossed the whole Siberia as the exiled,
V.G. Korolenko was closely interacted with the
convicts both vagabonds and political. The main
characters of his stories were real living people,
that definitely contribute to confidence and true of
the described experiences from these meetings. A
talented writer V.G. Korolenko was able to create
an image of Siberia in his stories, which reflected
the awareness of the author and its stereotypical
perception by the people who surrounded the
The social significance of creative activity
of V.G.Korolenko for Siberia is truly invaluable.
Having worked for more than 20 years in the
magazine “Russkoye Bogatstvo” (Russian
Wealth), in St. Petersburg he gave coverage to
diversity aspects of Siberian life. The magazine
published various scientific, political, and literary
materials. The exiled sent materials to the editor
about the conditions of stay in exile, the magazine
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Tatyana V. Gryaznuhina and Alexander G. Gryaznuhin. Impact of Social Stereotypes on the Perception of Siberia…
assisted with fundraising for the needs of Siberia,
for the benefit of the unemployed, the exiled and
prisoners. Contributions came from Kurgan,
Chita, Krasnoyarsk, Minusinsk.
Performing communication functions, the
magazine has been one of a few informative
sources, through which the inhabitants of the
central Russia formed their own perception
of Siberia, that is, the magazine promoted the
creation of a realistic stereotypical image of the
region. Siberia, in turn, thanks to the magazine
could express their needs, share problems in
hope to be heard by the Russian public and the
authorities. Importance of the press, journalism
and literature as a tool of social influence can
not be underestimated during exploration of the
problems of the Russian society. Press greatly
helped to increase its liberalization, encouraging
the government to be imbued with the public
interests (Hevrolina, 2004: 167).
Realizing the great importance of the
magazine for the cultural life of the region, the
Siberians were actively involved in its publishing
destiny. When in 1904, a member of the editorial
board of “Russkoye Bogatstvo” (Russian Wealth)
N.K. Michailovsky had died , the letters and
telegrams of sympathy poured in from Siberia
together with donations for a memorial to
him. On the occasion of the 50th anniversary
V.G.Korolenko received a cordial welcome from
the editions of “Sibirskaya Zhisn”(Siberian Life),
“Sibirskiy Vestnik” (Siberian Gazette) from the
readers of Irkutsk, Krasnoyarsk, Chita. Such a
close relationship and support to the magazine
from the Siberians showed their confidence in
the editorial staff, the agreeing with the position
of the magazine in highlighting the issues and
problems regarding the life of Siberia. Therefore
we can assume that the materials published on the
pages of publications had greatly contributed to
the formation of the objective image of Siberia
and the influence on the formation of stereotypes
of the region of the readers of the European part
of Russia. It was also promoted by the range of the
aspects that were covered on its pages. They were
related to public education, land-planning and
management, the issues of justice, the destiny of
native minorities of Siberia, exile and migration.
Journalistic publications and fiction had also
greatly contributed to realistic image of Siberia
in readers. The authors were often the Siberians,
who knew the insight of the life of Siberia. For
them Siberia was a part of their life so were
their works with almost no romance but essay
of everyday life. On the pages of the “ Russkoye
Bogatstvo “ published Siberian poets G. Vyatkin,
P. Jakubowicz, writers S. Elpatievsky, W. TanBogoraz, and it was V.G.Korolenko who did
the review of those works, thereby contributing
to the qualitative development of the Siberian
fiction. The magazine had also encouraged the
writers who had learned Siberian through their
exile experience e.g. S. Shvetsov, N. Ann. C.
Chudnovsky, who was exiled to the Yenisei
province, wrote about the need for judicial reform
in Siberia, as there was virtually no justice. W.
Aref wrote about the school education that
dramatically fell behind time, as church schools
were only sponsored by the local population.
The stereotypical image of Siberia was
formed just by hearsay. We can trace the story
thanks to the article of S. Florovsky “To the
chronicle the migrant movement in Siberia for the
last few years.” published in 1901 in a magazine.
The author reports that annually 11-18% migrants
move back from Siberia i.e. three out of ten
thousand families. He wrote: “The returnees look
so depressed... They share the most incredible
horror of stories about Siberian edge, and no
surprising that those migrants to Siberia, having
heard that horrible stories, give up and come back
out of the way” (Siberian Page), 1987: 47).
Thus, we may conclude that one of the
sources of the stereotypical understanding of
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Tatyana V. Gryaznuhina and Alexander G. Gryaznuhin. Impact of Social Stereotypes on the Perception of Siberia…
Siberia were the mass media publications in the
magazines that gave the coverage of the life of
the region. However, you just cannot deny the
role of hearsays in forming the perception of
the stereotypical image of Siberia, the corrosive
effects of which enhanced by implicit faith had an
immense impact and spread.
The territorial remoteness and long prison
terms had also affected the perception of Siberia
as a death-trap destination to get back from
which was virtually impossible. In his diary
V.G. Korolenko writes about an officer who
reported that he had seen many people to Siberia
but had not met them back from that destination.
The destiny of Jacob Freezer is noteworthy in this
respect. The son of the Jew exiled to Siberia, he
became the major goldminer, “distinguished by
wealth”, patron, philanthropist, was well-known
outside of Siberia. But when Ya. Freezer, being 10
years in the first guild merchant class, submitted
the application for the right to live everywhere in
the empire, it was refused because he belonged
to the category of exiles (Kalmina, 2006: 144).
N.M Astyrev, a researcher and a journalist in his
book “Na Tagiezhnykh Progalinakh” (On Taiga
Clearings) about the Siberian peasants adds more
evidence to generic nature of Siberia perception
as a place of complete or partial neglect . He was
also in correspondence with V. G. Korolenko. As
Siberia had attracted his attention, therefore, taking
the advantage of the invite from the GovernorGeneral of Eastern Siberia, N.M Astyrev in 1887,
arrived in Irkutsk, where he headed the Statistical
Committee. By participating in expeditions to the
eastern Siberia, he had been collecting material
for his books, which encompassed information
on statistics, sociology, ethnography and folklore.
N. M. Astyrev is closely associated with the exiled
in Irkutsk, and thus his perception of Siberia may
well have been very typical of them. In his letters
to V.G. Korolenko, he writes: “So beautiful may
Siberia be, it is the destination of obscurity. Woe
had lost in its taiga, tundra and steppes! ... Too
soon their beloved who stayed of the other side of
“the Stone” forget them. Further, N. M.Astyrev
writes that he does not even speak of himself,
but “ broadly generalizes,” although he could
be a particular example to prove the general
rule for these things” (an issue of “Sibirskie
Stranitsy”(Siberian Pages), 1987: 97). Despair,
hopelessness and fear capture a human mind and
even a possibility of being exiled to Siberia, could
not but come true when meeting it. The existence
of the perception stereotype formed an emotional
state of persistent depression and had led to grave
results. The author of the article “Rysskaya Ssylka
“ (Russian Exile) C. Dizhur published in the
journal “Russkoye Bogatstvo”(Russian Wealth),
writes that “high mortality rate in Siberia is due
to huge mortality rate exclusively among the
exiled (in 1892 the mortality rate in European
part of Russia was thirty –eight deceased of
one thousand inhabitants verses the forty-four
decease in Siberia) (Dizhur, 1900).
V.G. Korolenko’s perception of Siberia can
be considered typical for many exiled. Having
crossed virtually all the Siberian region as a
part of the prisoner transport the writer had
the opportunity to closely interact with fellow
prisoners. In his works, diaries, and letters the
talented writer conveys their impressions to the
readers. V.G.Korolenko recalls that the exiled in
Irkutsk literally pounced on him with questions,
and listened eagerly to everything he said. People
when isolated from public life, were so excited to
learn at least some pieces of information about
what is going on outside of their detention. The
writer describes his emotional state in the story
“Sokolivets.” He writes about a state of mind
“when all the grief so powerfully captured the
heart, when the “strange land “ is so hostile and
blows all its gloom and chill on you, when all these
mountains, forests and endless steppes crushingly
dominate with menacingly anxious imagination
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immeasurably, irresistible space , which lays
between you and all the beloved, distant, lost,
that so relentlessly attracts ... And the suppressed
grief raises its head among dead calmness and in
the darkness, whispering so clearly that terrible
fateful words: “ forever… in the grave, forever
...” (Korolenko, 1953-1956, Vol. 1: 131-132). Such
an emotional state depended on a human, on
his attitude to the reality that surrounded him.
Without changing his attitude to surrounding
environment and perception of reality, which
became stereotypic, made it impossible to get
out of the impasse. Many were never able to
overcome it. The state of chronic depression
often pushed the people to an inadequate acts.
In his “Istoriya Moego Sovremennica (A Story
of My Contemporaries),” Korolenko writes that
they literally was thunderstruck by the rumor
that the exiled Bagin strangled his wife, and
then poisoned himself. The exiled A. Pavlov
committed suicide, having left note, “died of
grief and idleness (Krotov, 1925: 43). The writer
considered himself guilty in this death, since was
not able to understand the mood of a fellow victim,
and provided no moral support . In “Stories of
My Contemporary” V.G. Korolenko tells how
desperate the Polish rebels were “having lost all
contacts and support of their homeland.” Strife
and squabbles were growing while the moral
principles of the Polish convicts were overturning
(Korolenko, 1985: 288). The rejection of another
way of life, reluctance to adapt to local conditions,
led to depression, emotional breakdowns.
V.G. Korolenko himself was a businesslike man,
with a steady system of values and beliefs, but
even he experienced a period of discouragement.
The poem “Za Dveriyu”(Behind the door) written
in Tobolsk prison reflected the desperate mood of
the writer.
Work saved him from the depression of
“idleness “ during his residence at a penal colony
settlement. He writes to his brother Illarion to
city Glasov, that in the winter he sews boots, and
in the summer he is engaged in agriculture. “So –
I learned to ploy, harrow, mow and even press ... I
have a horse. In addition to these ...we are hunting
hairs in the the forest “(Korolenko, 1935: 171173). The writer was also involved in teaching
activities, teaching boys of a local resident
Afanasieva to read and write, he also collected
and wrote down the Yakut native songs, kept a
diary , he kept records for each postal station,
which he passed, collecting statistics about its
population, its property and the state payroll,
was an active correspondence with Russian
magazines. The hope to come back to Russia, the
desire to understand the local lifestyle, an attempt
to attract the attention of the Russian public to
the problems of Siberia, the awareness in this the
importance of his activities, kept V.G. Korolenko
going by giving his a chance to overcome the
stereotypes and find the positives sides in this
Total cultural and psychological perception
of Siberia by people, who by the will of fate
found themselves at this remoteness destination,
can be understood by tracing the fate of the
characters in the V.G. Korolenko’s works. The
writer often focuses on the psychological details
of the behaviour of his characters. Common to
them is the change of perception of the world
around that occurs to them when crossing
the border with Siberia. This is due, first of
all with a sense of cultural and psychological
distance, which is manifested in alienation,
in the rejection of everything “strange”. This
antagonistic commonality and utter disbelief
in a possibility of reasonable changes for the
better programmed the basics of behaviour of
these people. Humility, resignation to fate loss
of faith – these features are embodied in the
image of Makar, the character created by the
writer in the story “Makar’s Dream.” He was a
host of the yurt, where the writer Zahar a Russian
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immigrant who adopted Yakut manners lived.
Resignation, the feeling that he has no choice and
chance to change the life, as everybody has the
same life, ground Makar to total savagery and
complete abandonment. By creating a construct
of a settler, V.G. Korolenko was able to show the
dreadful habit to this dark and dirty life. People
got used to it and they thought it was forever.
The desire of the writer to go into the details of
better understanding of life processes, sparked a
strong interest in him in the human psyche. The
stereotypical setting out in a human that he has
no choice, deprives indeed a human of the right
to choose, and the power of tradition creates a
psychological basis for passive obedience to the
established lifestyle in the mind the conviction
that it is forever. V.G. Korolenko shows that
even honest people in such circumstances, are
doomed to gradually and imperceptibly lose
the sense of foulness that is happening around.
Another his short story “The Feudal Lords,” tells
us a story of some public officers who came from
the central Russia to Siberia to execute certain
state duties, though in fact, arranged their own
private matters. The full tragedy of the same
degeneration of the human mind, which the writer
experiences personally, he describes in his story
“Iskushenie” (Temptation).” “I clearly realized
that I, Vladimir Korolenko is now dying. I will
be really dead, or rather transform into a midcult
ignorant creature Ivan Ivanov, prosecuted, angry,
doomed to drag out a miserable existence, full of
unknown adventure and mystery. And I felt that
it would be no me any more. My fate will lead
me the road, which is alien to me and unpleasant
“(Korolenko, 1980: 170). The tragedy of this
transformation was that just revenge was left for
the embittered human The revenge for everything
that has killed the human in him that made him
a philistine Ivanov. The mindset that nothing
can be changed and everything that happens –
is forever that completely ruins and maims the
souls. Luckily, V.G.Korolenko, being a man of
strong will, was able to survive this hardships
preserving his personal ego, but many failed.
Speaking of his meeting with an employee Stepan
(his story “Marusiya’s Zaimka” (Marusya’s
Lodge), who lived in Siberia for 15 years, the
writer underlined how terrified he was with all
this hopelessness, having lost even its sorrow”
that he felt in Stephan’s response to the question,
why he did not leave Siberia”. In a conversation
with a ploughman Timokha, V.G. Korolenko
asked him if he receives a letter from Russia.
Timokha replies: “No letter can reach this neck of
wood! Too far, bro! Chased we were and driven,
ooh, my God! What letters!”.The perceptions
of Siberia as something alien and hostile, made
the people’s lives there intolerably difficult,
and the realization that is forever, deprived it
of its meaning. For the Siberian Russia was
also strange and foreign. In the story “Ubivets”
(Murderer) V.G. Korolenko tells the story of his
meeting at a postal station with the superintendent
Vasily Ivanovich, who for his free-thinking
philosophical thoughts was downgraded the
carrier ladder. When in due time he was offered
a “decent place in Russia,” he replied, “No, sir,
thank you, I can not ... I cannot, sir! What can I do
there? All is foreign my interests. «Siberians way
of thinking and understanding was different and
this perception served the basis for the formation
of the stereotype “friend or for” and it does not
matter, which social group they represent. And if
Siberian people had their own concept of native
land with positive treats, the “image of Siberia
in the Russian mass consciousness possessed the
stable stereotypes: “Siberia is a colony”, “raw
materials appendage”, “place of penal servitude
and exiles” (Vinokurova, 2012: 224) .In the
story “Sokolinets” V.G.Korolenko described his
acquaintance with Basil hobo, who tells him how
to hit in Siberia. When the gang was solving what
Vasily should do , the old man, a member of the
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farm said: “Hey you punks, you don’t think out
way! You judge in raseyske (the way of thinking
and lifestyle in the central Russia), and I’m in
the local. I know the local orders ...” And even
the Siberian landscape described in the story
“At-Davan,” that had to conquer the minds with
it s grandeur and beauty, produces a depressing
effect. Describing his journey along the Lena
River, V.G. Korolenko wrote that it “completely
slopes are dotted with dense wood carrion. The
closest you can see the corpses of trees covered
with snow, with torn from the ground, frantically
twisted roots. “Only the plain wood “is a long,
dark, funereal border” (V.G. Korolenko, 1980:
176). We believe that such comparisons can shape
only in the imagination of a human being in a
certain emotional mood.
The formed social stereotypes created a
belief in a human, which is often stronger than his
will. Consciousness is the part of a creative force.
Thinking can be both creative or destructive,
we can pull towards what we want or vice versa
what really do not want to. The stereotype of
perception of Siberia, based on the destructive
thinking, deprived a human of moral power.
Broken-hearted people had fallen into line with
failures, losers and suicides, insane. The laws
of psychology, being as objective as the laws of
physics and mathematics are the evidence for
that the mental attitude to something created by
a belief in the stereotype defines the behaviour of
people. Impact of social stereotypes of Siberia on
the people who were came to Siberia against their
good will discussed in this paper in the context of
the analysis of creative activity V.G. Korolenko,
who has always paid attention to the psychological
state of his characters, confirms the correctness
of the conclusions reached.
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regionalism of N.M. Yadrintsev [“Sochinitel‘ samobytnykh kul‘tur ?” (Ideia kul‘tur v sibirskom
oblastnichestve N.M. Yadrintseva]. Kul‘turologiia (Cultural Studies), 1, 29-40.
2. Bialyi, G.A. V.G. Korolenko [V.G. Korolenko]. Leningrad, Khudozhestvennaya Literatura,
1983. 350 p.
3. Emel‘ianov-Luk‘ianchikov, M.A. (2004). Concept of “tribalism” of K.N. Leontiev in the
civilization historiosophy of the XIX – XX centuries [Kontseptsiia “plemenizma” K.N. Leont‘eva
v tsivilizatsionnoi istoriosofi i XIX – XX vekov]. Voprosy istorii (Questions of history), 9.
4. Hevrolina, V.M. (2004). Review of the monograph “Grosul V.Ya. Russian Society of the
XVIII – XIX centuries. Traditions and innovations [Retsenziia na monografiiu “Grosul V.Ya. Russkoe
obshchestvo XVIII – XIX vekov. Traditsii i novatsii]. Moscow, Nauka, 2003. 517 p.” Voprosy istorii
(Questions of history), 5, 166-168.
5. Kal‘mina, L.V. (2003). Siberian goldminer and philanthropist Jacob Freezer [Sibirskii
zolotopromyshlennik i metsenat Iakov Frizer]. Voprosy istorii (Questions of history), 3.
6. Kennan, G. Siberia! [Sibir‘ !] (1906). Vsemirnyi vestnik (All-world Newsletter), 4, 32-33.
7. Kolosov, E. (1906). Siberian regional officers about arrived and regional intelligentsia
[Sibirskie oblastniki o prishloi i kraevoi intelligentsii]. Sibirskie zapiski (Siberian notes), 3, 218.
8. Korolenko, V.G. Istoriia moego sovremennika. T.3 – 4 [History of My Contemporary.
Vol. 3-4]. Moscow, Pravda, 1985. 512 p.
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9. Korolenko, V.G. Sobranie sochinenii. V 10 t. [Collected editions in 10 vol.]. Moscow, 19531956.
10. Korolenko, V.G. Dnevnik. 1893 – 1994 [Dairy 1893-1894]. Vol.2. Kiev, State Editing House
of Ukrain, 1926. 285 p.
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Gor‘kii,1935. 322 p.
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Khudozhestvennaya Literatura,1980. 319 p.
13. Krotov, M.A. Iakutskaia ssylka 70-80 godov [Yakut Exile 70-80s.]. Moscow,1925. 342 p.
14. Lityagina A.V. (2006). Level of religiosity in Western Siberia (1801 – 1917) [Uroven‘
religioznosti naseleniia Zapadnoi Sibiri (1801-1917)]. Voprosy istorii (Questions of history). 9.
15. Negretov, P.I. V.G. Korolenko: Letopis‘ zhizni i tvorchestva. 1917-1921 [V.G. Korolenko.
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17. Remizov, V.A. (2011). Theoretical fundamentals of communicative culture [Teoreticheskie
osnovy kommunikativnoi kul‘tury]. Kul‘turologiia (Cultural Studies), 4. 30-32.
18. Sibirskie stranitsy zhizni i tvorchestva V.G. Korolenko [Siberian pages of life and oeuvre of
V.G. Korolenko]. Novosibirsk, Nauka,1987. 204 p.
19. Sinyakina, E.G. (2011). Psychological characteristics of the Russian peasantry before the
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for year 1907]. Krasnoyarsk,1908. 108 p.
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contemporaries (Introduction and text edition and notes T.G. Morozova)]. Moscow,1962. 365 p.
22. Vinokurova, U.A. (2012). Post-Soviet Siberian person: the transformation of values
[Postsovetskii sibiriak: transformatsiia tsennostei]. Kul‘turologiia (Cultural Studies), 3. 222-225.
23. Zamaraeva, Yu.S. (2011). Relations of the migrants and the host environment as a
phenomenon of the modern culture of Krasnoyarsk Territory (the results of the association experiment
on the methodology of “serial thematic association” [Otnoshenie migranta i prinimaiushchei sredy
kak fenomen sovremennoi kul‘tury Krasnoiarskogo kraia (rezul‘taty assotsiativnogo eksperimenta
po metodike “seriinye tematicheskie assotsiatsii”]. Journal of Siberian Federal University. Series:
Humanities. 4. 805-815.
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Влияние социальных стереотипов
на восприятие Сибири
жителями Европейской России в XIX в.
Т.В. Грязнухина, А.Г. Грязнухин
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
В статье рассмотрены вопросы формирования стереотипов восприятия Сибири жителями
Европейской части России, показано влияние этих стереотипов на установление социальнопсихологических связей между различными социальными группами. Данные проблемы
анализируются на примере творчества В.Г. Короленко, в произведениях которого наиболее
ярко отразилось образно-стереотипное восприятие Сибири самого автора и людьми, которые
окружали его во время политической ссылки конца XIX века.
Ключевые слова: В.Г. Короленко, культура, Россия, Сибирь, стереотипы, ссылка.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1471-1478
УДК 159.923:378.178
Self-Knowledge and Self-Attitude
of Educational Students Groups in the Trainings
of Personal Growth
Olga M. Miller and Elena V. Cherepanova*
Krasnoyarsk State Pedagogical University
them. VP Astafeva
89 Ada Lebedeva Str., Krasnoyarsk, 660049 Russia
Received 22.07.2013, received in revised form 24.07.2013, accepted 31.07.2013
The present study examines changes of self-knowledge and self-attitude of students – future psychologists
from the first to the fi fth year. The trainings of the personal growth are the most effective way for
the development of these processes. Therefore, these trainings are often included in the curriculum
of Psychological faculties. Annually the research examined the effectiveness of the personal growth
training for students – future psychologists of educational (stable) groups. The study tested selfknowledge and self-attitude of students using self-reports, “Twenty statements of self-attitude TestKuhn M., McPartland T.”, and projective drawing technique before and after the training. The result
revealed that the values of self-knowledge and self-attitude of stable educational students groups at
the social level were much higher than the values of these parameters at the physical and reflexive
levels. At the same time the physical level of self-consciousness correlates with the reflexive level
and inversely correlates with the social level. Consequently, the fi xation on the social images of selfcauses defense mechanisms and prevents the experience of physical and reflexive images of Myself.
Thus, personal growth trainings in stable educational groups have inhibitory effects on the personal
and professional development of students as they block the growth of their self-knowledge and selfattitude.
Keywords: self-knowledge, self-attitude, personal growth training, physical, social and reflexive levels
of self-consciousness, stable educational groups of students.
From the point of view of psychological
analysis self-knowledge is a process and a product
(Rubenstein, 2003; Stolin, 1983; Chesnokova,
1977). The greater attention of the researches is
focused on the study of self-knowledge and selfattitude.
Self-knowledge is defined as complex long
in time process the product of which is quite rigid
images of Myself. According to I.I. Chesnokova
(Chesnokova, 1997) self-knowledge is the
mechanism to study oneself leading from
elementary self-feelings firstly organic, to selfperceptions, self-beliefs, viewpoints and notions
about oneself. In this way I.I. Chesnokova
describes development as a complex process
individually long in time and divided into two
basic levels. At the first level self-knowledge is
fulfilled through different forms of correlation of
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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oneself with other people. At this level of selfknowledge isolated images of oneself and one
self’s behavior are combined as if they are tied
to certain situation, certain communication,
some relatively stable sides of notions of Myself
are formed, but there is no yet a complete true
understanding of oneself connected with the
notion of self being. For the second level it is
typically that self-correlation of knowledge
about oneself is fulfilled not in the frames of
“Myself and Another Person” but in the frames
of “Myself – Myself” when a person operates
with ready knowledge about himself, in some
extent with former received in different times in
different situations.
Thus, I.I. Chesnokova defines two levels
of self-knowledge in self-consciousness.
Meanwhile, self-consciousness according to
known in psychology definition has threelevel structure (James, 1991; Kon, 1978; Stolin,
1983). I.I. Chesnokova describes psychological
peculiarities of images not only “social Myself”
and “spiritual Myself” but also “Physical myself”
it means, in fact she also emphasizes three levels
of self-consciousness structure but she reviews
self-knowledge only at social and personal levels
of a person’s activity. At the same time as it was
mentioned above this author asserts that selfconsciousness starts with the stage of elementary
self-feelings at the beginning of organic ones.
Such characteristic of self-consciousness is out of
the frames defined by the author for this process.
It seems that besides two levels of selfconsciousness (self-consciousness in the system of
“Myself and Another one” and “Myself – Myself”
i.e. in the system of correlation of oneself with
others and in the system of correlation of oneself
with oneself), developed by I.I. Chesnokova there
is also elementary level of self-knowledge, at
it a person learns himself at a physical level of
activity. At this level self-knowledge is also in
the system of correlation relations of oneself with
oneself, i.e. in the system of relations “subject –
subject”, and the tool of self-knowledge is
elementary self-feeling. Domestic cultural and
historical tradition in psychology and psychic
study left aside of its researches the problem
of the body. V.P. Zinchenko (Zinchenko, 1994)
wrote that L.S. Vyigotskiy was mainly busy with
the problem of spiritual Myself. From the point
of view of general psychology the extension of
problem of consciousness and self- consciousness
that is used by psychologists practitioners is
interesting in the highest extent.
