2019 1 Anale

Analele UniversităŃii din Craiova. Istorie, Anul XXIV, Nr.
1(35)/2019
CONTENTS
STUDIES AND ARTICLES

Alexander V. Cheremisin, MUNICIPAL INTEGRATION OF SOUTHERN UKRAINE
JEWS AT THE END OF THE XVIII – THE BEGINNING OF THE XX CENTURIES:
SETTLEMENT, MODERNIZATION AND PARTICIPATION IN SELF-
GOVERNMENT ...................................................................................................................................... 7
Mihaela Ilie, KING CAROL II’S NATIONAL RECONCILIATION POLICY AND THE
“CONCENTRATION GOVERNMENT” LED BY GHEORGHE TĂTĂRESCU
(NOVEMBER 1939 – MAY 1940) ...................................................................................................... 19
Haxhi Ademi, THE CASE OF THE “DISPLACEMENT” OF SERBS FROM KOSOVO
DURING WORLD WAR TWO ........................................................................................................... 31
Andrii Smyrnov, THE UKRAINIAN ORTHODOX AUTOCEPHALOUS MOVEMENT
DURING THE YEARS OF GERMAN OCCUPATION .............................................................. 43
Fátima Gil Gascón, Manuel Gómez Segarra,WITH VIGILANT CONCERN: THE DEBATE
ARISING FROM THE SPANISH FILM CENSORSHIP LAW OF 1963 IN THE
WRITTEN PRESS .................................................................................................................................. 55
Adi Horațiu Schwarz, THE CONFERENCE IN MALTA (2-3 DECEMBER 1989) AND
THE END OF THE “COLD WAR” – PERCEPTIONS IN EASTERN EUROPE ............... 67
Kanat A. Yensenov, Gani M. Karasayev, Seitkali Z. Dyusen, Bekmurat R. Naimanbayev, Marat
K. Islamov, THE MODEL OF INTERETHNIC ACCORD IN THE REPUBLIC OF
KAZAKHSTAN (1991-2018): HISTORICAL RESEARCH ASPECT ....................................... 79
Fidel Rodríguez Legendre, Cristina Ruiz-Alberdi, THE “BOLIVARIAN REVOLUTION” OF
VENEZUELA WITHIN THE FRAMEWORK OF POST-COMMUNISM AND POST-
DEMOCRACY (1998-2019) .................................................................................................................. 93
Akmaral Dalelbekkyzy, Zeinol-Gabden Bisengali, Aknur Toleubayeva, Aimukhambet Zhanat,
Karlygash M. Baitanasova, NATIONAL CODE: METAPHYSICS AND UNITY OF
HISTORICAL CONSCIOUSNESS ...................................................................................................105
Hanse Gilbert Mbeng Dang, GEOPOLITICAL USES OF THE SPEECH IN
INTERNATIONAL RELATIONS: ELEMENTS OF ANALYSIS OF COOPERATION
BRIC AFRICA .......................................................................................................................................119
Florian Olteanu, ALBURNUS MAIOR/ ROSIA MONTANA – A HISTORIOGRAPHICAL
ANALYSIS.............................................................................................................................................129
IN MEMORIAM
In Memoriam – Ştefan Ştefănescu (May 24, 1929 – December 29, 2018) (Dinică Ciobotea)......139
In Memoriam – Titu Georgescu (23 February 1929 – 28 July 2004). 90 years from birth
(ConstanŃiu Dinulescu) ...............................................................................................................................142
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Analele UniversităŃii din Craiova. Istorie, Anul XXIV, Nr. 1(35)/2019
6
STUDIES AND ARTICLES
MUNICIPAL INTEGRATION OF SOUTHERN UKRAINE JEWS

AT THE END OF THE XVIII – THE BEGINNING OF THE XX
CENTURIES: SETTLEMENT, MODERNIZATION
AND PARTICIPATION IN SELF-GOVERNMENT
Alexander V. Cheremisin*
Abstract
The article is dedicated to the research of Jewish population conditions in southern towns
of Ukraine during the end of the XVIII – beginning of the XX centuries. Jewish population
constituted a substantial part of southern towns’ population during the studied period. That is
why the participation of the Jews in cultural, national and municipal life of southern Ukrainian
towns is analyzed. Employment of the Jews in towns is characterized, too. The South of
Ukraine from a legal point of view of the Russian Empire was marked as a limit for Jewish
settlement, so the details of their participation in self-government are analyzed. The problem
of the Jews’ participation in urbanization and modernization of the Southern Ukraine region is
studied taken separately. Demographic changes in a part of Jewish population and in regard to
their correlation in municipal councils are also characterized. The conclusions are made
concerning the role of the Jews in urbanization of the Southern Ukraine region and their
activity in municipal self-government.
Key words: The South of Ukraine, Jewish population, municipal self-government, local government, the
limits of settlement
Introduction
In the second half of the XVIII century serious geopolitical changes took place
which were related directly to the incorporation of the northern Black Sea region into
the Russian Empire, making its borderline alongside the Black Sea coast, founding
new towns and establishing new trading relationships: both international and home.
After the above incorporation of the Southern Ukraine region into the Russian
Empire previous or former military settlements became bases for a plenty of Southern
Ukraine towns. Eventually they were regarded as “cities”, at the time the power was
transferred from military command to civil administrations, which completed towns’
formation and their obtaining civil power.
The building of military fortresses and new towns became a stimulus for
economic, industrial and trading development of the region (Atanelishvili and
Silagadze, 2018). Soon in the Southern Ukraine new towns were built on a basis of old
Cossacks’ and Crimean tartars’ fortresses and settlements. Towns in the region were
founded, first of all, as military-administrative centers, on which following primary
*Professor, PhD, Department of Philosophy and Social and Humanitarian Disciplines,
Kherson State Agricultural University, 23 Sritenska Str., Kherson, Ukraine, Phone:
+380669830422, Email: al.cheremisin@gmail.com
7
tasks were put: to hold a territory, to populate it, to form administrations and only in
due course to develop economically.
International relationships became more tolerant, old conflicts were forgotten
and stereotypes were changed. Those who were enemies in their homelands, here in
the South of Ukraine got married. At the crossroads of Jewish, Russian and Ukrainian
languages a specific “Odessa’s language” was borne. The South of Ukraine became
the most tolerant region among others both in Ukraine and Russia in social, national,
religious and cultural aspects. Thus, “new life” in the Southern Ukraine changed and
modernized all social groups and nationalities, having produced new thinking and
behavioural stereotypes as being Liberal-European and civilized. The above
mentioned had an impact on social and political life which was more intensive here in
comparison with neighbour regions of the Empire (Kozyrev, 2016).
The most characteristic feature of the Southern Ukraine was that from the very
beginning it was an area of intensive international process. An active part in the
process was taken by representatives of numerous ethnic groups, substantially
different from each other by customs, national character, level of national self-
conscience, economic and cultural development. According to the report of Kherson
Gubernator from 1852: “No province represented such a plenty of nationalities as
Kherson one. Here apart from merchants of different nationalities, who constituted a
substantial number, permanently there lived the Malorusians, the Great Russians, the
Belarusians, the Serbians, the Bulgarians, the Moldavians, the Greeks, the Armenians,
the Germans, the Karaims and the Jews” (Russian State Historical Archive, 2018).
Further in the documents the following nationalities are mentioned: the Polish, the
Swedes, the Gipsy, the Lithuanians, the Georgians, the Crimean Tatars, the Nogajans,
the Kazakhs, the Italians, the French and the Mordovians; 22 nationalities in total.
Each of these nationalities left a distinctive feature on the region’s variegated cultural
life as well as on its economic activity.
Defining the status of representatives of different nationalities in the

Southern Ukraine
The re-settlement of representatives of different nationalities onto the territory of
the Southern Ukraine put a problem of defining their status (Bondaletov, 2015). The
author shares V. Kolisnyk’s thought that on a basis of the colonization process in the
South of Ukraine the Russian Government developed a classification system of state
subjects who were divided into three groups (national-ethnic factor was taken as a
criterion). The first group consisted of natural subjects among whom nobility, clergy,
townspeople and countrymen were distinguished. The second group according to
official terminology consisted of heterogeneous population. The third group, the
separated one, consisted of Finnish population. Depending on belonging to this or
that subject category, the legislation varied substantially in relation to legal status of a
person (Kolisnyk, 2001: 70-77).
In fact, the attitude of the Russian Government to colonists of various
nationalities was different, which was reflected on the legislation level. In particular:
• Jewish population was separated into a group for which on the territory of the
South of Ukraine a limit of settlement was ordered.
8
• Jews were obliged to carry out military obligations paying in kind, even more
than other groups of population;
• Jews were prohibited to take part in local self-government until 1870.
After the colonization of the region, its national formation was basically
completed. The Ukrainians, the Russians and the Jews constituted a majority of
population in the region (Kabuzan, 1976: 136-149).
According to the researches of O. Donik (2011) and O. Danylchenko (2009), the
Russians were the most numerous population group in the Southern Ukraine towns.
To the greater extent, they represented military officers, officials, nobility, tradesmen,
townspeople, clergy and others. Their number increased substantially at the expense
of natural migration from inner regions. The characteristic feature of the colonization
of the South of Ukraine was that the Ukrainians settled in the countryside working on
farms, whereas the Russians lived in towns. There are a lot of Crimean Tatars who
lived in the countryside on the territory of the Crimean Peninsula. The Jews
constituted a competitive number for the Russians in towns, which corresponded to
military-administrative and commercial specifics of southern towns. Foreign colonists
settled mostly in the countryside forming their own communities. In towns, they
settled in small groups. For example, the Germans lived compactly in Sudak,
Feodosija and other towns. The Greeks lived in Kherson, Mariupol, in the Crimean
peninsular towns. The Jews constituted the most compact municipal communities in
all towns of the South, especially in Odessa, Mykolaiv, Kherson, Kerch, Elisavetgrad,
as the territory marked the limit of settlement. The Moldavians lived in all towns of
the south, but the most populous group lived in Odessa. Communities of the
Ukrainians, the Bulgarians, the Polish, the Greeks, the Swedes, the French, the
Czechs, the Serbians, the Estonians, the Italians, the Lithuanians, the Belarusians, the
Georgians, the Armenians and others were not populous in the Southern Ukraine
towns.
The documents testified that on the territory of the Southern Ukraine all
nationalities became modernized. It was indicated that the Russians learnt a lot of
Ukrainian words, idiomatic expressions, sayings and other peculiarities of Ukrainian
language. The Moldovan population, although having preserved its native language,
knew Ukrainian well. The Serbs nearly merged with Ukrainian population. Besides, it
was indicated that the Ukrainians of the Southern Ukraine differed from those living
on other territories. The former was more mobile, and unlike the Ukrainians from the
Left or the Right bank Ukraine, they did not suffer from serfdom’s influence. They
could go to the Crimea freely or to Moldova in order to earn money in towns, or to
work on fields of other farmers or just to run away. Sometimes runaway Ukrainian
serfs formed criminal groups who fought against Russian landlords and the Jews,
which reflected old memory of Hydamacks movement. In general, there is a
widespread opinion that the Ukrainians worked on farms mostly. So it was. Apart
from that town Ukrainian residents worked in fishing co-operatives, salt enterprises or
worked as cabmen (especially in port towns), when free from working on farms or as
shepherds – feeding cattle (Maykov, 1868).
Representatives of the Russian nationality – the nobility and the merchantry – took
official posts in the state, they were also engaged in commerce and industries.
9
Although Russian peasants settled in villages, they did not stay permanently there but
went to towns the way they did in Russia. The Belarusians were not numerous, usually
they were busy with farming and transportation. The Polish were divided into two
categories. The first one took part in the colonization process of the end of the XVIII
century. Representatives of this category belonged to higher social strata and served in
the state or private service. Representatives of the second category – re-settled by the
government in 1847 – were busy with cattle and agriculture farming. The Bulgarians,
the Moldavians and the Greeks were busy mostly with cattle and agriculture farming and
commerce. The Germans worked as teachers in towns, engaged in commerce, they
were also industrialists, artisans and officials. The Swedes lived in colonies preserving
their mother tongue and customs and regarded themselves as subjects of Russia; they
studied Russian language in towns (Maykov, 1868).
The Armenians lived in towns forming small groups. They were busy with
commerce and various trades. But the rich were not numerous, as the Jews were
competitive with them in commerce. The Jews constituted one of the most numerous
population groups in the Southern Ukraine towns. Their main activities were
commerce and trading. There were also artisans, but rarely. They possessed main
capitals of the region. They found it more profitable to deal with the Ukrainians or
foreigners. Among Russian population they were known as renters or buyers of
bankrupted estates, where they grew wheat or flax on fields and then sold crops
abroad. In commerce they were not competitive only with the Russians (Maykov,
1868).
It is known that the Jews re-settling to modernized Southern Ukraine from
Podolje and Volyn provinces, where their relatives still lived in traditional towns-
ghettoes, forgot their traditional lifestyle very quickly. As a result, they began to get
ready 2-3 months before visiting relatives looking for old-fashioned suits, yarmulkes
and other articles of traditional Jewish cloth; they also grew paces to look themselves
their parents wanted them to (Turchenko and Turchenko, 2003).
Analysis of statistical data of representatives of different nationalities of the

Southern Ukraine
Statistical data of Tavria province from 1865 indicated that the Russians (the
Great Russians, the Malorusians) lived in towns in the quantity of 58 900 people
(10.2% total population of the province). Their quantity was nearly the same on the
Crimean peninsular. The Crimean Tatars were 4.7% (lived exceptionally on the
Crimean peninsular). The Jews were 2.2%, the Greeks were 1.9%, and other
nationalities were less than 1%. In total, townspeople constituted 20.3% in the
province (Ravesskiy, 1865).
According to statistics of Katherinoslav province, the Great Russians constituted
a majority of population in the south-east part (80 thousand people), whereas the
Malorusians – in the north-west part. It was also indicated that the Serbs adopted
completely traditions, customs and language of the Ukrainians and nearly merged into
one nationality. The Jews (23 thousand people) lived in all towns of the province, were
busy with commerce, the Greeks lived compactly in Mariupol district. The Armenians
10
(up to 20 thousand people) were mostly merchants or townspeople and were engaged
in commerce in different towns of the south (Vilson, 1863).
According to the sensus of population from 1987, town’s population were
28.87% of the total in the province. The most populated towns were Odessa,
Mykolaiv, Kherson and Elisavetgrad. In the column “mother-tongue” it was indicated
that the Ukrainians were 1 462 039 people, whereas the Russians were 545 375 in the
province; there were no distribution data for towns. It was indicated, as a result, that
the Russians prevailed in the western districts of the province, the Jews and the other
nationalities prevailed in the east. In Odessa lived 55.6% Jews of all towns in the
province. According to group distribution middle-classes constituted the most
numerous group – 62%, peasants – 25%, merchants – 1.26%, foreigners – 2.88%,
other groups – 8%. According to occupations of townspeople it was indicated that the
Jews prevailed in commerce, whereas the Russians and the Ukrainians were engaged
mostly in various industries (Troynitskiy, 1904).
In Tavria province according to the sensus of population from 1897 townspeople
constituted 20% of the total. In the column “the Russians” there were subdivisions
for nationalities: The Great Russians (49.1%), the Malorusians (10.4%) and the
Belarusians (0.2%). As for other nationalities, there were following percentages: The
Crimean Tatars in towns were 14.2%, the Jews – 11%, the Karaims – 3%, the Greeks
– 3.6%, other nationalities – less than 1%. In the countryside the Ukrainians
constituted a majority in comparison with towns (42.2%). In total, the Crimean Tatars
in the province were about 34%, whereas the Russians – 28% (Troynitskiy, 1904).
According to the sensus of population from 1897, in Katherinoslav province
townspeople were represented by their nationalities as following. In total in the
province:
• the Ukrainians constituted a majority – 68.9%;
• the Russians – 17.27%;
• the Jews – 4.69;
• the Germans – 3.83%;
• the Greeks – 2.31%;
• the Crimean Tatars – 0.82%;
• the others nationalities (the Poles, the Belarusians, the Moldavians, the Turks,
the Gypsies, the French) – less than 1%.
In towns representatives of the abovementioned nationalities were distributed as
following: in Katherinoslav the Russians constituted a majority (41.78%), the Jews –
35.43%, whereas the Ukrainians – only 15.76%. In Lugansk the Russians prevailed –
68.16%. Mariupol was populated mostly by the Russians (63.22%), the Jews were
15.14%, the Ukrainians – 10.4%. Other nationalities constituted the absolute minority.
In particular, the Ukrainians were 19.2%, the Jews – 7.1%, other nationalities – less
than 1%. Nearly a half the Russians (51.47%) and the Ukrainians (42.99%) lived in
Slovjanoserbsk. In Pavlograd the Ukrainians were 33.43%, whereas the Russians –
34.36%, the Jews – 27%. In Oleksandrovsk (42.98%), Novomoskovsk (77%),
Verchnedniprovsk (56%), Bachmut (61.78%) the Ukrainian population prevailed. The
Russians and the Jews constituted a minority there (Table 1).
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Table 1: National representation in municipal self-government of the Southern