Tight unity of emotional experience
and image of Myself was shown by Z. Freud
emphasising the most important role of body
like psycological object in development of egostructure. More concrete the problem of Myself
connection with the body was researched in the
work of R.Lang (Lang, 1995), who devided people
into “embodied” and “not embodied” depending
on how they feel themselves “submerged” into
their bodies and find themselves apart from their
bodies in some extent. Thus and individual as a
starting point has the feeling of his body as a base
on which he can be a personality together with
other people. Separating Myself from the body
prevents from direct participating of not embodied
Myself in any aspect of life in this world that is
mediated only thanks to corporal perception,
feelings and actions (means of expressiveness,
gests,words, actions and so on). Not embodied
Myself becoms hyperconsciousness. It tries to
postulate its own imago (in psychoanalysis imago
is unconsciousness image of objects, in this very
case it is unconsciousness images of a personal
body). It develops relations with itself and the
body that can become quite complex (Lang, 1995:
87-88). Following R. Lang and I.I. Nalchadzhan
(Nalchadzhan, 1988) we consider that corporal
image of Myself (“physical Myself”) is the basis
on which further development of Myself-concept
takes place. According to this understanding of the
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body scheme we cannot agree with V.V. Stolin’s
thought that body scheme and the way the person
feels are not in the Myself structure because
“they are integrated directly into the psychic
system of the organism”. Body scheme and the
way the person feels (as emotional experience
of actual perception of a personal body and its
factual state) are not “analogues of Myself at the
level of organism” (Stolin, 1983) but full-fledged
“component cells” or substructure of Myselfconcept (A.A. Nalchadzhian, 1988). The image
of the body is relatively stable substructure of
Myself-concept. Ungeneratedness of self-identity
can play dramatically deformating role in a
person’s self- consciousness formation.
In the whole the analysis of the literature
showed that self-knowledge is made at all three
levels of self- consciousness and at the level of
“social Myself” self-knowledge is made in the
system of “Myself and Another one” but at the
levels of “physical Myself” and “spiritual Myself”
it is in the system of “Myself – Myself”.
Many-step complex process of selfknowledge is necessarily joined with self-attitude.
Being an aspect of self-organization, self-attitude
as well as self-knowledge is fulfilled like a
process and its product. In this research after
I.I. Chesnokova we understand self-attitude like
personal emotional experience and estimation of
that a person learns, understands and “reveals”
inside himself.
If in the course of self-knowledge study in
the literature analysis it was quite easy to define
its procedural characteristic and its product
(image of Myself) then it occurred to be a difficult
business for self-attitude. As S.R. Pantileev
mentions (Pantileev, 1991) it is possible to
separate out self-appraisal in self-description and
even to isolate it from word self-description but it
is extremely hard to separate knowledge out the
estimation. Connection of self-knowledge and
self-attitude in Myself-conception is so high that
in some researches (Schavelzon, R) self-attitude
loses its theoretical status to be a special object of
psychological analysis. In the given research we
follow the point according to which the separation
of the processes of self-knowledge and selfattitude has the great meaning for understanding
of the content and the functions of self-attitude
in self- consciousness. We review self-attitude
like an aspect of self- consciousness that has its
own content and functions. Having reconsidered
existing in western literature basic notions
about the structure of generalized self-attitude
and connected to it problems, S.R. Pantileev
(Pantileev, 1991) developed five basic approaches
to understanding of global self-appraisal and its
structure. In these approaches two positions that
are taken into consideration by the researches
can be separated out: firstly, there is some
generalization of self-attitude (self-respect and
self-appraisal) that are integral, one-dimensional
and universal formations expressing the degree
of positivity of individual’s attitude to his own
viewpoint of himself; secondly, this generalized
self-attitude integrates somehow from private
self-appraisals. Yet it is necessary to mention
that in one of the approaches (in the fifth one)
self-attitude is reviewed not like a product (selfappraisal) but like a process, i.e. like an emotional
Following by K. Rogers (Rogers, 2000)
in this research self-appraisal from the point
of view of emotional experience is understood
in the form of notions about oneself and selfattitude is understood like some universal and
stable feeling of self-respect – like self-appraisal
(Bern, 1986). The most distinctively this position
is shown in K Rogers’s works (Rogers, 2000), he
separates out two aspects in self-appraisal: selfappraisal and emotional. Self-appraisal attitude
leads to formation of self-appraisal of oneself
like a bearer of certain features and merits;
emotional attitude leads to self-acceptance in the
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whole not depending on one’s own features and
merits or, on the contrary, to self- unacceptance.
The mechanism of formation of these selfattitude sides is absolutely diverse. Self-appraisal
according to any feature is more often based on
comparison of self-progresses with progresses of
other people. Self-acceptance is not only appraisal
but also a general life guideline that is formed
in the process of ontogenesis and also thanks to
consciousness efforts.
A complex structural composition of selfattitude can become the basis for inner conflict
when immediate emotional experience of
oneself, liking for oneself, emotional acceptance
of oneself, one’s aspiration for self-realization
do not coincide with self-appraisal. We fi nd the
statement that self-appraisal defends oneself
actively with different authors (V.V. Stolin,
1983; K. Rogers, 2000). This is connected to
the use of mechanisms of psychological defense
by an individual that are necessary to overcome
dissonance between his immediate emotional
experience and appraisal of the image of Myself.
Reacting on the state of this dissonance like a
threat arising because of emotional experience
contradicting Myself-conception and individual
uses one of the two defense mechanisms –
distortion or negation. The fi rst one is used to
change the personal importance of emotional
experience, the second one somehow removes
the fact of emotional experience itself. The
source of arising in the result of it disadaptation
is in potential conflict between guidelines,
appraisal of personal Myself and appraisals
coming from other people and interiorized by
individual (Rogers, 2000; Chesnokova, 1977).
At the same time there is data according to
which mismatch of two components of selfattitude may lead to personal growth (Adler,
1997). All these indicate that self-attitude has a
level structure. According to the notion that is
being developed in this research, self-attitude is
fulfilled at physical and reflexive levels of selfconsciousness.
First of all, we’ll mention that in psychological
literature this problem hasn’t been worked out
enough. The majority of researches are devoted
to the problem of self-attitude development in
ontogenesis both emotional experience of oneself
and self-appraisal (Chesnokova, 1977). At the same
time these works are important for our research
as just they contain the analysis of self-attitude
peculiarities at different levels of recognition –
from vague and diffusive emotional reactions
with indistinct appraisal of the motivation of
one’s own behavior, its results to clear and fully
conscious emotional and appraisal attitude to one
self-attitude self.
The analysis of the literature showed that selfattitude at physical level of self- consciousness
is attitude to one’s own body like a part of
entire personality in the field of “organism –
environment”. Even so both emotional process
and estimation of this process are presented in
self-attitude. Mismatch of emotional (inner)
experience and self-appraisal that is worked out
according to adopted by the society norm may
lead both to initiation of inner conflicts and to
personal growth.
Self-attitude at the social level of selfconsciousness is studied, firstly, in the frames
of the problem of correlation of self-knowledge
category and N.I. Sardzhveladze’s self-attitude
(Sardzhveladze, 1989), secondly supporting
and defense of self-attitude by the personality
(V.V. Stolin, 1983; A.A. Nalchadzhian, 1988).
Even so self-attitude supports its stability often at
the cost of exclusion of negative attitude to some
concrete image of Myself. Then the personality
negatively estimating some of his images of
Myself can treat himself with liking in the whole
simultaneously. At the same time such complex
structure of self-attitude can become the basis
for inner conflict then immediate emotional
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experience of oneself, liking to oneself, emotional
understanding of oneself and self-aspiration
to self-realization make oneself known quite
strongly but contradict self-appraisal that is
formed to a great or less extent in correlation to
socially developed norms and values. The inner
conflict becomes stronger because of the fact
that defense mechanisms do not allow creation
of actual direction of self-attitude. This leads to
strong emotional tension.
Self-attitude at the reflexive level of
self- consciousness is researched mainly
in humanistic and existential psychology
(Perls, 1995; Rogers, 2000 and others). For
example F. Perls supposes (Perls, 1995) that
for understanding one’s own problem an
individual must go out of perception frames of
its separate concrete details. Even so a person
opens something new inside of himself and
experiences himself in a new way. K Rogers
writes (K. Rogers, 2000) that this can happen
if one help the person express his feelings and
emotionally colored impulses connected to his
confl icts to give him possibility to free from
emotions without any barriers. This is a gradual
way of self-knowledge and self-acceptance
when an individual can see interconnection
between his personal Myself like he used
to imagine and some not very worthy, less
acceptable motives.
The simpliest and accessible way to create
such conditions is a personal training. For the last
ten years the trainings of personal growth has been
included into psychological faculties curriculum
for the development of self-development. By
the way how it influences on changes of future
psychologist’ self-knowledge and self-attitude
in reality hasn’t been studied. Until recently
the trainings of personal growth at every year
of education of future psychologists have been
conducted in Krasnoyarsk State Pedagogical
University named after V.P. Astafyev. We have
made the research of changes in self-knowledge
and self-attitude of the students of stable groups
during all years of their education.
In personal growth trainings future
psychologists – students of stable student groups
of the Pedagogical University, academic years
I to V took part. Content part of the trainings
was unchangeable: creation of conditions for
development and dynamics of self-knowledge
and self-attitude at all three levels of selfconsciousness: physical Myself, social Myself
and reflexive Myself. For researches of selfknowledge and self-attitude peculiarities the
following methodics were used: self-reports;
projective drawings of real Myself and ideal
Myself images; test of “Twenty statements of
self-attitude” (M Kuhn, T. McPartland) before
and after each training for all the academic
years. Thus changes of self-knowledge and selfattitude of every student in stable group have
been recorded during all five years of University
study. Study of stability and integrity of selfknowledge and self-attitude changes were made
a year later the training with the use of the
method of self-reports. Generalized analysis of
the dynamics of students’ self- consciousness
in this longitude research was made by
E.V. Cherepanova (Cherepanova, 2010). What
concerns this article we analyzed only changes
happened in self-knowledge and self-attitude of
the students in stable groups.
The analysis of the research results showed
the following peculiarities of self-knowledge and
self-attitude of future psychologists.
In stable students groups in all the years selfknowledge dominates self-attitude meanwhile
value of the indices of self-knowledge low
from the year I to V. Changes of self-attitude of
future psychologists are ambiguous: in junior
years the growth of positive attitude to oneself
(self-acceptance) is observed, in the fourth
year between trainings negative self-attitude
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Olga M. Miller and Elena V. Cherepanova. Self-Knowledge and Self-Attitude of Educational Students Groups…
dominates, in the fifth academic year attitude to
oneself is positive again. Value of the indices of
self-attitude between trainings sharply lows.
Irregularity of self-knowledge and selfattitude changes were revealed like structural
components of self-consciousness: during of
all years of education indices of self-knowledge
and self-attitude at the level of social Myself of
stable groups students exceed these indices at the
levels of Physical Myself and reflexive Myself.
In all the student groups all the components of
self-consciousness find interlevel correlation, i.e.
they correlate to each other inside each level of
self-consciousness. However the physical level is
in direct correlation to the reflexive one and in
inverse correlation to the social level. It can be
supposed that fixation on social images of Myself
stipulates switching on the defense mechanisms
and prevents from emotional experience of
physical and reflexive Myself, i.e. blocking of the
development of Physical Myself do not provide
with basis for development of self-knowledge
and self-attitude at the level of reflexive Myself.
Domination of self-knowledge at the level of social
Myself of the students limits their body expression
as the result of focus on appraisal of own physical
Myself to the prejudice of other people of selfattitude – emotional experience. In other words
focus on other components supposes denial of
one’s dissimilarity, individuality and denial of
oneself (E. Formm) through the adaptation to the
norms and rules of mutual relations with them.
Unlike the majority of students in this research
there were some students who in the course of
the training revealed themselves freely without
the fear of other students’ estimation and who
found a rather high level of self-knowledge of
physical myself and reflexive Myself. These
students managed to advance in reflexive growth
while participating in trainings and the period
between the trainings, to rise at the higher level
of development of self-consciousness and self-
attitude. The majority of the students’ forming
mechanism of reflection was still weak and in
natural environment (stable group) some kinds
of “supports” to help develop this ability are
It should be mentioned that the students
of stable groups communicate, cooperate not
only during the trainings but during lectures
and seminars when they can be in the situation
of competitiveness and it means they appraise
each other. The trainings of personal growth
has a necessary effect of group unity. In the
development of the stable group we see an arising
effect when the training both makes conditions
for self-revealing and improvement of relations
inside the group and initiates fi xation of social
roles in the group, interpersonal relations,
appraisals, certain group norms. Directed to
the development of reflection in stable students
groups such trainings in reality block this process
and achieve a reverse result – fi x socially built
relations and lead to domination of students’
social level of self- consciousness as far as their
interpersonal relations are burdened by the
fear of being unaccepted, negatively appraised
by their group mates. Fixation on intergroup
relations leads to the fact that the students and
at the time of the trainings of personal growth
are closed for new emotional experience, their
processes of self-attitude are fi rstly oriented to
self-appraisal connected to the group norms but
not to real, emotional experience of themselves
as entire personality. This is seen in domination
of the processes of self-knowledge when the
knowledge of oneself is selective, isn’t saturated
emotionally and undesirable images are forced
out. Thus, disharmonious functioning of selfconsciousness components is expressed not only
in the fact that self-knowledge dominates to the
prejudice of self-attitude but also in the fact
that self-knowledge develops itself defectively
because of undeveloped self-attitude.
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Olga M. Miller and Elena V. Cherepanova. Self-Knowledge and Self-Attitude of Educational Students Groups…
Based on the results of the analysis of the
research it can be asserted that the trainings of
personal growth included into Psychological
faculty curriculum as an obligatory subject
in every academic year will have retarding
influence on professional formation of students
because they block the development of selfknowledge and self-attitude that are among the
main conditions of professional growth of a
1. Adler, A. O nervicheskom kharactere [About the Nervous Nature]. Saint Petersburg (Russia):
Universitetskaia kniga, 1997. 388 p.
2. Burns, R. B. Razvitie Ia-kontseptsii i vospitanie [Self-Concept Development and Education].
Moscow: Progress, 1986. 416 p.
3. James, W. Psikhologiia [Psychology]. Moscow: Pedagogika, 1991. 369 p.
4. Zinchenko, V.P. Chelovek razvivaiushchiisia [Man Developing]. Moscow: Trivola, 1994.
300 p.
5. Kon, I.S. Psikhologiia rannei iunosti [The Psychology of the Early Youth]. Moscow:
Prosveshchenie, 1989. 255 p.
6. Leing, R. Raskolotoe Ia [The Divided Self]. Saint Petersburg (Russia), 1995. 352 p.
7. Nalchadzhian, A.A. Sotsial‘no-psikhicheskaia agaptatsiia lichnosti [Social-Psychic
Adaptation of Personality]. Erevan, 1988. 263 p.
8. Pantileev, S.R. Samootnoshenie kak emotsional‘no-otsenochnaia sistema [Self-Attitude as
Emotionally-Evaluating System]. Moscow: MGU, 1991. 108 p.
9. Perls, F. Vnutri i vne pomoinogo vedra [In and Out of the Garbage Pail]. Saint Petersburg
(Russia): XXI century, 1995. 448 p.
10. Rogers, C. Konsul‘tirovanie i psikhoterapiia Noveishie podkhody v oblasti prakticheskoi
raboty [Counseling and Psychotherapy. Newer Concepts in Practice]. Moscow: EKSMO-Press, 2000.
464 p.
11. Rubenstein, S.L. Bytie i soznanie. Chelovek i mir [Being and Consciousness. Man and the
world]. Saint Petersburg (Russia): Piter, 2003. 512 p.
12. Sargzhveladze, N.I. Lichnost‘ i ee vzaimodeistvie s sotsial‘noi sredoi [Personality and Its
Interaction with the Social Environment]. Tbilisi, 1989. 204 p.
13. Stolin, V.V. Samosoznanie lichnosti [Self-Consciousness of Personality]. Moscow: MGU,
1983. 284 p.
14. Cherepanova, E.V. (2010). Dinamika samosoznaniia studentov-budushchikh psikhologov,
uchastvuiushchikh v treningakh lichnostnogo rosta [Self-Consciousness` Dynamics of Students – Future
Psychologists Taking Part in Personal Growth Trainings] Vestnik Krasnoiarskogo pedagogicheskogo
universiteta im. V.P, Astaf‘eva. 2010(1), 130–140.
15. Chesnokova, I.I. Problema samosoznaniia v psikhologii [The Problem of Self-Consciousness
in Psychology]. Moscow: Nauka, 1977. 144 p.
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Olga M. Miller and Elena V. Cherepanova. Self-Knowledge and Self-Attitude of Educational Students Groups…
Самопознание и самоотношение студентов
учебных групп в тренингах личностного роста
О.М. Миллер, Е.В. Черепанова
Красноярский государственный педагогический
университет им. В.П. Астафьева
Россия 660049, Красноярск, ул. Ады Лебедевой, 89
В настоящей статье рассмотрены изменения самопознания и самоотношения студентов –
будущих психологов с первого по пятый год их обучения. Тренинги личностного роста являются
наиболее эффективным способом для развития этих процессов, поэтому такие тренинги часто
включаются в учебные программы психологических факультетов. Исследование включало
ежегодное изучение эффективности использования тренингов личностного роста для
студентов – будущих психологов стабильных учебных групп. Самопознание и самоотношение
студентов изучалось до и после проведения тренингов с помощью самоотчетов, теста 20
утверждений на самоотношение М. Куна, Т. Макпартленда и рисуночных проективных
методик. В результате выяснилось, что значения параметров самопознания и самоотношения
студентов стабильных учебных групп на социальном уровне были намного выше, чем значения
этих параметров на уровне физического и рефлексивного уровней самосознания. В то же
время физический уровень прямо пропорционально коррелирует с рефлексивным уровнем и
обратно пропорционально коррелирует с социальным уровнем самосознания. Следовательно,
фиксация на социальном образе Я «включает» защитные механизмы личности и препятствует
переживанию Я физического и Я рефлексивного. Таким образом, тренинги личностного роста в
стабильных учебных группах тормозят личностное и профессиональное развитие студентов,
так как они блокируют рост их самопознания и самоотношения.
Ключевые слова: самопознание, самоотношение, тренинг личностного роста, физический,
социальный и рефлексивный уровни самосознания, стабильная учебная группа студентов.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1479-1491
УДК 159.99:612.821
Psychosomatic Features and Standard
of Health of Junior Schoolchildren
with Different Temperament Trait Index
Yaroslavna V. Bardetskayaa* and Vasilina Yu. Potylitsynab
Krasnoyarsk State Pedagogical University them. VP Astafeva
89 Ada Lebedeva Str., Krasnoyarsk, 660049 Russia
Krasnoyarsk State Medical University
named after Prof. V.F. Voino-Yasenetsky,
1 P. Zheleznyaka str., Krasnoyarsk, 660022 Russia
Received 02.08.2013, received in revised form 05.08.2013, accepted 04.09.2013
The close relationship of temperament with basic biological processes, peculiarities of the physiology
of nervous system, the state of physical health of man is the reason for seeking a deeper connection
between bodily and mental functions. This indicates the importance of studies of physiological bases of
psychosomatic relations, and hence the mechanisms that explain the features of adaptive responses of
healthy people’ organisms, especially of junior schoolchildren with different temperament trait index.
On this basis, we have carried out an integrative health assessment with measurement of the indices
of santiveness and pativeness, studied heart rate variability (HRV) and respiratory function of junior
schoolchildren with temperament trait typological differences. It was found out that children in
midchildhood with varying index of temperament behaviors have different nature of dominance of
autonomic nervous regulatory influences and the standard of individual health. Junior pupils, whose
temperament is characterized by a low intensity of behavioral symptoms, have a greater potential
of health with predominant parasympathetic influence in the regulation of heart rate, which is
accompanied by a higher functional reserve of cardio-respiratory system compared with those children
whose temperament is characterized by high behavioral activity. The results of the study demonstrate
the relationship of personality temperament traits with the standard and reserve of health, identify the
mechanisms underlying psychosomatic relations in midchildhood.
Keywords: temperament, psychosomatic relations, standard of health, junior schoolchildren.
According to statistics and research results,
the last decade in the Russian Federation
has been remarked by significant adverse
changes in the health condition of children
(Kuchma V.R., Zvezdina I.V., Zhigareva N.S.,
2008; Baranov A.A., Kuchma V.R., Rapoport I.K.,
2011). They are characterized by the increasing
prevalence of functional disorders and chronic
diseases, which are especially pronounced during
the period of schooling (Igisheva L.N., 2008;
Baranov A.A., Kuchma V.R., Sukhareva L.M.,
2009). Health problems of senior pupils are
largely determined by the influence of behavioral
risk factors: smoking, alcohol consumption,
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Yaroslavna V. Bardetskaya and Vasilina Yu. Potylitsyna… Psychosomatic Features and Standard of Health of Junior…
low physical activity, etc. (Chekalova S.A.,
Bogomolova E.S., Leonov A.V., Kuzmichev
Yu.G., Chekalova N.G., Nazarov M.M.,
2009; Mayorov R.V., 2012; Slobodskaya E.R.,
Akhmetova O.A., Kuznetsova V.B., Rippinen T.S.,
2012; Varshal A.V., Slobodskaya E.R., 2013). At
the same time, the high frequency variations in
the health of junior school children is currently
defi ning the need to study the psychomedical
and sociomedical aspects of its formation during
the period of primary school (Savilov E.D.,
Ilyina S.V., 2012; Kondakova O.E., Gezalova N.V.,
Shilov S.N., Kozhevnikov V.N., 2013).
The beginning of school is a powerful
stress factor that changes the way of life of the
child, his order of the day, timetable of lessons
and recreation (Chekalova N.G., Silkin Yu.R.,
Shaposhnikova M.V., Chekalova S.A., Bogomolova E.S.,
Glushenkova D.A., Scherbaneva M.S., 2009;
Dzyatkovskaya E.N., 2011). The change of the
dynamic stereotype leads to stress of adaptation
mechanisms and reduction of functionality of
schoolchildren’s organisms, worsened by the
influence of unfavorable factors, including
lifestyle related. Thus the main factor, causing
the disorder of mechanisms of self-regulation
of individual functional systems of junior
schoolchildren with the subsequent development
of chronic diseases, is often a psycho-emotional
stress (Slobodskaya H.R., Akhmetova O.A., 2010;
Ilyuhina V.A., 2011; Verkhoturova N.Yu., 2012 ,
Ilyina I.V., 2012).
At present, the ideas of temperament
traits are explained by differences in the
excitability of the brain systems that integrate
the behavior of the individual, his emotions
and autonomic functions (Potylitsyna V.Yu.,
2008; Petrosyan E.Yu., Savchenkov Yu.I., 2009;
Ryasik Yu.V., Tsirkin V.I., Trukhina S.I., 2010;
Khabarova I.V., Shilov S.N., 2012). Both cause
autonomic mobilization (Savchenkov Yu.I.,
Soldatova O.G., Shilov S.N., 2013), which largely,
in our opinion, explains the adaptive role of
Circulatory and respiratory systems have a
leading role in the adaptive responses of the body
when it is exposed to the influence of a variety
of factors, ensuring the necessary level of energy
and metabolic processes. Cardio-respiratory
system is one of the first to get involved in
the process of adaptation of the organism to
changing environmental conditions and its
changing settings may serve as criteria for the
effectiveness of adaptive responses (Shlyk N.I.,
Sapozhnikova E.N., Kirillova T.G., Semenov V.G.,
2009; Mikhailov N.A., 2011; Kushnir S.M.,
Struchkova I.V., Makarova I.I., Antonova L.K.,
2012; Ushakov I.B., Orlov O.I., Bayevsky R.M.,
Bersenev E.Yu., Chernikova A.G., 2013).
Therefore the question about the features
of the functional state of breathing, heart rate
regulation and the standard of individual health
of junior schoolchildren with different index of
temperament traits is of an undoubted scientific
The aim of our research is to identify
psychosomatic characteristics and to carry out
a quantitative evaluation of individual health
of junior schoolchildren with different index of
temperament traits.
Almost healthy children of 7-10 years
old (273 girls and 240 boys) were tested to
determine the type of temperament by means
of a parental questionnaire DOTS-R (The
Revised Of Temperament Survey) adapted for
Russia. This technique presents the possibility of
accurate quantification of 9 temperament traits of
children. The identification of temperament types
was conducted by the behavior index (BI), which
includes such temperament features as activity,
sensitivity (threshold), mood and intensity, and
by the behavior stereotype strength index (BSSI),
which is the sum of quantitative indices of rhythm
and adoptability (Petrosyan E.Yu., Savchenkov
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Yu.I., Domracheva M.Ya., Domrachev A.A.
Patent of the Russian Federation IPC 7A 61 in
5/16; Petrosyan E.Yu., Savchenkov Yu.I., 2009).
All the children were divided into groups on BI;
into “intense” (In), “adequate” (Ad) and “quiet”
(Q) and on BSSI: into “rigid”, “plastic” and
“labile”, respectively, with high, middle and low
index values.
All the children were tested on the following
indices: heart rate (HR), systolic and diastolic
blood pressure (SBP, DBP), vital capacity (VC),
hand power; veloergometry cardiointervalography
(by the diagnostic complex “VALENTA”),
Stange’s test (test of timed inspiratory capacity),
Rufe’s test (heart rate recovery time after dosed
physical load). The obtained data was processed
by a computer program “HELMI-test of 7-10
year-old children”, developed on the instructions
of the Ministry of Education of Russia
(Kulikov V.P., Bezmaternykh L.E., Kozlov S.D.)
and was presented in the form of opinions on
the index of santiveness – health potential that
determines its probable quantity and quality (PS)
and pativenesses – the probability of the disease,
limitation of viability (PP).