Ukraine (Troynitskiy, 1904)
Crimean
Town Russians Ukrainians Jews Poles Romanians Greeks
Tatars
Kherson 75,4 15 1,5 8,4
Berislav 10 83,3
Mykolaiv 90,4 3,6 0,6 7,4
Olexandria 35 58,8
Novogeorgievsk 63,3 36,4
Ananjiv 41,6 35 15,6 6,5
Elisavetgrad 59,8 28,4 2,9 7,8
Bobrinetz 28,6 61,9 4,8 4,8
Voznesensk 42,8 38,1 9,5
Novomirgorod 95,6 4,4
Olviopol 44,4 55,6
Odessa 72,8 7,6 6,4 8,7
Majaki 44,4 55,6
Ovidiopol 63,3 27,2 9
Ochakiv 44,4 55,6
Katerinoslav 63 25 13
Oleksandrivsk 37,7 58 3,8
Bachmut 22,2 68,9 4,4
Verchnedniprovsk 39 60,7
Mariupol 67,8 7,1 14,3
Novomoskovsk 38 53 3
Pavlograd 64,6 29,2 6,3
Slovjanoserbsk 50 50
Lugansk 83,3 13,3
Simferopol 71,6 9,2 2,6 5,5
Bachtchisarai 11,8 5,8 40,5
Karasubazar 42,1 5,2 10,5 31,5
Berdjansk 67,9 21,5
Nogaisk 85,7 14,3
Orchiv 18,2 81,8
Oleshki 91,3 6,5
Eupatoria 63 6.5 15,2
Melitopol 76,9 13,5
Perekop 77,8 3,7 11,1
Jalta 82,7 6,8
Feodosia 69,2 5,7 5,7
Staryi Krym 80
Kertch 84,3 4,7 4,7 1,5
According to the calculations of O. Danylchenko (2009), the national formation

situation in towns at the beginning of the XX century had certain characteristic
features. During the first decade, the percentage of towns’ population surpassed that
in other regions of Ukraine. In the South of Ukraine, it constituted 21.7%, whereas on
an average for Ukraine it was 18.3%. Towns of the south remained multinational with
12
the prevalence of the Russians – 43%, the Jews – 26%, the Ukrainians – 24% and 7%
for other nationalities.
The above mentioned period may be considered as the first in urbanization of the
South of Ukraine. The most populous national groups were the Russians, the
Ukrainians and the Jews, which was a result of solving military-administrative and
trading-commercial tasks. At the beginning of the XX century, the national formation
situation changed, but not substantially: the Russians, the Ukrainians and the Jews
constituted a majority of population of southern Ukrainian towns. So the towns can
be reasonably called Ukrainian-Russian-Jewish.
For example, V. Zhabotinskiy, a famous Jewish public figure from Odessa of the
beginning of the XX century, wrote in his memoirs: “Even though it (Odessa) was in
Russia and at my time it was russified linguistically, Odessa was not a Russian town in
fact. It was not a Jewish either, although the Jews were a prevalent ethnic group,
especially, if we consider that the so-called Russians were the Ukrainians indeed, that
is to say the people who differed from the Russians like the Americans differ from the
English or the English from the Irish” (Gerligi, 1999).
The Emperor Alexander I regarded the book of Englishman Robert Lyall
“Travels in Russia, the Crimea, the Caucasus, and Georgia” (1825) as hostile for the
Russian Empire. In the traveler’s works around Kherson, Katherinoslav and Tavria
Provinces the Russians looked corrupted, the Jews – swindles. He calls the South of
Ukraine a separate country, whose population consisted of the Russians, the
Ukrainians, the Jews and foreigners. Robert Lyall describes the region’s history in
detail; he also characterizes the activity of Peter I and his dreams of a civilizing
mission on the Black Sea’s coasts. Then he analyses the reasons why it failed and the
region was civilized by representatives of the Western Europe instead. His attention is
drawn onto the fact that southern Ukrainian towns developed very quickly. It was
difficult do recognize them within 5 years. He considered the Government’s activity
concerning economical development as insufficient; he also criticized commercial
activity with West Europe in particular. He drew a conclusion that Odessa should be
one of the best ports of the world and that the Government blocked its quick
development (Gutri, 2012).
It should be mentioned that Jewish language had a great impact on the southern
Ukrainian inhabitants and served as a basis for creating a special “Odessa’s language”.
For example, V. Shyshkov noted: “«Odessa’s language» was not a collection of
random irregularities of Russian language; it had deep roots and lasting traditions, its
«norms» and «rules»… Russian language of middle classes was influenced greatly by
Ukrainian and Jewish language elements” (Shyshov, 1998). Russian was spoken in
towns of the South of Ukraine indeed, but according to statistic data of the beginning
of the XX century the Russians were not considered as erudites of Russian language,
whereas the Jews (51%) knew Russian.
Cultural influence of the Jewish population was distinctive in periodicals. For
example, the most popular newspapers and magazines were published in French,
German and English. Even the periodical “Vestnik of Southern Russia” (1820) was
firstly published in French. The attempts to publish “Vestnik” in Russian for
merchnts ended in downfall of its popularity. When the editorial board addressed to
13
police asking for help in widespreading the newspaper, they could find even with the
above help only 5 people wishing to buy the newspaper in Russian. In reply to it local
merchants said they could learn better and fresher news from the Jews,
notwithstanding the fact that Russan merchnts outnumbered Jewish thrice
(Skalkovskiy, 1894).
These examples could be regarded as signs of the region’s renewal and modernity,
which proves that in the South of Ukraine the modernization was going on quickly,
whereas traditionalism did not keep pace with “new” rhythms of life. New social,
national, cultural, commercial-industrial conditions created faster tempos of
modernization in comparison with other regions.
Local self-government of Southern Ukraine provinces was multinational in its
formation. According to ethnical representation, the Poles, the Romanians, the
French, the Greeks, the Armenians, the Crimean Tatars, the Jews, the re-baptized
Jews, the Germans were represented in public establishments, though the Russians
and Ukrainians constituted the most substantial part.
Despite the fact that the Jewish population in Southern Ukraine towns
constituted one of the most populous ethnic groups, the Jews were not numerous in
municipal self-government. Only Odessa could be proud of Jews’ most numerous
representation – 6.4%, and the least – in Mykolaiv – 0.6%. In Kherson 1.5% were
elected to public establishments, in Elisavetgrad – 2.9%. The Romanians were elected
mostly in 2 towns – Ananjev (6.5%) and Bobrinets (4.8%). The Jews were in the
absolute minority in all self-government structures of Katherinoslav province. The
representatives from the Jewish ethnos were also in the minority in all towns of Tavria
province. From 2% to 10% of the Jews were elected in different towns. The deputies
from the Armenians, the Greeks, the Germans and others had from 2% to 4%
(Troynitskiy, 1904).
The Jews were permitted to be elected to bodies of public government only after
1870, before that they could be elected to municipal self-government only through re-
baptizing. After 1870, the Jews were elected to municipal councils, though their
number was substantial only in Odessa. They were in a minority in other Southern
Ukraine towns: from 2-3 to 10 persons depending on a town’s status. They were
absent in some towns of the region.
For example, in self-government of Kherson city there were few who supported
deputies from the Jews, even their colleague deputies did not like their presence in the
city council and they spread ideas among their electorate that it would make no good,
because the Jewish deputies were not responsible before them (Khaustova, 2018).
Thus, in a majority of municipal councils of the South of Ukraine the representatives
of the Russian nationality prevailed. In self-government bodies representatives from
the Ukrainians, the Jews, the Armenians, the Greeks and others were not numerous.
At the same time, in spite of their inconsiderable presence in city councils, the
Jewish contribution to the development of municipal self-government was rather
significant. For example, one of the most notable figures of Odessa city council was a
Jew O. Pergament (he had university education and was a honored citizen of Odessa),
who was elected the president of the Odessa republic during eventful revolutionary
years of 1905-1907, and after its end he was elected a deputy of the State Duma.
14
It is worth to mention that the leader of Kherson city council was Jews-
millionaire Rabinovich. In 1908 Kherson deputies defended their views concerning
development of the sea port. The then civil gubernator did not consider the activity of
deputies as professional, as they were representatives of different professions
(dentists, lawyers and others). He regarded himself as an expert, so his ideas of the
port’s development (orientation onto inner markets – Olexandrivskiy and Donetskiy)
were quite rational, because it was possible to trade cheep char coals. In future the
port would be competitive with Mykolaiv’s (Kostruba, 2018). According to the
deputies’ plan it was necessary to build a rail-way from the station to the port. The
gubernator’s plan was postponed after almost a year of long debates. He was
extremely annoyed that dentist Rjabkov was against the head of the province and the
others took millionaire Rabinovich’s advice. The leaders of the city council turned the
public to their side and received a support from the Ministry of Trade. The Council of
Ministers stood aside in this matter, but it ordered the deputies to co-ordinate their
activity with the Gubernator, not addressing directly to the ministries, which caused
misunderstandings (The report from the Senate’s case…: 30-60).
Thanks to the Jews the case of bribery both in municipal self-government ranks
and in the structures of Kherson provincial administration was revealed to the public
in 1820-1830. During the investigation a public questioning was carried out
concerning bribery in the province. In all towns local inhabitants proved that the
provincial officials were “great bribe-takers who were very harmful and put the fear
into a majority of the community with their unlawful deeds”. During the trial in a
court session the gubernator did not evidence any relation to it and even looked like a
weak person not able to control his own officials who made advantage of it. However,
a suspicion arose that the gubernator was defended and protected and, as a matter of
fact, he was not found guilty. At the time there were no direct evidences of the
gubernator’s guilt. Everything happened, when the gubernator went on business trips.
All the guilty persons were sentenced to different terms, except for the ober-
prosecutor of the Senate, the guilt of whose was not ever proved. The top rank person
to be sentenced was the vice-gubernator of Kherson province A. Rewl. In fact, the
case started with beating a baptized Jew who had been forced to enter the army and
did not want to give a bribe of 500 rubles. The prosecutor Shulzenko and A. Rula
extorted the biggest fixed bribe from a Jew Fanung (8 000 rubles) for closing a
criminal case against him, in which the latter was supposedly guilty of protecting some
runaways (The case of accusation of bribery and abuse…: 21-45).
Not taking into consideration rather special relationships the Jews had with self-
government bodies of the South of Ukraine, they did not manage to work out a
programme aimed at further development of municipalities. They were more
interested in problems of their own self-determination.
The parties of national minorities were engaged in problems of political future of
their own nationalities. In particular, Jewish social-democratic workers’ party “Poaley-
Scion” (the first organization in Ukraine was founded in Katherinoslav in 1900-1901,
and later – in other towns) tried to combine socialistic ideas with Zionism. The party
defended a priority of territorial solution of the Jewish problem by the way of
establishing a centre in Palestine. The party also set a task of liquidating capitalism’
15
system and breaking dominance of the bourgeoisie over proletariat. In 1904 in Odessa
a part of the representatives broke off and eliminated the issues concerning Palestine,
they began to call oneself Zionistic-socialistic workers’ party. Its members considered
a national autonomy as insufficient for solving the Jewish problem and broadened
their demands including national equality. In 1905, another part of the party founded
Jewish social-democratic party and proclaimed establishing national autonomy on a
basis of self-governed communities. Nothing was mentioned in the programme
documents concerning development of self-government in Ukraine or in the south, as
the most actual problem for the party was solving the national issue (Fomin, 1996).
Conclusions
Thus, we can draw a conclusion that the Jews took an active part in the
colonization and urbanization processes of the South of Ukraine at the end XVIII of
the XX century, turning themselves into one of the numerous population groups of
the region. For the greater part the Jews actively integrated in cities’ life of the region,
quickly self-modernized and got an access to patterns of “new life” of the region, that
is why towns of the South of Ukraine may be considered as Ukrainian-Russian-Jewish.
The Jews quickly created necessary images of towns’ population: merchants, traders,
bankers, shipbuilders and others. They had a great influence on social-economic
development of the region. At the same time the Jews’ integration into self-
government bodies was not so active. They always approached tolerantly to
administrative structures either in the province or in the centre. No documents have
been found to evidence their criticism of local self-government or provincial
administration. They could take part in municipal councils until 1870 by the only way
– re-baptizing. After 1870 they were allowed to be elected to municipal structures. At
the time the Jewish population almost did not make use of this right. Notwithstanding
the fact that the Jewish population constituted one of the largest inhabitant groups of
the region, they were few in municipal self-government bodies. However, they were
among the most influential figures in towns of Kherson province. At the same time,
their political views did not go far beyond the borders of national self-determination.
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18
KING CAROL II’S NATIONAL RECONCILIATION POLICY

AND THE “CONCENTRATION GOVERNMENT”
LED BY GHEORGHE TĂTĂRESCU (NOVEMBER 1939 – MAY 1940)
Mihaela Ilie*
Abstract
At the end of 1939 and in the first part of the next year, Carol II tried to adopt a
reconciliation policy, which determined the appointment of Gheorghe Tătărescu as the
President of the Council of Ministers from Romania. Depicting the internal and external
context that led to the formation of Tătărescu Cabinet or finding the main reasons for the
“government of concentration” are some of the most important issues that will be taken into
consideration in the next pages, another concern being to identify the main aspects of Carol
II’s reconciliation policy. Moreover, by analysing the above-mentioned topics, it will be very
important to highlight the role played in the monarchic authority regime by the Tătărescu
Government.
Key words: King Carol II, reconciliation policy, Gheorghe Tătărescu, Government, Romanian former
politicians
Introduction
When writing about the end of the year 1939 and the first half of the year 1940,
one must consider two relevant aspects for understanding the context of Gheorghe
Tătărescu’s appointment as Prime Minister of Romania – on the one hand, the way
that Carol II exercised his royal privileges and, on the other hand, the government
instability that characterized the regime of monarchical authority.
King Carol II is known for his tendency of leading the state according to his own
will, a fact that the Sovereign demonstrated along his reign. The authoritarian regime
that the Monarch established on February 10th/11th, 1938 allowed him to have a wider
impact decision regarding the state affairs.
As it was mentioned before, the second relevant aspect is the government
instability. It is true that during the interwar period there were only two governments
that lasted four years (a full mandate), but the period from February 1938 to
September 1940 exceeded any “expectations” in this respect. Thus, if during the first
decade of the interwar period one can find 11 governments, and in the next decade 14
more, during the period of monarchical authority – that lasted two years and a half – 9
governments were created. Another negative aspect of these frequent government
changes was the lack of consistency for the governmental programs during the years
1938 to 1940.
Regarding the Government that will be analysed in this article, it is important to
underline how Gheorghe Tătărescu was appointed as President of the Council of
Ministers, in November 1939. The loss of one of the main supporters of the
authoritarian regime, Armand Călinescu, assassinated on September 21st, 1939
*Assistant Professor, PhD, University of Craiova, Faculty of Social Sciences, Political Sciences
Specialization, Center of Post-Communist Political Studies (CEPOS), No. 13, A.I. Cuza Street,
Dolj County, Phone: 0040251418515, Email: mihabuzatu@gmail.com
19
(Chivulescu, 1998: 300-301), who at the time of the assassination was Prime Minister,
put the King in an unexpected and quite unpleasant situation (Carol, 1997: 226). The
governmental policies and the incipient cohesiveness that the great strategist Călinescu
had begun to give to the Sovereign’s plans were suddenly interrupted by the death of
the President of the Council of Ministers.
At the beginning, the Monarch wanted revenge and appointed General Gheorghe
Argeşeanu as Prime Minister for only one week (Historical National Archives of
Romania, fund: PreşedinŃia Consiliului de Miniştri, file no. 167/1939: 77-79); later, for a
period of two months, the King appointed Constantin Argetoianu as the head of the
Government (Historic National Archives of Romania, fund: PreşedinŃia Consiliului de
Miniştri, file no 167/1939: 85-86; Argetoianu, 2003: 168-169). The collaboration with
Argetoianu didn’t have the expected results and, thus, the Prime Minister resigned
after Carol II provoked a government crisis, by staging a “farse” or “comedy”, as the
King himself called it (Carol, 1997: 286-290).
The person to replace Argetoianu had been found in advance, and his name was
Gheorghe Tătărescu (Nedelea, 1991: 129). The reasons for choosing him are not
difficult to identify – Tătărescu was an older collaborator of the Monarch (Gafencu,
1991: 344-345); he was also the only President of the Council of Ministers that was in
office a full mandate during Carol II’s reign (Chistol, 2007). The good collaboration
between the King and Tătărescu was obviously based on the Prime Minister’s
obedience.
King Carol II’s decisions and actions must be seen in a wider context, and they
were influenced by external and internal factors. In Europe, World War II had begun
a few months earlier; the rapid conquest of Poland and its division between Germany
and the Soviet Union (Buzatu, Cîrstea, 2007: 192) demonstrated, on the one hand, the
toughness of the terms in which the two totalitarian states seemed appropriate to act
in the new conflict and, on the other hand, it revealed the weakness of Western
democracies. This extremely difficult context put King Carol II in the ingrained
position of reshaping Romania’s foreign policy (Lungu, Negreanu, 2003: passim).
Obviously, Romania’s traditional foreign policy was based on the cooperation
with France and Great Britain, but the danger represented by the neighbouring
revisionist states, headed by the Soviet Union and implicitly the force they
demonstrated, instilled to the King and to the Romanian people as well to a strong
sense of insecurity. That was the reason why the Sovereign tried to slightly change
Romania’s position in Europe, which to some extent was reflected in the appointment
of the Government members.
In Romania, the situation seemed far from being clear and calm. What was the
internal context? The authoritarian regime had been imposed on February 10th/11th,
1938, a new constitution had been adopted and the political background had also been
redefined by removing traditional political parties out of the law (Monitorul Oficial, no
75 from March 31st, 1938) and by establishing the first single Romanian political party,
in December 1938 (Historical National Archives of Romania, fund: Frontul Renaşterii
NaŃionale, file no. 1/1939: 8). Theoretically, things seemed to follow the King’s plans;
however, on the one hand, the lack of the popular adherence and, on the other hand,
the preservation of the intransigent positions of some political leaders who did not
20
agree to play according to the “royal script”, made Carol II’s original ideas of ruling
impossible to put into practice.
Moreover, the Sovereign realised that some politicians did not trust his political
vision and more than that, they engaged in some sort of uncoordinated campaign of
denigrating and criticising King’s actions. The opposition that the Monarch had to
face at end of 1937 never ceased and it was obvious that neither the introduction of
the new regime nor the legislative changes could stop it.
If during Călinescu Government an important part of the political decisions had
been made by the Prime Minister, after his assassination, all the responsibility of the
leadership fell on King Carol II’s shoulders. The two short Governments – Argeşeanu
and Argetoianu – made the Sovereign aware of the necessity of improving the political
internal situation. Carol II’s solution was to find support for his regime from as many
politicians and citizens as possible. This attempt was put into practice by what
historians called “the policy of national reconciliation” (Savu, 1970: 341).
The new Government

The establishment of the new Government seems to have been reflecting, on the
one hand, the direction that the King was trying to give to the foreign policy and, on
the other hand, the reconciliation strategy with the internal political factors. Thus,
regarding the foreign policy, the Sovereign sought to maintain Romania’s loyalty to
traditional allies and, at the same time, tried to improve relations with Germany by
intensifying trade links.
Therefore, the Council of Ministers was composed mostly of politicians with an
Anglo-French vision, but the new team gathered also politicians who saw the benefits
of a closer relation between Romania and Germany. Regarding the internal affairs, the
main concern of the Sovereign seems to have been the balance of the situation
between the political factors. Thus, in choosing the members of the new Cabinet, the
Monarch took into consideration two criteria: the first was the affiliation to the old
political parties and the other was the position of those elected to enter the
Government towards the two main combatants in the war that had recently begun in
Europe.
Taking into account his wish to attract as many politicians as possible for the
authoritarian regime, Carol II placed in the new Government, different politicians
from the entire political spectrum and, in theory, managed to create, as he himself
wrote, “the most ideal (sic!) Government of concentration” (Carol, 1997: 293).
Gheorghe Tătărescu was appointed as President of the Council of Ministers
(Historical National Archives of Romania, fund: PreşedinŃia Consiliului de Miniştri, file
no. 167/1939: 102, 104); before this nomination he was Ambassador of Romania to
Paris from December 1938 to August 1939 (Chistol, 2007; 146). One can observe that
the leadership of the Government was entrusted to a liberal who had close ties with
France. Trying not to be judge by his former political views, Tătărascu assured the
German ambassador to Bucharest that Romania will remain neutral and that the
economic cooperation with the Reich will increase (Haynes, 2003: 131). Regarding the
appointment of Tătărescu, Horia Sima, the leader of the Legionnaires, considered it to
21
be a sign of improving the Suveran’s attitude towards the movement he was leading
(Sima, 1977: 55-56).
Contrary to expectations, the new Cabinet has maintained many of Argetoianu’s
Government Ministers. Thus, 11 of the 19 Ministers of that Government remained in
the new governmental team, 10 of them maintaining their posts, and one – Mihail
Ghelmegeanu – being moved from the Ministry of Public Works and
Communications to the Ministry of Interior.
According to the Royal Decree No. 4277 from November 24th, 1939, the Royal
Counselor Gheorghe Tătărescu was appointed as President of the Council of
Ministers and interim of the Ministry of Interior (Fund: Presidency of the Council of
Ministers, File No. 167/ 1939: 102); the members of the Government were: Ion
Nistor – Minister of Cults and Arts, Gheorghe Ionescu Siseşti – Minister of
Agriculture and Domains, Victor Slăvescu – Minister of Endownment of the Army,
Istrate Micescu – Minister of Justice, Ion Gigurtu – Minister of Public Works and
Communications, Silviu Dragomir – Minister responsible fot the Minorities,
Constantin Angelescu – Minister of National Economy, Mitita Constantinescu –
Minister of Finance (he was also Governor of the National Bank), Deputy General
Paul Teodorescu – Minister of Air and Navy, Mihail Ralea – Minister of Labor,
Grigore Gafencu – Minister of Foreign Affairs and interim at the Ministry of National
Propaganda, Petre Andrei – Minister of National Education, Traian Pop – Minister
responsible for the inventory of public wealth, General Ion Ilcuşu – Minister of
National Defense, Constantin C. Giurescu – Minister responsible for the organization
of the National Renaissance Front, Nicolae Hortolomei – Minister of Health and
Welfare, Mihail Şerban – Undersecretary of State at the Ministry of Agriculture and
Domains, Petre Topa – Undersecretary of State at the Ministry of Health and Welfare,
Radu Portocală – Undersecretary of State at the Ministry of Interior, DV Toni –
Undersecretary of State at the Ministry of National Education, Gheorghe Grigorovici
– Undersecretary of State at the Ministry of Labor, Gheorghe G. Vântu –
Undersecretary of State at the Ministry of Interior, Titus Popovici – Undersecretary of
State at the Ministry of National Economy, N. Sibiceanu – Undersecretary of State
attached to the Presidency of the Council of Ministers (fund: PreşedinŃia Consiliului de
Miniştri, file no. 167/1939: 105; Carol, 1997: 292-293; Andrei, 1993: 82). In February
1940 a new Ministry was created – the Ministry of Foreign Trade headed by Ion
Christu (Carol, 1998: 60, 62).
The structure of the new Government demonstrates that the idea of national
reconciliation must be sought rather in the actions of the Government and not so
much in its composition; as one may observe, most of the ministers were former
members of the National Liberal Party or National Peasants Party.
In order to create the impression of “government of concentration”, the
additions made to the Government team belonged to the extremes of the political
spectrum. Thus, from the extreme right was included in the Council of Ministers Ion
Gigurtu as the Minister of Public Works and Communications. By this appointment,
the Monarch believed that he could demonstrate to the Berlin leadership the
willingness of Romania to negotiate with Germany. In the category of right-wing
extremists, the Sovereign also included Istrate Micescu (Carol, 1997: 293), who served
22
as Minister of Justice and who had an anti-Semitic view; but one may also take into
consideration that being a graduate of a Parisian University, where he also obtained a
Doctorate in Law, Micescu had, in terms of foreign policy, a much more nuanced
position. The effect of these two nominations was not the one expected by the King;
from the reaction that some of the German leaders had, it can be concluded that they
would have wanted a new governmental team with many more Ministers having a pro-
German political view (Savu, 1970: 342-343).
From the left part of the political spectrum, the King included in the
Government the last President of the Social Democratic Party – Gheorghe
Grigorovici (Titel Petrescu, 2003: 456, 463-464; Carol, 1997: 292), who was entrusted
with the position of Undersecretary of State at the Ministry of Labour.
The attempt of the reconciliation with the political leaders

Considering the complicated general context, Carol II’s position can be better
understood – the King attempted to develop a cautious and slightly duplicitous policy.
By analysing the governmental composition, one can observe that the Sovereign –
unable to control the external situation – focused its attention on improving relations
with the Romanian political leaders in an effort to obtain the widest approval from all
internal political groups.
In addition to broadening the government’s political base, the reconciliation
policy can also be seen in the actions that the King and the Government undertook,
and which converged towards attracting all the political forces, which, although
outlawed by the Low-Decree from March 30th, 1938, continued to exist and influence
the public opinion.
The most important political groups at that time in Romania were National
Liberal Party, National Peasants Party and the Legionary Movement; thus, it is
understandable that the Monarch’s attention turned towards the leaders and important
members of those former political parties. If at the establishment of the authoritarian
regime, and later at the establishment of the National Renaissance Front, Carol had
probably wanted a sincere involvement of the politicians, with the launch of the
national reconciliation policy, the Sovereign became more realistic in his intentions.
Thus, in order to create the impression of a consensus regarding his political direction,
the Monarch tried to obtain the enrolment of former politicians in the National
Renaissance Front. One of the main supporters of this strategy was the Prime
Minister Gheorghe Tătărescu; thus, since taking office, Tătărescu presented this policy
as part of his governmental program (Carol, 1998: 24).
The immediate response of the national-liberal and national-peasant leaders to
the request of the Prime Minister was to refuse the proposal; furthermore, Constantin
I.C. Brătianu, the President of the National Liberal Party, sent a written response in
which he severely criticized the new regime (C.I.C. Bratianu, Carol II, Ion Antonescu,
1992: 81-82). Also, Constantin I.C. Brătianu continued the series of written statements
of contesting the actions of the King and of the President of the Council of Ministers
(C.I. Brătianu, Carol II, Ion Antonescu, 1992: 83-85, 90-95); Iuliu Maniu, the
President of the National Peasants Party acted in a similar way. Moreover, together
they sent to the Sovereign a joint statement requesting that, in order to remedy the
23
very difficult situation of the country, to allow the traditional political parties to re-
enter into legality (Gridan, Oncescu, 2010: 183-184).
In order to diminish the influence that their opinion could have on the citizens,
on February 20th, 1940, the Law Decree regarding the Clandestine Publications was
adopted. It established, on the one hand, the strict control of all opposition
publications that denigrated the authoritarian regime and, on the other hand, allowed
the authorities to establish a compulsory domicile for those who were acting or even
planning actions prohibited by the law (Dima, 2010: 224-225).
The only one of the three political leaders of the “opposition” who responded to
the Sovereign’s call to join the new regime was the national peasant Ion Mihalache,
who, however, unwilling to join the National Renaissance Front, only served as the
Royal Counsellor (Monitorul Oficial no 93 of April 18th, 1940). That decision led to
heated discussions between Maniu and Mihalache (HudiŃă, 1998: 124) and brought to
the last harsh criticism from some of his national peasants colleagues (HudiŃă, 1998:
125-128).
According to Gabriel Marinescu’s statements that can be found in Ioan HudiŃă’s
journal, Mihalache’s appointment as Royal Counsellor was linked to his position as a
one of the most important opinion leaders of the Romanian peasants. Ion Mihalache’s
role was very important during that period if we consider the fact that, for a variety of
reasons, many of the peasants enrolled in the army began to desert. According to
Marinescu, the situation of the garrisons was so bad that if he had accepted, Ion
Mihalache could have even been offered the leadership of the Ministry of Interior
(Hudita, 1998: 114).
In order to ease tensions with the representatives of the Iron Guard (łiu, 2007:
164-172), on April 26th, 1940, the Law Decree regarding the amnesty of political
crimes was adopted (Dima, 2010: 223). Thus, in their approach of attracting political
leaders, the Sovereign together with the Prime Minister Tătărescu have achieved, at
least in theory, an important victory over the Legionnaires and managed to obtain
from many of them declarations of loyalty to the King.
Many professors, lawyers, doctors, priests, teachers and students, members of the
Legionary Movement sign such statements in which they confess their “love and faith
to the Sovereign” (Historical National Archives of Romania, fund: Frontul Renaşterii
NaŃionale, file no. 262/1939-1940: 1-4). It is true that the authorities have succeeded in
doing this by releasing the members of the Legionary Movement from prisons or by
adopting a benevolent attitude towards the legionnaires (łiu, 2007: 170-171). As
evidence that many of the legionnaires, at least formally, changed their position
regarding the Sovereign was the attitude adopted by some of the intellectuals
associated with the extremist right-wing movement (Mircea Eliade, Nichifor Crainic
and Radu Gyr) (Boia, 2011: 151).
Tătărescu Cabinet in action

At the beginning of his mandate, Gheorghe Tătărescu announced his governance
plan by a Program Manifesto (Libertatea from December 5th, 1939). In addition to
reaffirming the implementation of such policies as public order, censorship, support
for the families of those enrolled in the army (Dima, 2010: 221), two central ideas
24
come out of the new Government program. The first idea was the solidarity of all
Romanians both with the King and the regime imposed by him; for achieving this goal
it was created a climate of “political relaxation” (Libertatea from December 5th, 1939),
which later was translated into the reconciliation policy. The second idea referred to
the endowment of the army for the defens of the country borders (Dima, 2010: 221).
The same conception of solidarity was reaffirmed by the Sovereign in his New
Year’s Eve speech from 1940, where he evoked “the feeling of national solidarity and
of unity around one thought and one idea” (Universul from January 3rd, 1940). As it
was stated above, historians who wrote about this subject mentioned it as a
“reconciliation policy”, a concept that underlines King Carol II’s political intentions.
Gheorghe Tătărescu’s appointment as the President of Council of Ministers gave
the Monarch the necessary confidence for a first NRF (National Renaissance Front)
Parliament meeting (Preda, 2011: 177-183) since the inaugural session
(Constantinescu, 1973: 416). During this brief parliamentary session (November 23rd –
December 20th, 1939), 260 law decrees were ratified (Constantinescu, 1973: 424-425).
The next parliamentary session, not much longer than the other, took place also
during Tătărescu Government (March 7th – April 19th,1940) and had the same purpose
– the ratification of the decrees adopted by the Government; this time the number of
adopted law decrees was 163 (Scurtu, Buzatu, 1999: 357; Constantinescu, 1973: 226).
The lack of effective involvement of the Parliament in the process of elaborating
and adopting laws emphasizes the importance of the Government within the state
leadership. Under these circumstances, it is essential to thoroughly analyse the Council
of Ministers led by Gheorghe Tătărescu, as this institution has effectively exercised
both executive and legislative power.
Along with the reconciliation policy, a reorganization of the National Renaissance
Front took place. This important point of the Government program led by Gheorghe
Tătărescu was a continuation of the action initiated by the King in October 1939, at
the same time with the launch of the NRF Manifesto (National Historical Archives of
Romania, fund: Ministerul Propagandei NaŃionale. Presa internă, file no. 403/1939: 120-
125). In this respect, the main action was the adoption of the Decree Law on the
reorganization of the FRN on January 20th, 1940 (Historical National Archives of
Romania, fund: Frontul Renaşterii NaŃionale, file no. 2/ 1939-1940: 8-26).
Regarding the single political party, Gheorghe Tătărescu tried to finalize the stage
of appointing the political leaders of the National Renaissance Front, both at the
central and local level (Historical National Archives of Romania, fund: Frontul
Renaşterii NaŃionale, file no. 141/1940: 177); moreover, he tried to enrol in NRF as
many representatives of former traditional parties as possible. Regarding the
legionaries’ adhesion to NRF, Carol II seemed to have at least a puerile vision of the
situation; the King trusted in their sincere enrolment in the Front and, moreover, he
believed that he could use their “dynamism and spiritual sacrifice” to implement the
“moral and spiritual regeneration of the nation”, that he promised on February,
10th/11th, 1938 (Carol II, 1998: 96-97, 119).
As expected, that type of wishful thinking was unrealistic and after a short period
of time the Monarch realised that he would not receive from the Legionnaires the
much needed help to impose the authoritarian regime; moreover, he had to face a new
25
problem when the Legionnaires that enrolled in NRF tried to regroup and impose
their one politics from inside the royal political party (Carol II, 1998: 145, 154).
The on-going war in Europe has made the Government led by Tătărescu pay
special attention to the army. The supply of weapons and the training of troops were
the main directions followed by the Government (Dima, 2010: 228-230). However,
the army was poorly trained and insufficiently equipped because of the lack of funds
and the uncoordinated administrative actions. The Sovereign’s involvement in the
army seems to have been more of a facade. The participation of the King in various
actions seemed to be more likely to create the idyllic image of the leader (Buzatu,
2012) than to find concrete solutions to solving the many problems faced by the army
leaders (Midan, 2008: passim).
A difficult situation and the attempts to redefine the authoritarian regime

The formation of Tătărescu Cabinet did not lead to major changes in foreign
policy promoted by Romania until November 1939; King Carol still wanted to build a
Neutral Block in Europe (Calafeteanu, 1980: 191-239). This policy was not
appreciated by Germany, which saw in this situation an action against the Reich
(Haynes, 2003: 127, Gafencu, 1991: 340). The victorious offensive recorded both by
Germany and the Soviet Union on the battlefield in the early 1940s, forced the
Sovereign to accept the new reality.
Under these circumstances, fearing of the possible territorial demands from the
Soviet Union and realizing that the traditional partners – Great Britain and France –
could not be very helpful, Carol began promoting a rapprochement with Germany
(Haynes, 2003: 134-136). Speaking from a position of strength and having the
guarantee that Romania could not find another big ally in Europe, the Nazi leaders
managed to establish a very advantageous relationship with Romania. The
international situation left the King a single alternative – to accept a partner who
imposed its point of view.
Romania’s problems were acute in the internal affairs as well. Among the most
important were the economic difficulties (Scurtu, 2001: 285) which led to a sharp
depreciation of the national currency in the early 1940s (Scurtu, Otu, 2003: 409). One
more reason for the financial problems faced by the Government was represented by
the large funds allocated to the army’s endowment. The measures taken by the
Cabinet to manage the difficult situation, including increasing the working day to 10
hours (Scurtu, Otu, 2003: 410), led to discontent among the population.
At the same time, the state of dissatisfaction of the population was triggered and
accentuated primarily by the territorial claims that the neighbours – the Soviet Union,
Hungary and Bulgaria had (Historical National Archives of Romania, fund: Inspectoratul
General al Jandarmeriei, file no. 32/ 1940: 4; file no. 59/1940: 13).
The victories recorded by both Germany and the Soviet Union in northern
Europe, the defeat of the English troops by the Germans and the expectant position
promoted by France (Berstein, Milza, 1998: 139-141) led Carol II to a collaboration
with Germany. In this respect there are two major actions that the Sovereign put into
practice. On May 10th, 1940, a major government reshuffle took place and Gheorghe
Tătărescu was charged with forming the new Cabinet (Carol, 1998: 166). From the old
26
governmental team, some of those supporting a collaborative policy with England and
France were replaced by ministers with pro-German vision (Libertatea from May 10th,
1940).The King’s second action was more eloquent in the sense of approaching the
Reich; thus, after long delays, on May 27th, 1940 Romania signed with Germany the
pact “petrol for arms” (Haynes, 2003: 136).
Conclusions
The uncertainty that was dominating both the internal and external affairs, put
King Carol II in a very difficult position; the fact that the Monarch didn’t had a
realistic plan regarding the state affairs can be seen be analysing his inconsistent
actions. If King’s duplicitous attitude in terms of foreign policy can be blamed, the
cautious position he tried to adopt regarding the Romanian politicians is easier to
understand. The actions that the Monarch undertook were influenced to a great extent
by the war that had started a few mounts earlier.
In addition to the extremely difficult external context, another fact explaining the
reconciliation policy can be the dreadful concern that Carol II to expressed quite often
in his notes – the concern that “the Crown must be defended”. What did that mean?
No matter how dominant his political ideas regarding the decision-making process
were, Carol always wanted to have something or someone to hide behind; in other
words, although he was the one making the decisions, he wanted someone else to take
the responsibility. Therefore, the new policy of national reconciliation could be seen
as a Sovereign’s attempt to receive the approval of both politicians and common
people regarding his actions.
From this point of view, Gheorghe Tătărescu’s Government must have been one
of the last attempts to maintain the pro-Western policy, an optimistic experiment
based on the supposition that the traditional allies could have supported Romania and
could have defeated their opponents very quickly. This type of optimism was
irreversibly scattered in the summer of 1940, with the surrender of France on June
22nd and with the ultimatum that Romania received from the Soviet Union on June
26th-27th. Therefore, one may conclude that the reconciliation policy promoted by the
King and implemented by the Government Tătărescu did not reached its main
purpose, although important steps have been made, such as the Legionnaires’ fidelity
declarations or the fact that Ion Mihalache accepted the position of Royal Counsellor.
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29
30
THE CASE OF THE “DISPLACEMENT” OF SERBS FROM KOSOVO