Heart rate variability (HRV) and respiratory
function were studied by a hardware-programmed
complex “VALENTA”. The following indices of
heart rate were recorded and evaluated: heart rate
(HR), tension index of regulatory systems (stress
index, TI), Mo – mode, AMo – mode amplitude,
the average value of the power of spectrum
of a high-frequency component of heart rate
variability (BV), the average value of the power
of spectrum of a low-frequency component of
heart rate variability (SV-2) and of a very lowfrequency component of heart rate variability
(SV-1), the number of pairs of cardio intervals
with a difference of more than 50 ms in % to
the total number of cardio intervals in the array
(pNN50), and also the centralization index (CI) in
rest and in a clinoorthostatic test.
In order to assess a respiratory function such
indices as forced vital capacity (FVC), forced
expiratory volume (FEV ), peak volume rate
(PVR), forced expiratory rate at 25-75 % of forced
vital capacity (VR 25 – 75 %), minute ventilation
(MV), respiratory rate (RR), maximum ventilation
(MV), Tiffeneau index were recorded.
According to different indices of behavioral
responses 51 % of the surveyed children showed
the average values. «Intense» and «quiet» children
were identified in equal numbers. On the strength
of stereotypes formed 50 % of the children were
included in the group of «plastic», the other kids
in almost equal parts were included in the groups
of «labile» (25.7 %) and «rigid» (23.8 %).
The analysis of the integrative index of health
established that the tested junior schoolchildren
on the average had an index of santiveness that did
not exceed 60 %. This indicates a moderate reserve
of their health, a rather high probability of disease
development. At the same time «quiet» children,
both boys and girls, had an index of santiveness
higher than «adequate» and «intense» groups,
which proves a greater reserve of their health
and adaptive capacity in comparison with other
groups of the children tested (Soldatova O.G.,
Shilov S.N., Potylitsyna V.Yu., 2008).
The «quiet» children had a moderate index
of reliable negative correlations (correlation
coefficient from 0.38 to 0.48) of the index of
santiveness with temperament traits characterizing
behavioral activity and approach. The index of
santiveness of “intense» junior pupils had reliable
negative correlations with rhythm, attention and,
what is interesting, the behavior index.
Our studies of integrated health indices
show that junior schoolchildren have low reserves
of health, and therefore a significant probability
of disease development. It is important that the
reserves of health may be provided not only by
the functional capacity of cardio-respiratoty and
other systems of the body, but also by the intensity
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of the child's personality temperament traits,
especially of those that characterize behavioral
activity. Health reserve depends on the index of the
child's personality temperament traits, especially
those that characterize behavioral activity. The
children whose temperament is characterized
by a low behavior index(«quiet») have a more
favorable level of the body’s functioning. Their
health potential is higher than that of the «intense»
children with distinct temperament traits that
characterize the activity of conduct.
In this case, the strength index of behavioral
stereotypes in the characteristic of temperament
traits of the child’s personality in the studied age
period, are apparently still not fully formed, so
they have only a small influence on the adaptive
capacity of the organism, as well as on the
quantitative parameters of health.
The analysis of the main hemodynamic
indices in the groups of children with different
temperament trait indices characterizing the
activity of the behavior revealed a reliably higher
initial autonomic level for boys and girls with high
BI compared to «quiet» and «adequate» children.
In the groups of children with different plasticity
of behavior we did not detect any differences in
the basic hemodynamic indices.
In the analysis of heart rate variability at
rest we found that there were some differences in
the studied indices in the groups of the children
that differ in BI. Thus, the «quiet» children had a
lower mode amplitude and stress index, reduced
power of SV-1, more pairs of cardio intervals
with difference of more than 50 ms in % of the
total number of cardio intervals in the array and a
bigger power of BV and SV-2 compared with the
«intense» children.
The findings indicate the prevalence of
a parasympathetic component of autonomic
regulation in the children with a «quiet»
temperament type. As the dominance of a
parasympathetic component of the regulation
indicates a more efficient and effective level of
functioning of the body and adaptation processes
(Kulikov V.P., Doronina N.L., Gatalsky K.K.,
2008; Khuraskina N.V., Aleksandrova L.A.,
Tomilova E.A., Larkina N.Yu., Mamchits E.V.,
Chernogrivova M.O., Kopytov A.A., 2011),
we can say that children with a low index of
behaviors are characterized by a more favorable
functional capacity of the cardiovascular system.
There were no significant differences in heart
rate variability at rest in children with different
plasticity of behavior.
It is well known that children and
adolescents, regardless of age, sex, place of
residence, have individual typological features
at the level of maturity of regulatory systems,
especially of the cardiovascular system. We
identified 4 groups with reliable quantitative and
qualitative differences in the indices of heart rate
variability, characterizing different degrees of
tension and interaction between the sympathetic
and parasympathetic parts of the autonomic
nervous system, autonomous and central control
loops of the heart rhythm. The fi rst group,
according to the authors (Sapozhnikova E.N.,
Shlyk N.I., Shumikhina I.I., Kirillova T.G.,
2012) are the children with high activity of
a sympathetic part of the autonomic nervous
system and the central levels of regulation, the
second group consists of the children with high
activity of a sympathetic part of the autonomic
nervous system and a low degree of tension of the
central levels of control, the third group includes
the children with high activity of a sympathetic
part of the autonomic nervous system, increased
activity of the central regulatory systems
and low activity of a sympathetic part of the
autonomic nervous system, the fourth group are
those with high activity of a parasympathetic
part and low activity of a sympathetic part and
central structures of heart rate regulation. The
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most optimal ratio between the autonomous and
the central regulation of heart rate is observed
in children of the third group; exactly these
children have the highest functional reserves
of the system of regulation of blood circulation.
The fi rst group with predominance of the central
mechanisms of control was attributed by the
authors to an unfavorable rate.
During the dividing of the examined
children into the groups with quantitative and
qualitative differences in the indices of heart rate
variability we found that the highest percentage
of the children of the third, optimal, group of
autonomic regulation of heart rate fall into the
category of «quiet» boys and girls while the
least percentage of the same children are among
the «intensive» (Fig. 1). In the groups of the
children that differ in the index of strength of
developed behavior stereotypes the occurrence
of an optimal balance between autonomous and
the central regulation of heart rate is almost the
In assessing autonomic reactivity it
was revealed that the “quiet” children with a
low index of behaviors in a reliably greater
percentage of the cases have initial vagotony and
hypersympathicotonic reaction during functional
load (Table 1). The children, who belong to the
“intense”, have a hypersympathicotonic reaction
recorded in a smaller percentage of cases, which
indicates a high initial tonus of the sympathetic
nervous system, and as a consequence the absence
of its additional activation during the transition to
a vertical position.
In the groups of children, varying in the
strength index of developed behavior stereotypes,
the differences in autonomic reactivity were not
The correlation analysis of the relationship
of the indices of heart rate variability and the
Fig. 1. Occurrence of the groups with the characteristics of regulation of heart rate in the groups of “quiet” (Cп),
«adequate» (Ад) and «intensive» (Ин) boys and girls; – high activity of a sympathetic part of the autonomic
nervous system and a low degree of tension of the central levels of control,
– children with high activity of
a parasympathetic part of the autonomic nervous system, increased activity of the central regulatory systems
and the low activity of a sympathetic part of the autonomic nervous system – children with high activity of a
parasympathetic part and low activity of a sympathetic part and central structures of heart rate regulation
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Table 1. Autonomic reactivity of children with different index of behavior manifestations in a clinoorthostatic
Autonomic reactivity (incidence, %)
Сп («quiet»)
Ад («adequate»)
Ин («intense»)
Сп («quiet»)
Ад («adequate»)
Ин («intense»)
Note: difference is reliable at p <0,05: * – from the group of «quiet», # – from the group of «adequate» children
Table 2. Correlation coefficients of heart rate variability and index of temperament traits of junior schoolchildren
(p <0.05)
Temperament trait
Group on BI
index of temperament traits revealed their lack
in «adequate» children, while there are reliable
correlations between the indices of heart rate
variability and the index of temperament traits
in the case of the «intense» and «quiet» junior
schoolchildren (Table 2).
The significant (p <0.05) correlations (0,5
<r> 0,7) of the index of temperament traits with
the indices of heart rate variability (TI, SV-1,
BV, SV-2) in children with different plasticity
of behavior were identified only in the group of
«labile» children; in the case of the boys in this
group, these correlations have such features of
temperament as threshold, mood and approach,
while the girls’ correlations have mood,
attention and distractibility (Potylitsyna V.Yu.,
Bardetskaya Ya.V., 2013).
In the analysis of the indices of respiratory
function in groups of junior schoolchildren
with different temperament traits indices
some differences were also identified. Thus,
the respiratory rate of the «quiet» children
is less than that of the «intensive», while
the minute ventilation and the maximum
ventilation rate are reliably higher than that
of the children of «intensive» type. In the
groups of children with different strength of
developed stereotypes the «plastic» children
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Yaroslavna V. Bardetskaya and Vasilina Yu. Potylitsyna… Psychosomatic Features and Standard of Health of Junior…
are characterized by more optimal indices of
the respiratory function.
The obtained results show a more optimal
functioning of ventilation of junior schoolchildren
whose behavior is characterized by a low index of
behaviors – the «quiet» children and the «plastic»
children, whose temperament is characterized
by the average values of the strength index of
developed behaviors.
What is the mechanism and physiological
significance of the detected patterns of
relationship between temperament traits
of the child's personality, individual health
and functional indices of cardio-respiratory
system? The existing concept of «the range
of adaptation» comes from evaluation of the
ability of functional systems to change their
characteristics to provide homeostasis in the
implementation of adaptive mechanisms,
including the way through the change of
behavior regimes. In this regard, our results
confi rm the recent series of assumptions that
temperament refers to individual differences in
the excitability of behavioral and physiological
systems, as well as in behavioral and neural
(Karavayeva E.N., Soldatova O.G., Pats Yu.S.,
Savchenkov Yu.I., 2011).
Thus, our study suggests that «quiet»
children, whose temperament is characterized by a
low behavior index, are marked by the domination
of a parasympathetic part of heart rate regulation
at rest, the most optimal ratio between autonomic
and central heart rate regulation, the higher
functional indices of external respiration. This is
the factor that contributes to a more economical
and effective level of body functioning, adaptive
processes and the state of individual health in
children of junior school age with a low behavior
The results of our study revealed that the
physiological mechanisms of psychosomatic
relations of children with different temperament
traits are also the factors, which along with others
determine the quantitative levels and reserves of
health of junior schoolchildren.
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temperamenta s nespecificheskoj rezistentnost’ ju organizma i urovnem zdorov’ ja. Nevrologicheskij
vestnik (Zhurnal im. V.M. Behtereva)] Journal of Neurology (Journal named after V.M. Bekhterev),
2008. Vol. XL. No 1. Pp. 10-13.
49. Ushakov, I.B., Orlov, O.I., Bayevsky, R.M., Bersenev, E.Yu., Chernikova, A.G. New health
assessment technologies for almost healthy people [Novye tehnologii ocenki zdorov’ ja u prakticheski
zdorovyh ljudej. Rossijskij fiziologicheskij zhurnal im. I.M. Sechenova] Russian Journal of Physiology
named after I.M. Sechenov, 2013. Vol. 99. No 3. Pp. 313-319.
50. Varshal, A.V., Slobodskaya, E.R. Adaptation of “interview about the practice of education”
for parents and the prospects for its use in the diagnosis and correction of behavior problems in
children [Adaptacija «interv’ ju o praktike vospitanija» dlja roditelej i perspektivy ego ispol’zovanija
pri diagnostike i korrekcii problem povedenija u detej. Obozrenie psihiatrii i medicinskoj psihologii
im. V.M. Behtereva] Review of Psychiatry and Medical Psychology named after V.M. Bekhterev, 2013.
No 1. Pp. 25-31.
51. Verkhoturova, N.Yu. Emotional response: functions, components, characteristics, problems
and prospects of research [Jemocional’noe reagirovanie: funkcii, komponenty, harakteristiki, problemy
i perspektivy issledovanija. Vestnik rossijskogo universiteta druzhby narodov: nauchnyj zhurnal. Serija
Psihologija i pedagogika] Bulletin of the Russian Peoples’ Friendship University: scientific journal.
Series of Psychology and Pedagogy. Moscow, 2012. No 1. Pp. 94-99.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Yaroslavna V. Bardetskaya and Vasilina Yu. Potylitsyna… Psychosomatic Features and Standard of Health of Junior…
Психосоматические особенности и уровень здоровья
у детей младшего школьного возраста
с разной выраженностью темпераментальных черт
Я.В. Бардецкаяа, В.Ю. Потылицинаб
Красноярский государственный педагогический
университет им. В.П. Астафьева
Россия 660049, Красноярск, ул. Ады Лебедевой, 89
Красноярский государственный медицинский университет
им. проф. В.Ф. Войно-Ясенецкого,
Россия 660022, Красноярск, ул. Партизана Железняка, 1
Тесная связь темперамента с основными биологическими процессами, особенностями
физиологии нервной системы, состоянием физического здоровья человека является причиной
поисков более глубокой связи между телесными и психическими функциями. Это указывает на
важность исследований физиологических основ психосоматических соотношений, а значит, и
механизмов, обусловливающих особенности адаптивных реакций организма здоровых людей,
в первую очередь детей младшего школьного возраста, с различными темпераментальными
свойствами личности.
Исходя из этого нами проведена интегративная оценка здоровья с определением
показателей сантивности и пативности, исследованы вариабельность сердечного ритма
(ВРС) и функция внешнего дыхания у детей младшего школьного возраста с различными
типологическими особенностями темперамента. Установлено, что дети младшего
школьного возраста с различной выраженностью поведенческих проявлений темперамента
имеют разный характер доминирования вегетативных нервных регуляторных влияний
и уровень индивидуального здоровья. У младших школьников, темперамент которых
характеризуется низкой выраженностью поведенческих проявлений, больший потенциал
здоровья, преобладает парасимпатическое влияние в регуляции сердечного ритма, что
сопровождается более высоким функциональным резервом кардиореспираторной системы у
этих лиц по сравнению с детьми, чей темперамент характеризуется высокой поведенческой
активностью. Результаты исследования доказывают взаимосвязь темпераментальных
свойств личности с уровнем и резервом здоровья, выявляют механизмы, обусловливающие
психосоматические отношения у детей младшего школьного возраста.
Ключевые слова: темперамент, психосоматические отношения, уровень здоровья, дети
младшего школьного возраста.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1492-1506
УДК 159.922.736.3:81`233
Functional Structures of Communicative
Consciousness at Infancy: Sociopragmatic Speech
and Language Information Processing,
at the Oral Statement Producing
Irina G. Malanchuk*
Krasnoyarsk State Pedagogical University
them. VP Astafeva
89 Ada Lebedeva Str., Krasnoyarsk, 660049 Russia
Received 08.08.2013, received in revised form 24.08.2013, accepted 02.09.2013
Statement producing process is the traditional problem of psychology, linguistics, psycholinguistics.
This problems discussions are carried out as a rule from the view point of processing by a humanpotential speaker of the language information; pragmatic conditions impact on the statement verbal
making up; voice representation of the psychological, psychophysical, social features of the speaker;
the speech process psycho-physiological aspect is focused on. However, the science hasn’t till now
developed the clear understanding of speech and language systems differentiation, their mutual
integration possibilities – basic knowledge in relation to the statement generation process. The
essential contribution to the problem development was made in the second half of the XX-th century
in the framework of the linguistic pragmatics, speech acts and speech genres theories as well as by
individual neural research.
The article represents and empirically proves the author’s concept of speech and language
differentiation, describes the speech form psychological content as communicative means, being the
integrator of the communicative significant information: intentional complexes and goals of a speaker,
speech actualization social conditions, social representation structure, including addressee and
author images, the communicants’ emotionality. It discusses the children’ speech multidisciplinary
research results, done on the basis of 7268 speech units analysis by the 37 given analysis parameters
in result of which, in particular, in communicative cognition structure there have been separated
the functional units, providing the socio-pragmatic, speech, language information processing at oral
statement producing at the early stage of ontogenesis.
The developed notions are significant for the notion “speech” and speech production process
clarification, genetic and neural physiological speech and language research organization, the society
communicative culture formation and development speech practices organization, for children’
development practice with psychic and psycho-social development disorders, in the process of foreign
languages teaching outside the natural language environment socio-cultural conditions.
Keywords: oral statement producing, infancy, statement structure, speech form (speech genre),
speech form image, speech intentionality, speech pragmatic semantics, language, communicative
consciousness, functional structures, multidisciplinary research.
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Irina G. Malanchuk. Functional Structures of Communicative Consciousness at Infancy: Sociopragmatic Speech…
Statement producing process by human
research remains the big scientific problem.
It has been researched in various aspects
during the whole ХХ-th century by linguists,
psycholinguists of England, America, Australia,
Germany, Russia and other countries in many
directions and schools in neural physiology and
neural psychology, anthropology, genetics.
The special role in this problem development
belongs to the linguistic pragmatics, dating
from philosophy of language of L. Wittgenstein
(Wittgenstein,1921). In the framework of
pragmatics there has been offered the linguistic
signs study (from a lexeme to syntactical
construction) in the communication process,
developed the understanding of statement as action
or description, described the speech act structure,
linguistic and non-linguistic conventions
(Austin, 1950, 1961, 1979; Strawson, 1950, 1959,
1971, 1974), offered the speech act typologies
(Austin, 1961, 1971; Searle, Vanderveken, 1985),
described the intentional states nature and
their representation in speech act (Searle, 1983;
Strawson, 1986), introduced the concepts of
implicature as the statement understanding basis,
of communicative principles and maxims as the
requirements for statement producing in dialog
(Grice, 1957, 1968, 1969, 1971, 1975, 1981).
These research as well as speech and language
study in the traditions of the Russian linguistics,
language psychology and consciousness
contributed to the works intensification for
communicative acts repertory identification
(Goffman 1981; Gumperz 1982; Nofsinger 1991;
Wierzbicka, 1987; speech genres, 1997-2012; et
al.) and communication rules (Shmeleva, 1983;
Goodwin, 1981; Sacks, Schegloff, Jefferson,
1974; Poyatos, 1983; Psathas, 1995; Wierzbicka,
1991; et al.), for statement intentionality problem
(Arutyunova, 1999; Zaliznyak Anna, 1983;
Kobozeva, 2011; Kobozeva, Laufer, 1974;
Logical analysis,… 1989; Dennett, 1987; Lyons,
1995; et al.), for the speech producing models
development with account of the “contexts” and
levels of the processes constituting it, however
beyond the clear question posing about speech
and language systems differentiation (Akhutina,
1989; Akhutina, Zasypkina, Romanova, 2012;
Dobrovich, 1984; Zhinkin, 1982; Kibrik, 1983;
Kobozeva, 2002; Koyt, Yim, 1985; Luriya, 1979,
2002; Narinyani, 1985); speech producing models
review (cf.: Leontiev, 1969, 2003; Ushakova,
Pavlova, Tseptsov, 1990); there has occurred
the convergence of pragmatics and discourseanalysis and discursive paradigm formation
(Boden, Zimmerman, 1991; Brown, 1995; Brown,
Yule,1983; Dijk, 1977, 1981; Dijk, Kintsch, 1983;
Fairclough, 1989; 1992; Franke, 1990; Fritz,
1982, 1994; Wodak, 1996 et. al.). Language
communication ontogenetic research in the
child’s cognitive development aspects, speech act
conditions and features, intentionality, statement
grammar are represented in works (Bates, 1979;
Bruner,1975; Сlark, 1977; Greenfield, 1978;
Leontiev, 1975; Negnevitskaya, Shakhnarovich,
1981; Ushakova, Barteneva, 2000; Lyakso, 2005;
Sergienko, 2008; et. al.).
Speech problem in its own phenomenology,
differentiation from the language forms (means)
and system has become urgent in the last 30
years in connection with “speech genres” study
(Bakhtin, 1979) in the Russian linguistics and
speech study first of all in academic schools of
T.V. Shmeleva (Krasnoyarsk, Veliky Novgorod)
(Shmeleva, 1988, 1990, 1995, 1997; Osetrova,
2003; Speranskaya, 1999; Tarasenko, 1999 et al.),
К.F. Sedov (Saratov) (Sedov, 1999; Dementiev,
2002; Dolinin, 1999), with some other researchers
(Baranov, 2006; Bogin, 1997; Matveeva, 1995;
Fedosyuk, 1997). But linguo-centric approach
remains dominant in speech genres research as
well: genre is defined as the standard speech form
of the typified content transfer (Karasik, 1992,
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p. 22); “verbal arrangement of social interaction
typical situation” (Sedov, 1999, p. 15).
Speech and language systems differentiation
makes it possible to reach essentially bigger
exactitude of statement producing integrative
process understanding, including qualitative, time
and space characteristics of separate processes,
its constituents. For example these are language
information processing and translation, social
signals identification and translation processes and
many others. The complexity level increases and
with traditional, llinguo-centric paradigm there
increases mess as well. Thus in plenty of works,
including the newest ones, terms speech and
language are synonymies (refer to: Demyankov,
2000; Levontina, 2000; Shatunovsky 2001), the
question about heterochronism and speech and
language processes genesis is not posed. The
speech producing process reconsideration from
the viewpoint of speech processes contribution
and language information processing processes
is up- to-date.
Theoretical framework
For the developed speech concept the
evolutionary–genetic approach to the speech
analysis is essential making it possible to consider
the human speech among the animals’ vocal,
communicative signals systems and to generalize
these systems (Malanchuk, 2009). Ontogenetic
speech analysis in this approach context makes
to consider speech as inborn psychic function,
which makes it possible to treat the early child’s
vocalizations as facts of “natural” speech (“vocalspeech” forms (Frolova, 2008)).
Speech and language differentiation dates
back to the concept of F. de Saussure, with the
important and almost not developed idea of
“speech linguistics” (Saussure, 1916, 1922,
2006), to ideas of М.М. Bakhtin about the speech
genres nature and phenomenon (Bakhtin, 1979,
2000) and modern Russian speech genres theory
in its early linguo-centrism overcoming ideas
(Shmeleva, 1988, 1990, 1992, 1997), the speech
genre description related to the social interaction
is important for speech psychological concept
construction (Demyanov, 1998; Karasik, 1992;
Sedov, 1999).
For the speech forms psychic essence
analysis there are significant the notions of
L.M. Vekker about the psychic processes of
integrative character, psychic images structure
(Vekker, 2000).
The speech forms (speech genres) in their
own speech-communicative phenomenology
require the pronunciation aspect discussion. Here,
of importance are ideas of A.M. Peshkovsky
about the correlation of speech genre and
statement intonation (see: Bakhtin, 1997, 244–
245); G. Dore about the formation in speech
ontogenesis pre-verbal period of the “prosodic
envelope” in the phonological samples imitative
assimilation process (Doore, 1975). The close are
the two-channel model of V.P. Morozov (Morozov,
2003) and intonation model as multi-parameter
combinatory system (Kodzasov, 1996).
The significant for our concept “speech
vs. language” confirmation and indirectly
for speech generation processes analysis are
neural physiological data about mismatch of
human perception of the statement syntactical
and prosodic constructions (Steinhauer, Alter,
Friederici, 1999).
Statement of the problem
The speech psychology fundamental
theoretical issue is speech forms and language
means differentiation, first of all in their psychic
essence aspect: it is necessary to analyse speech
form image content and structure in human psychic
space. The speech research built on this basis
(in our case – child’s speech) with speech forms
parameters analysis, related to socio-pragmatic,
speech, language aspects makes it possible to
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reconstruct the communicative consciousness
functional structures, more or less specialized
at statement producing. Perhaps, empirically
our theoretical postulate will be proved about
the necessity of speech systems distinction and
language as the specific sign systems.
generalization have been applied by us earlier
in relation to speech phenomenon data, known
speech and language concepts, linguo-centric
approach to the statement analysis (Malanchuk,
2007, 2009). The statement segmentation
procedure was applied to the infant speech
material for segments identification as speech
genres. Speech genres identification during the
analysis was done by expert estimation method.
Speech forms database (speech genres) made up
more than 7268 units, the analysis was done by
37 parameters (see below). The received data
underwent cluster analysis (single link method;
full link method).
The developed by us speech concept as
system and psychic process includes the following
Speech is the specific system of the human
ordered vocal signals, made up of such units
as vocalization (from natural infantile to the
acquired socio-cultural forms), verbal statements
vocal (prosodic) structures independently on
their complexity degree, as well as 0-speech –
semantically and communicatively significant
silence forms. These are “speech signs”
constituted by sound pronunciation pitch, intensity
and temporal features. In case of verbal statement
the multi-parameter prosodic system affects the
statement interpretation from the viewpoint of the
partners’ social relations. Thus, we confirm the
initially extra-lingual, but sign speech character
as the aggregate of speech (“vocal-speech”) units
and the inborn speech character.
The term “speech genre” (about the limitation
of the notions “speech genre” and “speech act”,
see: Kozhina, 1999; Malanchuk, 1995; Fedosyuk,
1997), used in the modern Russian genres science,
may be accepted as then term reflecting speech
forms structural-semantic differentiation from
the oral every-day statements up to the written
literary ones. The communicative consciousness
has the “natural habit” to differentiate the
speech forms, as we suppose, by prosody as the
genetically initial genre forming factor and in
the language use process identifies them with the
language nomination aid, e.g. demand, request,
advice, gratitude, etc.