DURING WORLD WAR TWO
Haxhi Ademi∗
Abstract
In Albanian historiography, the case of Serbs leaving Kosovo during World War II, which
we refer to by the term “displacement”, but in quotes, is rarely addressed and always in the
context of other issues.
This may be so because the displacement of the Albanian population between the two
wars (1918-1941) has gained more attention from researchers for at least three reasons: 1.
Because the displacement of the Albanian population during the two wars (1918-1941) reaches
incredibly high figures (up to 240 thousand), without adding the displacement from 1912 to
1918, as well as the plans for displacement during World War II which reached over half a
million; 2. Because the case of “the displacement of the Serbian population” during the Second
World War has been contested by the Albanian intellectual and scientific forums; and 3.
Because of the lack of interest and will, always for nationalist reasons, to reflect on a problem
that was not useful for Albanians. However, regardless of the reasons or justifications we can
make today for Albanian historiography, we consider that it is now necessary to treat it as a
separate issue for at least two reasons: 1. To overthrow and deny the thesis of Serbian
historiography which consistently claims that during the Second World War a large number of
Serbs (60 to 100 thousand) were displaced; and 2. To shed light once and for all on the truth
about the movement of the Serbian population from Kosovo in the above mentioned years
through the motives, causes and other reasons we will further elaborate.
Key words: Kosovo, Serbs, migration, Kosovo, World War II
Introduction
The “displacement” of the Serbian population from Kosovo during World War
II cannot be considered as a separate issue without analyzing some data∗∗about the
agrarian reform and colonization (a phenomenon that began with the occupation of
Kosovo in 1912 and lasted throughout most of the 20th century)∗∗∗, through which the
∗
PhD Candidate, University of Prishtina, Kosovo, Faculty of Philosophy, Department of
History, independent science researcher -20th century, The Institute of History, Kosovo, “Lagja
e Spitalit” no 3, 10000, Phone: +381 (0)38 512-392, Email: ademihaxhi@hotmail.com.
∗∗
Researcher Miranda Vickers, based on a description of Edit Durham on the position of
Serbs in the Prizren region in 1908, cites “The school, a beautiful building, recently expanded
and repaired, had 100 students. Most of them came from Montenegro, I saw them with grief.
It seemed foolish to be building such a huge and costly theological school in an Albanian
Muslim town, bringing teachers and students here, while funds were so highly needed for the
development of free Serb territories. Miranda Vickers, Shqiptarët Një histori moderne. Tiranë: Bota
Shqiptare, 2008, 97. Title of the original: The Albanians – A Modern History, I. Tauris, London-
New York.
∗∗∗
Kosovo was mainly studied in the framework of the Agrarian Reform in the so-called
Southern Serbia, which included Macedonia, Sanxhak, and a part of northern Montenegro,
including the regions that were under the Ottoman rule until 1912. For more about the
31
indigenous Albanian population was displaced from their territories which were later
populated with colonies from different countries of Yugoslavia. The national goal of
the Serbian government was to change the ethnic structure in Kosovo and other
Albanian territories to the detriment of the Albanian population in Yugoslavia which
constituted the overwhelming majority in favor of the Slavic element (Abdyli, 1986:
163). This institutional action made an impact, albeit not what the Yugoslav Kingdom
wanted because at the time of Albania’s declaration of independence, the Albanians in
the land outside the state represented over 90% of the population (AMPJ, V.1931, D.
101, 2). In the article “Colonization and Serbianisation of Kosovo” on the Serbian
crimes of 1912-1913, Kosta Novakovic writes: “Kosovo is a pure Albanian territory.
There are only 10 to 15% Serbs there. Serbian imperialists have used the most
barbaric methods for the extermination of the Albanian population”. Thus, in 1912
and 1913, Serbs killed 120,000 Albanians while a large number of villages were entirety
burned. To escape the Serb massacres, at least 50,000 Albanians were forced to leave
their lands and flee to Turkey and Albania (Osmani, 2016: 43-44).
If we refer to the results of the 1921 census in the territory of Kosovo, from a
total of 439,010 inhabitants, only 288,907 inhabitants whose mother tongue was
Albanian (64%) were enumerated. Also, based on the 1931 census of Kosovo and
Dukagjin, in which a total of 552,064 inhabitants were registered, 331,549 (60.1%)
stated that Albanian is their native language (Imami, 2016: 452), whereas according to
an archive document in 1941, Albanians made up 70% of the population in Kosovo.
(AMPJ, V.1931, D. 101, 2) However, based on the 1939 census made by the chiefs of
the Kosovo district, there were 645,017 inhabitants living there, which compared to
1931 census is 92,943 more inhabitants. 422.827 (65.6%) were non-Slav residents,
16.896 (25.2%) were Slavs and 59.294 (9.2%) were colonizers. Several thousand
Muslims from Gora were counted as “non-Slav elements” (Imami, 2016: 454). Also,
referring to the 1953 census, Serbs and Montenegrins accounted for 27% of the
population while holding 50% of the party’s membership and 68% of the
administration and leading positions. They also they accounted for 50% of the
workers in factories∗.
Regarding the expropriation of Albanians and the settlement of the colonizers in
their territories, statistics and official data reports show that during the
implementation of the Agrarian Reform until 1939, in Kosovo 192.212,94 ha∗∗ of land
were seized (Osmani, 2016: 44). According to Jusuf Osman’s studies based on archive
documents, the lands were taken by 10,717 colonizer families, 248 volunteer families,
agrarian reform and colonization see: Milovan Obradoviq, Reforma agrare dhe kolonizimi në Kosovë
(1918-1941). Prishtinë: Instituti i Historisë 2005.
∗
From 1945 to 1966, 246,000 people from Yugoslavia, mainly from Macedonia and around
100,000 from Kosovo, emigrated to Turkey. For more: Noel Malcolm, Kosova, Një histori e
shkurtër. Prishtinë: Koha 2011, 407-408.
∗∗
Out of this 180.585,01 ha were measured- 148.086,32 ha (66.212, 94 ha exempted and
81.758 ha arable) of fertile land and 32.508, 69 ha of non-fertile land. From these, 100.345, 95
ha was seized state land, 75.502,24 ha was communal land, 246, 14 ha was church and
monastery land, 4,530, 43 ha was private land and 4,252, 67 ha was “landed” land. Total
192,212, 94 ha.
32
80 Chetnik families, 172 optant families and 508 families of convoys, altogether a total
of 11,722 families. According to other statistical data, until 1939 in Kosovo 11,383
families with 53,884 members were colonized, out of which 49,244 were Serbs
(including Montenegrins) (Obradoviq, 2005: 263), 5,148 Croats and 163 Slovenes.
Other nations were not accepted. From another statistical document, we learn that
until 08.04.1940, 13,482 families were colonized in 594 settlements in Kosovo. The
colonizers settled in 669 settlements in Kosovo, where the total number of families
reached 14.565,1 (Osmani, 2016: 99-100).
If we assume that in each household there was an average of 5 members, then
according to this note, about 67,410 inhabitants settled in Kosovo, while according to
other data 73,255 inhabitants settled in Kosovo. This number is bigger because many
of colonizers in the cities, like those who came through free colonization, many
officers, gendarmes, foresters, teachers and others, remained outside the official
records of the families that were given land (Abdyli, 1984: 232). On average, every
family received 8.45 ha of land. In addition, 5,982 families received land with a surface
area of 17,841.35 ha, or an average of 2, 98 ha for each family. Most of this land was
taken by local Serbs and convoys (Obradoviq, 2005: 263; Osmani, 2016: 100). In a
document dealing with Serbian crimes in Albanian lands, among other things, it is
stated that since the invasion of Kosovo and other Albanian lands in 1912, Serbia
cultivated hatred against Albanians, which resulted in the burning and destruction of
thousands of villages and the removal of the population living in mountains. As a
result of these measures, over 100,000 Albanians were forced to emigrate.
Furthermore, it is said that over 7,000 families from different Slavic lands settled in
Gjakova and Drenica, forcing Albanians to move from their lands (AQSH, F.
KMKK, D. 28/3, nr.161, II/1991: 12.02.1921). The process of colonization and
displacement of the Albanian population took place not only during the years between
the two wars, but unfortunately continued even further. Thus, after 1941, Serbian
circles did not hesitate during the Second World War∗ to design plans and ideas based
on Ilia Grassani’s project∗∗ for the colonization of Kosovo with the Slavic element.
Such was the project drafted by Sarajevo lawyer, Stevan Melovic, titled
“Homogeneous Serbia”∗∗∗ of June 30, 1941 (Osmani, 2016: 102). Inspired by Ilia
∗
During this period, the Serbian government payed special attention to the settlers in Kosovo
between the two world wars. Nedić’s government always tried to lower the number of the
displacement of settlers from the Italian region who emigrated there between the two world
wars. Izber Hoti, Çështja e kolonizimit të Kosovës gjatë Luftës së Dytë Botëror, Fjala, Prishtinë
5 korrik, 1993, 8.
∗∗
Ilia Garashani’s project is the basis for the Serb-majority union policy, which wanted to cover
the name of the Slavs with the name of the Serbs! His views, expressed in the 1844
“Naçertanian”, which is called the first detailed political platform of Belgrade’s governing
circles, is also the ideological basis of the “Greater Serbia” chauvinistic program.
∗∗∗
The creation of the project “Greater Serbia” or “homogeneous” by Stevan Molevic starts
with the idea that Serbs should be homogenous in the Balkans and should secure their
domination in Yugoslavia. According to him, the fundamental error in state regulation was that
of 1918 (Creation of Yugoslavia) when Serbia’s borders were set. Therefore he considered that
this error should be improved today or never. Serbia’s borders should be up to where they live
33
Garashani’s project, Drazh Mihajlovic’s Chetnik Movement began in the Second

World War with the aim “Chetniks will liberate Kosovo from the Albanians and they will all
disappear without leaving anyone alive” (Braha, 1992, 207). Serbia’s position on the
colonization of Kosovo and the changing of its ethnic structure did not change even
after the departure of the German occupation. Vasa Çubrillovic’s “The Problem of
Minorities in New Yugoslavia”∗ considered that all minority groups in Yugoslavia such
as Germans, Hungarians, Albanians, Italians and Romanians, have “denied themselves
their civic rights by openly presenting themselves as an enemy to the state in which
they live”.
According to him that’s why all these “minorities” must be removed from the
state, because they deserve it. (Osmani, 2016: 107) According to Çubrilloviç’s program
“when dealing with the minority problem, we must at all costs ethnically conquer
Boçka, Kosovo and Metohija”∗∗ by expelling hundreds of Hungarians and Albanians.
In order to implement the Çubrilloviç project, on 8 February 1945, the Yugoslav
government ordered the deployment of military power in Kosovo (Osmani, 2016:
109-110).
As a result of the agrarian reform and colonization, which developed on the basis
of the above-mentioned Serbian projects, a large number of autochthonous Albanians
were forced to leave their lands to be deployed mainly in Turkey (Abdyli, 1984: 232)
and Albania. However, in addition to these state-owned enterprises (agrarian reform
with free exit to the seas. From this we can say that under this project, Serbian political claims
were made not only Kosovo but also a large part of Albania. Jusuf Osmani, op.cit., 102.
∗
Vaso Çubrillovic’s project was not only for Albanians but about all the nationalities in the
new Yugoslavia. In this project he forsaw the mass migration of millions of people because,
according to him, “the only and just solution of this issue is the displacement of minorities.”
As an example of such actions he uses the Third Reich and the colonizations of many people
in the Soviet Union and other European countries. Çubrillović provided details of the
implementation of this project, as well as the time and the manner of the implementation of
this project. According to Çubrillović, the army had a decisive role so he proposed that the
UNSC Headquarters form a special section on this issue. In cases where physical protection
was not achieved, other measures were foreseen, such as the denial of all rights, the creation of
concentration camps, the looting of evidence, the exclusion of intelligent and rich societies,
and the immediate colonization of the areas with the Slavic element. Muhamete Shatri, Kosova
në Luftën e Dytë Botërore 1941-1945. Prishtinë: Instituti i Historisë 1997. 209; Jusuf Osmani,
op.cit., 107.
∗∗
The term Metohia – at the beginning of the 20th century, well-known Serbian scholars
St.Novakovic and J.Cvijić, relying on historical sources, raised the thesis for the existence of
the name Metohija, which meant the territory between Prizren and Peja. This thesis was
supported by the fact that the term “metohion” or “metohija” means the property of the
monasteries in Greek, and in this respect many villages of the territory in question have been
the property of monasteries. With this thesis that did not provide any scientific arguments,
they have surprised the scientific world, because today’s territory of Peja, Gjakova and Prizren
until 1945, has never had the geographical meaning of Metohija, but since the 15th until 1945 it
preserved the geographical concept of Dukagjin Plain, or Dukagjin. Jahja Drançolli, Rrënjët e
qytetërimit ilir -shqiptar në Kosovë, Buletini i Fakultetit Filozofik, Nr.XXV-1995, Prishtinë, 1998,
175.
34
and colonization) that the Kingdom of Yugoslavia implemented to deploy Albanians

and populate their lands with Slavic population, always with the aim of changing the
ethnic structure, there was also a number of Serbs, mostly colonizers, who left
Kosovo during World War II. But what were the real reasons they left? What was
their real number? And were there elements of retaliation from Albanians against
them? To these and other questions, we tried to give scientific answers based on
primary sources, all to put down the efforts that the Serbian historiography (Slavic in
general) consistently put into creating the myth of mass expulsions of Serbs from
Kosovo during World War II.
The invasion of Yugoslavia and the division of Kosovo

After the invasion of Yugoslavia, respectively Kosovo by the allied army, Kosovo
was divided into three invasive zones by the Vienna agreement (18-23 April
1941). Under this agreement in August 1941, the unification of most of Kosovo∗ was
made, but not only with Albania (Hadri, 1971: 106; Shatrit, 1997: 17) since some of
the Albanian lands remained under Serbia and Bulgaria. In August 1941, two
prefectures with headquarters in Prizren and Prishtina were set up in the area of the
Italian invasion, while on September 22nd the High Commission of Civil Affairs
formed the Prefecture of Peja (Historia e Popullit Shqiptar IV, 2008:131). Since the
study object of this paper is the “large Serbian displacement” from Kosovo, apart
from the prefectures of Peja, Prizren and Prishtina (Italian area) we will include the
areas of the German and Bulgarian occupation.
According to Serbian historiography, during the periods of 1941-1945 thousands
of Serbs, who came from other countries of Yugoslavia during the implementation of
the agrarian reform of the 20s and 30s, were displaced from Kosovo. However, with
regard to the number of displaced people, Serbian sources provide different data
ranging from 60,000 to 100,000. Among these numbers, Serbs and Montenegrins who
were displaced from Kosovo in World War II are included (Barajoviq- Gjuro: 1997:
50-54; Gjakoviç, 1984; Алeкcaндap, 2011, 77). According to them, the figures of
displaced people from all over Yugoslavia to Serbia reach up to half a million (Hadri,
1978: 52). Furthermore, according to Serbian historiography, the small increase of the
population in Kosovo during the 1940s and 1948s had been due to the influx of
Albanians from the Albanian state (this figure varies from 70,000 to 260,000)
(Алeкcaндap. 2011) However, not only does Albanian historiography disagree with
these results and “scientific” statistics, but the international academia categorically
negates it. Here it is worth mentioning the scholar and historian Noel Malcolm who
writes that this data is not based on facts. Among other things, he says: “There is no
∗
Under this agreement, Italy would take most of Kosovo with cities such as Pristina, Ferizaj,
Gjilan, Kamenica, Drenica region, Dukagjini plain with Peja, Gjakova, Prizren, northwestern
plains of Plavë, Gucci, Rozhajë, Tutan then Ulqin, Tuzi, eastern ethnic Albanian areas: Tetovo,
Gostivar, Kicevo, Struga and a part of Prespa etc. On the other hand, a territory with an area
of 11,780 km with a population of 820,000 was united with Albania. So, with the mother
country of Albania, 19 prefectures, 13 municipalities, 141 communes, 1,501 villages were
united. AQSh, F. 267, V. 1945, D. 46, f. 32; Ali Hadri, Lëvizja Nacionalçlirimtare në Kosovë (1941-
1945). Prishtinë: Rilindja 1971, 106; Muhamet Shatri, op.cit., 17.
35
evidence that shows any major migration during the war. It is likely that several thousand people have
come from Albania to Kosovo: some of them were officers who came with the Italians and Germans,
some were Kosovars who had migrated to Albania between the two wars, but we cannot speak of such
a large placement of Albanians in Kosovo that could have caused any demographic change”
(Malcolm, 2011: 397).
As for the number of Serbs displaced from Kosovo, according to Noel Malcom,
the number was much smaller than the total number of settlers who arrived in
Kosovo during the 1930s of the 20th century (Malcolm, 2011: 397; Fischer, 309). In a
telegram sent by German officer Hermann Neubacher on April 25, 1944 to the
General Consulate in Tirana, among other things it is said that the number of Serbs
and Montenegrins displaced from Kosovo in the time frame from May 1941 to April
1944, should be around 40,000 (Fischer: 309).
But what is the stance of Albanian historiography on this issue? Has it done
enough properly to uncover the truth behind this issue? We can say that in Albanian
historiography, with or without reason, the issue of the displacement of the Serbian
population from Kosovo during World War II is found only in a few scientific works
or in wider studies in which not enough information is given on the issue (Hadri,
1978: 3-79; Hashani, 1978: 383-405; Imami, 2016: 516). Noticing this lack of
information in Albanian historiography, as well as the need to handle it scientifically, I
decided to deal with this extremely important and complex issue myself.
Since the areas of the Italian invasion were divided into prefectures, we will
provide the data according to the prefectures which include today’s territory of
Kosovo. In the Prefecture of Pristina, according to archival sources, the position of
Serbs was equal to that of the Albanians who constituted the majority. According to
the circuits of the Prefecture of Prishtina, dated May 16, 1944 and addressed to the
Ministry of Internal Affairs, the security of the Serbs was stable. Even in this circuit, it
is said that the number of killings for revenge between Serbs and Albanians was much
lower compared to those before the war. As for the emigration of Serbs from these
areas, we assure that no coercive measure had been used, but only that a small number
of Serb families who had come to Kosovo during its colonization had requested
permission to move back to Serbia because they had relatives there (AMPJ,
V.16.V.1944, D.48, 49).
Unlike the sources that reflect the real situation, Albanian historiography, first of
all, does not provide clear and accurate data. Because of this, researcher Izber Hoti in
his paper on the Prefecture of Pristina does not provide data regarding the
displacement of Serbs from this prefecture (Hoti, 1978: 345-360). Scholar Shaban
Hashani, in his work about the sub-prefecture of Ferizaj which was divided into two
occupation zones (Italian-German), does not provide detailed data on the
displacement of Serbs from Kosovo but only adds that “Serb colonizers faced some
forms of violence as a form of retaliation because they acted the same way when they
settled in the area during the colonization phase” (Hashani, 1978: 383-403).The author
does not specify the extent of that violence, but sources from that time say that the
violent and retaliatory actions of Albanians against Serbs during the Second World
War were rather individual and not in high numbers.
36
Moreover, from the sources of that time, we learn that the Serbs were the ones
who voluntarily sought permit to leave from the German command. Thus, in a letter
by Hysen Azemi (Prefect of Pristina) addressed to the Correspondence Directorate of
the Ministry of Internal Affairs in Tirana, it is said that the property of Serbs was
previously property of the Albanians which was taken by the agrarian law and passed
on to Serbs. Therefore, Serb settlers who expressed their desire to leave Kosovo, were
given easier access to the passage, as opposed to local Serbs, who in some cases in co-
ordination with the German command, were denied the permit (AMPJ, V.1944, D. 48,
50). Unlike the Prefecture of Pristina, where colonial Serbs sought permission to pass,
in the Peja Prefecture, the situation of Serbs was better than that of Albanians.
However, the violence and the killings of Albanians by the Serbian side did not stop.
Over 55 Albanians had been killed in various settlements, among them women,
children and old people. The massacres against the innocent population took place
even in the depths of Albania, as well as highlands of Gjakova, Shalë, Shosh and
highlands of Mbishkodra (Shatri, 1997: 17-18). Serbs who were armed, terrorized and
murdered others allegedly “to rescue Serbs and preserve the rule” even though the
Yugoslav police and units were still present (Hadri, 1978: 12).
Though the Serb-Slavic forces massacred the Albanian civilian population, the
latter did not pursue the same politics or reciprocate in the war years; moreover
Albanians helped and sheltered Serbs in some areas. Indeed, there were cases of
Albanians who protected Serbian and Montenegrin families who settled as colonists,
helping them cross the border from Rugova to Montenegro (Shatri, 1997: 19).
We learn more about the situation of Serbs and Montenegrins in this prefecture
from a letter that the representative of the Prefecture of Peja∗ sent to the
Correspondence Directorate of Ministry of Internal Affairs. Through this letter, he
asked for them to show compassion for the families who wished to voluntarily leave
Kosovo, and to not cause any issues for them in order to solve this problem of great
importance. Among other things regarding the displacement of Serbs from the
Prefecture of Peja, in this letter it was stated: “In agreement with
Ortskommandantur∗∗ we have formed a commission for solving the issues related to
the emigration of Serbs and Montenegrins from Albania. With the exceptions of the
Serbs, who we do not know if they will send someone from Serbia of someone local,
this commission was formally established because according to the
Ortskommandantur here, the Serbian government does not want to deal with this
issue”. Likewise, the German representative did not want to take on this issue because
it considered it to be too costly. It is further stated in the letter no. 1320/1 of
22/5/1944, dealing with this issue no. 3707/5 of 5/5/1944, that the Peja Prefecture
had issued nearly 850 passes for the Serbo-Montenegrin element, who voluntarily and
also through petitions had requested definitive displacement. “All these passing
∗
The Peja Prefecture included these sub-prefectures: Plavë, Rozhaje, Tutin, Istog and
Skenderaj and there were 26 townships. For more: Muhamet Sadiku, Qëndresa nacionaliste e Pejës
1941-1946, Dukagjini, 21.
∗∗
Historically used in Wehrmacht, it implies the commanding authority responsible for a
particular country.
37
permits are located at the German Command here (except 220 pieces) and these
families, hoping to move just as the ones before them, have sold all their belongings,
so please have kindness in solving this issue” (AMPJ, V.1944, D. 48, 63).
It should be added that within the Prefecture of Peja, five sub-prefectures and 26
communes were included.∗ From the documentation of that time, it is stated that 850
passing permits had been given from this prefecture, and if we divide this with 5
members for each family it turns out that 4,250 Serb-Montenegrin colonizers left this
prefecture. Also, according to the documents, it was said that 220 families were
waiting for passing permits. If we split this figure by 5 (it was estimated that each
family had an average of five members) it turns out that 1,100 people were expected
to leave this prefecture. After reviewing archival resources and historiographic
literature, it turned out that the number of settlers in this region is much larger than
the number of displaced persons.∗∗
It is also worth mentioning the Prefecture of Prizren, which included 4 sub-
prefectures (Gjakova, Suhareka, Rahovec and Dragash) and 38 communes (Shatri,
1978: 406). Unlike the Prefecture of Peja, based on primary and secondary sources we
do not encounter any data proving the massive displacement of Serbs who came as
colonizers in this prefecture. On the contrary, according to studies by Ali Hadri, many
murders occurred in Peja between both sides for ethnic and political issues, but in
Prizren we have no information about any murders (Hadri, 1978: 68). An unclear
situation also appears in the German invasion zone (Mitrovica, Vushtrri, Podujeva,
and the Pazari i Ri∗∗∗), which in administrative terms was subordinated to the Serbian
government of Nediҫ (Bislimi, 1997: 162-163). Because of this, during 1941 there was
a clash between Albanians and Serbs, and the Germans intervened to put the situation
under control. In order to have fewer problems with the population, the German
representative organized several gatherings for reconciliation between the Albanian
representation and the quisling government in Belgrade. Here we will mention only
the names of the consultants of Nis, where the German side was represented by
∗
The Peja Prefecture included these sub-prefectures: Plavë, Rozhaje, Tutin, Istog and
Skenderaj and there were 26 townships. For more: Muhamet Sadiku, Qëndresa nacionaliste e Pejës
1941-1946, Dukagjini, 21.
∗∗
In the district of Peja, 1,570 colonizer families settled, in the district of Istog 1,168 colonizer
families settled, in Drenica (a part of this region in the period 1941-1944 was included in the
Prefecture of Peja) 547 colonizer families settled, in Gjakova (a part of this the region in the
period 1941-1944 was included in the Prefecture of Peja) and its district 2,638 colonizer
families settled. If we divide them with 5 members for each family, it turns out that there were
26,880 people in this area. From these data it can be seen that the number of refugees from
Kosovo in this period is much smaller than the number of settlers on during the 20s -30s of
the 20th century. Obradoviq, M. (2005). Reforma agrare dhe kolonizimi në Kosovë (1918-1941).
Prishtinë: Instituti i Historisë, 263; Osmani, J. (2016). Kolonizimi, reforma Agrare dhe shprengulja e
shqiptarëve nga Kosova, I 1912-1941. Prishtinë, 270-279; AMPJ, D. 48, Kërkesë drejtuar Ministrisë
së Punëve të Jashtme, Tiranë, 23 qershor 1944, 63.
∗∗∗
Pazari i Ri was part of the German area, but as we know, this Albanian settlement was not
part of the territory of Kosovo.
38
Colonel Bothem, the Albanian side by Xhafer Deva, and Serbian side by Kosta
Millanoviҫ-Peҫanac (Mekaj, 2004:415-418).
After September 1943-44, there was an increased mobility of Serb settlers in the
German area from Vushtrri region to Mitrovica, towards the northern part of
Kosovo, but the reasons for this movement should be carefully studied and revised.
This is because the reasons for their departure from these territories could not be
related to their security or to national purposes. Indeed, it was the Albanian
population in those territories who was subjected to systematic violence (AMPJ,
V.1944, D. 172, 49). The Serbs moved to the north of the country because was that
part was confined to Serbia and because the Serbian side had plans to massively
displace about 100,000 Albanians from this area. Fortunately, the departure of
Albanians from this area was not done for reasons of war (Bajrami, 1978: 312). In
Albanian historiography we find some data that shows the murders and persecutions
of Albanians, Serbs (members of the Crusades) and Jews, by the Germans as well as
by the Drazha Mihalovic’s followers (Hadri, 1971: 331), but no data is available for the
displacement of Serbs from this region. The Albanians of the Anamorava region,∗
who from 1941 to 1944 were part of the Bulgarian rule, were in almost the same
situation. From all the documentation of time (AQSh, V. 1941, F. 149, D. I-1170, 93;
AQSh, V.1941. F. 23, D. 25, 236; AQSh, V.1941: F. 167, D. 72, 45-46; AMPJ, V.1944,
F.151, D.99, 14; AMPJ, V.1944, F.151, D.99, 45-51 and scientific literature∗, we find
no evidence of the displacement of Serbs from this Kosovo region. On the contrary,
it was not only the Serbs but also the Albanians who were interned, imprisoned and
persecuted by the regime (http://dx.doi.org/10.26417/ejis.v9i1.p125-131).
Based on this data, it cannot be said that there have been large displacements of
Serbs from Kosovo, but the historical truth says that a large number of Serbs had fled
Kosovo, not as a result of Albanian violence but as a result of other circumstances not
related to their ethnic identity. Moreover, from what we have previously reviewed, we
can say that Albanians did not exercise any violence over Serbs during this period, but
moreover, they were victims.
In the end, we can say that if all the documents of time are analyzed, it would
turn out that there was no mass displacement of Serbs from Kosovo, but there were
individual cases of displacement for personal or other reasons, none as a result of
violence or pressure from the Albanian side who was under the Italian and German
rule.
∗
Gjilan is the center of Anamorava. Anamorava includes southeastern parts of Kosovo’s
territory. In the south it is bordered by R. Macedonia, in the east and north by R. Serbia, while
the west is bordered by the municipalities of Prishtina, Lipjan, Ferizaj and Kaçanik. For more
see: Mark Krasniqin, Savremane drustavene geografske promene na Kosovu i Metohiji, Prstina, 1963,
169.
∗∗
Ali Hadri, Lëvizjet Nacionalçlirimtare vep.cit. 138; Idriz Halabaku, Zona pushtuese bullgare
në Kosovë dhe sistemi pushtues (1941-1944), Kosova, Nr.7, Instituti i Historisë së Kosovës,
1978, 467-473; Fehmi Rexhepi, Gjilani me rrethinë gjatë Luftës së Dytë Botërore (1941-1945), Instituti
i Historisë, Prishtinë, 1998; Muhamet Shatri, op.cit., 31.
39
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V.1944, dos.99, f.45-51.
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(1918-1941). Kosova. 15/1986 (1987): 163.
Abdyli, R. Vështrim mbi papunësinë në Kosovë ndërmjet dy Luftërave Botërore (1918-
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huaj për Shqipërinë, Tiranë: Çabej.
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Hadri, A. (1971). Lëvizja Nacionalçlirimtare në Kosovë (1941-1945), Prishtinë: Rilindja.
Hadri, A. Sistemi i pushtimit fashist në Kosovë (1941-1944), Kosova. 7/1978 (1979): 3-78.
Hashani, Sh. Sistemi i pushtimit fashist në Ferizaj dhe rrethinë. Kosova. 7/1978 (1979):
383-405.
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Shqipërisë, Tiranë: Toena.
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korrik, 1993.
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345-362.
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41
42
THE UKRAINIAN ORTHODOX AUTOCEPHALOUS MOVEMENT