We should distinguish the psychic
processes – “speech” and “language”: speech is
the specific psychic process, which operand and
result is the speech form image. The speech genre
has the speech form image as its psychic correlate
the complexly structured psychic construction,
where there are integrated audio (vocal)
content, including its emotional component as
derivative from pitch movement character; the
interlocutors’ socio-communicative interaction
visual image, including face emotional expression
characteristics, visual contact, space behavior,
the partners’ intentional states images; tactile
interaction image (that in early ontogenesis
may make up the essential part of speech image
content); potentially – the statement language
content image. All speech form image components
are of dynamical character, that is the integral
speech form image implicitly includes the
images of the preceding and following situations,
developing the complexity level, important for
communication control (see.: Malanchuk, 2009).
A statement has the speech-genre
segmentation what is important for intentional
complexes analysis of speech units motivators,
speech genres syntagmatic relations identification
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Irina G. Malanchuk. Functional Structures of Communicative Consciousness at Infancy: Sociopragmatic Speech…
in discourses of various types, the rules studying
of speech and language structures integration.
On the basis of these ideas we conducted
the speech genres empirical research in infancy
dynamics (1—7,5 years). The analysis has been
done in relation to the statement segments
identified as these or those speech genres (7268
units). There have been set 37 analysis parameters:
age (on the diagrams below ВОЗРАСТ (age);
hereinafter in the brackets there have been pointed
out the parameters designations on diagrams);
sex (ПОЛ); the speaker’s communicative
status (КОМ_СТАТ); the addressee social role
(АДРЕСАТ (addressee)); is actualized in 16
positions, identified in children’s texts: Child,
Mother, Father, Grandmother, Grandfather,
Governor, Other adults, <speaking > to oneself
(self- communication), Toy, Animal, others);
pragmatic situation type in interaction aspect
of author and addressee of a certain typespecific/potential and others. (ПРАГМ_СИТ)
(pragmatic situation); social interaction form
(natural communication/ play; СИТУАЦИЯ
(SITUATION)); speech genre (ЖАНР); genre
types 1, 2 and 3 (imperative /informative /
evaluative / performative / expressive; responsive
/ initiative; direct / indirect – designations on
the diagram.: ТИП_Ж1, ТИП_Ж2, ТИП_Ж3);
the communicative related needs types (11
identified by us needs types from children’s texts.
Designated by symbols П1–П11, their content is
explained further at interacting speech motivators
analysis, full list of needs see: [Malanchuk,
2007, 2009]); reflection types: automatism /
automatism absence at statement actualization
(R0); language reflection (phonetic, lexical,
word-building, syntactical, grammatical – R1–
R5 correspondingly); speech reflection (identified
availability / absence of speech reflection in
relation to the speech strategy, apprehension of
speech form and speech communicative rules
usage features – R6–R8); content reflection
transferred by verbal means (R9); verbal text
linkage levels – pragmatic, communicative,
semantic, as well as the features («mistakes») of
the linkage (СВЯЗ_ОШ1 – СВЯЗ_ОШ3); finally
“mistakes – language, speech, logic (content
mistakes) as compared with the speech –language
norm (ЯЗЫК_ОШ, РЕЧ_ОШ, СОД_ОШ). Thus
there has been described the speech intentional
content, the speech interaction and speech form
social-psychological reality, speech and language
The cluster analysis by single link method
or the nearest neighbor, undertaken by us in
relation to the whole data bulk (see Fig. 1),
shows that one of the clusters is made up – with
the increasing link distance in it by parameters,
reflecting the statement pragmatic semantic
constituent: and namely: genre type 2 (initiative/
responsive statement), genre type 3 (direct/
indirect), situation (natural communication
or play), pragmatic situation (identified by us
through the addressee type, as well as the need
9 (to express the own state, thought), the speaker
communicative status (in comparison with the
addressee high or low), and finally the speaker
sex. This, to our mind, means that at the statement
producing these integral communicative speech
situation factors, most probably determine the
following statement unfolding program (from
0-speech forms, vocalizations to the complex
verbal statements structure) and predetermine the
actualized statement correlation with them. This
proves the fact that by the given type analysis
results, all reflection kinds are “drawn up” to the
second cluster, represented by parameters R0–R9
and П1–П8, П10–П11, as well as parameters of
“errors”, characterizing the speech-language
actualization features from the statement
adequacy viewpoint to the pragmatic situation
conditions and characteristics as well as the
expressed content (intention in the broadest sense
of the word and not only intention in relation to
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the communication partner, which is expressed
first of all by means and certain characteristics
of speech).
Most probably related to П9 data (the need
to express oneself, the own state) composing the
other cluster, mean that social entity existence
or quasi-social object as the potential statement
addressee turns on the speech mechanism as, in
the first turn, the opportunity to express oneself
at the specific intention formation directed at the
other. This proves our theoretical postulate: the
expressive speech is actualized in the situation of
the other presence in space, subjectively defined
as communicative one. One may suppose that the
certain genres types actualize the first initiative
or responsive as well as direct or indirect,
characterizing the partners’ communicative roles
reality, their “psychological weight” in speech
interaction arrangement.
The received results show as well that the two
discussed clusters are united by the addressee factor
important for potential statement actualization as
the specific person or specific object and further
by the factor “genre type 1” (with its potential
to actualize the specific “corrected” speaker’s
intention to the addressee). This can mean
that’s these two parameters that are statement
characteristics and structure integrators, urgent
at the stage preceding sound producing motor
action and the statement motor actualization
generalized factors when the statement may be
qualified as the specific speech genre. The latter
is reflected in dendrogram structure: parameter
“genre” reflecting the statement genre specifics
not already from view point of its adherence to
this or that type but in the delicately differentiated
genre semantics unites, alongside with the age
parameter, all consequently emerged clusters.
The above said makes it possible to suppose
that the plentitude of the hierarchically arranged
senses of the potential statement “fill” or arrange
the speech-genre statement form – in its specific
content correlated to the author’s general
intention (of imperative, evaluative, informative,
performative, affective – expressive character).
That’s why the important, related to the article
topic is that such statement parameters reveal the
close link as П8 (the need to change the situation,
attracting the speech partner, including changing
the interaction character with partner), П1
(need in the social creature), R9 (the expressed
statement reflection), R8 (speech reflection on the
subject of the communicative rules), parameter
П3 (need in positioning), forming a group with R6
(speech strategy reflection) and through П2 (need
in attention) and П10 (need in cooperation)- with
the pragmatic-semantic cluster. Thus the speech
situation factors reveal close link, determining 1)
speech actualization opportunity 2) with specific
communicative intention. Let’s note here, that
speech strategy both theoretically and empirically
correlate to speech genre notion and phenomenon,
and reflection emergence on the subject of speech
strategy (both specific and generative means that
a child estimates consequently the presented
integral statement fragments from viewpoint
of adequacy to his general communicative
The presented data reveal as well the typical
speech structure specific link (“genre type 1”)
and its actualization in specific genre (“genre”)
with child’s age (see Fig. 1).
Cluster analysis by complete linkage or the
remote neighbor method (see Fig. 2) gives very
important results, proving the above said: one of the
clusters is also made up of the statement minimal
fragments pragmatic-semantic characteristics
(primary speech genres in our treatment)- genres
types 2, 3 (initiative/responsive and direct/indirect
genres correspondingly), situation (natural
communication/play), pragmatic situation (set
by addressee type), which reveal the close link
with П9 (the need to express the state, thought)
and further – with subgroup sex – speaker’s
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Tree Diagram for 37 Variables
Single Linkage
Percent disagreement
Linkage Distance
Fig. 1. Data bulk cluster analysis dendrogram by single linkage method
Tree Diagram for 37 Variables
Complete Linkage
Percent disagreement
Linkage Distance
Fig. 2. Data bulk cluster analysis dendrogram by complete linkage method
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Irina G. Malanchuk. Functional Structures of Communicative Consciousness at Infancy: Sociopragmatic Speech…
communicative status in relation to the addressee.
The given cluster is formed by the named
factors link with the addressee factor (a specific
addressee is meant) and genre type 1 (imperative/
informative/evaluative, etc.). Thus, if we discuss
the statement producing and the speech act motor
part in their basis there lie the potential author
and the potential addressee interaction factors in
their characteristics, the potential author’s need
to express his state, thoughts as well as speech
forms choice in their typical characteristics,
making it possible for a child to make the primary
speech form rough “guess” to pragmatic situation
The described cluster close link is fixed with
such statement characteristics as genre and age.
The less close link “pragmatic-semantic cluster”genre – age is revealed with other complexly
arranged cluster. It is made up by a number
of subgroups: R1 (phonetic reflection) – R5
(grammatical reflection) – R7 (genre reflection –
statement form) – communication error 1
(con-situation – text link) – content error – R0
(statement actualization automatism or its breach
fact) – R3 (word-building reflection). This group
is linked through speech error with П11 (need
in identification) – П5 (need in material object)
and further through communication error 2
(communicative mistake) – with subgroup П6
(the need to prevent the potential damage) – П7
(need to change its emotional state);
1. the linked between each other subgroups
are made up by factors R2 – R4 (lexical and
syntactical reflections correspondingly) and
language error – communication error 3
(semantic), by which means the subgroup 1 is
connected with П1 (need in social creature) –
П4 (need in information) and further with R9
(content reflection);
2. group П3 (need in positioning) – R6
(speech strategy reflection) by means of link
with П8 (need to change situation including the
communicative one) and П2 (need in attention) is
connected with cluster, made up by subgroups 1
and 2;
3. cluster formation is completed by
subgroup П10 (need in cooperation) – R8
(communicative rules reflection); its link with
subgroups 3 and 1–2 presets the cluster link with
the pragmatic-semantic cluster as well as with
genre and age.
Cluster analysis results give the opportunity
to discuss in structure of factors (and processes) of
speech generation several groups: 1) characterizing
the pragmatic situation as demanding speech
link between the potential author and addressee
and interaction types corresponding to it (on
the speech level – speech genres types), when
the statement starts to be simulated in the most
general, basic characteristics of deep order; 2)
reflecting the author’s speech reflection on the
subject of these or those needs expression, 3)
reflecting the the speech reflection from viewpoint of the used speech strategies efficiency
and communicative rules and connected in
particular with the language means use; herewith
the statement multi-aspect content reflection
R9 and communicative rules correspondence
or their breach reflection R8 predetermine the
link of cluster 2 with cluster 1, formed by genre
semantic parameters. So, the data obtained prove
the existence of several functional blocks in the
communicative consciousness structure, ensuring
the pragmatic speech information processing
and in differentiation from it and in integrative
links with it, of speech order information. That
is the pragmatic situation in its structure, the
social communication intentional basis, speech,
language are in the communicative consciousness
various, but integrated and integrating systems.
The presented data make it possible to
intensify both theoretical and applied research
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Irina G. Malanchuk. Functional Structures of Communicative Consciousness at Infancy: Sociopragmatic Speech…
in the area of psychology and neural physiology
of speech. In particular the following problem
is actualized: human speech system dynamics
in ontogenesis; language and “object” thinking/
consciousness vs. speech and social thinking,
their integrated constructions, including in the age
aspect; the link and speech mutually conditioned
development content and other psychic functions
in human ontogenesis; speech forms in the aspect
of speech-communicative age and cultural norm;
speech generation / perception dynamic model
construction with “speech”, “speech form”
components differentiation in the row “speechlanguage” and “speech competence” in the row
”social-communicative-language competences”;
neural physiological and neural sets speech
information processing models in the speech
producing and perception processes.
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Функциональные структуры
коммуникативного сознания в детском возрасте:
обработка социопрагматической, речевой
и языковой информации
при продуцировании устного высказывания
И.Г. Маланчук
Красноярский государственный педагогический
университет им. В.П. Астафьева
Россия 660049, Красноярск, ул. Ады Лебедевой, 89
Традиционной проблемой психологии, лингвистики, психолингвистики является процесс
производства высказывания. Обсуждения этой проблемы ведутся, как правило, с точки
зрения обработки человеком – потенциальным говорящим – языковой информации; влияния
прагматических условий на вербальное оформление высказывания; голосовой репрезентации
психологических, психофизических, социальных характеристик говорящего; акцентируется
психофизиологический аспект процесса говорения. Однако до сих пор в науке не выработано
четкого представления о дифференциации систем речи и языка, возможностях их взаимной
интеграции – основополагающем знании в отношении процесса порождения высказывания.
Существенный вклад в разработку проблемы сделан во второй половине XX века в рамках
лингвистической прагматики, теориях речевых актов и речевых жанров, а также отдельными
В статье представлена и эмпирически подтверждена авторская концепция дифференциации
речи и языка, описано психологическое содержание формы речи как коммуникативного
средства, являющегося интегратором коммуникативно значимой информации:
интенциональных комплексов и целей говорящего, социальных условий реализации
речи, структуры социального представления, включающей образы автора и адресата,
эмоциональность коммуникантов. Обсуждаются результаты мультидисциплинарного
исследования детской речи, проведенного на основе анализа 7268 речевых единиц по 37
заданным параметрам анализа, в результате которого, в частности, в структуре
коммуникативного сознания, выделены функциональные блоки, обеспечивающие обработку
социопрагматической, речевой, языковой информации при продуцировании устного
высказывания уже на раннем этапе онтогенеза.
Выработанные представления значимы для уточнения понятия «речь» и процесса
речепроизводства, организации генетических и нейрофизиологических исследований
речи и языка, организации речевых практик формирования и развития коммуникативной
культуры общества, для практики развития детей, имеющих нарушения в психическом и
психосоциальном развитии, в процессе обучения иностранным языкам вне социокультурных
условий естественной языковой среды.
Ключевые слова: производство устного высказывания, детский возраст, структура
высказывания, форма речи (речевой жанр), образ формы речи, интенциональность речи,
прагмасемантика речи, язык, коммуникативное сознание, функциональные структуры,
мультидисциплинарное исследование.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1507-1513
УДК 005.342(571.51)
Innovative Development of Krasnoyarsk
Region Territories on the Basis
of Serive Centers Net
of Kspu Named After V.P. Astavyev is a Possibility
for Business-Model “Triple Spiral”
by G. Etzkowitz Realization
Vladimir I. Kirko,
Valeriy V. Beloshapkin and Elena N. Belova*
Krasnoyarsk State Pedagogical University
them. VP Astafeva
89 Ada Lebedeva Str., Krasnoyarsk, 660060 Russia
Received 06.08.2013, received in revised form 08.08.2013, accepted 12.09.2013
In connection with Universities’ affiliates closure in different towns of Krasnoyarsk region in the
nearest time extreme deficit of qualified specialists of different specialties and different education
levels is forecast. Especially this problem will be felt in North districts of Krasnoyarsk region
where investment flow is directed to because of new field development of mineral wealth and the
development of the North seaway. The only form to train and retrain the staff is distance education
through specially developed resource centers. In this work the experience of Krasnoyarsk State
Pedagogical University named after V.P. Astafyev in creation of its own net of resource centers is
Keywords: distance education, specialized resource centers.
At present the continuation of intensive
adoption of north and Arctic territories of
Krasnoyarsk region, Siberia and Far East has
begun that was started in Soviet time [1]. The
last was connected with new field development
of mineral wealth, development of infrastructure
providing transport highways of the Arctic
Ocean and transport freight and passenger
aviation traffic [2], creation of large hydroelectric
(Boguchanskaya hydroelectric power station),
metallurgical (Boguchanskiy plant) and timberprocessing complexes [3].
Thereupon the growth of needs in qualified
personnel, specialists with specialized secondary
and high education is predicted.
Even now industrial reclamation of north
territories of the region by such companies
as the public corporation “Vankorneft”, the
public corporation “Polus Zoloto”, the public
corporation “Rusgidro” and others is mainly
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Vladimir I. Kirko, Valeriy V. Beloshapkin… Innovative Development of Krasnoyarsk Region Territories…
arranged as a shift work, the disadvantage of it is
high employee turnover which is practically 30 %
of staff personnel a year.
In Krasnoyarsk region there are 67 institutions
of specialized primary education (SPE) (16 (24 %)
in Krasnoyarsk) and 29 educational institutions of
specialized secondary education (SSE) [4]). This
number is not enough for more than 1.3 million
of population captured by the economics. This
deficit is clearer seen when taking into account
the size of the region territory – the second large
region of the country.
The main scientific and educational potential
is concentrated in southern districts in the cities
of Krasnoyarsk, Kansk, Achinsk and Minusinsk
whereas the basic investment activity and
industrial development are in northern ones.
In this work [5] it is shown that according
to the Federal Service of State Statistics since
1990 till 2005 the number of pre-school and
general secondary school institutions in northern
districts of Krasnoyarsk region, Republic of
Sakha (Yakutia) and Far East Federal County has
practically two times reduced, that is explained
by migration outflow of the population because
of low living level in the North and impossibility
to fi nd a job in the territory or the lack of
professional education. opportunity to get high
professional education in the North is reducing
because of the Universities affiliates closure
(in Norilsk there is only one high educational
institution – Norilsk Industrial Institute and
there are some universities affiliates of other
cities that are closing now by the example of
Norilsk affiliate of KSPU named after V.P.
Astafyev). Personnel hunger in the north of the
region will grow.
Universities’ disappearance from the
territories contradicts G. Etzkowitz’s business
model [6] (“Triple Spiral”) which supposes
that their most favourable development of the
territories will happen when there are conditions
of reciprocal interests of the universities, territory
administrations and business. And the priority
component (locomotive) is the University that
must participate actively in all life spheres of the
territories [7].
In the works [8-9] the mechanism of
innovative development of administrativeterritory establishments by creation of
university together with their authorities and
ventures of innovative development centers of
the territories (business incubator) that would
become catalysts of innovative development is
suggested. Supposed mechanism would allow the
University not only taking active part in social
and economic development of the territories but
also influencing political, social and cultural
complicated processes connected with religious
and ethnic diversity and comparatively unstable
social and economic situation.
According to a “road map” [10] in Russia
in 2014 it is supposed to start creation of
multifunctional centers of applied qualification
(MCAQ) in the territories. They must form
conditions for dynamic reaction to the labour
market and population’s needs enquiries.
Under the condition of extreme deficit of
educational staff the use of modern informational
technologies and distance education is becoming
urgent. It will allow the territories of the region
with small size and density of population, lack
of competent specialists and limited financial
resources using possibilities of city educational
structures and knowledge of highly qualified
specialists. Especially it concerns locally situated
detached settlements with native smaller peoples
who are busy with traditional crafts.
At present education of children of senior
school is held at boarding schools (Nosok
settlement of Taimyr Dolgan-Nenets Municipal
Area, Farkovo settlement of Turukhansk
Municipal Area and Baikit settlement of Evenki
Municipal Area). The main disadvantage of this
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kind of education is that children are isolated from
their environment and parents and not always
can adopt under such conditions. Furthermore
they cannot always get enough knowledge for
successful taking of Unified State Exam and
entering high educational institutions.
The effective solution of this problem could
be suggested by the authors [11] development
of “High North School” under Siberian Federal
University (SFU). This is a new structure of SFU
the aim of which is “active adaptation (social
adaptation) of youth of northern native smaller
peoples to social environment of a modern
city in the form of accelerated preparation for
entering an educational institution (specialized
primary, specialized secondary or high
Urgency of distance education is becoming
more important from year to year as it provides all
groups of population with prospects for education
without isolation from usual environment and
their activity.
Researches made in 2010-2012 when working
with grants [12-13] showed that practically in
every northern settlement there is no widebane Internet (Uyar town, Nosok settlement of
Dolgan-Nenets Municipal Area, Surinda and
Yessey settlements of Evenki Municipal Area,
Sovetskaya Rechka settlement of Turukhansk
Municipal Area and so on). In this sense the
development of informational structures of the
North of Krasnoyarsk region is substantially
behind the structure of Arkhangelsk territory
and Yamal-Nenets Autonomous Area [15]. This
fact doesn’t allow organizing distance education,
rendering consulting and informational services
to the population of the territories.
In the network of the program of development
initiated by Krasnoyarsk State Pedagogical
University named after V.P. Astafyev (KSPU)
in the territory of Krasnoyarsk region resource
centers have been and are being created that
further could be reorganized into MCAQ and
be reviewed as future business incubators of the
The map of Krasnoyarsk region with location
of functioning and supposed to creation resource
centers of KSPU are shown in Fig. 1.
Even now the resource centers are equipped
with wide-band Internet or individual satellite
communication and also with computer
classrooms where the educational process has
already started.
In Fig. 2 there are pictures of the resource
centers of KSPU named after V.P. Astafyev in
Shushenskoe urban settlement (a) and Borodino
town (b).
The resource centers involve practically
all towns and large settlements of Krasnoyarsk
region. Direct satellite communication with
Tomsk is put into practice.
Created and being created resource centers
allow making educational processes:
− individual in telecommunication On-line
− for groups of students in telecommunication
On-line regime;
− individual or group in the regime of TV
record playing of lectures for an individual
student (or videodisk);
− trainings;
− computer literacy and the Internet work
− master-classes;
− consultations (law, medical, technological
and so on).
Besides they can provide all educational and
scientific institutions of Krasnoyarsk region with
the possibility to realize their educational and
consulting services through the structure of the
resource center (high educational institutions,
colleges and so on).
The main consumers of the resource centers
services are supposed to be:
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Vladimir I. Kirko, Valeriy V. Beloshapkin… Innovative Development of Krasnoyarsk Region Territories…
Fig. 1
− enterprises and institutions located in the
− people with limited abilities who by
any reason cannot be trained at regional
or district centers (military, juveniles’
mothers, students with limited financial
or physical abilities and pensioners);
− all categories of specialists (engineers,
clerks, workers, teachers, schoolchildren
and kindergarten teachers) willing to
have professional retraining or advanced
training with getting an appropriate
diploma or certificate of the State
− all categories of citizens willing to have
consultations with highly qualified
− educational and scientific institutions
willing to realize their educational and
consulting programs in the territory of
Krasnoyarsk region.
Under the conditions of growing investment
intensity in the North of Krasnoyarsk region
growth of extreme deficit in qualified specialists
and workers is predicted.
Closure of educational institutions affiliates
in the North will lead to the deficit reinforcement
in personnel and to possibility limitation of
innovative development of locally situated
detached settlements.
The way out from the situation could be
formation of the net of multifunctional centers of
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Vladimir I. Kirko, Valeriy V. Beloshapkin… Innovative Development of Krasnoyarsk Region Territories…
Fig. 2
applied qualification on the basis of the resource
centers of Krasnoyarsk State Pedagogical
University named after V.P. Astafyev in the
1. Adrianov V.A. Formirovanie transportnoi infrastruktury Rossiiskogo sektora Arktiki v 21
veke [Formation of transport infrastructure of Russian sector of Arctic in the 21 century] Arktika i
Sever, (9). 2012. pp. 118-139.
2. Grant FTsP (Federal Purpose Program) Razrabotka nauchnykh osnov formirivaniia struktury
regional’noi innovatsionnoi platformy i mekhanizmov ee sozdaniia na osnove vzaimodeistviia
avtonomnykh obrazovatel’nykh ucherezhdenii s tettitorial’no-administrativnymi obrazovaniiami (na
primere Krasnoiarskogo kraiia i Sibirskogo federal’nogo universisteta) [Development of scientific
basis for formation of the structure of innovative platform and mechanisms of its creation on the basis
of interaction of autonomous educational institutions with territorial-administrative establishments (by
the example of Krasnoyarsk region and Siberian Federal University)]. 2010-2012. Scientific supervisor
is doctor of physics and mathematics sciences, professor V.I. Kirko.
3. Grant of Krasnoyarsk regional fund of science and scientific activity Formirovanie struktury
regional’nogo innovatsionnogo klastera i mekhanizmov ee sozdaniia na osnove vzaimodeistviia
avtonomnykh obrazovatel’nykh ucherezhdenii s ТАО (na primere Krasnoiarskogo kraiia i
Sibirskogo federal’nogo universisteta) [Formation of the structure of regional innovative cluster
and mechanisms of its creation on the basis of interaction of autonomous educational institutions
with territorial-administrative establishments (by the example of Krasnoyarsk region and Siberian
Federal University)]. 2010-2012. Scientific supervisor is doctor of physics and mathematics sciences,
professor V.I. Kirko.
4. Henry Etzkowitz. Troinaia spiral’. Universitety – predpriiatiia – gosudarstvo. Innovatsii
v deistvii [Triple spiral. Universities – enterprises – state. Innovations in action] Tomsk: Tomskii
gosudarstvennyi universitet sistem upravleniia i radioelectroniki Pupl., 2010. 238p.
5. Karlova O.A., Koptseva N.P. Novoe budushchee Sibiri: ozhidaniia, vyzovy, resheniia [New
future of Siberia: expectations, challenges, and decisions] Krasnoyarsk: SFU, 2013.
6. Kirko V.I. Sozdanie severnogo biznes-inkubatora s uchetom sotsiokul’turnykh osobennostei
territirii [Creation of north business incubator taking into account social and cultural peculiarities of
the territories]. Innovatsii, №12(158), 2011, pp. 101-102.
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Vladimir I. Kirko, Valeriy V. Beloshapkin… Innovative Development of Krasnoyarsk Region Territories…
7. Moskvich U.N. Novaia rol’ universitetov v razvitii regionov i novykh otraslei [New
university role in development of regions and new branches]. Krasnoyarsk: Vestnik Krasnoyarskogo
gosudarstvennogo pedagogicheskogo universiteta V.P. Astaf’eva, №1(23). 2013, pp. 20-24.
8. Nozdrenko E.A. Adaptatsiia indigennoi molodezhi severnykh territirii k obucheniiu v
Sibirskom federal’nom universitete [Adaptation of indigent youth of northern territories to education
in Siberian Federal University]. Pis’ma v Emissia Offline, 2012. ISSN: 1997-8588
9. Pimenova N.N. Problemy obrazovaniia detei korennykh malochislennykh narodov Sibiri i
Severa v Krasnoiarskom krae [Problems of children’s education of native smaller peoples of Siberia
and the North in Krasnoyarsk region] Innovatsii v nepreryvnom obrazovanii, (5). 2012, pp. 12-19.
10. Raspotiazhenie Pravitel’stva RF № 2620_r ot 30 dekabria 2012 goda [RF Governmental
Decree № 2620_p from 30 December 2012].
11. Timoshenko A.I. Proekti territirial’no-proixvodstvennykh kompleksov v Arktike:sovetskii
opyt i sovremennost [Projects of territory-industrial complexes in Arctic: soviet experience and the
present] Arktika i Sever, (9). 2012. pp. 140-152.
12. Urkov D.V. Upravlenie regional’noi informatizatsiei [Administration of regional
informatization] Arktika i Sever, (8). 2012. pp. 77.
13. Verhovets S.V. Rol’ federal’nykh universitetov v formirovanii regional’noi innovatsionnoi
infrastruktury (na primere Sibirskogo frderal’nogo universiteta) [Federal universities role in formation
of regional innovative infrastructure (by the example of Siberian Federal University)] Innovatsii,
№10(144), 2010, pp.1-5.
16. The research was realized under financial support of Krasnoyarsk fund of science and
scientific-technical activity support.
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Vladimir I. Kirko, Valeriy V. Beloshapkin… Innovative Development of Krasnoyarsk Region Territories…
Инновационное развитие территорий
Красноярского края на базе сети
сервисных центров КГПУ им. В.П. Астафьева –
возможность реализации бизнес-модели
«Тройной спирали» Г. Ицковича
В.И. Кирко,
В.В. Белошапкин, Е.Н. Белова
Красноярский государственный педагогический университет
им. В.П. Астафьева
Россия 660060, Красноярск, ул. Ады Лебедевой, 89
С закрытием филиалов университетов в различных городах Красноярского края в ближайшее
время прогнозируется острый дефицит квалифицированных специалистов различного
профиля и различного уровня образования. Особенно остро ощутят проблему северные
районы Красноярского края, куда в основном направлен инвестиционный поток в связи с
разработкой новых месторождений полезных ископаемых и развитием Северного морского
пути. Единственной формой подготовки и переподготовки кадров становится дистанционное
обучение через специально созданные ресурсные центры. В статье рассмотрен опыт
Красноярского педагогического университета им. В.П. Астафьева в создании собственной
сети ресурсных центров.
Ключевые слова: дистанционное образование, специализированные ресурсные центры.
Copyright ОАО «ЦКБ «БИБКОМ» & ООО «Aгентство Kнига-Cервис»
Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1514-1525
УДК 659.1: 316,7: 316,346
Advertisement as Meaning-Making Element
of Stereotypes Formation
in the Modern Society
Elena A. Nozdrenko*
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia
Received 15.07.2013, received in revised form 28.08.2013, accepted 04.09.2013
The current phenomenon of our time are stereotypes, that, on the one hand, simplify the process of
communication, as they empower the members of society with a number of characteristics in advance,
but on the other hand, create additional problems in the process of interaction, for example, form
preconceptions. The increased level of competition makes the creators of promotional product resort
to unusual elements of its attractiveness. However, advertisement should not only be interesting and
eye-catching, but also understandable and relevant to the target audience. Carrying out this task, the
advertising business refers to such concept as “social stereotype” that helps to include a certain set of
symbols, containing the necessary and relevant for the consumer information into the advertisement
Stereotype is a derivative of the modern society. The fact that stereotypes affect not only human
relationships, but also formation of the public opinion is important. People mostly think in images –
stereotypes, and this is an effective tool for an advertisement creator. But we must not forget that its
primary task is to “hook” the potential customers with the help of competent motivation, in other words,
to create an image that will stand out from the products by competitors and attract attention. However,
advertising producer must remember that the border, where interesting and unusual advertisement
becomes repulsive and unpleasant is very thin, and it creates the need for highly skilled approach to
the use and formation of stereotypes when creating an advertisement message. Advertising, as the
meaning-making element of culture can not only change social stereotypes, opinions and ideas that
exist in society, but also create new ones.
Keywords: advertisement, stereotype, social and cultural activities, gender, advertising communication,
ethnic stereotype, gender stereotype, culture.
Modern society is a complex, multi-level
system, and hence, the interaction of elements
within a given society has a number of specific
features. Modern scholars have repeatedly
emphasized this complexity (Koptseva N.P., 2012,
Nozdrenko E.A., 2013). It is necessary to determine
the factors that influence the formation of such a
unique phenomenon as stereotyping. In addition,
an important issue is the role of stereotypes in the
modern society, as well as possibility of their use
in advertising communication.
communication should be understood as “a kind of
historically-specific process, a context-dependent
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Elena A. Nozdrenko. Advertisement as Meaning-Making Element of Stereotypes Formation in the Modern Society
event”, a specific operation, which characterizes
only social systems, in the process of which
redistribution of knowledge and ignorance,
rather than communication or transmission of
information or transfer of “semantic” content
from one psychic system that pocess them to
another takes place (Luhmann, H, 2005).
According to Baxter, as well as Sillars
and Vangelisti, communication is a mean
with a help of which people develop and
maintain their relationships (Nazarchuk A.V.,
2009). This definition suggests that nowadays
communication is a global process covering the
whole world. Communication represents not
only relashionships between people, but also
interaction of society, various social groups, etc.
In this research we are interested in
mass advertising communication. Mass
communication is a process of systematic
dissemination of institutional information, as
well as transfer of specially prepared messages
with the help of different technical means to
large, anonymous and dispersed audiences; it is
a regulator of the dynamic processes of social
consciousness, integrator of mass attitudes, and
a powerful tool to influence over a person and
groups (Andrianov M.S., 2007). It is the concept
that we have included in our study, as the fi nal
product in terms of advertising communication
can be not only information, but already formed
sustainable knowledge, such as stereotypes
about any object, phenomenon, etc.
In the modern society a lot of stereotypes
are associated with different areas of human
activity. The system of stereotypes is a
social reality. A modern society is based on
stereotypes, relationships in the society happen
according to a certain list of the formed images.
For example, the stereotype is that women are
“the weaker sex”; so a woman, who, according
to the stereotypes, determines so-called “male”
professions, such as police officer or fi re fighter,
can be discussed and sometimes even judged by
the public.
According to Lippmann, stereotypes are
ordered, determined by culture “worldviews” in
human mind, which, firstly, save human efforts
in the perception of complex social objects and,
secondly, protect human values, attitudes and
rights (Lippmann, W., 2004). This thesis brings
us to the conclusion that nowadays relationships
in society are built with the help of present,
prepared patterns. Thus, on the one hand, the
process of communication is getting much easier;
on the other – the social function of advertising –
formation of the new “worldviews” that are
socially relevant and necessary at the moment for
a given culture appears.
I.S. Kon writes: “stereotyping lies in the
fact that complex individual phenomenon is
mechanically associated with a simple formula
or an image that characterizes the class of such
phenomena” (Kon, I.S., 1999). It should be noted
that this definition suggests that in the modern
society stereotypes have simplified the process
of comprehension. When a person sees an image
of a subject and an object, he\she already has a
number of paradigms about its features in mind.
The existence of stereotypes in the mechanism of
knowledge is ambiguous and contradictory. On
the one hand stereotypes simplify the processes
of cognition and creativity, allowing extensive
use of existing knowledge and skills, which are
represented by a complex set of stereotypes, and
on the other hand – limit the ability to get new
knowledge that go beyond the usual concepts or
contradict them.
H. Tajfel identified two social functions
of stereotyping: a) explanation of the existing
relations between the groups, including the search
for the reasons of complex and, “as a rule, sad”
social events, and b) justification of the existing
inter-group relations, such as acts, committed or
planned in relation to other groups (Yakovlev, I.P.,
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2006). Thus, stereotypes form the relation of
a person to an object, which is associated with
the certain features that were already formed in
mind. So, stereotypes can partly be an element
that forms public opinion. For example, such
phenomena as racism and national discrimination
are particularly associated with the ethnic
stereotypes that currently exist in the human
The problems of ethnic stereotypes Ethnic
stereotypes are associated with perception of one
nation, ethnic group or cultural group by another
group. Relevance of this group of stereotypes is
associated with acute, at the moment, situation
which is reflected in emergence of such concepts
as racism, Nazism, racial inequality, etc.
According to the paper by V.B. Kashkin and
E.M. Smolentseva “Taboo Topics and Ethnic
Stereotypes in Intercultural Communication”
ethnic stereotype is historically established rules
of conduct and evaluation of a particular ethnic
group (Kashkin, V.B., 2000). In this case the
concept of stereotype can be compared with the
concept of “evaluation” or “characteristic”, as
perception of ethnic group, race, etc. depends
on them. Ethnic stereotypes do not appear
“out of nothing”, a number of factors, more
often connected with a particular historical
event, contribute to the emergence of a certain
It should be noted that ethnic stereotypes
have dual nature, as they may come from a
representative of an ethnic group, and from
another source. Most often, it is this fact that
gives rise to such a problem as ethnic conflicts,
as ethnic representation of one ethnic group (the
ethnic image) may not coincide with the opinion
of another ethnic group. For example, in Russia
the opinion about visitors from the former Soviet
republics is stereotyped, a person, who does not
understand ethnic and national differences, may
assimilate all the visitors to such a concept as
“migrant worker” that can also have an insulting
Many researchers recognise the role of ethnic
stereotypes in the formation of specific, and, in
particular, negative attitude to different ethnic
groups. For example, T. Pettegrew believes that
the basis for the formation of social stereotypes
in general and ethnic stereotypes in particular, is
conformism as unconditional submission to the
prevailing social norms. J. Watson showed that
anti-Semitism of the new immigrants increases
in a short period of time in the case when they
settle in areas where anti-Semitism is quite
typical, that is, immigrants who did not have antiSemitic stereotype before coming to the United
States, got it as a result of communication and
under influence of the new social environment
(Yakovlev, I.P., 2006). With the course of time,
every ethnic group, nation or race forms a definite
number of specific features, the stereotypes, that
separate them from others. Thus, it is possible to
say that stereotype is an element of culture of an
ethnic group, the element that helps to identify it
among the others.
Such words as “German”, “Russian”,
“American”, “Chechen”, etc. have (i.e. encode)
more meaning than just names of representatives
of a certain territorial area or representatives
of a certain nation. They imply some specific
features of appearance connected with racial
characteristics, traits of character, temperament,
belonging to a particular religious denomination,
etc. Thus, it is easy to see that ethnic image is
a complex element of ethnic consciousness, as a
particular physical type of a person summarizes
territorial, social, historical and cultural features
of life of a whole ethnic group. In other words, in a
particular ethnic image stereotype personification
of both the people and the country where people
live takes place.
A type of limitation of headstrong impulses
of an individual is important for the ethnic
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image formation. It refers to non-standard, nonstereotyped manifestations of temperament and
mental conditions: the condition of love, hatred,
jealousy, etc. This socially limited manifestation
of temperament is a method to control the
biopsychic reactions. It plays a special role
in formation of a typical ethnic image: prim
Englishman, light-minded Frenchman, proud
Spaniard, etc. Therefore, an ethnic image serves
as a kind of standard, according to which a
person motivates his\her behavior and expects
a certain type of behavior from the real ethnic
prototypes (Arutunyan U.V., 2009). Thus, ethnic
stereotypes are stereotypical characteristics of
the certain ethnic groups, nations and peoples.
These characteristics can have both positive and
negative evaluation. And their use in advertising
depends on the goals of advertising campaign.
The problem of stereotypes and prejudices,
as well as dealing with them is very important
in the contemporary world. Formed stereotypes
result in the fact that a person, who doesn’t face
something in practice, already has the given
image which can often have different emotional
evaluation. This image is formed under the
influence of public that forms its own assessment
or classification of different groups of people.
A kind of generalized attitude that concentrates
on the evaluative attitude to all the members
of a particular ethnic group, regardless of their
personality is formed in a society. This attitude
is stereotype.
Irrationality of prejudice lies not only in the
fact that it can exist independently of personal
experience. For example, a person who has never
met the gypsies knows perfectly well that they
are the “other” people who personify evil, theft
and crimes. When people explain their hostility
to any ethnic group, they usually refer to definite
negative traits, typical, in their opinion, to the
group. However, the same traits, taken regardless
to this ethnic group, cannot even cause negative
evaluation or can be evaluated in a more tolerant
The origins of negative attitudes toward
people of another ethnic group are rooted in the
ancient times. In primitive society, the sphere of
human communication was limited by a clan or a
tribe. A man was only a tribesman. People from
other tribes, when it happened to meet them, were
perceived as alien, hostile force, as a kind of devils
and demons. It could not have been otherwise:
after all, such a meeting promised death to one of
the parties. An alien meant an enemy.
The cause of appearance of ethnic images
lies in differences between people, and these
differences are not only in appearance but also
in relation to the cultural component, perception
of each other, etc. Ethnic stereotype is not
generalization of the real features of a nation,
but a product and a symptom of a definite social
situation in which personal qualities of a person
are deliberately repressed by a general one-sided
stereotype. And prejudice is a negative attitude
to a group or its individual members, which is
characterized by stereotyped beliefs. Ethnic
prejudices have the most poisonous influence on
their victims and on those who believe in them,
they limit communication between the members
of different ethnic groups, cause suspicion from
both sides, prevent the establishment of close,
intimate human relationships. Alienation, in turn,
complicates communication and gives rise to new
It is noteworthy that such stereotypes with
different prejudices often become elements for
shocking advertisement. Use of ethnic images
and stereotypes in advertisement can often have
negative evaluation. For example, advertisement
of the computer game (Fig. 1) uses a scene of
violence as a stopper. It also uses element of racial
inequality, which is associated with the existing
in the society stereotype of a lower status of the
black race.
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However, use of ethnic stereotypes can have
a positive role, the result depends on quality of the
produced goods. For example, when stereotype
does not depend on use of an ethnic image, but
distinctive characteristics of the certain nation are
used. So, a distinctive feature of Russian people
is stereotypical love of traditions and history.
Therefore, many Russian advertising campaigns
use the indication that the promoted products
were made according to the traditional methods
and recipes. A remarkable example is the slogan
of the advertising campaign by “Vorontsovskie
crackers”, “we care about the traditions, just for
Advertisement often uses stereotypes about
interaction of humans and animals, for example
print advertising, according to which the public
organization “The Portuguese League for
Animal Rights” asks people do not support,
and do not go to a circus with animal shows.
The slogan of this message is “Animals are not
clowns!” (Fig. 2) This advertisement message
Fig. 1. Advertisement of computer games with ethnic
Fig. 2. Social advertising against the use of animals in circuses
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destroys the stereotype which is now wellestablished in society and suggests that animals
should serve for people’s benefit: be their food,
clothing, entertainment, etc.
Advertising campaigns can often break
stereotypes connected with religion, cultural
component, etc. For example, the famous
advertising by Benetton (Fig. 3), clothing
manufacturer, advertising of English ice-cream
with the slogan: “Give in to the temptation!”
(Fig. 4), advertisement of «AXE» deodorant
(Fig. 5). These examples break the traditional
stereotypes about the Church, which ministers do
not have any temptations.
About gender stereotypes
in modern advertisement
Gender stereotypes imply descriptive
qualities and characteristics of men and women
and contain normative behavior patterns of each
Fig. 3. Advertisement of “Benetton”
Fig. 4. Coffee advertisement with religious images
Fig. 5. «AXE» deodorant advertisement
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sex. From the advertising practice’s point of view
it is important that gender stereotypes reflect
generalized opinion, judgments and people’s
ideas about the differences between men and
women in a particular culture. This means that
gender stereotypes depend on the cultural context
and environment where they are used.
The examples of the use of gender
stereotypes (Fig. 6, 7, 8) confirm the statements
that the traditional gender roles limit and
constrain development of not only women but
also men. It is noteworthy that modern researches
don’t only study certain stereotypes, but also
develop a kind of “portraits” of modern men and
women. Thus, for example, D. Buchan’s point of
view became very popular: men were considered
“active” (doing something, solving problems,
aggressive), and women – “communicative”
(passive, emotional, interested not in business but
in relationships between individuals). [3].
Fig. 6. BMW cars advertisement
Fig. 7. Drug addiction treatment centers advertisement
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The factors of stereotypes formation
The study of the problems of use and
formation of stereotypes in the modern advertising
communication allowed identifying the factors
that contribute to the formation of a stereotype
in a society:
1. Historical factor presents in connection
with the development of society, and as a
consequence, development of public relations. In
Fig. 8. «Diesel» clothing advertisement
As consequences of generalization,
gender stereotypes form our expectations
concerning men’s and women’s behavior.
Using such an approach advertisement should
not only effectively use these expectations of
its audience, but also, if it is necessary, form
new expectations. Consequently, advertisement
that does not confi rm the stereotype, but
denies it becomes the most interesting. Such
advertisement becomes the most original, and
at that the use of stereotypes can be regarded
as an essential tool in creating a promotional
fact, this factor is fundamental.
2. Public relations as a system of social
activities. For example, formation of ethnic
stereotypes is connected with the quality of
relationships between different ethnic groups, in
particular, ethnic conflicts.
3. Social roles. It is known that social roles are
the main factor in stereotypes formation. In this
case a stereotype is subjected to transformation
with the change of semantic characteristics of a
social role.
4. Public policy, which supposes participation
of citizens in its formation and implementation
by the civil institutions. This factor is aimed at
solving social problems, and one of the most
important tools in this process is formation of the
actual stereotypes broadcasted by mass media
and used in advertisement.
Thus, the modern society is characterized by
a tendency of stereotyping, that is, the presence
of certain paradigms in relation to certain objects
and phenomena. This fact bears evidence of
creation of a society that thinks in images and
it is very convenient for advertisement. In the
modern society stereotypes made the process of
comprehension easier, and, therefore, effective.
On the one hand stereotypes greatly simplify the
process of studying and creativity, allowing the
extensive use of existing knowledge and skills,
which represent a complex set of stereotypes, and
on the other hand they limit the ability of getting
new knowledge, knowledge that goes beyond the
usual concepts or contradict them.
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It should be noted that there are certain
types of stereotypes (gender, ethnic stereotypes)
which depend on an object this stereotype is
associated with. A number of factors, most often
associated with a particular historical event (first
of all, it concerns ethnic stereotypes) contribute
formation of a certain stereotype. With the course
of time, every ethnic group, nation or race forms
a number of characteristics, the stereotypes
that define them from the others. Thus, we can
say that stereotype is an element of the cultural
component of an ethnic group, the element that
helps to define it from many others. The topical
problem of the modern society is existence of
such a phenomenon as prejudice.
We should also mention that there are
positive (an elderly person is wise and reasonable
due to the extensive life experience) and negative
stereotypes (women can’t drive a car, as it is
men’s job). The problem of negative stereotypes
use is quite relevant nowadays, as consequences
can be expressed in the form of dissatisfaction
of a certain group of people or in the form of
a major conflict (for example, different ethnic
Thus, clever use of stereotypes can create
conditions necessary for the public opinion
formation. Advertisement often uses common
social stereotypes to form the desired image of
the promoted product. It is noteworthy that use of
stereotypes can often be a source of dissatisfaction
with advertising products by a group of people,
which is opposed to the existing public opinion.
Often, a stereotype can take a form of insult, thus,
humiliating a part of society, which it devoted
to. This situation is often connected with ethnic
stereotypes due to inter-ethnic conflicts that often
develop in the society. Nowadays stereotypes
concern almost all the aspects of human life and
advertising practice uses many of them (Table 1).
The issue of stereotypes’ use in advertisement
is undoubtedly topical in the moment. It is obvious
that advertisement is a phenomenon and an
important communicative element of the modern
culture, it can influence public opinion formation.
Advertisement can be understood as a catalyst
Table 1. Analysis of the stereotypes use in advertisement
Type of
Analysis of stereotypes use in advertising
Context for advertising practice
The call for respect to the “others”, unity of
Such stereotypes are effective in social
various ethnic groups and tolerance.
advertisement, which aims to attract
attention to the problems of ethnic tolerance
that exist in society. In the modern world
the problem of ethnic conflict is acute, so
advertisement with its product should not
worsen the existing situation, but try to
ease it, to encourage people to be tolerant,
to have positive attitude towards people of
other ethnic origins. Thus, the objective of
such an advertisement is to change consumer
behavior, which is manifested either in
ethnic tolerance or in the correct study of
the cultural component of the ethnic group
representatives, but not in the abusive use of
ethnic images, built on stereotypes associated
with the represented ethnic group.
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Continued Table 1
One of the most commonly used stereotypes
is an image of an attractive girl, quite often
immodest and sometimes even vulgar. Thus,
a creator of such an advertising message
should understand that a woman can be
displayed as a sex object, but this image must
be reserved, otherwise such an advertisement
may cause public discontent. In addition, the
use of such stereotypes as ethnic stereotypes
is acceptable in social advertisement, which
shows current problems of a society.
Ideas about personality traits and behavioral
roles of men and women are topical at the
present time and in the cultural context.
“The construction of gender” is formation
of certain expectations about what kind of
people we should be and what we should do
to comply with the modern ideas about our
Use of this stereotype is possible from
different positions, so a creator of an
advertisement message should take into
account a number of factors, including the
target audience, which a creator is going
to work with. For example, advertisement
of a product for young people can use
gender stereotypes that are relevant only for
representatives of the young generation.
Inclusion of age characteristics always
contains an element of unconscious
projection. For example, social advertisement
of the rehabilitation center Focus 12 Rehab
Centre, for some people may seem too bold
and provocative, for others – outrageous
and disrespectful to the elderly people,
and some people may even say that it is
hilarious (Fig. 7). But we should admit that
its creators have achieved the main goal –
people were affected by it. The text on the
print is as follows: “There’s no such thing as
an old junkie, Take back your future. Call
Focus 12 Rehab”. It should be noted that this
advertisement not only directly used people
of a certain age group, but also used the
social stereotype that is associated with these
people, what was specified in the slogan.
Other forms
of social
Any public stereotype can be both used and
contradicted in an advertisement message. In
this case a stereotype violation creates more
original and unusual advertising, but such a
technique is not always appropriate, as the
target audience may not accept the modified
Advertisement can both create and break
the existing social stereotypes. The example
of stereotypes violation is a series of
promotional prints by “Diesel” (Fig. 8), which
broke the stereotype that it is necessary to be
a prudent person. The promotional messages
had different meanings: “Smart listens to
the head, stupid listens to the heart”, “Smart
may have the brains, but stupid has the ball,”
“Smart has the plans, stupid has the stories”,
etc. The campaign is intended to renovate
the core values of Diesel brand – boldness
and originality, encouraging people not to
grumble, but live and take risks.
for the process of change in consumer behavior.
Today, advertisement should be perceived not
only as a process of providing consumer with
the information about a product, but as a way
to influence a person, change a person’s point
of view on an issue, as a kind of meaning- and
ideal- forming element. Therefore, advertisement
must correctly interact with all the meanings and
ideals that already exist in a society.
Thus, the role of advertisement is to form an
image desired and understandable for the target
audience. Advertisement as the meaning-forming
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element can not only change social stereotypes,
opinions and ideas that exist in society, but also
create new ones. In turn, advertisement producer
can both use topical social stereotypes and destroy
them, creating new stereotypes, which are more
relevant for the modern society.
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Obshegumanitarnih Issledovanii, 2007, p. 10.
2. Arutunyan
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V.B. Kashkin, S. Peichenen // Russkoe I finskoe kommunikativnoe povedenie. -Vip. 1. Voronezh:
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dlya sovremennih kulturnih issledovanii. Filosofia I kultura. (10), 9 -18.
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vozmozhnosti klassicheskoi britanskoi socialnoi antropologii. Gumanitarnie I socialnie nauki, (4), 89104
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mezhkulturnoi kommunikatsii: fokus-gruppi, lichnoe interviu, anketirovanie, poluchenie ekspertnogo
mnenya (na materiale issledovania Krasnoyarskogo Kraya). Sovremennie problemi nauki i obrazovaniya,
(3), 410-410.
10. Koptseva N.P. (2012). Kulturologicheskaya baza formirovaniya obsherossiiskoi natsionalnoi
identichnosti v Sibirskih regionah Rossiiskoi Federatsii. Vestnik Volgogradskogo gosudarstvennogo
universiteta. Seria 7. Filosofia, sociologia i socialnie technologii, (3), 11-15.
11. Koptseva N.P., Nevolko N.N. (2012). Visualisatsia etnicheskih traditsii v zhivopisnih I
graficheskih proizvedeniah hakasskih masterov. Iskusstvo I orazovanie, (1), 27.
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issledovanii. Sovremennie problemi nauki I obrazovania, (1), 400.
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esteticheskomu tsiklu disciplin. Visshee obrazovanie segodnya, (12), 9-13
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issledovanii v sovremennoi gumanitarnoi nauke. Sovremennie problemi nauki I obrazovania, (3),
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17. Luhmann N. Realnost massmadia / Per. s nem. А. Аntonovskogo. М.: Praksis, 2005. – referat
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Реклама как смыслообразующий элемент
формирования стереотипов
в современном обществе
Е.А. Ноздренко
Сибирский федеральный университет
Россия 660041, Красноярск, пр. Свободный, 79
Актуальным явлением современности являются стереотипы, которые, с одной стороны,
упрощают процесс коммуникации, так как заранее наделяют членов общества рядом
характеристик, но, с другой стороны, создают дополнительные проблемы в процессе
взаимодействия, например образуют предубеждения. Повышенный уровень конкуренции
вызывает у создателей рекламного продукта необходимость прибегать к необычным
элементам его привлекательности. Однако реклама должна быть не только интересной,
привлекающей внимание, но и понятной, актуальной для целевой аудитории. Осуществляя
данную задачу, рекламный бизнес обращается к такому понятию, как «общественный
стереотип», который поможет заложить в рекламное сообщение определенный набор
символов, содержащих необходимую и актуальную для потребителя информацию.