DURING THE YEARS OF GERMAN OCCUPATION
Andrii Smyrnov*
Abstract
The article deals with the development of the Ukrainian autocephalous movement during
the German-Soviet War. The subsequent German occupation of Ukraine led to a spontaneous
revival in church life. The Archbishop Oleksii Hromadskyi created the Autonomous Orthodox
Church under the Moscow Patriarchate. The Metropolitan Dionisii Valedynskyi of Warsaw
gave his blessing for the establishment of the Ukrainian Autocephalous Orthodox Church and
designated Archbishop Polikarp Sikorskyi as administrator of the church. In February 1942
Sikorsky consecrated the first two bishops of the UAOC on Ukrainian territory (Nykanor
Abramovych and Ihor Huba), and in May 1942 the Kyiv Council of UAOC bishops elected
Dionisii as locum tenens of the Metropolitan See of Kyiv. It should be emphasized that the
hierarchs of both jurisdictions were forced to sign archpastoral appeals containing obeisance
towards the occupiers, to pray for the German authorities and army during worships, and to
encourage young people to go and work in Germany. The UAOC of the 1940s is not a
sectarian and collaboracionist group, but an independent Church with canonical bishops,
which through the Warsaw Metropolitanate was in eucharistic communion with other local
churches.
Key words: the Orthodox Church, autocephaly, hierarchy, canonicity, occupation
Introduction
Throughout the XX century, the autocephaly was a kind of apple of discord in
Ukraine’s Orthodox Church. This applies to autocephaly both proclaimed in 1921 by
the Local Council of the Ukrainian Autocephalous Orthodox Church (UAOC) in
Kyiv, and the Polish Autocephaly granted by the Tomos of the Ecumenical Patriarch
of Constantinople to the Orthodox Church in Poland (where most of the Orthodox
parishes were Ukrainian) in 1924. During the Second World War, the issue of the
ways to achieve autocephaly came to the forefront in Ukraine, which also caused an
institutional split within the Orthodox Church. The development of the Ukrainian
movement for autocephaly during the period of German occupation remains a poorly
researched page in the history of Ukrainian Orthodoxy. It is necessary to analyze more
deeply the historical myths and stereotypes used to describe the Ukrainian
autocephalous movement, around which clichés were formed both by Soviet
propaganda (“UAOC is a true servant of fascism”) and the Church (“UAOC is a non-
canonical, schismatic, self-consecrated trend”), which has been circulating in public
discourse up to now.
The process of constitution of the Ukrainian Autocephalous Orthodox Church
of 1942 was closely linked to the activities of the Ukrainian intelligentsia that rejected
the possibility of subjection of the Orthodox parishes of Ukraine to the Moscow
* Associate Professor, PhD, The National University of Ostroh Academy, Faculty of

International Relations, Department of History, No. 2, Seminarska Street, Ostroh, Ukraine,
Phone: +380961011112. Email: andrii.smyrnov@oa.edu.ua.
43
Patriarchate. Immediately after the establishment of the German occupation

authorities, many regions of Ukraine saw self-governing social and religious
organizations spontaneously arising; they were often called parochial initiative groups
or church commissions. In big cities, as a rule, they used to be called Church Councils.
By the end of 1941, there were already eight diocesan church councils in the cities of
Ukraine. Former ministers and Orthodox intellectuals, who were the majority in their
composition, took care of the premises for worship and everything else needed to set
up a full parish life (Stokolos, 2003: 317).
In the autumn of 1941, the Ukrainian Church Council in Rivne was formed under
the leadership of Ivan Karnaukhov, a lawyer and activist in the Ukrainian National
Republic, whose activity was rather skeptically referred to by Yu. Mulyk-Lutsyk, an
active participant in those events (Savchuk & Mulyk-Lutsyk, 1984: 498).
The idea of autocephaly of the Orthodox Church in Ukraine was also supported
by the Ukrainian Council of Trust in Volhynia (UCTV). One of the main issues of
particular concern at the meeting of August 31 and September 1, 1941, was the
situation of Orthodoxy in Volhynia and liberated Ukrainian territories. The
participants of the meeting supported the resolution which emphasized as indisputable
the idea that in Ukraine the church, as a powerful factor in the national-religious and
moral education of the people, should be national and Ukrainian. Such a condition
can be achieved by the Orthodox Church only if it is independent, and autocephalous.
Relying on the law of January 1, 1919, as a state act that established the autocephaly of
the Ukrainian Orthodox Church (UOC), the UCTV argued that the center of the
church authority of an independent church cannot be in the hands of a foreign
hierarchy that is not of the same blood and is situated outside the national territory.
That is why the Council strongly opposed the idea of UOC remaining under the
jurisdiction of the Moscow Patriarchate or of the Metropolitanate of Warsaw. By the
time of convocation of the All-Ukrainian Church Council, the participants of the
meeting considered it necessary to elect a Provisional Administration of the UOC in
the liberated territories, which would maintain records of the Church ensuring its
national character and would also convene a Council in Kyiv (Smyrnov, 2009: 112-113).
There was also enthusiasm about the autocephaly among the inhabitants of the
Kharkiv region. In particular, the church committee at the Kharkiv Public Committee,
after discussing church policy in the occupied territory on November 20, 1941,
adopted a decree, according to which “... in Ukraine there should be a single Church,
autocephalous, based on the principle of territory and statehood rather than territory
and ethnicity. Ukraine is a state in which there is the Ukrainian Autocephalous
Church” (Voloshyn, 1997: 43).
The euphoria of the first months of the German occupation intensified national
and religious processes; initiating within the Ukrainian intelligentsia a desire to create a
UAOC, which would be entirely independent of any foreign religious center.
However, while the supporters of autocephaly were debating for a considerable time
and condemning the activities of their opponents, the most favorable time for the
establishment of the UAOC was missed.
On August 18, 1941, at the regional Council in Pochaiv, archbishops Oleksii
Hromadskyi, Symon Ivanovskyi, Panteleimon Rudyk and Veniamin Novytskyi
44
proclaimed the creation of the Autonomous Orthodox Church (AOC) as part of the
Moscow Patriarchate headed by Archbishop Oleksii. They decided to base their
activity on the principles of autonomy that had been sanctioned by Patriarch Tikhon
and the All-Russian Bishops’ Council of the Russian Orthodox Church (ROC) in
1918. According to the decision of this Council, only the election of the ruling
metropolitan of Kiev and Galicia had to be approved by the Patriarch of Moscow. In
everything else, the Orthodox Church in Ukraine was given complete independence.
Therefore, the AOC used its canonical ties with the Moscow Patriarchy only as a
nominal cover, and there were no official contacts during the occupation period.
According to the Canadian historian Oleh Gerus, Archbishop Oleksii viewed his
connection with Moscow as a necessary tactical formality to avoid accusations of non-
canonicity (Gerus, 1985-1989: 102). In fact, the Pochaiv resolutions being recognized
neither by Warsaw nor by Moscow, marked the beginning of the institutional split in
Ukrainian Orthodoxy during the war years.
The relationship of the UAOC with the Warsaw Metropolitanate

Today, most researchers associate the founding of the UAOC in 1942 with the
so-called decree of the Warsaw Metropolitan Dionisii Valedynskyi that was
promulgated on the 24th of December, 1941. In his letter to Archbishop Polikarp
Sikorskyi, he stated: “At the request of Orthodox Church Councils of Volhynia from
this December 14, I decided to create the Temporary Administration of our Holy
Autocephalous Orthodox Church in the liberated Ukrainian lands. I appoint your
Excellency to be the Temporary Administrator, and I ask you to cooperate with His
Eminence Archbishop Olexandr. I ask you to inform me immediately about all your
projects and orders to provide them with the final canonical sanction” (AWMP;
Smyrnov, 2009: 257–259). The creation of the Administration of Warsaw
Metropolitanate during the war initiated the process of the institutionalization of the
Ukrainian Autocephalous Orthodox Church in the Ukrainian lands. In the Ukrainian
church historiography, the term “UAOC of 1942” is commonly used to define this
ecclesial structure. It was often used by historian Ivan Vlasovskyi in his writings as
opposed to the term “UAOC of 1921” (Vlasovsky, 1998: 365, 371).
As for the relations with the Warsaw Metropolitanate, in his opinion, the
jurisdiction of Metropolitan Dionisii “was reduced to the spiritual guardianship over
the Ukrainian autocephalous (de facto) Church” (Vlasovsky, 1998: 226). The official
Primate of the Ukrainian Church, Metropolitan Dionisii, was not able to fulfill
canonical hierarchical functions. Therefore, even though the UAOC formally
remained within the Orthodox Church in the Generalgouvernement, it can be
considered a self-contained ecclesiastical body with its Council of Bishops wherein
Archbishop Polikarp Sikorskyi as administrator.
I. Vlasovskyi also notes that on July 28, 1942, the UAOC Administration sent the
“Temporary Statute of the Orthodox Autocephalous Ukrainian Church” to the
Reichskommissariat, and provides a detailed description of this document (Vlasovsky,
1998: 226-227). A copy of the Statute that guided the activities of the UAOC prior to
the convening of the first Local Council can be found in the Archives of the Warsaw
Metropolitanate. Certain provisions of the document which I. Vlasovskyi passed over,
45
are worthy of attention. First, as it stated, the Church “in its internal life enjoys the full
freedom of government within the limits of the state legislation, and in particular, of
this statute.” Second, the administrating Bishop “enjoys the rights of the regional
Metropolitan, that is, according to Apostolic Canon 34 he is the first Bishop, its
supreme governor and representative in all external and internal relations of the
Church.” (AWMP). Thus, the latter gives grounds to assert that the leaders of the
national religious movement saw their Church as being local and independent since
without an independent Bishop there could not be autocephaly.
At the same time, from the point of view of the canonical law, the UAOC was
only a brand. Legally, its canonical status was more similar to autonomy. Unlike the
1920s, autocephaly was never proclaimed in the 1940s, as Ukraine did not have its
own statehood. As can be seen from the decree and other historical sources, all major
events in the life of the Church, in particular the creation of the hierarchy of the
UAOC, took place with the blessing of the canonical leader, the Warsaw Metropolitan
Dionisii, whose name was to be mentioned by bishops in all the cathedrals of the
UAOC.
The bishops realized that the vulnerability of UAOC’s canonical status required
ecumenical recognition, which is why on December 18, 1942, Archbishop Nikanor
Abramovych wrote to Metropolitan Dionisii Valedynskyi: “Your Excellency, would
you not consider it timely and appropriate to introduce the Ukrainian Orthodox
Church to other sister churches as an equal autocephalous unit. At the same time, as it
is obvious, that you, as the First Hierarch and the head of our mother's church, ought
to bless the Ukrainian Orthodox Church for the autocephalous life until the “red
patriarch” has blessed it for our Moscow breakaway section.” (AWMP).
Back in late December 1941, Archbishop Palladii Vydybida-Rudenko stated that
due to the lack of Ukrainian statehood, Fanar would not dare to grant autocephaly to
the Ukrainian Church. Only Valedynskyi, having declared himself Metropolitan of
Kyiv and all Ukraine, can help in this matter (CSAPOU). In his turn, the Metropolitan
of Warsaw made known that the Ecumanical Patriarchate of Constantinople is
watching with great interest events in the church life of Ukraine and supports the
“church-canonical policy” of Dionisii. The latter insisted that autocephaly should only
be obtained in a canonical way on the basis of the patriarchal and synodal-canonical
Tomos of the Ecumanical Patriarchate of 1924, but did not propose any model for the
constitution of the Ukrainian Church, as he was waiting for the end of the war
(AWMP). Furthermore, Fr. T. Minenko believed, it was the different views of the
Orthodox hierarchs on the autocephaly of the Polish Church that became the center
of discrepancies and the true cause of the institutional split in Ukrainian Orthodoxy.
Dionisii, Hilarion and Oleksii were also inclined to accept that the different views on
autocephaly led to antagonistic conceptions during the Church's revival in Ukraine.
Formation of the canonical episcopate and admission of “Lypkivtsi”

The new UAOC relied on the ideologeme of a sustainable development scenario
within the Ukrainian Christian community, that recognized the priority of the
traditional canonical formation of the episcopate. It renounced the modernizations of
the Church in the 1920's and constantly competed with the AOC headed by
46
Metropolitan Oleksii Hromadskyi, who was positioned as part of the Moscow

Patriarchate, but had no connections with it. This long-standing confrontation within
Ukrainian Orthodoxy should be regarded as the most consistent and institutionalized
conflict of identities in the search for corresponding models of a canonical system.
The cardinal political transformations in the modern history of Ukraine inevitably led
to the elevation of elements not assimilated by Russian Orthodoxy and the
actualization of the problem of the independence of the Orthodox Church in Ukraine.
This kind of process took place during the two world wars, as well as during the
collapse of the USSR. It is opportune to note that the centrifugal tendencies in
Orthodoxy during the Second World War were observed not only in Ukraine but also
in Belarus, Georgia, Estonia, Macedonia, Finland, and Croatia (Smyrnov, 2009: 150).
One of the most serious challenges for the UAOC was a catastrophic shortage of
bishops. Autocephalists were represented only by Archbishop Polikarp, and the
German authorities banned the hierarchs of the Generalgouvernement from visiting
Ukraine. Fr. Ilarion Brendzan, the head of the Ukrainian parish in France, was
repeatedly considered as a candidate to the position of a Bishop. However, this plan
was not implemented due to his illness. The situation on the ground was so critical
that Kyiv's “Lypkivtsi” threatened to repeat the 1921 act of ordaining the Bishop, and
the Kherson clergy was also ready to send their candidate for episcopal ordination
into one of the Orthodox countries of Southeastern Europe (SAKR: 110-110zv;
CSASBPGU: 26-26zv).
In this connection, in February 1942 in Pinsk, Archbishop Polikarp, with the help
of Olexandr Inozemtsev, the Archbishop of Pinsk and Polissia, initiated the ordaining
of bishops for the Ukrainian Church. The first to be ordained were Nykanor
Abramovych and Ihor Huba. In May 1942, a new group of hierarchs were consecrated
in Kyiv during the Bishops' Council of the UAOC. One of them was Stepan
Skrypnyk, the Ambassador to the Polish Sejm from Volhynia in the 1930's, and the
future First Hierarch of the Ukrainian Orthodox Church in the United States, the first
Patriarch of Kyiv and All Ukraine Mstyslav. The Kyiv Council validated the
recognition of the Metropolitan Dionisii Valedynskyi as the Locum tenens of the Kyiv
Metropolitan Throne. The protocols of the hierarchical ordination were sent to the
Warsaw Metropolitan, and he approved them in his letter dated June 16, 1942
(Vlasovsky, 1998: 223).
Modern Russian religious historiography continues to use the slogans of Soviet
propaganda about the non-canonical and graceless nature of the UAOC’s hierarchy.
Back in 1972, the Moscow Patriarch Pimen in a letter to the Ecumenical Patriarch
Athenagoras categorically declared: “Mstyslav Skrypnyk obtained the illegal
“Episcopal ordination” in May 1942 in Kiev from “bishops” Ihor Huba and Nykanor
Abramovych who were ordained in the same non-canonical way (Ap.35), as their
ordination was headed by the schismatic defrocked “bishop” Polikarp Sikorskyi”
(Zinkevych & Voronyn, 1987: 664). This thesis was repeatedly stressed by the highest
hierarchs of the Russian Orthodox Church.
An attempt to establish the theological and historical justification for the non-
canonical nature of the Episcopate of the UAOC was made by the Russian explorer
Vladislav Petrushko. However, his arguments are rather tendentious and often
47
remindful of well-known ideological stamps, such as: “UAOC became the ideological
inspirer of the atrocities of Ukrainian separatists, aimed, first of all, against their own
people”. The author bases his poorly convincing arguments on the popular myth that
in 1940, Bishop Polikarp together with all Orthodox bishops of Western Ukraine and
Western Belarus became subordinate to the ROC (http://archive.li/uU5P).
Nowadays it is well known that neither Oleksandr Inozemtsev, Archbishop of
Polissia and Pinsk, nor Polikarp Sikorskyi, bishop of Lutsk, went to Moscow for the
execution of a “prayer-canonical union with the Mother Church of Moscow” nor to
sign any written declarations about it. Due to such disloyalty, the first was dismissed,
and the other was out of reach to be punished (Mironowicz, 2005: 224; Stokolos,
2003: 291).
Very often, even in the works of such serious authors as the Russian scholar M.
Shkarovsky, it is possible to read that the UAOC consecrated married priests to be
bishops because it allegedly did not have its own monasteries (Shkarovsky, 2007: 450).
In fact, all candidates for the episcopacy without exception took monastic vows, as
evidenced by their obtaining a new name. And if, for example, the bishop of Taurida,
Serhii Okhotenko did not change it, that was only because on accepting monasticism
in 1919, he retained his previous name. Here it is worth recalling that the monasteries
of Derman and Bilivski Khutory in Volhynia belonged to the UAOC.
Thus, the analysis of historical sources does not support charges of noncanonical
episcopal ordinations of hierarchs of the UAOC. It is worth remembering that after
the war when in the ROC, the question arose what to do with Yurii Korenistov, who
had become the Bishop of Brest at Pinsk Council, it was decided after some reflection
that he was to be admitted to the Moscow Patriarchate without reordination. In 1995,
all clergy of the UOC in the United States coming from Metropolitan Mstyslav,
without any reservations became a part of the Ecumanical Patriarchate of
Constantinople. Therefore, the validity of their episcopal ordinations should not cause
any doubts. Emigrating to the West through Warsaw, in May 1944, all the bishops of
the UAOC received special certificates from Metropolitan Dionisii, which stated that
they had received canonical ordination with his blessing and, being in canonical unity
with him and the holy Orthodox patriarchs, they, “belong to the episcopate of the
Holy Ecumenical Orthodox Church” (Dublianskyi, 1962: 46).
Russian historians also blame autochephalists for the admission of the UAOC
clerics in 1921 “into their existing rank” (Pospielovsky, 1995: 212). Indeed, such a
decision was made at the Council of Pinsk, but, as Bishop Nykanor mentioned, the
admission of the “Lypkivtsi” clergy was made through a special procedure of
chirotesy. The formal basis for the admission of “lypkivtsi” clergy was Apostolic rule
52, that is based on repentance (Zinkevych & Voronyn, 1987: 687). Archbishop Ihor
Isichenko, referring to Fr. Tymofii Minenko claims that under the “existing rank” they
meant a rank in which clergy or laity joined the UAOC of Metropolitan Vasyl
Lypkivskyi. According to the memoirs of the then church figures and the preservation
of the accession of the “Lypkivtsi”, the bishop accepted the confession, read a
decisive prayer, and then spoke the formula of ordination, “Divine Grace which
always heals the sick and supplies what is missing...” (UAA). Autonomists saw this as
a departure from Orthodox sacramental practice, that does not permit the
48
combination of the sacraments of repentance and conscience, however, it was in this

way that the “Lypkivtsi” clergy’s consecration “was completed.”
As for Yurii Teslenko and Mykhailo Maliarevskyi, bishops of the UAOC of 1921,
we know very little about their activities during the German occupation. According to
Fr. Mytrofan Yavdas, they simply refused to repeat the procedure of consecration.
Mykhailo Maliarevskyi agreed to conduct worship services with the status of a priest
and served as a protopriest in Vasylkiv, near Kyiv. It is also known that Yosyf Oksiiuk
renounced his priesthood and served punishment in Kolyma until 1945. Metropolitan
Dionisii had a wary attitude towards married bishops and refused to admit them “into
the existing rank.”
“Lypkivtsi” clergy as a whole were never deemed heretical. Therefore the
admission of these clerics to the fold of the Orthodox Church does not seem to be
anticanonical, and any succession of the two Autocephalous hierarchies is not the
subject of discussion. A vivid confirmation of this is the reconsecration of the last
“Lypkivtsi” bishop John Teodorovich, which on August 27, 1949, was carried out by
Archbishop Mstyslav Skrypnyk and exarch of the Alexandrian Patriarchate in
America, Metropolitan Christopher Contogeorgios. In this regard, it is desirable to
avoid exploiting the so-called concept of the three revivals of the UAOC, since it does
not correspond to historical reality.
Collaboration with Germans

The main element of the Soviet propaganda aimed against the autocephalous
movement was the constant accusation of their collaboration with the Nazis. The
topic of Ukrainian collaboration is reflected in the works of Ukrainian and foreign
historians. At the same time, the diversity of manifestations, ambiguity and
contradictory nature of the phenomenon of collaborationism make it difficult to
objectively study and comprehend the socioeconomic and socio-cultural life of the
population in the territories occupied by the Nazis and causes some uncertainty and
politicization of the very definition of Ukrainian collaborationism. The definition
delineates the limits of what behavior is considered collaboration and what is not. It
remains debatable whether collaboration was undertaken in the service of the German
occupation administration or only due to excessive zeal in this service. Does the
collaboration include the work undertaken in assisting committees, publishing houses,
church institutions, public organizations? (Motyka, 2002: 211-213).
In this context, it is worth mentioning K. Berkhof's advisement to refrain from
using the words “collaboration” and “collaborator.” The author rightly points that
these words always have the connotation of “betrayal” (Berkhoff, 2004: 4-5) However,
if K. Berkhoff tends to avoid the term “collaboration” (which supposedly removes the
problem of finding out the whole discourse around it), O. Melnyk seeks to interpret it
historically, showing the specificity of its usage in various ideological and socio-
political contexts. This approach also involves paying attention to the personality of
individual “collaborators” and to the local context in which these people acted.
According to O. Melnyk, “in addition to enriching our understanding of the problems
of everyday life in Europe under Nazi occupation, such a perspective will help to get
rid of the political unidimensionality of the politically colored terms of “resistance”
49
and “collaboration”, and make more apparent the inadequacy of our present
conceptual apparatus” (Melnyk, 2008: 282). It needs to be made more obvious that
when considering the activities of each collaborator, it should be found out whether
he or she personally did or didn’t commit war crimes or crimes against humanity.
Returning to the UAOC, it is worth noting that it was supported by the Germans
only till the spring of 1942. Afterwards they began to carry out an equidistant policy,
and gradually the Autonomous Orthodox Church became a favorite (Berkhoff, 2002:
536-540; Heyer, 1953: 212-218). It should be emphasized that the hierarchs of both
jurisdictions were forced to sign archpastoral appeals containing obeisance towards
the occupiers, to pray for the German authorities and army during worships, and to
encourage young people to go and work in Germany. Undoubtedly, these were
“forced steps” taken in the struggle for survival after being caught between “the devil
and the deep blue sea.” During this time the most persecuted by Hitlerians were
autocephalous bishops, in particular, Mstyslav Skrypnyk, Hryhorii Ohiichuk, and Fotii
Tymoshchuk, who even had been in German custody for some time.
Ukrainian historians Y. Voloshyn and V. Pashchenko do not rule out that many
UAOC clerics who were opponents of the Soviet power, either voluntarily or
involuntarily actively collaborated with the Nazis (Voloshyn & Pashchenko, 1996: 21).
According to H. Fireside, they were a distinct minority: “In the Ukraine they appear to
have been limited to a few of the “carpetbaggers” who had been funneled into the
province by Bishops Seraphim, Polikarp, and Hilarion and who had been given their
marching orders by Ostministerium officials intending them to be a fifth column for
the takeover of the church and initially promoted by the Reichskommissariat in aid of
its divisive policies” (Fireside, 1971: 155).
The Collaborationism of UAOC

Analyzing the relationship between the autocephalous clergy and the German
occupation authorities, one can hardly agree with the categorical interpretation of
their collaborationism as a “treacherous step.” They had to maintain contact with the
Nazis, to make faorable mention of the German government during worship services,
to publish Pro-Nazi materials in the press, and to sign the pastoral addresses with
obeisance towards the occupiers. In particular, we should mention the telegram from
Bishops Nykanor, Ihor and Mstyslav to Hitler on June 22, 1942, in which they
supported the cause of “defense of the honor of the German people and the
liberation of mankind from godless Jewish-communist enslavement” (SAKR: 74;
CSASBPGU. F. 4398. Op. 1. Spr. 4. Ark. 180). Back in 1941, Archbishop Polikarp
blessed his parishes and urged its members to pray during the liturgy for the
authorities in accordance with the following formula: “The Supreme Leader of the
German people, the High Government and his Christ-loving army may be
remembered by the Lord...” (AWMP). On May 16, 1942, Polikarp published an appeal
to the flock, encouraging young people to go to work in Germany: “At the call of the
German authorities to leave for work in Germany, the Ukrainian people must
massively respond, considering it as their sacred duty and honor to give them a worker
for the anti-communist front of labor. I call on my flock for this; and to all the honest
clergy I also ask them to explain to their parishioners all the favorable conditions and
50
rewards, which will benefit not only the workers in Germany but will also enable them
to provide for their families that remain in place. May the Ukrainian peasantry and
workers know that with their intense work, both at home and in Germany, in these
great historical times, they will contribute to a better future of the whole of Ukraine”
(SAVR). Undoubtedly, these were forced steps in order to survive and support the
national movement under the occupation regime.
The former Autocephalous Bishop Manuil Tarnavskyi, who moved to the
jurisdiction of the Autonomous Orthodox Church, was executed by the Security
Service of the Ukrainian Insurgent Army for writing denunciations to the Gestapo on
Ukrainian activists in Volodymyr-Volynskyi. Deprived of his rank, Fotii Tymoshchuk,
the Bishop of Zhytomyr and Vinnytsia, received support from the General
Commissioner E. Leiser, who acknowledged him as “the highest representative of the
Autocephalous Orthodox Church.” However, having refused to cooperate with the
Gestapo, he spent nine months in Zhytomyr prison. In March 1944 he was recruited
by the People's Commissariat of State Security for the operational work on priests;
later he was sentenced to 10 years in labor camps (SSASSU. F. 6. Op. 1. Spr. 75682fp.
Ark. 127).
The autonomists’ attitude towards the occupiers

For the sake of justice, it should be noted that representatives of the AOC also
cooperated with the German occupation administration. In particular, in September
1941, during the mass pilgrimage to Pochaiv, Archbishop Oleksii prayed for Hitler
and the German army. In his sermon, he “demanded that they always remember in
their prayers the Führer, the most brilliant leader of today, and the German people.
The blood sacrifice of the German people should never be forgotten. He and all
Ukrainians, he said, wanted the intentions and thoughts of the Führer to be realized in
full.” (Berkhoff, 2002: 536-540). According to Bishop Pankratii Gladkov, at the end of
1941, the Pochaiiv Lavra donated the German army 100,000 kilograms of apples,
honey, and other products (SSASSU. F. 6. Op. 1. Spr. 75633fp. Ark. 23). The dean of
the cathedral in Zhytomir Fr. Yosyf Yakubovskyi gave the police a list of 250 to 300
Jews who wanted to be baptized. After that, they were executed (SSASSU. F. 6. Op. 1.
Spr. 71152fp. Ark. 26-27, 34).
In May of 1943, Panteleimon Rudyk, the Administrator of the Kyiv Eparchy of
AOC, posted a message “Against the Anarchy of the Evil Spirit” where he
emphasized: “The great German people, led by its Führer, has taken upon itself leadership in the
present-day holy war against the bloody violators and enemies of all mankind. This struggle has as its
aim the liberation not only of our Ukraine but of all of Europe from the Red serpent that is shedding
the blood of innocent and defenseless people, bringing physical and spiritual slavery, injustice and
death. It is our duty to help our liberators in any way that we can, above all with conscientious labour,
honest observance of all of the authorities’ orders and maintenance of order” (SSASSU. F. 13. Spr.
376. Т. 84. Ark. 10-10zv).
In the years of occupation, the priest was in a difficult situation, feeling pressured
both by the occupation authorities and by the nationalist and Soviet underground.
Therefore, each pastor chose his own model of behavior, which was determined by
his convictions, life experiences, general culture, and so on. Newspapers of that time,
51
especially during the first months of occupation, were stuffed with a number of open
letters, appeals, notes, in which the highest clergy expressed their sympathy with the
German authorities. The question of how much they corresponded with the true
views of the Orthodox hierarchs and influenced the formation of the position of the
parish priesthood is rather controversial.
After registering their activities with the occupation authorities on the ground, a
large part of the clergy was forced to sign the “the vow of obedience” to the new
authorities. Also, the occupiers scrutinized the pastors, recruited informants among
their own entourage, who monitored the accuracy of their following the government
decrees. However, according to German documents, parish clergy often tried to
circumvent the prescripts of the authorities or complied with them “only partially.”
The occupiers considered that the main reason for such actions was the negative
evaluation of certain “pro-government sermons” of the priests by their congregation.
In the first place, these were appeals to help the German Army in the regions where
most of the men, sons, and brothers of the parishioners had been mobilized into the
Red Army, and to “voluntary consent to leave for Germany.” In such areas, Church
attendance declined, and the authority of the priest drastically reduced.
It should be emphasized that often, in private conversations, the failure to obey
or partial compliance with government orders was explained by the clergy with their
inconsistency with Christian traditions and norms. This was particularly evident in the
attitude of the Orthodox clergy towards the destruction of the Jewish population by
the occupiers. Despite the prohibition, the priests continued practicing the sacrament
of baptizing Jews and giving them Christian names, which greatly complicated the
definition of the nationality of the baptized.
Conclusions
Thus, the UAOC of the 1940s is not a sectarian and collaboracionist group, but
an independent Church with canonical bishops, which through the Warsaw
Metropolitanate was in eucharistic communion with other local churches except the
Moscow Patriarchate, which up to 1948, did not recognize the Polish autocephaly.
The only one hierarch of the UAOC of 1942, Bishop Mstyslav Skrypnyk returned to
Ukraine and was directly involved in the revival of the Autocephalous Church and its
new episcopate.
The restoration of the Soviet power led to the destruction of the UAOC and the
AOC and the incorporation of their institutional structures into the Moscow
Patriarchate. Deprived of the spiritual guidance, isolated from the Diasporic Churches
and persecuted by the punitive and repressive system, the autocephalists, unlike the
Greek Catholics, were unable to preserve their Church in the underground and were
doomed to disappear from the religious map of the Ukrainian Soviet Socialist Republic.
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Polska – Ukraina: trudne pytania, 9, 211-227.
Petrushko, V. (2009). Autocephalous divisions in Ukraine, and the problem of its
overcoming: the canonical dimension. Retrieved Fabruary 16 2019, from
http://archive.li/uU5P.
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SAKR (State Archive of the Kyiv region). F. 2412. Op. 2. Spr. 199. 174 ark.
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53
54
WITH VIGILANT CONCERN: THE DEBATE

ARISING FROM THE SPANISH FILM CENSORSHIP LAW OF 1963
IN THE WRITTEN PRESS
Fátima Gil Gascón*, Manuel Gómez Segarra**
Abstract
This article aims to analyze the newspapers and magazine’s opinions gathered in relation
to the appearance of the censorship laws of 1963.The publication of the code generated an
intense debate between two different positions: the official one promoted by García Escudero,
general director of cinematography, and the one defended by the most reactionary groups,
composed by the parents and some members of the ecclesiastical hierarchy. The discussion,
which never addressed the possible suppression of coercive measures, mainly focused on three
aspects: who should exercise censorship, what was the role of the viewer and where were the
boundaries of it.
Key words: Censorship, cinema, mass media, Francoist regime, laws
Introduction
Cinema was one of the main sources of entertainment for Spaniards during
Francoism. This is clearly demonstrated by the fact that, between 1938 and 1948,
thirty-eight screening rooms were built in Madrid, as opposed to only twenty-five
churches (Montero, 2002: 180). In a country self-proclaimed as the “spiritual reserve
of the West,” this circumstance provides abundant proof not only of the silver
screen’s high popularity, but also, and especially, the huge relevance it was given by
the State.
Franco’s regime used films as an effective propaganda system. This was a
seemingly harmless way to indoctrinate the population with the principles of the
“New Spain”. To this end, he orchestrated an industrial scheme whose main
repressive entity was the Censorship Board, which controlled foreign and Spanish
productions. The former were not allowed to be shown in any Spanish cinema
without first having undergone scrutiny, and on occasion, censorship. The latter were
supervised throughout the entire process. First, the script was examined. Once
approved, the film was shot, and then inspected again by the Board.
Although the nationalists established censorship in the middle of the war (1938),
it was not until 1963, twenty-five years after its creation, that the first standards
regulating its operation were published. The code’s approval was fruit of the very
evolution of the regime itself. However, the request of different sectors (the industry
and family father associations (asociaciones de padres de familia), mainly) for a regulatory
code, along with the Viridiana case (Buñuel, 1961), helped to expedite its
proclamation. The regime’s apparent and planned opening-up to the outside world,
* Associate Professor, PhD, University of Burgos, Faculty of Communication studies, Parralillo
Street, s/n, 09002, Burgos, Spain, Phone: 0034653642906, Email: fatimagg@ubu.es
** Associate Professor, PhD, International University of La Rioja, Faculty of Communication
studies, Peace Avenue, 137, Logroño, Spain, Phone: 0034699937730, Email:

manolo.gomez@unir.net
55
beginning in the sixties, included shooting the first film directed by Buñuel in Spain
after the Spanish Civil War. The Dirección General de Cinematografía (General
Cinematography Directorate) believed that the film would be a good example of the
changes taking place and would also contribute to the Regime’s process of “cleaning
up its image”. For greater impact, they decided to submit it at Cannes, where it
attended as guest film. Although it won the Palme d’Or ex aequo, it caused such a
scandal in Catholic countries that L’observatore Romano and the Vatican condemned it
as blasphemous (Salvador, 2004: 10-48).
The controversy sparked by this film centred the debate on the need to regulate
film censorship, to avoid, as pointed out in an editorial piece in the newspaper ABC,
subjective rationale that could ruin a production. Since “there is but one moral law, yet
criteria for application may differ”, the publication requested that the moral
judgements affecting film works be shaped into objective standards (ABC 15 October
1961).
An article on the same topic published a few days later emphasised the need to
educate and teach through these rules which, far from an imposition, fruit of
consensus between the film industry on one side, and the Church and the State on the
other, should respect the following: “The important thing is film ethics criteria is not
to determine good or evil, but rather to create a righteous awareness of good and evil.
An educator’s most important task lies not in creating students endowed with
impeccability, but students who, and under any circumstances, cultivate a righteous
awareness of good or evil and attempt to do good” (ABC 3 November 1961).
This newspaper was joined by other voices. In the industry, directors and
producers asked that guidelines be published. Even the Confederación de Padres de
Familia (Confederation of Family Parents) sent a letter to the Director General of
Cinematography, requesting the publication of standards sufficiently precise and
specific “that, notwithstanding, do not require a meticulous, casuistic breadth, so
that both film producers and importers, as the entities entrusted with censorship,
have the suitable guiding elements to determine their actions” (Gubern and Font,
1974: 99).
In the summer of 1962, the government was restructured. Manuel Fraga was
elected as Minister of Information and Tourism, and he appointed José María García
Escudero as Cinematography Director. Six months later, 9 February 1963, the first
film censorship laws under Francoism were published.
This article aims to analyse the response of different political and social agents to
the publication of this regulation through information gathered from the written
press. While abolishing the regulation was never discussed (we must not forget that
newspapers were also subject to heavy censorship (Delgado, 2004: 224)), the news did
make evident that there were opposing positions. Some defended the project, but
others deemed the new regulation as too permissive. This diversity proved that cinema
was still relevant in terms of moral education, but it especially revealed the opposing
attitudes of different sectors regarding the regime’s subtle, yet undeniable,
liberalisation.
56
García Escudero’s “spirit”