Стереотип является производной современного общества. Важен тот факт, что стереотипы
влияют не только на человеческие взаимоотношения, но и на формирование общественного мнения.
Люди преимущественно мыслят образами – стереотипами, а это и есть тот эффективный
инструмент для создателя рекламы. Однако нельзя забывать, что его первоначальная
задача – через грамотную мотивацию «зацепить» своего потенциального потребителя,
другими словами, создать такой образ, который будет выбиваться из конкурентного ряда и
привлекать внимание. Однако рекламопроизводителю необходимо помнить о том, что грань,
за которой интересная и необычная реклама становится отталкивающей и неприятной,
очень тонка, что создаёт необходимость высококвалифицированного подхода к процессу
применения и формирования стереотипов при создании рекламного сообщения. Реклама как
смыслообразующий элемент культуры может не только изменять существующие в социуме
общественные стереотипы, мнения и идеи, но и создавать новые.
Ключевые слова: реклама, стереотип, социально-культурная деятельность, гендер, рекламная
коммуникация, этнический стереотип, гендерный стереотип, культура.
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1526-1543
УДК 323.25+323.272
Humanitarian Technology:
Strategic Nonviolent Struggle
Pavel V. Klachkov*
Department of Expertise and Analytics of the Governour
of the Krasnoyarsk Territory
110 Mira, Krasnoyarsk, 660009 Russia
Received 12.06.2013, received in revised form 10.08.2013, accepted 15.09.2013
This article considers strategic nonviolent struggle as a complex humanitarian technology aimed at
ensuring the change of state power by weakening the structural, functional and genetic integrity of
the state mainly by conviction and psychological manipulations. The author comes to the conclusion
that a complete answer to this challenge includes not only opposition to destructive entities, but also
strengthening of the integrity of the state by uniting three abovementioned types of the latter.
Keywords: strategic nonviolent struggle, strategic nonviolence, soft power, colour revolutions,
humanitarian technologies.
W. Casey, who is considered to be the most
powerful director of the CIA in the history of
the organization, wrote in his book: “In our time
it is especially important to understand how
necessary intelligence, covert operations and
organized resistance movements are ... In the
future, in crisis situations, these methods can
be more productive than missiles and satellites.
Their success tells us to use dissidents against the
powerful centers and totalitarian governments”1.
Both complex character and high relevance of
the “color revolutions” in the past decade in the
Ukraine, Georgia and Kyrgyzstan count in favor
of careful consideration of these methods.
The founder of the humanitarian technology2
of “strategic nonviolent struggle” that underlies
“color revolutions” is G. Sharp. At the beginning
of his career he was researching the teachings of
civil disobedience of G.D. Toro and M.K. Gandhi.
He devoted a separate monograph to the ideas
and practices of the latter3. Of course, G. Sharp
was familiar with the works of many thinkers. In
particular, he was close in his views were close to
the views of the 16th century French philosopher
Etienne de la Boétie. The latter asserted the
following: “If they (the tyrants) are not provided
with anything, if they are not being obeyed,
without fighting, without opposition, they remain
naked and broken, and there is nothing they can
afford, as a sprout, which dries up and dies, if
the root has no soil”4. However, the particular
importance of the Gandhism is clear based upon
the fact that the founder of the latter, as well as
the American political researcher, was not only a
theoretician, but also a practicing politician. The
views of the Indian thinker was reflected in the
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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work of the follower and colleague of G. Sharp, a
retired colonel, R.L. Helvey: Gandhi appears there
in the chapter devoted to the political thinkers,
most significant for strategic nonviolent struggle
(in a non-trivial company with N. Machiavelli
and C. Clausewitz)5. Thus, a certain relation of
the technology of nonviolent revolutions with
the doctrine of Satyagraha (perseverance in the
truth) is beyond any doubt.
According to the theory of M.K. Gandhi,
violence only breeds violence, while nonviolence breaks this vicious spiral. Satyagraha is
based on the desire to influence the judgment and
conscience of the opponent through non-violence
(ahimsa), and the willingness to endure pain and
suffering. An important element of this teaching
is to avoid interaction with the authorities in the
forms prescribed by the sovereign. The followers
of M.K. Gandhi refused to buy British goods,
receive government titles and awards, to be on the
civil and military service, boycotted schools and
administrative offices, while creating alternative
social structures. The example was Mahatma
himself, who in 1920 returned the rewards for his
participation in the wars in South Africa to the
King6, and four years later, protested against his
early release from prison, not wanting favorsfrom
the government7.
“The rights also entail obligations to the
state”, young M.K. Gandhi thought once started
his legal practice in South Africa8. He faced
the arbitrariness of British colonial officials
and came to the conclusion that, by refusing to
meet the state face to face, the citizens thereby
make the latter inoperative. Among the most
successful examples of such policies is refusal of
the Bardoli District to pay the land tax (resulting
in tax reduction)9, as well as demonstrative and
widespread violation of the salt monopoly of the
government (400 km trip to the seacoast)10. There
were fires with British goods all over India11. It
got to the point that the Indians ignored the visit
of the Crown Prince of Wales. The streets of the
cities along the route of the Prince seemed dead at
the time of his presence12. And in 1946, after the
Indian National Congress adopted the anti-British
resolution “Get out of India!”, Gandhi said: “Each
of us from now on should consider him-/herself a
free man or a woman and act as if we had already
got free of imperialism”13.
The symbol of Satyagraha was Charkha, a
traditional Indian spinning wheel. The followers
of this teaching did not buy British textile
products, preferring their own homespun goods14.
M.K. Gandhi demanded from his followers to
work personally on a manual spinning wheel. He
reasoned it this way: “Why do I, who does not
have to work to be fed, also need to spin? Because
I eat something that does not belong to me. I
live by the labor of my fellow citizens”15. Thus,
spinning was not only a symbol, but a way of
ensuring the socio-cultural integrity of the highly
fragmented Indian society. Breaking the ties
that bound his country with England, Mahatma
simultaneously spun threads to unite India itself.
It is a paradox that decades before this “jewel
of the British Empire” got it’s independence.
M.K. Gandhi spent most of his efforts not to fight
the mother country, but to consolidate India. To
do this, he worked on the reconciliation of the
supporters of Hinduism and Islam16, as well as on
the integration of “untouchable” into the Indian
The tactics of the Indian political strategist
that met both objective geopolitical and geoeconomic realities and traditions of the Indian
society, proved to be extremely effective. It
is worth noting that it is deeply rooted in the
Indian spiritual tradition18. It is known that the
true followers of Satyagraha were supposed
to make a vow of truth, non-violence or love,
innocence, refusal from property, etc. (by the
way M.K. Gandhi was influenced in his views by
ideas of L.N. Tolstoy)19. An important component
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of the movement was voluntary acceptance of a
martyred mission by its participants20. However,
the great Hindu called himself a “practical
idealist” and intended his theory of non-violence
not for angels or saints, but for ordinary people21.
Moreover, Mahatma said that he “would rather
prefer that India resorted to arms to defend its
honor, than it became a helpless victim of its own
dishonor because of its cowardice...”22.
The fi nal chapter of G. Sharp’s monograph
“Gandhi as a Political Strategist” is called
“Non-violence: a moral principle or a political
technology?” The author tends to dispose of the
widespread opinion that the use of nonviolent
means in India was determined by spiritual,
religious or psychological features of the
Hindus23. He also drops a thought about the
difference between non-violence as ethics and
nonviolent acts as a practical technology24. To
prove it he uses quotations from the works of
M.K. Gandhi, in particular from the letter dated
July 1943, where he wrote: “I admit that there
are many of those, who totally follow my theory
of non-violence. Nevertheless, one should not
forget my other words: for my movement it is
not necessary that all its participants are the
followers of this theory, to some extent or totally.
It is enough if people simply follow the rules of
nonviolent acts” 25.
G. Sharp and his followers went the way
of universalisation and instrumentalization
of the teaching of nonviolent struggle. They
decided to bring this teaching to the level of
a technology, providing the application of the
humanitarian arms of the East against itself. As
noted by G. Sharp himself in conversation with
R.L. Helvey, “strategic nonviolent struggle deals
with mastering of the political power and depriving
it of others. It has no relation to pacifism, moral
or religious beliefs”26. If M.K. Gandhi considered
the idea “to seek one’s rescue looking for the
external forces and the help from other countries”
to be dangerous, the followers of G. Sharp used
the latter without any doubt.
As MGIMO professor M.A. Khrustalev
notes, before the presidency of R. Reagan the
traditional foreign policy of the United States
was the support of the military dictatorships
(especially in Latin America). After this, the line
had changed and, leaving his post, this head of
the United States said that during his rule forty
dictatorships were deprived27. Such a change in
the foreign policy claimed the theory and practice
of “peaceful revolutions”.
In 1983, G. Sharp created a programme of
nonviolent actions at the Center for International
Affairs at Harvard University. His first research
was focused on the possibilities of applying the
tactics of civil disobedience by the population of
Eastern Europe in the event of invasion of armed
forces of the Warsaw Pact Organization. In
parallel, this political expert organized the Albert
Einstein Institute of Boston 28, which started
active practical activities since late 1980s29.
The first major “client” was the Democratic
Alliance of Burma. In this country, now
called the Republic of the Union of Myanmar,
technologists of nonviolent struggle worked for
years. This is where R.L. Helvey joined them.
Moreover, the members of the Institute worked
with the progressive party of Taiwan and with
the supporters of Dalai Lama, took part in the
overthrow of M. Noriega in Panama. Two weeks
before the beginning of the infamous Tiananmen
Square incident G. Sharp and B. Jenkins arrived
in Beijing 30.
One of the most successful projects of the
Albert Einstein Institute was the support of the
separatist movements in the Soviet Baltic31. As
stated in the work by G. Sharp, his book “Civil
Defense: the Post-war Weapon System” was
actively spread in Lithuania, Latvia and Estonia,
and the author himself, along with his associate
B. Jenkins worked in these republics in November-
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December 1991. Later this book was published in
Latvia with forewords of the former and current
ministers of defense of this republic32. According
to the apologetic articles in the European mass
media, the organization of G. Sharp was involved
in the recent events of the Arab Spring33. The
official website of the Institute has versions not
only in Chinese, Arabic and Burma languages, but
also in Serbian, Kyrgyz, Ukrainian, Belarusian,
and, of course, Russian. 34.
The Albert Einstein Institute is not a
monopolist. The International Centre for Nonviolent Conflicts headed by Dr. Ackerman and
former military J. DuVall, also “promotes and
encourages the use of nonviolent civil strategy
with a view to establish and protect democracy
and human rights around the world ... and
provides assistance in training and sending field
instructors to deepen the theoretical knowledge
and practical skills to use nonviolent methods in
conflicts around the world”35.
R.L. Helvey determines the mass
disobedience as “nonviolent struggle (protest,
non-cooperation), strongly and actively applied
for political purposes”36. According to G. Sharp,
the term is intended to distinguish nonviolent
struggle against pacifism and moral or religious
non-resistance. It is a deliberate challenge to the
authorities, a refusal to obey. This technology is
used in the political sphere, it’s purpose is the
political power. The term is used to denote actions
that help to intercept the control of dictatorship
over state institutions37.
G. Sharp considers that “after all, political
power is based on social cooperation and actions
of the masses, but not on violence”38. He asserts:
“When nonviolent actions are performed by
many people and the main social institutes,
they are able to paralyze and even destroy what
they were aimed at39. It seems that peaceful
movement should be interested in achieving
consensus with the authorities by negotiations,
but G. Sharp doubts this way of solving conflicts.
He concedes negotiations only as a tactic
means: “If Democrats agree to stop resistance
in response to stop repressions, they may be
disappointed. This happens seldom”40. It is worth
noting that even though M.K. Gandhi abandoned
negotiations (in particular, with Lord Reading in
1919)41, he often held them successfully finding
mutual compromises with the colonial authorities
(for example, Deli Pact of 1931)42. In general,
Mahatma thought that Satyagraha requires not
saving efforts to achieve worthy agreements with
R.L. Helvey in his characteristics of
strategic nonviolent struggle uses a typical
military analogue: “Military victory is achieved
by destruction of the potential of the opponent
and (or) his/her will to continue the fight. In this
respect nonviolent struggle is different from an
armed conflict only in the systems of weapons”44.
He also writes: “Like artillery changed the
nature of war in the times of Machiavelli, the
technology gave us opportunities to change
the way of conducting nonviolent conflicts.
Computers, Internet access, mobile and
satellite phones, coding programmes, television
and radio are the main weapons of nonviolent
G. Sharp asserts that the beginning of
nonviolent struggle requires solving of four firstpriority tasks: “to strengthen resolution, selfbelief and ability to struggle in the depressed
people; to strengthen independent social groups
and institutes of the depressed people; to create
strong internal resistance; to prepare a reasonable
strategic plan and put it into practice” 46. He also
names “three key factors that determine to which
extent the power of the government will remain
uncontrolled: 1) relative desire of the population
to limit its power; 2) relative power of independent
organizations and institutes that aim at shutting
off the sources of such power; 3) relative ability
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of the population to refuse the authorities in
agreement and support”47.
Strategic nonviolent struggle is not an
extemporaneous creativity of the masses48.
As R.L. Helvey underlines “It is not a
happening, but a well planned and realized
strategy of destructing the dictatorship”49.
Struggle involves development and successive
implementation of a general strategy, which is
specified in strategy, tactics and methods. First
of all, strategists should answer some questions:
“What prevents from achieving freedom? What
may help to achieve it? What aspects of the
dictatorship are particularly strong? What are its
weaknesses? How vulnerable is the source of its
power? What are the strengths of the Democrats
and the population as a whole? What are the
weaknesses of the democratic forces, and how
they may be overcome? What is the status of
third parties indirectly involved in the conflict,
which help or could help either the dictatorship
or the democratic movement?”50.
military officers get to know the structure, tactics,
logic, ammunition, geographical features, etc.; in
the same way, developing a plan of nonviolent
struggle, it is necessary to understand the nature
and the strategic principles of nonviolent struggle.
However, knowledge alone will not create the
strategy. To formulate the strategy of the fight,
we need information and creative spirit”54.
“The inefficiency of template approaches and
stereotyped solutions is due to the fact that “the
conflict, where political defiance is applied is a
constantly changing battlefield of action and
If Machiavelli appeals to the wise sovereign
“to take measures to ensure that citizens always
and under all circumstances have the need for the
sovereign and the state”56, G. Sharp offers “the
fighters against the dictatorship to achieve exactly
the opposite: “development of autonomous (social,
economic, political and cultural) institutions is
consistently expanding the democratic space
and narrowing the control of the dictatorship”57.
understanding of the whole situation of the conflict,
including physical, historical, government,
military, cultural, social, political, psychological,
economic, and international factors. Strategies
can be developed only in the context of a
particular struggle and its background”51. That is
why it is impossible” to create a general strategic
plan, which can fit all liberation movements. Each
struggle for the overthrow of the dictatorship and
establishment of democracy will be different
in a way”52. As noted by G.W.F. Hegel, every
nation “has such special circumstances, every
era happens to be such an individual condition
that ... it is necessary and possible to make only
those decisions that are derived from this very
Talking about the qualities the strategists
require, G. Sharp himself turns to the military
analogy: “In order to prepare a military strategy,
In some cases, he finds it possible to develop
a “parallel” (alternative) government, which
citizens and civil institutions will be ready to
obey. “Then the dictatorship will gradually but
with an increasing speed get deprived of the
properties of the government”58
If French students rioted in 1968 with the
slogan “Be realistic: demand the impossible!”59,
the “strategic nonviolent struggle” avoids such
an approach. G. Sharp urges the opposition not
to overestimate its strengths (in particular, to
avoid the repetition of the events of 1989 in the
Tiananmen Square). If the “frontal attack” at this
stage of the struggle does not lead to the desired
result, the political analyst recommends to resort
to “selective strategies of resistance”. They
suggest the concentration of forces “on specific
issues: social, economic or political. They should
be chosen in such a way, that a part of the social
and political system remains beyond the control
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of dictators or gets out of it, and also that the
plans of the authorities are hindered”. Such a
campaign should strike “at the vulnerabilities of
the dictatorship”60.
G. Sharp emphasizes that the opposition
should use “weaknesses” of the authorities.
Among them he names the following typical
features: “The system can be inert, that is less
able to adapt quickly to new situations”, “being
afraid of angering the chiefs, subordinates may
give inaccurate or incomplete information, which
prevents the dictators from taking appropriate
decisions”, “ineptitude and ignorance of the
bureaucratic apparatus or excessive control
can extremely reduce the functioning of the
system”61. Generally speaking, the political
analyst states, that “despite its apparent strengths,
all dictatorships have weaknesses: internal
inefficiency, institutional inefficiency, personal
feuds and conflicts between organizations and
Therefore, it is appropriate to recall on a
general pattern determined by A. Toffler: “Every
system ... can only operate at a certain speed. Too
slow –and it gets disintegrated, too fast –and it
shatters. All systems are composed of subsystems
that operate in a similar manner only within the
certain velocity amplitude”63. Imposing a higher
rate of a combat, the opposition could gain an
advantage if the authorities are not ready for
such a mode. As pointed out by V. Shved, in
1990, the Lithuanian “Są jūdis” responded to all
the statements of Moscow within a day or two,
while it took Moscow up to two months or more
to respond. In fact, the Centre responded when
the urgency of the problem has already been
G. Sharp also recommends to use the
sharpening of class, cultural or ethnic conflicts65.
The researcher notes that both in Georgia and the
Ukraine “real social problems and stress were
used to launch the revolutionary flywheel”66.
Indeed, as A. Toffler wrote, “... when the system is
highly unstable, non-linear effects are multiplied.
Great efforts of the authorities can give small
results. Slight circumstances may initiate the
collapse of the regime. Like an overtoasted slice
of bread may lead to divorce”67.
R.L. Helvey recommends to turn to the
involvement of all the forces of the civil society
into the struggle. He points out that almost all
organizations “contain the sources of power, and
provide a framework for collective actions”68.
This is quite logical because, as noted by V.V. Iliin
and A. Panarin the communities “have inherent
behavioural features and forms that are not typical
for individuals: they are formed not in the process
of an individual life, but during the collective
mutual development, interaction (multiplication
of the merger of personal energies, combinative
reflexes, imitation, suggestion”69.
Talking about the organizational structure of
the nonviolent movements, R.L. Helvey notes that
a hierarchy is not typical for it. “The general way
to get together different interests, abilities and
personalities, or opposition groups is to develop
an “umbrella” organization for the purpose of
struggling. The other way is, when the latter
develops its own “headquarters core”, which
represents all or some of the members. Initially,
it may be better to combine the participating
organizations around the issues rather than trying
to create a unified organization”70.
However, towards the end of the book
R.L. Helvey determines “the opinion that the
struggle for democracy requires democratic
organizational structures for the management of
the conflict as erroneous. This is a nonviolent, but,
nevertheless, war. It requires leadership and strict
discipline”71. “As in any war, decision-making
by a committee is inappropriate. Ideally, at the
strategic level, someone must be responsible
for deciding when and where the campaign will
be carried out, while other individuals should
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be responsible for carrying out these fights and
campaigns. At each level within the movement,
the task should not be set without specifying the
person responsible for its implementation. The
responsibility is always individual”72. Herewith,
the author mentions, that one-man management
does not deny broad participation in preparation
and presentation of recommendations for the
decision-making person73.
working in the genre of special propaganda, should
imagine him-/herself as a politician. All his/her
efforts should be aimed only at “condemning the
opponent with all the facts that have an effect on
the population and indicate what to do to solve the
problem (and, unsurprisingly, political changes
will always be an outcome)”81. R.L. Helvey also
gives some specific recommendations on working
with foreign mass media82.
R.L. Helvey frankly writes about the
suitability of foreign experts’ participation in
“nonviolent struggle”, who have a wealth of
knowledge and skills74. Answering the tough
questions of the opponents in this respect, the role
of foreigners should be positioned as “necessary
technical assistance, which has no governing
authority and is strictly accountable”75. It is worth
noting, that during training and consulting of new
generations of “freedom fighters” he advises to
attract “veterans of nonviolent conflicts” having
proved themselves useful in other countries”76.
Speaking about the role of propaganda,
it is appropriate to recall that after World
War I, military theorists almost unanimously
acknowledged: promotion is a part of the art of
war. The Englishman P.G. Warburton said: “In
our time, the main objective of the war is not to
destruct the enemy forces, as it was before, but
to undermine the morale of the population of
the enemy country as a whole to such an extent
that it would bring its government to make
peace” 83.
A. Butkevicius, a Lithuanian student of
G. Sharp, emphasizes: “In the Soviet Union in
the military environment there were no designed
psychological operations, everybody acted using
a single, very primitive scheme”77.
As noted by D. Fraser, propaganda is “an
activity or art that makes people behave the
way they would not have behaved without it”.
In the opinion of this author, the initial target of
propaganda is not the mind, but such emotions
as fear, pride, greed, ambition, etc.78 R.L. Helvey
agrees with J. Ellul, who defines propaganda as
“an expression of opinions or actions taken by
individuals or groups to influence the opinions
and actions of other individuals or groups with
predefined objectives and through psychological
manipulation”79.Herewith, a retired U.S. Army
colonel reasonably observes: “Contrary to the
popular belief that the facts speak for themselves,
in reality, the facts have a meaning only in a
context”80. He also emphasizes that a journalist
It is noteworthy that modern propaganda
uses not so much primitive stamps, but complex,
thoroughly elaborated strategies. J.S. Nye Jr.
emphasizes that primitive “brainwashing”
can cause the opposite effect. He writes: “The
information perceived as propaganda, can be
met not only with disdain, but also become
counterproductive, if it undermines the credibility
of the country”84.
A fertile field to handle the public opinion is
television. The psychology of a viewer is that he/
she takes someone else’s opinion as his/her own,
resulting in the situation that television does not
reflect the reality, but mythologically interprets
it”85. However, the development of social networks
and blogging communities offer in this respect
new, not yet fully investigated possibilities.
Technologists of “nonviolent struggle”
prepare in advance for the situation that their
actions will cause a negative reaction of the
authorities. As R.L. Helvey notes, “nonviolent
actions against a repressive regime would often
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meet violence. One can expect beatings, torture,
imprisonment and other sanctions (violent,
economic and social). However, when the
government reacts in such a way, wide popularity
of such acts can often be used by the opposition
to gain public support for the democratic
movement”86. To reduce the effectiveness of
repression, the strategists of “nonviolent actions”
use the following measures.
Firstly, they seek to win the policemen and
other officials over to their side. R.L. Helvey
suggests that the policemen should be influenced
through their friends and family, bringing to them
the idea that the opposition does not consider the
policemen to be enemies if they are willing to
contribute to the resistance87. It is most difficult to
establish contact with the army, because the army
units are often located far from the residence of
soldiers, and in the army environment, patriotism
and conservatism are prevailing. However, the
author does not consider this task impossible,
citing as an example the refusal of Serbian
army to act in defense of Slobodan Milosevic88.
R.L. Helvey does not write directly about
the work carried out in the security services,
however, as K.D. Chivers notes, the a defection
of state security officers to the opposition played
the leading role in the victory of the “orange
revolution” in the Ukraine89.
R.L. Helvey considers a particularly
important task to be “recruiting of friends and
family of the key officials supporting the tyrant
to the democratic opposition… The tyrant shall
face the problem of preserving the loyalty to him/
her of those who have to arrest, intimidate and
subject to cruel treatment the members of their
own families”90. The work of civil and public
officials is considered quite important. They
may be useful for the movement, if they simply
sabotage the work. Of course, they will bring
even greater benefits to the opposition if they
present the insider information.
Analyzing the “color revolutions” that took
place in a number of the CIS countries, the Russian
researcher A. Chadaev expressed an interesting
opinion: “A cardboard hero needs a cardboard
villain as a pair: and such a villain is always
found in the face of the authorities and always
turns out to be cardboard”91. The concern is that
there is nothing more profitable for the organizers
of “nonviolent struggle”, than the opposition
threatening in words, but ineffective in practice.
It does not matter here, if such behaviour is
explained by incompetence and corruption of the
law enforcement structure or purposeful work of
the “agents of influence”. This is the case when
stupidity is not better than cheating.
Another aspect of the anti-repression actions
is to raise the morale of the participants of the
movement. According to R.L. Helvey, “obedience
is mainly a combination of habits, fear and
interests. Habits and interests may be changed,
and fear can be driven away”92. Speaking about
the organization of meetings, he demands: “Have
a good plan, make sure that the participants
know it, and have leaders who will ensure its
implementation... If there is no leader in the front
ranks of the demonstration, he/she should explain
to the people why he/she was not there and
where he/she would be. Leaders shall ... discuss
measures that will not let the people feel alone.
At public events, such as demonstrations, people
need to keep close enough to each other to touch,
shake hands and communicate (chant, sing and
talk) ...Wearing similar clothing and symbols is
a psychological support, which provides a visual
association with others, who share the same
values and beliefs”93. “Placing posters in front of
the protesters and at a height that does not allow
the demonstrators to see the ranks of the police,
reduces fear”94. Speaking about the importance
of the unity of the movement’s participants,
R.L. Helvey notes: “Contrary to the patriotic
rhetorics... very little brave actions are done out
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of love for freedom, democracy and the rule of
law. Most of the acts of heroism are inspired by
loyalty and devotion to the comrades”95.