Fraga’s tentative opening up to the world (which mainly took shape in the form
of the Press Law of 1966) could also be observed in film. This greater freedom was
even more evident when compared with the period under the previous Minister of
Information and Tourism. With good reason, these years saw the popularity of the
sentence “con Arias Salgado todo tapado. Con Fraga hasta la braga (Everything locked down
under Arias Salgado. But Fraga even shows panties)” (ABC, 8 June 1978). Although
vulgar, this sentence exemplified how detractors of the new censorship system felt
(they considered those who held control over film to be excessively permissive).
The main architect behind the restructuring of the entities repressing celluloid
was García Escudero, who drafted the first words of what would become censorship
regulations in different books and articles. Based on the idea that censorship should
be a consubstantial element of cinema itself, the Cinematography Director argued for
what he deemed intelligent censorship, adapted to its target audience.
Different viewers with different degrees of education and interests required
different levels of vigilance. Just as one cannot treat a child the same way as an adult,
one cannot be as permissive with neighbourhood film viewers as with film club
viewers (García Escudero, 1952: 177-197).
This heterogeneity made general censorship a necessity, one that could
encompass all kinds of viewers. It needed to be nuanced by another unofficial
censorship, for writers and critics, families and conversations, audiences, and, in short,
the entire country’s habits of thinking and feeling. This social control should force
government control to constantly evolve, so as to expand or moderate: “If social
censorship is lax, official censorship should act as a rear-guard, halting it; if censorship
is too narrow and fussy, official censorship should attempt to expand it” (García
Escudero, 1952: 182)
Intervention in film played an educational role, insofar as it responded to the
expression of thought of a Government that could be reactionary, but also innovative
(García Escudero, 1958: 65). Broadening or reducing its scope, based on the interests
of the government itself, allowed society to modify the scope of what was permissible.
In this regard, cinema was considered a magnificent laboratory, a training field
where individuals could contemplate the implications of fictional actions whose real-
life could be disastrous. For this reason, depicting evil and its consequences appeared
not only pertinent, but also necessary. Far from moralising lessons, unseemly conducts
should not be resolved by an ending making them an example to follow; rather, they
needed to be shown realistically, but without drawing sympathy or winning over the
viewers. In short, this is because “censorship is removal of the danger, when it is
morally certain that it will occur, or when found next to good, there are serious
probabilities that the worst shall prevail” (García Escudero, 1953: 176).
Censorship standards
The annual directory of Spanish film published in 1963 presaged not only the
code’s upcoming publication, but also the concept upon which it was based:
“There is an apparently strong trend in Spanish public opinion based on the need
or convenience of structuring (standardising) certain bases, a code or regulation for
57
cinematographic ethics. We believe that it is necessary to find a point of balance in

film production, between the necessary freedom of artistic expression and the need to
act as guardian over shared feelings on morals and customs. If such an important
study were to be materialised, the process would clearly require time and meditation”
(Sindicato nacional del espectáculo, 1963: 1173).
To write this regulation, as stated by the magazine Film Ideal (num. 117, May
1963), around one hundred representatives from different social, ideological and
professional tiers were consulted, with whom all articles were debated. In the same
fashion, several drafts were written that defined the ideological principles upon which
the text should be based, and the encyclicals Vigilanti cura and Miranda Prorsus were
consulted, as well as regulations in different countries, such as the USA, Canada,
Japan, Egypt and Germany (Dichos y hechos, num. 330, May 1963).
The regulation did not introduce great changes to previous approaches. In other
words, after over two decades of dictatorship, filmmakers were aware of both the
essence of the regime, and the limits within which it took action. Notwithstanding,
having recourse to a regulation that could be used in the event of a claim or
uncertainty was an important progressive development.
The text begins with a statement of intent: the work would not be unnecessarily
mutilated, with preference being placed on total prohibition over partial modification.
This idea, which may seem negative due to its restrictive nature, was in response to the
many attacks launched against the quality of Spanish cinema. They were based on the
Board members’ authority to modify the work: “press censorship allowed criticism, at
times very harsh, of scenes or situations that were included under recommendation of
Censorship Authorities, against the criteria of the director or producer of the film”
(Uniespaña).
According to this text, censorship’s intent was still to set an example. Evil was
not forbidden from the screen but could be shown provided it was not justifiable or
displayed in an attractive fashion, or no attempt was made to resolve it at the end of
the plot. It had to be counteracted by positive elements that helped the viewer to
understand the difference between them both.
The main issue with these standards was the use of vaguely-defined moral
language. General standards used a series of expressions none too objective, such as
“morally reproachable” or “individual scourges”, whose meaning could only be
understood in relation to a certain context. This ambiguity endowed members of the
Board with a certain ability to take action, as once again, they made themselves to be
as judges of what was permissible. In this regard, García Escudero’s words are of
note, who stated that the regulation, to “to shun trivial, counterproductive and puritan
case-by-case analysis, must consist of broad formulas, to guide those who apply them
without oppressing freedom of criteria” (García Escudero, 1962: 46).
In addition to these generic provisions, there were applicable standards that were
much more specific, focused on aspects susceptible to prohibition and reinforcing the
limits of acceptability. Thus, suicide, homicide, divorce, sexual perversion, crime
(provided it was detailed) and blasphemy were classified as unacceptable elements, and
therefore inadmissible in a film (Official State Gazette 9 February 1963, qtd in
Martínez de Salinas y Mendoza: 1965, a).
58
Reactions to censorship regulations

Under the dictatorship, there were two kinds of newspapers. Official papers,
published by the State and including over forty publications (of which Arriba, Pueblo
and a good number of local papers are of note), and private papers. Although all of
them were subject to government censorship, the former communicated the regime’s
ideas, while the latter could have an editorial line, although within very narrow limits
set by the people in power. In this regard, ABC projected a monarchical conservative
ideology, Arriba was closer to popular syndicalism, and El Alcázar and Madrid took
positions closer to Opus Dei’s Catholicism (Dávara: 2005, 131-147).
Reactions to the long-awaited censorship regulations were immediate. Almost
every newspaper wrote different articles on the issue, and opinion on the code became
a regular question in the specialised press. Interest remained high even months after
publication, when the pertinence of the regulations could be discussed with concrete
data.
The press took two opposing positions: those satisfied with the regulations and
their content, and those who were clearly against them. This latter sector included two
radically different groups who were opposed for very distinct reasons.
Firstly, there was a faction comprising the most critical voices of the regime,
especially members of the industry who fought to suppress censorship which, in their
eyes, stunted the artistic capacity of filmmakers. From this point of view, although
creating regulations was a small step forward when proposing an audio-visual project,
because it established a legal framework to which one could have recourse in the event
of disagreement, it also helped to strengthen and legitimise the system. This
collective’s feelings can be seen in the responses given by actor Paco Rabal to the
survey conducted by Pueblo on the issue. The actor stressed the idea of the Spanish
Board’s severity, which he considered negative since “censorship that is too
demanding and impassable ends up harming works of art, and of course, everyone
participating in them”. Despite this, Rabal showed his surprise over a text he initially
disliked, but which he believed was being implemented in practise with a broader
criteria than expected (Pueblo, 11 April 1963).
As can be observed, the most critical group voiced its disagreement (we must not
forget that the regime could allow certain dissidences, but always perfectly under
control) in a shallow way in interviews and comments. Despite this, this sector had
not participated in the debate sparked by the code’s publication, since discussion was
focused on the limits of censorship, not on its abolition, which is what they
advocated.
The other extreme consisted of the most conservative Catholics (mainly members
of the ecclesiastic hierarchy and the (Family Father Association) (Asociación de Padres de
Familia) who deemed the text excessively permissive. This group did clearly share their
discomfort through the press, the pulpit and church publications. The reactionary
concept held by this sector of art (with important figures, such as the bishops of
Canary Islands, Bilbao, Caceres and Barbastro) was in stark contrast to the opinion of
a large part of the Church. It especially ran against the opinion of priests who were
members of the administrative bodies in charge of cinematography. Much more
learned in film, their vision was less prude than the other group (Nieto Ferrando,
59
2012: 855-873).
For its part, the official position had struck a difficult balance. On one hand, the
need for control over the silver screen was reaffirmed, but on the other, and as can be
seen in statements made in 1964 by Fernández Cuenca, director of the San Sebastian
film festival, the progressive nature was grounds to boast: “Today, Spanish censorship
is conducted under wholly indulgent criteria. One figure will give you a good idea as to
the extent of this. Out of fifty films previously prohibited, forty-six are currently
authorised for projection. Moreover, and under no circumstance, do any restrictions
or cutting that may occur alter the work’s narrative coherence” (Film España, num. 3,
1964).
The debate, a harsh dispute between the most fundamentalist collectives and
official stances, was mainly focused on three aspects: who should wield censorship,
what the viewer’s responsibility toward censorship was, and what the limits should be.
While the movement press (Pueblo, Sur, Levante, etc.) defended the administration’s
position (Martínez, 2016: 485-507), Catholic publications (Eclessia, Signo, SIPE, Diario
regional, etc.) put forward that film was seemingly immoral, and demanded greater
participation in decisions over what could be seen and what could not.
They were based on the idea that true control should be exercised by and within
the family: “One must be convinced that vigilance and censorship over non-sport
spectacles, cinema, theatre, television and reading falls on the primary social body,
which is the family. And on each individual’s conscience when they have grown into
adults” (Ecclesia, num. 1131, 16 March 1963). The control wielded by the
administration proved insufficient, since universal measures needed someone to
correct and steer them, depending on the different types of viewers. In this regard, the
State’s intervention acts as distrust of the social reality that should be exercising the
control: the family (Familia española, May 1963).
Multiple articles stressed this point, even suggesting the need for different types
of vigilance, depending on the viewer’s nature or zeal. With good reason, as stated by
the publication SIPE (May 1963), “Official state censorship’s mission is to scrutinise
and act as guardian in a broad manner, and not in an exclusively religious or moral
sense”. In other words, official censorship can err (and does err) on the side of laxness
insofar as it must take responsibility for general issues, those that affect the common
good of Spaniards, heeding to broader approaches, as opposed to other restrictive
methods that should take responsibility for the personal sphere.
“If the State’s duty is to keep watch over public morality, its mission must not
reach certain extremes. There is religious censorship, then censorship that must be
exercised by parents, and self-censorship, to which the public is not accustomed,
perhaps due to the rigour of the previous state censorship” (SP, 1 May 1963). Since it
did not tower over as a leader of the most conservative Catholic principles, State
control was deemed insufficient for a large part of the population, whose desire was
for several types of control to exist at once. Given that this issue includes several
layers and phases in vigilance, it led to a new idea that revolved not so much around
the executor power of censorship as to the very nature of censorship itself: to which
extent the viewer (and by extension, society as a whole) must be, and was, responsible
for what one viewed.
60
Given this conflict, the Diocesan Review Board of the Brotherhoods of Madrid
commissioned Reverend Martín de Castro with a conference, reported by Más in its
May 1963 edition. The priest defended self-censorship, meaning personally
establishing limits, as the desirable condition when viewing spectacles. However, he
stated, that this was currently unthinkable, given the imperfect education of ninety
percent of Spaniards (Mas, May 1963).
Many clamoured for a more active attitude on the public’s part. In a certain way,
the publication of such broad censorship laws allowed viewers to exercise a minimum
of freedom that would be unthinkable in other contexts. This is what the
Cinematography Director stated at the 8th International Week of Religious Film and
Human Values:
“How many, deep down, would rather not be permitted than to desire, and thus
intend that those up top solve all their issues, saving them the effort of properly
educating themselves, the responsibility of deciding, the risk of taking the wrong step
and even the freedom to obey and disobey, forgetting that, as we were reminded
yesterday by a young Italian producer, if truth is freedom, then freedom is truth or (if
we wish to be specific), and might we say that one must go to truth in freedom?”
(Revista internacional del cine, num. 42, July 1963).
For the official stance, the censorship enacted in Spain was pertinent, at least
after regulation, because it provided the individual with a certain autonomy, although
they were also asked to recognise their own responsibility. As journalist Cecilio
Alonso defended, the intent was to impose “adult cinema for adult minds” (La marina,
15 May 1963). His attitude was therefore less paternalistic, insofar as he considered
the viewer of legal age to make and come to terms with their own decisions. Decisions
that the viewer made, we must not forget, within a completely watched-over and
controlled context. This new way of understanding the public, as an individual capable
of discerning between right and wrong, is also to be observed, as stated in the
publication Sur (3 April 1963), in forsaking the pretence that viewers were suddenly
scandalised, when minutes before they were criticising how parts of films had been
cut: “I believe that what censors are asking of the Spanish people is that we not be so
spiteful, have more good faith and not be so moralising: they are more competent
than we, and we are just fine in their hands”.
With this system, being scandalised after selecting, paying for, and viewing a film
rated by the Church as a four, was clearly hypocritical. This was the statement made in
an article entitled “Padre de familia (Family Father)”, published by the newspaper Pueblo
after the note sent by this collective to the press, sharing their alarm over existing
freedoms in this regard. This text is a good example of the confrontation between the
two opposing stances: “Parents of families are getting all alarmed. Is their fear
justifiable...? Let us calmly examine the issue. As far as their children are concerned,
parents of families can still rest just as easy, given that the shows that may be deemed
dangerous are not “suitable for minors”. As far as their sons who are already grown
are concerned, and along with their respective wives, the ratings “3R” (adults with
caution) and “4” (seriously dangerous), already warn possible viewers. All fathers of
families must do is refrain from taking them to view films or theatre plays thus rated
so they can remain just as calm as ever” (Pueblo, 4 April 1963).
61
The underestimation of a seemingly undereducated audience inevitably meant

that control was required over the films being shown. Very deeply-rooted in the most
conservative sectors, this idea was defended by Father Espinosa Cañizares, and others:
“… These projections are viewed by those would call themselves front-line Catholics.
With their attendance, they lead so many other simple people astray, for whom the
argument of authority remains entirely in force” (Informaciones, 12 April 1963).
Especially bearing in mind that, as stated by La Vanguardia (num. 164, June 1963) “the
audience fond of film is none too scrupulous with morals and their conscience”.
The code was mainly criticised for its permissiveness. According to some
newspapers, Spanish screens were suddenly filled with immoral acts, even before it
was physically possible for a film censored under the new regulation to be screened.
These accusations opened up an old debate the directly alluded to the limits of
censorship. Specifically, the suitability of showing evil, or not.
Articles published in the press show the huge difference in opinion as far as this
issue is concerned. For some, censorship’s main mission should be to prevent viewers
from seeing situations that could disturb or make them uncomfortable. These
situations could also incite the viewer to commit a sin or a crime. For this reason, a
great number of opinions called for suppression of what was called at the time “asuntos
fuertes (heavy issues)”. “For those to whom they are unknown, we run the risk that
these moral blemishes may become something to be desired by beings who are not
well-instructed and with a deficient mind”(Isla, 6 May 1963). Some were much more
critical and were truly indignant over what they considered to be rubbish that
“repulses, wounds and offends”: “We are perhaps being told of aesthetic values, of
hidden messages amongst the poison, of a delicate fragrance in pestiferous scenes. So,
is this art? So, is this beauty? This is lewdness, shamelessness, and, in many cases,
scandal” (Diario regional, 3 March 1963).
Some even say it is a scourge, responsible for all of society’s ills: “Because family
life registers the decisions of public power as a subtle seismograph: this deluge of
suppressed or scandalous divorces, and the most original of calamities of our times
(one of the most serious of all times), childhood delinquency, especially feeds off the
defects of censorship” (Hoja Diocesana, Barcelona, 31 March 1963). This sort of
cantankerous comment was not so much an opinion on the state of cinema as it was a
devastating critique of the Board’s action, since it was the Board, after all, who
permitted these stories to be shown.
The attitude of others was not so inflexible, and they understood that the
brazenness lay more in the observer’s desire to criticise than in the very object being
observed. “Given the new attitude of censors, we believe that the correct course of
action would be to allow this outbreak of measles to spread in its total and logical
virulence, leaving behind our fear of this deluge of “heavy issues”, which, if observed
with dispassion and a clean spirit, without worn-out nonsense, we will see that they
are not worthy of the uproar they have caused” (Pueblo, 2 May 1963).
For its part, the Estafeta literaria proved itself to be truly pragmatic. Since the
media had erased borders and it was now possible to become “infected” with what
was happening abroad, the proper course of action according to the article was to
adapt to what was out there, because it was truly not worth so much fuss: “Freedoms,
62
in the sense of the roughness of stone or unpolished rock or a pebble of a scandal,