It should be emphasized that conflicts with
the police for current social extremists are not
unwanted trouble, but a natural element of the
struggle, which they tend to use in accordance
with their scenario. Strict, but ill-planned actions
of law enforcement bodies may play into the hands
of extremists. For example, one of the experts in
the organization of “orange revolutions” gives
the following advice: “If the demonstration is
more likely to end with collisions, place young
girls in white blouses in the front ranks. And wait
for the police to attack. The effect is guaranteed:
after a few strokes there will be a bit of blood
on white blouses (or a lot, unfortunately). There
will be excellent pictures that will spread on the
screens all over the world... And the regime will
be discredited”96. It is especially dangerous when
at first the police gets susceptible of provocation
by committing acts of violence that have the
opposite effect, and then, under the impact of the
agents of influence or for other reasons, it just
‘plays back’ as mindlessly. A few cycles of this
kind can significantly strengthen the positions of
A separate section of R.L. Helvey’s work
is dedicated to the phenomenon of leadership
and training of leaders for strategic nonviolent
struggle98. Attention is paid to such qualities
as the ability to lead by example, knowledge of
people and their problems (“for the leader of the
local level, each person must have a name and a
face”), as well as knowledge of the enemy, loyalty
of the organization of “resistance”, the ability to
take responsibility, support the success of other
participants (and not to stick out their own role),
learn from mistakes, develop useful skills of
subordinates, etc. Different leadership styles
are considered. The author points out that the
importance of the abovementioned qualities may
vary depending on the situation, and the choice of
a particular leadership style is less important than
the competence99.
R.L. Helvey specifically points out: it is
necessary to involve religious leaders in the
movement. If this is not possible, it is necessary
to neutralize their impact100. Herewith, specific
attention should be paid to certain events
that take place in modern Russia. In January
2012 it was reported that the Patriarch Kirill
will not respond to a provocative letter of
B.A. Berezovsky, who called him to join the
“non-system opposition”101. Thereafter a
massive campaign began to discredit the head
of the Russian Orthodox Church in the media
and in the Internet. The apotheosis was the
performance of the feminist group Pussy Riot
on February 21 at the Cathedral of Christ the
Savior, which was actively discussed in the
media. What is happening suggests that the
campaign is performed in accordance with
the logic of strategic nonviolent resistance”102.
However, it should be noted that in this
case, the “technologists” obtained rather the
opposite result, which was confi rmed both by
processions and other acts held by Orthodox
Christians to protest against these actions and
the results of public opinion polls103.
Already in 1960s intelligentsia and young
people of the “target countries” became an
important object of the U.S. psychological war
operations. In particular, the programmes were
implemented that would allow the United States
to rely on the “elite” of the local intelligentsia and
future political leaders in Africa104. R.L. Helvey
writes: “raw materials for nonviolent struggle are
people: organized, trained and skillfully led”105.
He also notes: “In nonviolent conflicts, as in war,
young people are in the front lines”106. At the same
time, he mentions that for youth organizations the
discipline is particularly important, their members
must follow a strict “code of conduct”107. It is also
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useful to engage the business community and the
working class in nonviolent struggle (especially
the workers of the transport and related fields to
ensure the transportation of people, goods and
At the end of 1960s, the Australian
psychologist F. Emery studied the specific
behaviour of young people at rock festivals
(particularly at the famous Woodstock). As the
result of long-term research, the researcher came
to the conclusion that this activity reminds of
swarming bees. The researcher also introduced
a special term, “teenage swarm” and determined
a relationship between this phenomenon and
the so-called “hysteria of revolt”. Moreover, he
concluded that such a “swarm” can be effectively
managed for political purposes, including the
organization of coups d’état109.
A few decades later, the results of F. Emery’s
research complemented by achievements
in the field of communications were used
by the organizers of the so-called colour
revolutions. Using social networks and mobile
communications (in particular, for sending
messages) the experienced coordinators manage
revolutionary masses, guiding them in the right
direction, quickly correcting the behaviour of
different groups and thereby ensuring coherence
of actions110. Anti-globalists use modern methods
of rapid alert during their actions. These
technologies are also the basis of the recently
appeared practice of flash mobs: spontaneous and
usually meaningless mass performances. Reports
of the time, place and scenarios of the latter are
transmitted by their participants through the
Internet or mobile phones111.
A. Butkevicius, a Lithuanian student of
G. Sharp, had repeatedly admitted that the
victims of the events that occurred in January
1991 in Vilnius, were originally planned to pay
“little blood” for the freedom of Lithuania112.
V. Landsbergis in his interview with the British
journalist D. Price-Jones also explicitly stated
that blood and heroes were needed for the
The activities to consolidate the activists
are accompanied by the efforts to alienate the
supporters of the current government. R.L. Helvey
emphasizes: “Keep in mind that the pressure of
one circle works both ways, and can be used as
a useful tool for changing behaviour patterns”114.
As researchers note, “average people are imposed
the fear of not being “with us”... The number of
those “being with us” is growing like a snowball.
A group of people, which has recently been a
marginal sect of the opposition, rapidly acquires
a mass of followers and supporters”115. Herewith,
the process of discrediting and defamation of
the supporters of the integrity of the state goes
on, declaring them “the servants of the regime”.
A real psychological war takes place here.
Describing how the latter was carried out in the
late 1980s in the Baltic, the writer V. Petkevicius
noted: Stalinism in Lithuania was fought using
Beria methods116.
G. Sharp himself admits: “Sometimes
violence is inevitably limited. Anger and
hatred for the regime may cause an explosion.
Moreover, some groups may continue acts
of violence, recognizing the importance of
nonviolent struggle. In such cases, there is no
need to give up political disobedience, but it is
necessary to separate violent and nonviolent acts
as much as possible”117. The student of G. Sharp
A. Butkevicius expressly stated that he supported
“combined resistance”, which combined
nonviolent and armed components118.
If G. Sharp just slightly mentions
international assistance that could be provided
to the democratic movements in case of “strong
internal resistance” (thus the author supposes that
“countries abroad” are ready to help them, but
they have to prove their competency), R.L. Helvey
directly writes: international intervention can
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weaken the regime and accelerate the collapse
of the latter. However, a clear strategic plan is
required, the implementation of which will not
allow local authorities to use the “siege mentality”
to unite the citizens. The main role here is given
to propaganda aimed at undermining the sources
of power: it must be applied before the invasion
The outcome of the tense political struggle
is always predictable only in part. Not everything
is defi ned by resources, a lot depends on the will
and determination of the opposing parties. As
noted by G. Sharp, “the success of nonviolent
actions depends on a number of factors”. These
include “the amount and the proportion of noncooperating and resisting people, the courage
of the latter under the threat of repressions,
maintaining the nonviolent discipline, and
sometimes the pressure of the third parties. In
some situations it is also important how open
is the disobedience; rejection to cooperate
undermines the credibility and legitimacy
of the authorities, their eligibility to apply
sanctions and penalties. It is also extremely
important how active the existing or newly
emerging institutions of the society become in
the nonviolent struggle”120.
The strategists of nonviolent struggle
have high hopes for the phenomenon, they call
“political jiu-jitsu”. It is a special process, “which
can be carried out in the course of nonviolent
struggle, changing the balance of powers. The
negative reactions to violent repressions of the
nonviolently resisting citizens are politically
turned against the opponents, weakening
their positions of power and strengthening the
nonviolent resistance. This may work only when
violence meets nonviolent disobedience, and
not violence and rejection to fight”. In this case,
repressions of the opponents appear in the worst
light, boomeranging the public opinion against
them in the country and abroad121.
Frankness with which R.L. Helvey writes
about how the potential leaders of democratic
movements can find support abroad is quite
noteworthy. He recommends to hold negotiations
with foreign governments “in terms of common
interests”. As one of the arguments that can
convince these people to support the nonviolent
struggle, he names the promise to provide
airspace for military flights, to ensure cooperation
of intelligence services as soon as a favorable
investment climate is set, and , “perhaps even
provide space for the disposal of external forces, if
mutual interests would be violated”122. According
to the author, a convenient platform to announce
the requirements of “nonviolent movements” is
the hearings of the U.S. Congress123.
Since interaction with governments requires
special skills and capabilities, R.L. Helvey
also recommends to cooperate with nongovernmental organizations. At the same time,
however, it should be understood that the support
of nonviolent struggle is not “charity, where no
one expects return. Those receiving help should
consider the grant support provided as a contract.
The contract means that in return the recipient
must report to the donor about the number
of members, establishment of the system of
notification, courses, production and distribution
of printed materials or other indicators that are
important to achieve the objectives of the grant
... In the field of non-governmental organizations,
there are much more requests for support than
resources available”124.
In order to induce people to commit acts
irrational and destructive in their nature, “eversors”
can pass knowingly false information through the
mass media and the Internet, start panic rumors.
In some cases, the purpose of the latter may be
a “withdrawal” of psychological barriers to the
use of violence. Studies of ethnographers and
folklorists show that “the tradition only authorizes
violence that is performed in the interest and on
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the signal from the procreative sphere”125, i.e., for
the protection of women and children. It is logical
to assume that the most cynical manipulators will
distribute chilling news of violence against the
most vulnerable. Only few people may critically
evaluate such reports in the periods of high
emotional intensity.
In December 1989, the reporters of the
world media reported about the massacre, which
allegedly took place in the Romanian city of
Timisoara. They reported about thousands of
victims. The apotheosis was the message that
the Ceausescu cutthroats allegedly broke into
the maternity hospital and ripped the bellies
of the pregnant women open. The reports
had photos attached. After the power went to
the opposition, and the Ceausescu were shot,
it turned out that the women died during
childbirth, and the cuts appeared as the result
of dissection. Thus, a monstrous pretence was
organized with an understandable political
The incident in Timisoara was not the only
one of its kind. V.N. Shved refers to the testimony
of the citizens in the files of the case incited in
connection with the events at the Vilnius television
tower in January 1991. The citizens claimed to
have seen dead bodies lying on the ground before
the arrival of Soviet troops127. M. Collon gives
evidence of such manipulation in the course of
Yugoslavia events128.
Thinking about the “prospects” of such
manipulations, it should be noted that the
extremely favorable conditions for them are
created by the Internet network, especially by
social networks and blogging communities.
Sensational reports emanating from the alleged
“eyewitnesses” are distributed with extreme
ease. Of course, nothing contributes better to
the spread of false information and beginning of
panic rumors as the atmosphere of uncertainty
and mistrust of the population for the official
sources of information and the inefficiency of
state information policy129.
Speaking of the technology aimed at
destabilizing social and political situation, it is
important to mention the paradigm of modern
strategic studies known as the chaos theory.
As S. Mann points out, the latter is used for the
study of dynamical systems, which include a
variety of components –chaotic at the first glance,
but easily organized by insignificant but verified
effects130. It should be noted that the issues of
the system behaviour under turbulent conditions
and the emergence of order out of chaos have
long attracted the attention of researchers. It was
J. Schumpeter who said that “creative destruction”
was often necessary to move forward131. However,
the concept of S. Mann mainly deals with the
instrumental use of the technology of chaos
to undermine unfriendly regimes. One of the
key concepts of his theory is “self-organized
criticality”, i.e. the situation when even minor
events can trigger a chain reaction that leads to
a disaster132.
A. Toffler writes, “when the environment
becomes too tumultuous, the systems cease to
be linear, thus providing ample opportunities
for small groups ... A chance, help from outside
and the snowball effect (created with the active
participation of the media –Author’s note): these
are the factors that help to explain why throughout
the history of mass democracy, extremist
cults, revolutionary cliques and underground
organizations ascended during the tumultuous
confusion, why a previously insignificant small
group may suddenly become decisive”133. An
even more favorable situation for the radicals is
formed in the conditions of “mosaic democracy”,
with no unified majority134.
G. Sharp offers certain steps for transition
after the overthrow of the dictatorship to stable
functioning democracy135, R.L. Helvey advises
not to let criticism of the current government
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flow in the anarchist direction, not to abuse the
incitement of such strong emotions as hatred and
prejudice. Though he mentions that if the latter
“are on the surface, they should be directed against
the system, which gives rise to tyranny and not
against the groups that benefit from it. And by
limiting the concept of “enemy” to one person or a
group at the height of power, destructive passions
will contribute to death, exile or imprisonment of
the leader”136.
Despite all good intentions, in practice, the
victory of nonviolent revolutions often plunges
the country where it occurred into chaos. As the
Russian-Ukrainian team of researchers notes,
“assuming the conquest of power by the crowd,
which relies on external support, the country is
trapped. After all, the crowd, as opposed to the
elite set up during the revolution, is dissipated,
and the power gets directly related to the
hegemon, which has supported it137. Assessing
the events of the Arab Spring, the analysts of
the international fund Experimental Creative
Center came to the conclusion that “the general
plan, under which these “revolutions” have
been initiated is the dismantling of Modernity.
Or, in other words, the globalization of nondevelopment”138.
After describing the technology of
strategic nonviolent struggle, it is logical to
give characteristics to its essence, i.e. the “inner
content of the subject, which is expressed in
the unity of diverse and contradictory forms of
its existence”139. In connection herewith, it is
relevant to recall that social philosophy identifies
three types of the integrity of the state: structural,
functional, and genetic. The first one is defined
by a unified structure of relations between the
elements or parts of a whole, the second one,
by correlation of various functions performed
by various elements of the system and the third
one, by the presence of a generating element or
Application of the analyzed technology
impacts, first of all, the functional aspect of the
integrity of the state. If the “rules of the game”
traditionally adopted in the latter prescribe to
treat the police or civil servants only as “screws”
of the state apparatus that performs certain
responsibilities, then G. Sharp and R.L. Helvey
offer to engage these people into the network of
public relations organized for the benefit of the
opposition. Formally retaining their positions,
the officials actually become the elements of the
socio-cultural system.
An important place is given also to
undermining of the genetic integrity of the
state, which, as pointed out by B.S. Ebzeev
and his co-authors, is a traditional priority for
our country141. According to the fair remark of
V.A. Lisichkin, “the historical past of the people
is the basis of an integrated community”. There
is a number of the humanitarian technologies
aimed at the destruction of this foundation.
Among them the substitution of the present
problems by the references to the biasedly
interpreted historical facts, projection of modern
conflicts on the wars of the past (to characterize
this method the expression «wars of memory”
is used) and purposeful “debunking” of heroes
and famous people, the pride of the nation.
To occupy the places of the latter alternative
figures may be nominated, but the practice of
total defamation of the nation’s history is also
known142. A. Tsuladze states, “as a result of
“exposure” of the old myths Russia remained
without history. There is a set of different myths
about Russia’s past, from the left to the right,
but there is no national, i.e. generally accepted
myth”143. As a result, as V. Polosin correctly
observes, “along with the history the outlines
of the whole mythological historical space of
the nation are lost, and the historical events
become a chain of random facts pertaining not
to one, but different historical subjects... The
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people is like a child looking for his/her mother
and father in the crowd, whose faces he/she has
never seen”144. In the European mass media it
has been repeatedly announced that the result of
the Ukrainian orange revolution was to be the
emergence of the government with a new, not
the post-Soviet source of legitimacy. They also
discussed the birth of the “new nation”145.
From the destruction of functional and
genetic integrity there is a direct way to undermine
the structural integrity of the state, the most
important component of which is the territorial
integrity146. If the system of the state turned
into a simple set of people formally occupying
certain positions, and actually acting in anti1
state interests, if historical ideas motivating
self-sacrifice are destroyed, it is not difficult to
eliminate the integrity of the territory, which is
an inherent feature of the state147.
Based on the above, we can conclude
that strategic nonviolent struggle is a complex
humanitarian technology aimed at ensuring
the change of state power by weakening the
structural, functional and genetic integrity of
the state mainly by conviction and psychological
manipulations. A complete answer to this
challenge includes not only opposition to
destructive entities, but also strengthening
of the integrity of the state by uniting three
abovementioned types of the latter.
Cited by P. Schweizer. The Secret Strategy that Hastened the Collapse of the Soviet Union / Peter Schweizer; [trans. from
Polish by L. Philimonova] –Moscow: Eksmo: Algoritm, 2010, P. 27.
In his other work, the author of this article offers a terminology system according to which “Technology is a system of
methods of some kind of activity aimed to achieve a certain result more efficiently. The technologies aimed to produce a
target effect on social structures and social processes are called social. The humanitarian technologies are interpreted as
a type of social technologies based on predominating use of soft methods such as persuasion and psychological manipulation instead of enforcement, orders or rewards”. Klachkov P.V. Ponyatie gumanitarnykh tekhnologii v sisteme sotsialnofilosofskikh kategorii [The Concept of the Humanitarian Technologies in the System of Social and Philosophical Categories] // Sovremennye problemy nauki i obrazovaniya [Modern Problems of Science and Education]– 2012. –No. 3; available
at: (date of submission: 19.06.2012).
Sharp G. Gandhi as a Political Strategist. –Boston: Extending Horizons Books: Porter Sargent Publishers, 1979.
Cit. by: Helvey R.L. Op. cit. P. 96.
See: Helvey R.L. Op. cit. P. 87-88.
See: Gorev A.V. Op. cit. P. 106.
Ibid. P. 158.
Cit. by: Ibid. P. 36.
Ibid. P. 189.
Ibid. P. 202.
Ibid. P. 196.
Sukharev A. Mir bez nasiliya Makhatmy Gandi [The World Without Violence of Mahatma Gandhi] // available at http://
Cited by: Gorev A.V. Op. cit. P. 325.
As A.I. Fet notes that appearance of modern capitalism was connected with the coincidence of three historical facts in
time. Along with the technical progress there was an excess of poor people in European countries and the demand for
industrial goods from the metropoly in colonies. See: Fet A.I. Instinkt i sotsial’noe povedenie [Instinct and Social Behaviour] –Novosibirsk: Publishing House “Sova”, 2005. –P. 361. Therefore, rejection to buy British goods stroke one of the
supports of the colonial capitalist system.
Cited by: Gorev A.V. Op. cit. P. 115.
See: Gorev A.V. Op. cit. PP. 163, 308.
Ibid. Pp. 158-159.
As M.K. Gandhi argued himself, “I want the wind of the cultures of different countries to blow free in front of my house.
But I don’t want it to knock me down. Cited by: Gorev A.V. Specified Works. P. 113.
See: Rakesh Raman Jha. Sociology of Peace and Nonviolence. –New Delhi: Northern book centre, 2003. –P. 6 // http:// . In Chechnya there is a stable point of view that the formation of L.V. Tolstoy’s theory of non-violence was influenced by the views
of the Sufi sheikh K.-Kh. –ishiev. See: Delimkhanov A. Kunta-Khadzhi Kishiev byl velikim gumanistom i religioznym
deyatelem [Kunta-Hadji Kishiev Was a Great Humanist and Religious Figure]// available at
See: Gorev A.V. Op. cit. P. 142.
See: Gorev A.V. Op. cit. P. 74.
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See: Gorev A.V. Op. cit. P. 7.
See: Sharp G. Gandhi as a Political Strategist. P. 280.
See: Ibid. P. 275, passim.
Cit. by: Ibid. P. 279.
Helvey R.L. Op. cit. P. 12.
See: Khrustalev M.A. Metodologiya prikladnogo politicheskogo analiza:uchebnoe posobie [Methodology of Applied
Political Analysis: Course Materials] –Moscow: Prospekt, 2011. –pp. 11-12. N. Chomsky outlines the support of a number
of violent and corrupted dictators by the United States: Mobutu, Trujillo, Somoza, Marcos, Duvalier, Suharto, etc. See:
Chomsky N. Deterring Democracy. –NY: Hill and Wang. A division of Farrar, Straus and Giroux, 1992. –P. 14.
Meisan T. Institut Alberta Einshteina: otkaz ot primeneniya nasil’stvennykh metodov v versii TSRU [The Institute of
Albert Einstein: Rejection to Use Violent Methods in the CIA] //
Of course, the famous physicist who died in 1955 did not participate in the development of the technologies of G. Sharp.
Nevertheless, the latter used his text as a foreword to his fi rst book published in 1960. See Ibid. Herewith, it should be
mentioned that A. Einstein treated Mahatma Gandhi with great respect. See: Gorev A.V. Op.cit. P. 226.
See: Sharp G. Ot diktatury k demokratii:strategiya i taktika osvobozhdeniya [From Dictatorship to Democracy: Strategy
and Tactics of Liberation] / Translated from English by N. Kozlovaskaya –Moscow: Novoe Izdatel’stvo, 2005. –P. 8. See
also: Shved V.N. Kak razvalit’ Rossiyu? Litovskii variant [How to Ruin Russia? The Lithuanian Version] / Vladislav Shved. –Moscow: Algoritm, 2012. –Pp. . 215-230.
See: Sharp G. Waging Nonviolent Struggle. 20th Century Practice and 21st Century Potential / By Gene Sharp with the
collaboration of Joshua Poulson and the assistance of Cristopher A. Miller and Hardy Merriman. –Boston: Extending
Horizons Books: Porter Sargent Publishers, Inc, 2005. P. 280.
See: Kuttner R. Gandhi in East Boston // The American Prospect. –2011. –February 17. –
From the note at the website of the Centre. Cited by: Kara-Murza S.G. Oranzhevaya mina [The Orange Mine] P. 30.
See: Sharp G. Ot diktatury k demokratii:strategiya i taktika osvobozhdeniya [From Dictatorship to Democracy: Strategy
and Tactics of Liberation] / Translated from English by N. Kozlovaskaya –Moscow: Novoe Izdatel’stvo, 2005. –P.10.
Sharp G. Nenasil’stvennaya bor’ba: luchshee sredstvo resheniya ostrykh politicheskikh i etnicheskikh konfliktov? [Nonviolent Struggle: the Best Way to Solve Acute Political and Ethnic Conflicts?]// Filosofskie nauki [Philosophic Sciences] –1990. –No.11. –P. 83.
Ibid. P. 81.
Sharp G. From Dictatorship to Democracy. P. 21-22.
See: Gorev A.V. Op.cit. P. 150.
Ibid. Pp. 219-221.
Ibid. Pp. 302.
Helvey R.L. Op. cit. P. xi.
Ibid. P. 89.
Sharp G. From Dictatorship to Democracy. P. 16.
Ibid. Pp. 27-28.
Moreover, G. Sharp warns about the temptation to deviate from strategic plans by concentrating on insignificant problems
and giving way to spontaneous emotions. See: Sharp G. From Dictatorship to Democracy. P. 58.
Helvey R.L. Op. cit. P. 137.
Ibid. P. 50.
Ibid. P. 49.
Ibid. P. 53.
Cited by: Iliin V.V., Panarin A.S. Op.cit. P. 13.
Sharp G. Op.cit. P. 54.
Ibid. P. 38.
Cited by: Mamut L.S. Op. cit. P. 135.
Sharp G. From Dictatorship to Democracy. P. 67.
Ibid. P. 68.
Sharp G. Op.cit. P. 60.
Ibid. P. 31.
Ibid. P. 32.
Toffler E. Op.cit. P. 281.
See: Shved V.N. Op.cit. P. 81.
See: Sharp G. Op.cit. P. 50.
Kholmogorov E.S. Problema 2005 // Spetsnaz Rossii [Problem 2005 // Special Forces of Russia] –2005. –No. 1 (100).
Toffler E. Metamorfozy vlasti: Znanie, bogatstvo i sila na poroge XXI veka [Metamorphoses of the Power: Knowledge,
Wealth and Power on the Brink of the 21st Century] (translated from English) / Elvin Toffler –Moscow: AST: AST MOSKVA, 2009. –P. 576.
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Ibid. P. 18.
Iliin V.V., Panarin A.S. Op. cit. P. 18.
Helvey R.L. Op. cit. P. 50.
Ibid. P. 137.
Ibid. P. 122.
Ibid. P. 72.
Ibid. P. 121.
Ibid. P. 120.
Ibid. P. 138.
Cited by: Shved V.N. Op. cit. P. 222.
See: Zhiveynov N.I. Op.cit. P. 23.
Cit. by: Ibid. P. 78.
See: Ibid. P. 128-132.
Cited by: Iz istorii psikhologicheskoi voiny // Problemy voennoi psikhologii: Khrestomatiya [From the History of Psychological War // Problems of War Psychology: Reader’s Book] / Selchenok K.V.; general edit. Taras A.E. –Mn: Kharvest,
2003, P. 383.
See: Nye J.S., Jr. The Future of Power. P. 104.
See: Tsuladze A. Op.cit. P. 262.
Helvey R.L. Op. cit. P. 34.
See: Ibid. P. 10.
See: Ibid. P. 11-12.
See: Kara-Murza S.G. The Orange Mine.
Helvey R.L. Op. cit. P. 74.
Cited by: Kara-Murza S.G. The Orange Mine.P. 182.
Helvey R.L. Op. cit. P. 60.
Ibid. P. 104-105.
Ibid. P. 106.
Cited by: Jover V. Tvortsy revolyutsii [Creators of Revolutions] available at:
php/2011122015868/stat-i/nit-vremeni/2011-12-17-16-40-38.html It is noteworthy, that R.L. Helvey in his work published
a little earlier, wrote about the use of white bandages by demonstrators for the same purposes. See: Helvey R.L. Op. cit. P.
105. One can ascertain that the technologies of nonviolent struggle continuously develop.
A.E. Gapich and D.A. Lushnikov are of the same opinion. They note that for the opposition “the regime demonstrating the
absence of internal unity and weakness and not capable of making repressions” is optimal. Nevertheless, unconformity of
positions of its representative and spontaneous actions of the juniors lead to local demonstration of power, which causes its
delegitimization in the eyes of the society. What can be better for the opposition if in the course of a local uncoordinated
act of violence the “revolution heroes” appear.” Gapich A.E., Lushnikov D.A. Op. cit. P. 57.
Nye J. determines the leaders as the people who “help the group to create and achieve the aims they share”. (Nye, J.S. Jr.
The Powers to Lead. –NY: Oxford University Press, 2008. –P. 9). In his opinion, leadership is “a power to direct and mobilize others [to achieve] some purpose” (Ibid. P. 19). The demand for leaders is explained by the fact, that “for the human
group they fulfill the function of creating meaning and aims, strengthening the group identity and unity, maintaining order
and mobilizing collective work” (Ibid. P. 19-20).
See: Helvey R.L. Op. cit. P. 107-115.
Ibid. P. 16-17.
The Patriarch Kirill Will Not Respond to the Open Letter of Berezovsky // available at
See: Maksimenko S., Smirnov A. Pussy Riot: Protracted Performance // available at
See: Ibid.
See: Zhiveynov N.I. Op. cit. P. 150.
Helvey R.L. Op. cit. P. 93.
Ibid. P. 137.
See: Ibid. P. 15.
Helvey R.L. Op. cit. P. 17.
See: Engdal U.F. Stoletie voiny. Anglo-amerikanskaya neftyanaya politika i Novyi Mirovoi Poryadok [The Centenary of
the War. English-American Oil Policy and New World Order] // available at:
See: Sorokin N. “Eksport revolutsii v sovremennom mire. Istoricheskie paralleli, tekhnologii I mery protivodeistviya
[“Export” of Revolution in the Modern World. Historical Parallels, Technologies and Counter-Measures] // available at:
As Nye J. writes, “Internet provides easier organization of the protests by free amorphous groups, than by hierarchical
organizations. In the era of Vietnam planning of a protest required weeks and months of pamphlets, posters and telephone
calls and took four years until the number of protesting people grew from 25,000 to one million in 1969. Unlike 800 thou-
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sand people in the U.S. and 1.5 million people in Europe cooperated during one weekend in February 2003”. Nye, J.S., Jr.
Soft Power. The Means to Success in World Politics. P. 28.
See: Shved V.N. Op. cit. P. 154.
See: Ibid. P. 202-203.
Ibid. P. 21.
Kara-Murza S.G. The Orange Mine. P. 140.
See: Shved V.N. Op. cit. P. 92.
Sharp G. From Dictatorship to Democracy. P. 36.
See: Shved V.N. Op. cit. P. 229.
See: Helvey R.L. Op. cit. P. 40.
Sharp G. Nonviolent Struggle: the Best Way to Solve Acute Political and Ethnic Conflicts? // P. 81.
Sharp G. There Are Realistic Alternatives. P. 36.
Helvey R.L. Op. cit. P. 125-126.
Ibid. P. 126.
Ibid. P. 128.
Dym A. [] –Moscow: Kislorod, 2008. –P. 25.
Verbin A. The Code of Honour of Liars // available at:
See: Shved V.N. Op.cit. Pp. 157, 163.
See: Kollon M. Neft’, PR, voina. Global’nyi kontrol’ nad resursami planety. [Oil, PR, War. Global Control Over the Planet
Resources]. Moscow: Krymsky most-9D, 2002. –Pp. 53-79. Here is an eloquent statement of E.P. Puchol, the chief of the
Spanish group of forensic pathologists having worked in Kosovo: “We were told to be ready to make 2,000 dissections and
work till the end of November. We found only 187 bodies buried in individual graves, mainly located in the direction to
Mekka, which confi rms observance of religious standards. We did not fi nd any signs of torture on the bodies of the buried,
80% died naturally”. Cited by: Ibid. P. 69-70.
For more details about eversor’s technologies of managing rumours see: Gapich A.E., Lushnikov D.A. Op. cit. Pp. 126130.
See: Mann, Steven R. Chaos Theory and Strategic Thought // Parameters. Autumn 1992. –P. 58.
See: Toffler E. Op. cit. P. 109.
See: Mann S. Op. cit. P. 60. See also: Arshin K. Adventures of the Theory of “Managed Chaos” // available at http://www.
See: Toffler E. Op. cit. Pp. 302-303.
See: Ibid. P. 303.
See Sharp G. From Dictatorship to Democracy. P. 69-70.
Helvey R.L. Op. cit. P. 85.
Kara-Murza S.G. Op. cit. P. 129.
Politicheskoe tsunami. Analitika sobytii v Severnoi Afrike i na Blizhnem Vostoke [Political Tsunami. Analysis of Events in
the Northern Africa and the Middle East] / Edit. Kurginyan S.E. –Moscow: MOF ETS, 2011. –P. 272.
Philosophy Encyclopedic Dictionary. P. 665.
See: Ebzeev B.S. Op. cit. Pp. 35-36. According to Goethe the truly integrated is only what comes from the common forming principle and can be thought of as born from it. See: Vasilenko I.A. Politicheskaya filosofiya [Political Philosophy]
Course Materials –2nd edition, revised –Moscow: INFRA-M, 2009. –P. 281.
See: Ebzeev B.S. Op. cit. P. 57.
See: Lisichkin V.A. Printsip virusa v psikhologicheskoi voine // Problemy voennoi psikhologii: Khrestomatiya [The Principle of Virus in the Psychological War // Problems of War Psychology: Reader’s Book] Selchenok K.V.; general edit. Taras
A.E. –Mn: Kharvest, 2003, Pp. 441-443.
Tsuladze A. Op. cit. P. 287.
Cited by: Ibid.
See: Kara-Murza S.G. The Orange Mine. P. 152.
See: Ebzeev B.S. Op. cit. Pp.36-37.
See: Emtsov G.N. Op. cit. P. 23.
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Pavel V. Klachkov. Humanitarian Technology: Strategic Nonviolent Struggle
Гуманитарная технология
«стратегического ненасильственного
сопротивления» (strategic nonviolent struggle)
П.В. Клачков
Экспертно-аналитическое управление
Губернатора Красноярского края
Россия 660009, Красноярск, пр. Мира, 110
Автор рассматривает «стратегическое ненасильственное сопротивление» как комплексную
гуманитарную технологию, направленную на обеспечение смены государственной власти
путем ослабления структурной, функциональной и генетической целостности государства
посредством, главным образом, убеждения и психологических манипуляций. Исследователь
приходит к выводу, что полноценный ответ на этот вызов включает не только противодействие
деструктивным субъектам, но и укрепление целостности государства в единстве трех
названных выше типов последней.
Ключевые слова: гуманитарные технологии, «мягкая сила», стратегическое ненасильственное
сопротивление, «цветные революции».
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Journal of Siberian Federal University. Humanities & Social Sciences 10 (2013 6) 1544-1552
УДК 332.13
Is the Coexistence of Indigenous People
with Resource Extraction Companies
in the Arctic Zone possible?
Anton I. Pyzhev*,
Yulia I. Pyzheva and Evgeniya V. Zander
Siberian Federal University
79 Svobodny, Krasnoyarsk, 660041 Russia
Received 25.06.2013, received in revised form 12.09.2013, accepted 03.10.2013
We study the history and the current state of relationship between small-numbered indigenous people
living in the Arctic Zone and the resource extraction companies with respect to the common land
areas. The experience of the USA, Canada, Nordic Countries and the Russian North is considered.
Our analysis shows that the large-scale industrial development of the Arctic Zone have drastically
affected social, economic and ecological environment of indigenous people. The behavior of local
governments towards protection of indigenous peoples’ rights differs depending on the lobbying force
of resource extraction companies. If the establishment of native indigenous peoples titles doesn’t
threaten the interests of nature management companies, the governments are trying to strictly maintain
a fair institutional framework of interaction with the indigenous communities. Otherwise, the nature
managers do what they want and the government follows their needs.
Keywords:indigenous people, Arctic Zone, resource extraction companies, traditional livelihood,
nature management.
The publication was prepared within the framework of the project no. 13-12-24007 supported by the
Russian Foundation for Humanities and Krasnoyarsk Krai Foundation for Support of Scientific and
Technical Activity.
As natural resources situated in the most
advantageous climatic conditions are developed,
the civilization has to look for new livelihood
for its industry far away from the places where
the major part of the Earth population lives. At
the end of the 19th century Europe has faced the
problem of depletion of the main kinds of natural
resources. Nowadays the economy of European
countries requires much more fuel and energy
resources than it could produce itself. The United
States of America import the same amount of the
petrol as it produces inside the country. The lack
of resources in the locations of major economic
activity leads the mankind to look for new
resources in the hard-to-reach areas with quite a
severe climate conditions. Only small-numbered
communities of the indigenous people populated
these areas: hunting and fishery. Nowadays
the interests of the indigenous people and the
© Siberian Federal University. All rights reserved
Corresponding author E-mail address:
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Anton I. Pyzhev, Yulia I. Pyzheva… Is the Coexistence of Indigenous People with Resource Extraction Companies…
transnational economic machine are intersected,
therefore the modern society should answer
the question: how to harmonize the existence
of natural resource management and small
settlement of the people who hunt and fish since
many centuries and don’t want to be assimilated
into civilized world?
The same issue arises in different countries
throughout the world. In the past decades this
problem became important in Russia, since
the extensive use of its North has been started
after discovering of the rich deposits of oil, gas
and non-ferrous metals (Kryukov, Tokarev,
2005; Karakin, Buldakova, 2010). However, the
literature studying this issue in Russia is not
as comprehensive and the local policy-makers
usually suffer from lack of understanding
of how to manage the interaction between
indigenous people and resource extraction
companies. We hold that the fi rst step of filling
this gap is to give the overview of international
best practices in this area. So, we put the main
focus of our study on the literature review on
managing the relationship between indigenous
people and resource extraction companies in the
Arctic area. Our main aim is to give an answer
to the question stated in the title of the paper:
is it possible to establish a good-neighborly
relationship between indigenous people living
their traditional lifestyle and the big federal
companies holding the resource extraction
activity on the same territories?
1. American Indians
and Alaska Natives
Indigenous peoples reside on all the
continents of the Earth. In absolute terms the
largest population of indigenous peoples, about
4.1 mln people, live in the United States of
America (Cooke et al., 2007).
It is a common knowledge that the first
Europeans came to the territory of the modern
United States of America in 1492. Since that time
one could start the chronicle of the relationship
between indigenous people of the North America
(American Indians) and European colonizers.
A comprehensive review revealing the history of
their relationshiphas been made by H. R. Isakson
and Sproles S. A. (2008).
According to the archeological and
anthropological studies, indigenous Americans
had private ownership of goods before Columbus,
but land was in common use: the density of
population was low, therefore land was not a
limited resource. Undoubtedly, periodically the
land conflicts between different tribes occurred,
but this was not sufficient to cover the transactional
costs of creating the system of private ownership
on land, in contrast to Europe, where all the free
land areas were already occupied by that moment
(Ibid, p. 66).
First conflicts involving the issues of land
distribution between indigenous people and
European colonizers were solved amicably. First,
the Indians held the negotiations with French,
English and Spanish governments through their
representatives. The results of such negotiations
were mostly oral agreements. After the Unites
States of America have been established, at least
332 written agreements have been concluded.
All the contradictions which were beyond the
statements of theses agreements, solved amicably
by concluding extra agreements, because both
parties had no exact information about the military
power of each other. In such conditions, it was
reasonable to maintain good-neighborly relations
and trade: the Europeans offered the production
of their highly developed civilization, and the
Indians could sell their furs and food. As the
American continent was colonized, the Europeans
have figured out that they excel indigenous people
both in number and technological level, so they
could win almost all the military battles and get
all the resources with the brutal force. Therefore,
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the written agreements between indigenous
people and colonizers have become useless (Ibid,
p. 68).
Under pressure of necessity to seize the
lands of indigenous people, the Unites States
have introduced The General Allotment Act of
1887 also known as The Dawes Act. This law
gave to the President the right to allot the lands
owned by Indians in exchange for other smaller
plots of land and the citizenship of the USA.
Actually, this policy has created well-known
reservations for Indians. The consequences of
passing the Dawes Act were that the overall
area of the Indians’ land has decreased from
147 million acresin 1887 to 55 million acres in
1934. This was the most considerable change
of the state of indigenous Americans on their
native land, because although the laws passed
in 20th century formally stopped the process of
land allotment, they did not concern the already
reallocated areas (Ibid, p. 70–72).
The result of the policy described above was
that the Indians were resettled into reservations,
remote territories far away from the civilization,
which are not appropriate for the traditional
economics of the indigenous people. As one or
another land area became the point of interest for
some resource extraction company, or the casino
investor, this area was seized from indigenous
people and they were resettled to another
area. Despite this practice has been cancelled,
nowadays most of the Indians live poorly and
can’t maintain their traditional lifestyle. In fact,
the indigenous people of the USA are deprived
of their rights on the land that historically was
their ownership according to the fi rst settler’s
By some assessment, the Native people
live on Alaska since 10,000 years (Kraus,
Buffler, 1979). Their history of contact with
non-Native people differs from that of American
Indians. Alaska Natives have never been lived
on reservations, but instead have continued to
occupy their traditional lands. However, they did
not manage to keep their traditional lifestyle: in
the last 100 years the Natives have moved from
a full-time subsistence hunting and fishing mode
of life to part-time participation in the wage
economy (Ibid, pp. 112–113).
The active phase of interaction between
Alaska Natives and the United States of
America has started in 1960s when the plan of
creating a harbor between Kivalina and Point
Hope by exploding an atomic bomb has been
developed (O’Neill, 1994). This plan had not
been implemented, but the menace of survival
forced indigenous people to express their public
claim for protection of their rights. Then some
oil deposits have been discovered on Alaska,
and the oil companies started the construction of
Trans-Alaska Pipeline that caused a disturbance
to the traditional livelihood of the indigenous
people living nearby (Flanders, 1998). The
indigenous people claims movement leaded
the U. S. Congress to pass the Alaska Native
Claims Settlement Act (Public Law 93-203 or
The land under the Act were allotted to
the for-profit corporations of which Alaska
Natives would be shareholders (Arnold et al.,
1978). The shares could be sold to anyone after
1991. According to the Act, 44 million acres of
the indigenous peoples’ landwere passed to the
corporations in exchange for 962.5 million U. S.
dollars. Actually, this was a unique experience
of creating a kind of a joint-stock company
involving the land and subsoil resources as a
capital. Thus, the indigenous people became
the owners of a very attractive investment.
However, it is obvious that all these effortsand
compromises cannot change the main idea
of the process expressedby Don Foote, a
demographer: “no industrial development
could replacehunting and fishing as the basic
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component of the village economies” (Flanders,
2. First Nations of Canada
The Constitution of Canada officially
recognizes and guarantees the special rights
for the representatives of the three ethnos of
indigenous people: Indians, Inuits and Métis.
The group of Indians tribes is usually called First
Nations.According to the Constitution, different
groups of small-numbered indigenous people of
Canada have different kinds of rights (Booth,
Skelton, 2010).
The rights of the Canadian indigenous
people are being extensively violated. Despite the
accumulated court practice including the suits of
indigenous people representative against Canada,
its province British Columbia and industrial
companies, the maintenance of indigenous
people rights still remains formal: the court
recognize the rights of indigenous communities
on their land and traditional economic activity,
but doesn’t hinder from intensive industrial
development of the involved area. The business
profits by “reticence” of the indigenous people
and, of course, their low level of social and
economic development that doesn’t allow them to
efficiently right themselves (Ibid).
Section 35 of the Canadian Constitution
guarantees the right on hunting, fishing and
gathering on their areas of traditional livelihood
(Booth, Skelton, 2011). There is also a more
important document that regulates the relationship
between the government and indigenous people,
the so-called Treaty 8, made on June 21 1899
between the British Crown and the representatives
of some First Nations. Under this treaty, the
Crown provided the maintenance of the rights
to hold the same mode of life, as it would be if
they never accepted this agreement to the West
Moberly First Nations and the Halfway First
Nations. The results of a survey showed that the
representatives of the indigenous people are very
worried about observance of their rights. They
think that Treaty 8 is not being accomplished by
the government (Booth, Skelton, 2011, p. 691).
Moreover, the representatives mention that the
federal authorities are keeping from solving
of their problems passing this function on the
regional level (Ibid).
Despite the problem of their rights’
maintenance on traditional livelihood, the
indigenous people are also worried about the
increasing impact of industrial development on
the surrounding environment. It is important
to mention that this issue has different aspects:
ecological, economic and social. From the
ecological point-of-view, extermination of the
specific species of plants and animals causes
damage to the sustainable development of the
whole ecosystem: disturbance of food chains,
reduction of the biodiversity etc. Economic
damage lies in deprivation of the natural source
of trade with non-aboriginal population. Social
damage includes the devastation of the traditional
culture of indigenous people.
The representatives of indigenous people
point fish, caribou, bear as the most influenced
species. Despite in 2010 the West Moberly First
Nations were successful in action against the
government of British Columbia concerning the
protection of a Burnt Pine caribou nerd being
destroyed by a coal-mining company, this decision
was almost ignored in practice. If the caribou is
depopulated, the indigenous people are forced to
eat the meat of a moose that is much less valuable
food. By the assessment of indigenous people,
such a substitution will lead to the decreasing of
their life span.
However, despite such a large list of
problems, the representatives of the Canadian
First Nations consider the land under Treaty
8 to be not fully deteriorated by the industrial
development. If the government will listen to
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the attitude of the indigenous people and will
start the optimization of their interaction, than
it would be possible to achieve the maintenance
of interests of all the participants of this process.
Meanwhile, since 1970s, when the problem of
Treaty 8 became the important part of current
agenda, the representatives of indigenous people
don’t see any significant changes in the behavior
of the government and business towards the
maintenance of the indigenous people rights
(Ibid, p. 697). According to the indigenous
people, their oppressed state is caused by the
economic disability and the fact that the nonaboriginal population of Canada practicing
traditional values of the post-industrial Western
society doesn’t understand and accept the culture
and lifestyle of the small-numbered indigenous
people (Ibid).
So, by the example of Canada we see that the
formal establishment of a legislation regulating
the issues of protecting the rights of indigenous
people did not guaranteed its maintenance in
3. Nordic countries
The indigenous people of Nordic countries
(Norway, Sweden and Finland) are presented
by the Sami. Their total population is estimated
as 60,000 people, 2,000 of them live in Russia.
Historically, thenomadic Sami lived on their
native territory called the Sampi, which is
located within the modern borders of Norway,
Sweden and Finland. These borders were
simply ignored by the Sami until 1852, when
the legislation of the Scandinavian countries
have prohibited free migration of the people and
reindeer through the legally established borders.
The settled Sami have being assimilated into
the continental culture through the system of
mandatory school and religious education and
the program of support for their agriculture
(Sandberg, 2006).
In contrast to other Arctic countries, the
indigenous people of Scandinavia have their
own parliaments that are the integrated part of
national parliaments (Niemczak, Jutras, 2008).
The rules of their functioning differ from one
country to another, but this fact underlines that
the indigenous people of Nordic countries are
well acknowledged by the government.
In 1997 the government of Norway has
passed the Finnmark Act stating that the land
of historical livelihood of indigenous people
should belong to them. According to the Act, the
Sami became the owners of 45,000 sq. meters in
Finnmark region (Riseth, 2007).The Sami have
exclusive title to deer farming, but the rights for
hunting and fishing are shared with any person
who pays a fee (Sandberg, 2006). In our opinion,
such a generous behavior of the government may
be explained with a fact that the presence of the
Sami on the Norwegian North doesn’t pose a
threat to some resource extraction companies.
In such cases, the governments usually prefer to
maintain social interests of the communities.
The Sweden Act on deer farming states that
a title to hold deer farming exclusively belongs
to the Sami indigenous people (Josefsen,
2003). However, the land right is owned by the
government, as determined by the Supreme
court of Sweden in 1981. The Sami rights on
their native land are restricted to the usage only
Finland is the less advanced Scandinavian
countrywith respect to indigenous people
rights. Due to the powerful lobbying of forest
sector companies, three major tryouts to pass
the laws protecting the rights of indigenous
people on their land in 1952, 1973, 1990 have
failed (Lawrence and Raitio, 2006). Since that
the Sami of Finland still have no either special
rights on deer farming, or a title to their native
land. The experience of Finland shows that when
indigenous people constitute a real menace to
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Anton I. Pyzhev, Yulia I. Pyzheva… Is the Coexistence of Indigenous People with Resource Extraction Companies…
some nature management company, they usually
4. The Russian North
The indigenous people of Russia are
officially titled as the Indigenous smallnumbered peoples of the North, Siberia and Far
East. This community counts around 50,000
members and comprises 45 indigenous peoples
according to the official register (Kryukov,
Tokarev, 2005). The biological and physical
features of the Russian North and Arctic
Alaska are quite similar, but the history and the
current state of relationship between resource
extraction companies and indigenous people
are different.
The rights of indigenous people are formally
protected by the Constitution of the Russian
Federation (Art. 69, 72). Unfortunately, the
practical implementation of these statements is
embarrassed due to many reasons.
The chronology of large-scale intervention of
the oil and gas industry to the North of Russia is
the same as it was in the USA: it started in 1970s,
when the large stocks of hydrocarbon resources
have been discovered mostly in Western Siberia.
In contrast to the USA and Canada, there are
no examples of the written agreements between
resource extraction companies and indigenous
community concerning a common land use and
keeping the traditional livelihood. Since the
economy of Russia is highly depending on the
oil and gas incomes (Gaddy, Ickes, 2005), the
ignoring of the indigenous peoples’ interests
may be treated asa reverse side of the country’s
economic policy.
It is also important to mention that the
management of such issues is the responsibility of
political decision-makers and corporate industrial
chiefs residing in distant lands, so they are not
interested in social and economic development
of the native population (Chance, Andreeva,
1995). They only need to extract as more natural
resource from these lands as they could get and
pay the minimal costs for that.
The consequences of this policy may be
illustrated with the results of a survey of living
conditions in the Arctic (SLiCA) held in 2009
both in Chukotka Autonomous Okrug of Russia
and three sub-regions of Alaska pointing out
that livelihood systems in Chukotka have a
substantially lower level of sustainability than
in Northwest Alaska due to high prevalence of
vulnerable households (West, 2010). Due to
financial difficulties, the authors of the cited
paper haven’t managed to hold the survey on other
Northern territories of Russia, but it is possible
to suppose that the situation would be similar in
As a result, we could say that the state of the
small-numbered indigenous peoples in Russia is
much poorer than in neighbor Alaska and other
countries of the Arctic Zone.
We considered various experience of solving
the contradictions between the industrial resource
extraction and keeping the traditional livelihood
of the native indigenous people in the northern
territories of Arctic Zone countries.
We found that the most harmonic
relationship between the aboriginal and nonaboriginal population could be found in Nordic
countries. The governments of Norway, Sweden
and Finland have established the local indigenous
parliaments (so-called Sami parliaments).
However, the rights of the indigenous people are
also restricted to the common usage of hunting
and fishing resources.
Both is the USA and Canada the government
formally acknowledges the rights of indigenous
people, but in practice roughly ignores their
interests, when there is a need to build just another
oil pipeline.
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The most suppressed indigenous people
could be found on the Russian North. The
indigenous people rights legislation is still in
embryo state due to the lobbying of the oil and
gas companies, which produces 50 % of Russian
budget’s incomes.
Our analysis shows that the behavior of local
governments towards protection of indigenous
peoples’ rights differs depending on the lobbying
force of resource extraction companies. If the
establishment of native indigenous peoples
titles doesn’t threaten the interests of nature
management companies, the governments are
trying to strictly maintain a fair institutional
framework of interaction with the indigenous
communities. Otherwise, the businessmen do
what they want and the government follows their
Finally, we point out that even though the
business and the government design effective
mechanisms of compensation of the damage they
produce to the indigenous people, it cannot help
keeping their traditional lifestyle, culture and
economic activities.
1. Arnold R. D., Archibald J., Bauman M., Davis N. Y., Frederick R. A., Gaskin P., Havelock
J. Holthaus G., McNeil C., Richards T., Jr., Rock. H., and Worl R. Alaska Native Land Claims (1978)
Alaska Native Foundation, Anchorage.
2. Karakin V. P., Buldakova V. G. Traditional nature resource management in the Russian Far
East [Traditsionnoye prirodopolzovaniye na Rossiyskom Dal’nem Vostoke] (2010) Russia and the
Pacific Rim, 3, pp. 102–115.
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Возможно ли сосуществование коренных
малочисленных народов
и компаний-недропользователей в Арктике?
А.И. Пыжев,
Ю.И. Пыжева, Е.В. Зандер
Сибирский федеральный университет
Россия 660041, Красноярск, пр-т Свободный, 79
Мы изучаем историю и текущее состояние отношений по поводу использования общих
территорий между коренными малочисленными народами Арктики и компаниями,
Скандинавских стран и Российского Севера.Анализ показывает, что масштабное освоение
Арктики радикально изменило социальное, экономическое и экологическое окружение
коренных народов. Поведение правительств по отношению к защите прав коренных
народов различается в зависимости от лоббистской силы компаний-недропользователей.
Если установление естественных прав коренных народов на их земли и традиционное
природопользование не угрожает интересам компаний, то правительства стремятся
утверждать законодательство, справедливое в отношении коренных народов. В противном
случае бизнес осуществляет свои проекты, а государство встает на их сторону.
Ключевые слова: коренные народы, Арктика, компаниия-недропользователь, традиционное
Публикация подготовлена в рамках поддержанного РГНФ и КГАУ «Красноярский краевой фонд
поддержки научной и научно-технической деятельности» научного проекта № 13-12-24007
«Разработка механизмов компенсации ущерба, наносимого компаниями-недропользователями
коренным малочисленным народам Красноярского края».
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