should not be the subject of so much ado if compared with what is circulating
everywhere outside our country”(La estafeta literaria, num. 269, 6 July 1963).
During these months of upheaval, some priests, mainly Father César Vaca and
Father Carlos María Staehlin, both spokespersons of free appointment for the
Censorship Board, published different texts explaining and defending the body’s
stance regarding the three issues raised. For Father Staehlin, state censorship must
necessarily be different from ecclesiastic censorship. Firstly, because the state
censorship decided whether or not the project was to be carried out, including the
modifications it deemed pertinent, while religious censorship was limited to classifying
the material already filmed. One had to take action on the very elements inherent to
cinematography, while the other could focus exclusively on decency. Moreover,
because the target subject is different: the population as a whole, or members of the
flock (Razón y fe, May 1963).
For his part, Father Vaca, in a series of articles appearing between March and July
1963 in the newspaper Ya, explored the idea of self-censorship in further depth, with
one’s individual conscience as a transcendental element to resist falling into
temptation. He wrote, “All Catholics in the world, and non-Catholics but men who
wish to be moral, know that they must sidestep and avoid treading certain lands,
regardless of how legally permitted they may be” (Ya, 29 March 1963). According to
the priest, this temptation should not be viewed as the inevitable possibility of sin, as
those who criticised the presence of complex issues on the screen seemed to view it,
but rather as an opportunity to overcome said temptation (Ya, 24 May 1963).
Although he did not defend relativism, the clergyman believed that immorality
was oftentimes in the mind of the person qualifying the action, especially when it was
simplified and the circumstance not interpreted in its fair context (Ya, 5 July 1963).
For this reason, those who rose up as standard bearers oftentimes did not understand
that they were more dangerous than those demanding greater freedom since,
unbeknownst to them, they were erring on the side of excess (Ya, 10 July 1963).
Staehlin was clearly in favour of showing sin on the screen, because just as in real
life, the viewer should not be deprived of choosing between good and evil. For this
reason, it was necessary to confront certain human problems (and what better way
than in film) to discover (and thus be able to avoid) certain stumbling blocks. When
this idea is applied, a risqué film can teach a better moral lesson than an apparently
harmless film. Thus, it should not be considered that a film was immoral just because
one scene or image was, just as scandal could not be limited to the visual plane alone.
It was necessary to judge and view the work as a whole to ascertain its suitability.
Conclusions
García Escudero’s appointment as Cinematography Director ended a period
marked by a tendency toward the apostolate, where whitewashing works appeared to
take priority over the film’s qualities (Martínez-Bretón, 1987: 155). The 1960s baptised
a sort of cinema that not only used new technical resources, but that also began to
address, even in Spain, unheard-of issues such as divorce, abortion and nudity.
Although the films shown on the big screen were always under ironclad control, new
63
times (and new regulations) permitted topics that had previously been forbidden. As
long as they were condemned at one point in the story.
Thanks to the publication of censorship laws, film came to push the limits of
what was permitted under Francoism, at least on moral issues. In the way and in the
location where its limits could be pushed. Therefore, films were nothing more than
the visual manifestation of a dispute that actually revolved around acceptance or non-
acceptance of the apparent change in a regime that was slowly settling for
administrative support, and whose approaches began to bear new times and new
realities in mind. Underlying these debates was the concept of freedom, or more
specifically, the boundaries of freedom. This was because, barring exceptions, social
agents were engaged in dialogue in and around the limits of the small degree of
autonomy allowed by the dictatorship.
In the same fashion, the reactions of different groups, not only to the censorship
law itself, but also to its practical application, made further evident the existence of
different opinions that were controlled, yet still real. Their publication in newspapers
is especially relevant, since this media, just like film, was not only for expressing
opinions. They also formed said opinions. In this regard, it should be stated that the
censorship regulation gave way to a debate that would be more evident and tangible
after publication of the 1966 press law. For good reason, control over film, along with
informational policy or propaganda efforts, was one of the few spheres where power
disputes were permitted during the dictatorship (Sevillano, 1999: 147-166).
Different collectives pressuring the Board and its need to regulate was one of the
reasons behind creation of the regulation, and later publication of the new 1964
cinematography standards. While it is true that both texts were in response to popular
request, it is also true that they were part of the new Ministry team’s orchestrated
policy that was meant to be seen as progressive.
The sixties were times of upheaval. In Spain, including political groups that aimed
to promote a new image of the country abroad led to a certain turmoil in different
sectors. The different stances taken on what would be one of the first slightly
innovative measures provide a glimpse of the internal dissent. These measures were
minimal, given the characteristics of Franco’s political system. On one hand, those
most like-minded with the regime gave their acquiescence and respect to the policy,
with the understanding that it fell under accepted boundaries. On the other, the most
conservative saw their foundations begin to shudder, due to what they considered to
be excess independence. Publishing censorship regulations based on example more
than concealment pushed the two factions apart. Even though they essentially thought
the same, they were competing for the same slices of power. These differences grew
clearer as the decade wore on, and the clergy crisis highlighted even further the most
reactionary approaches in certain priestly sectors (Moreno Seco, 2002: 111-130). In
this circumstance, those most critical of the regime accepted the option as a lesser evil
while awaiting removal of the dictatorship.
64
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66
THE CONFERENCE IN MALTA (2-3 DECEMBER 1989)

AND THE END OF THE “COLD WAR” – PERCEPTIONS
IN EASTERN EUROPE
Adi Horațiu Schwarz∗
Abstract
At the beginning of December 2019, there will be three decades of one of the
international conferences that have been written in historiography that “have changed the fate
of the world.” The leaders of the two superpowers of the moment, US President George
Herbert Walker Bush (George Bush Sr.) and General Secretary of the PCUS, Mikhail
Sergeyevich Gorbachev, the USSR leader, decided to hold a bilateral meeting in the context of
the changes that had begun to take place in Central and Southeast Europe. This article will
attempt to explain to what extent the Conference in Malta (2-3 December 1989) led to the end
of the “Cold War” and the way in which talks and decisions concerning Central and Southeast
Europe were perceived between the two leaders in Malta. The article brings to light a series of
interviews, documentary testimonies, memoirs and historiographical analyses carried out by
Romanian and foreign historians on the events that occurred 30 years ago.
Key words: Mikhail Gorbachev, George Bush, Malta, Cold War, Eastern Europe, decisions
Preliminaries
It is generally considered that the Malta Summit was the moment when political
foundations for the “Cold War” were concluded. In support of this idea, we believe it
is necessary to understand the geopolitical situation in the world during 1989. The
USSR has undoubtedly lost ground both in economic terms and also in terms of
military action. Since 1975, when the American government decided not to fund the
national committees formed by representatives of the Central and South Eastern
European Diaspora, Washington DC’s strategies initiated economic development
through large-scale investments. They adopted this measure because the diplomatic
reports, syntheses, and analyses received by White House officials from US
government agencies based on data gathered on the ground by their agents showed
that the centralized Soviet economy, so praised by the official Kremlin propaganda,
demonstrated its limits of capacity and performance, entering a downward slope,
culminating in the crisis of the early 1980s, which the new leader of the Kremlin,
Mikhail Sergeyevich Gorbachev, who came to power in 1985, had tried to counter it.
In Afghanistan, US-led logistics forces (the Mujahedin of the People) had resisted
successfully in front of the Red Army, Afghanistan being for the Soviet Union exactly
what had represented Vietnam for the United States of America. Hence, the USSR
was to withdraw from Afghanistan. In 1988, the war between Iran and Iraq ended,
with Iran backed by the Soviets while Iraq and its leader Saddam Hussein had
benefited from US support. In Washington DC, Vice President George Herbert Bush
∗
Assistant Professor, PhD, University of Craiova, Faculty of Social Sciences, History
Specialization, No. 13, A.I. Cuza Street, Dolj County, Phone: 0040251418515, Email:
schwarz_adi@yahoo.com.
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replaced Ronald Reagan. The former was a combatant in World War II, and then head
of the CIA. Already on June 12, 1987, US President Ronald Reagan had spoken at the
Brandenburg Gate in Berlin, the famous speech that gave the following message:
“Secretary-General Gorbachev, if you seek peace, if you want prosperity for the Soviet Union and
Eastern Europe if you seek liberalization: come here to this gate. Mr. Gorbachev, open this gate! Mr
Gorbachev, tear down this wall!” (http://www.historyplace.com/speeches/reagan-tear-
down.htm). And things began to move to the detriment of Moscow. In the Kremlin,
“Glasnosti” and “Perestroika,” those measures by which the reformist leader Mikhail
Sergeyevich Gorbachev hoped to “humanize” the communism that had entered into
agony, did not produce the expected results. The Soviets were facing an economic
crisis, as well as the failure in Afghanistan. However, the coming to power of Mikhail
Gorbachev had given hope to the peoples of the “socialist camp”, being considered a
true “Messiah”. It is good to quote here a fragment from the interview given by the
poet Mircea Dinescu to the French newspaper “Liberation” on March 17, 1989. The
newspaper was a center-left one, which attracted Mircea Dinescu the forced domicile
in the Dămăroaia neighbourhood in Bucharest: “For years we have been told, in a low voice
and around the bush, that the Romanian system would be liberalized, but it cannot because of the
bear from the east. And the people believed. Soviet troops are manoeuvring at the border of Romania.
This is the phrase by which our officials fooled us whenever we tried to move a little. Gorbachev’s
emergence, with his stunning reforms, brought to light the fact that the pretext of the Moscow-based
scarecrow met marvellously with the dogmatic rulers of the other socialist countries, for holding back
any opposition and preserving their own Stalinism. I do not know whether Gorbachev is or not
considered a good tsar by the peoples beyond the Prut, but for millions of people who have been silent
for decades in Poland, Hungary, Bulgaria, Czechoslovakia, R.D.G. and Romania, he is a harbinger
of good, a Messiah of socialism. If he takes into account the theory of that physicist who says that
an egg does not boil in ten tons of warm water but in a pot of boiling water, that is, it will have the
courage to carry through its ardent vision of history, we will see worlds reborn, people resurrecting
(...)” (Gilles Schiller (Noel Stern): Mircea Dinescu, Le desespoir de la caserne Ceausescu,
Libération, 32-33, Paris, 17 March 1989).
Being of recent history, there is also a good “oral tradition.” Soviet external
espionage had done its job well enough, the image of the Kremlin leader was a very
popular one behind the Iron Curtain. In 1987, the Soviet leader had paid a visit to his
younger “brother’, Nicolae Ceauşescu, in Bucharest. In addition, the AEROFLOT
Agency in Bucharest had begun to sell books about Mikhail Gorbachev’s political
thought, translated into Romanian, which obviously “were sold under hand”. At the
USSR Embassy in Bucharest, those who could understand Russian (and not few,
especially politicians) could go to read Pravda and other Soviet publications. The latter
were made in very good graphical conditions, on a paper of special quality, contrasting
with the “gray” of Romanian communism. The 1987 meeting between Nicolae
Ceauşescu and Mihail Sergeevich Gorbachev did not go too well for the Bucharest
leader. Whoever has the curiosity to watch ephemeral pictures and videos, can see that
the Kremlin leader was applauded at an open, unconstrained scene that Nicolae
Ceauşescu did not agree at all. It is enough to see a video shooting with Nicolae
Ceauşescu on a working visit in the country comparing to the 1987 film shooting of
the official visit of Soviet leader Mihail Sergeyevich Gorbachev in Bucharest and to
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notice the differences. It is certain that later, in the interviews given, Mikhail
Sergeevich Gorbachev (Gorbachev, 1994: 106-112) would mention that he had told
Nicolae Ceauşescu to reform and put an end to austerity. Mihail Sergheevich
Gorbachev said that half of the products imported from socialist Romania, based on
CAER quotas, were discarded or re-used, a fact that nowadays does not suit nostalgic
who are still spreading the false picture of the “competitiveness of the socialist
industry”. Nicolae Ceauşescu was the most conservative communist leader in 1989.
Nicolae Ceauşescu was the most conservative Communist leader in 1989. His
“Battalion Fighters” Erich Honecker (GDR), General Wojciech Jaruzelski (PRL),
Gustav Husak (ČSFR), Miklos Nemeth (RPU) and Todor Jivkov (NRB) were trying in
those years to win the sympathy of Mikhail Sergeyevich Gorbachev and to launch
some reforms. RSF Yugoslavia was for many years “a little socialist heaven”, being
totally broken by Moscow. The neighbouring countries of Western Europe made the
leaders of Berlin, Warsaw, Prague, Budapest, Sofia more realistic.
Returning to Nicolae Ceauşescu, the oral tradition mentions that Mikhail
Sergeyevich Gorbachev had made it clear that Nicolae Ceauşescu was no longer “in
grace”. A clue about gestural semiotics being that at Otopeni Airport where the
handshake between Gorbachev and Constantin Dăscălescu, the Prime Minister of the
Romanian Government lasted longer than the handshake between Gorbachev and
Ceauşescu.
Whatever it is written in specialized papers but also in contemporary tradition,
the idea is that, in 1989, Nicolae Ceauşescu’s foreign policy had deteriorated, both in
relation to the East and in relation to the West. The strike of the workers in Braşov in
November 1987, dissatisfied with the wage cuts and labour and living conditions in
socialist Romania, had also been silenced by the authorities, but “Radio Europa
Liberă” was a source of information for the Romanians, showing that the regime in
Bucharest did not intend to make any economic and social reform. The economic
representatives of the states that had economic relations with socialist Romania in
those years mentioned in their reports the extent of the protest in 1987. In March
1989, to show that the 1987 strike had been an attempt to destabilize socialist
Romania, Nicolae Ceauşescu announced that Romania had paid its foreign debt, so
the Romanian people were “masters of their destiny”. The population hoped to start
better days but everything was in vain. 1989 was the year of the XIVth Congress of
the PCR, and official propaganda put it on any publication, no matter if it was
scientific, artistic, information, cultural, etc.
In November 1989, when Nicolae Ceauşescu was re-elected General Secretary of
the Communist Party, the enthusiasm of the most optimistic Romanians, hoping for a
swap between Nicolae Ceauşescu and his son Nicu, evaporated. On the contrary,
Nicolae Ceauşescu’s speech of “re-election” showed how broken by reality he was,
locked in the ivory tower of the manipulation of his “loyal army,” which controlled
the levers of responsibility in the Romanian socialist state.
On November 9, 1989, the Berlin Wall fell, a fact obscured by the official press.
But this was understood by all the Romanians who were listening at home secretly
“Radio Europa Liberă”. With a billion dollars of infusion, USSR accepted to open the
Berlin Wall. Hungary demolished its fortifications on the border with Austria (30,000
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East Germans traveling to Hungary in September 1989 went to the West), and a
group of tourists from the GDR left Prague to the FRG on October 1, 1989. On
October 18, 1989, Erich Honecker was asked to resign from Egon Krenz and his
colleagues from the Political Bureau. On 10 November 1989, Todor Jivkov was
dismissed in Bulgaria. Gustav Husak resigned on November 24, 1989. In Hungary,
Janos Kadar withdrew on May 22, 1988, succumbing to reformist Karoly Grozs, who
on November 24, 1988, will be replaced by Miklos Nemeth. On July 11-13, 1989, US
President George Bush visited Budapest, which did not stir up Moscow’s reaction.
General Wojciech Jaruzelski resigned in 1990, but in Poland the Communists had lost
their real power long ago.
Brent Scowcorft, who, among other positions, also served as National Security
Adviser for US President, George H. W. Bush (Scurtu, 2006: 337). He noted that the
United States first exploited the “dissidence” of Nicolae Ceauşescu in the interest of
American politics but, with the arrival of the reformist Mihail Sergeyevich Gorbachev
in 1985 at the leadership of the Soviet Union, after 21 years of conservative leadership
(Brezhnev, Andropov, Cernenko-1964-1985), the American strategy changed, in the
sense of getting distance from the leader in Bucharest, amid his conservatism and
defiant attitude towards both the Americans and the Soviets. Brent Scowcorft, along
with Condoleezza Rice, James Baker, and others, were part of the American
delegation that attended the Malta Summit (Năstase, 2006: 7-14). So, Romania was, at
the date of the Summit in Malta, the only redoubt of Communist totalitarianism in
Eastern Europe. At that time, except for Romania, all the socialist states had made
radical changes.
The Opportunity of Malta Summit. Synthesis of Soviet-American bilateral

talks
Practically, the United States was in a dominant position. The Soviet Union
noticed how reformism had expanded into states in its political orbit. Mikhail
Gorbachev hoped the United States would support his plan for political reform in the
Soviet Union.
Around this Summit, an oral history has been developed in which many
statements have been made, some of which are difficult to verify. One of these was
the assertion that Mihai Gorbachev had said it was decided to end the Cold War,
which has not yet been conclusively proven.
Condoleezza Rice, a member of the US delegation in Malta (as expert on Soviet
issues) and subsequently a former US State Secretary, said in an interview
(https://nsarchive2.gwu.edu//coldwar/interviews/episode-24/rice1.html) that
George Bush Sr. has been advised by many European leaders, such as Margaret
Thatcher (British Prime Minister), Francois Mitterrand (President of France), as well
as American Congress and Senate exponents to meet and had talks with Mikhail
Gorbachev, especially that in 1989, NATO celebrated 45 years of existence: “(…) And
so there was a period of resisting an early summit, putting first the trip to Eastern Europe, to affirm
American support for democracy in Eastern Europe; second, to get through the NATO 45th
anniversary celebration, where there were a lot of very sticky issues with the Germans about short-
range nuclear forces; and then, only after those relationships had been stabilized, to think about how
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to deal with the Soviet Union in a summit. But European leaders – I believe in particular Francois
Mitterrand – really prevailed upon President Bush to meet with Gorbachev, and I believe that Mrs.
Thatcher also felt that that would be a good idea. There were those in the Congress who also were
pressuring, and I think that President Bush, after seeing what was happening in Eastern Europe,
believed it was time for a face-to-face meeting. And my understanding was that he, on the plane back
from the trip in July to Eastern Europe, decided he should meet with Gorbachev. And then it took a
long time to get it arranged, finding a place, a place that would not be ceremonial, a place where you
didn’t have to do a lot of other bilaterals. And fortunately – or unfortunately – they chose Malta,
which turned out to be a really horrible place to be in December. Although the Maltese were
wonderful, the weather was really bad”.
Malta, a small insular island state of the Mediterranean, was chosen as a neutral
place, equidistant from the North and South, which had several successive
dominations, the most important being the British one. In addition, Malta enjoys
neutrality. Furthermore, as a former combatant in the world’s last conflagration,
George Bush developed a special interest and passion for former President Franklin
Delano Roosevelt’s personality, for latter’s ability to plan meetings with the Allies
during the war. F.D. Roosevelt had met the discussion partners aboard a naval ship.
In addition, on February 2, 1945, before going to Yalta, Winston Churchill and F.D.
Roosevelt had met in Malta to establish a common agenda for future talks with USSR
leader I.V. Stalin.
Although initially it was agreed that the meetings would be alternate between an
American and Soviet warship, bad weather made the meeting place to be on a Soviet
one, the Maksim Gorki Cruiser, anchored in the Marsaxlokk Bay. All the interallied
meetings from 1943-1945 had taken place either in a territory either close to the Soviet
Union (Tehran) or a Soviet one (Yalta), or on the territory occupied by the Soviets
(Potsdam). The US Delegation stationed aboard USS Belknap whilst the Soviet one
aboard the Soviet Cruiser “Slava”.
The two leaders, George Bush Sr. and Mihail S. Gorbachev, discussed issues
related to further developments that would overcome inflexibility and abolish the
“Iron Curtain”. In a symbolic manner, the US President presented a piece of
reinforced concrete that had shaped the “Berlin Wall” by 1989.
Mihail Gorbachev decided that before coming to Malta to visit Pope John Paul II
at the Vatican, a redoubtable anti-totalitarian warrior who, in 1981, had escaped a
Vatican bomb linked to the Soviet secret services. Mikhail Gorbachev accredited the
idea that NATO and the Warsaw Pact were to meet under the umbrella of the OSCE.
President George Bush exposed the elements of his political thinking (Blanton: 2010,
627): “I hope you noticed that while the changes in Eastern Europe have been going on, the United
States has not engaged in condescending declarations aimed at damaging [the prestige of] the Soviet
Union. There are people in the United States who accuse me of being too cautious. It is true, I am a
prudent man, but I’m not a coward, and my Administration will seek to avoid doing anything that
would damage your position in the world. But I was insistently advised to do something of that sort –
to climb the Berlin Wall and to make broad declarations. My Administration, however is avoiding
these steps, we are in favour of reserved behaviour”.
Mihail Gorbachev insisted on a number of issues such as
(https://nsarchive2.gwu.edu/NSAEBB/NSAEBB298/Document%2010.pdf): “That
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is very important for us. Fundamental changes are happening, people are coming together. That is the
most important thing. I see that on East European soil, ways of resolving problems that involve a
different system--in the fields of economics, technology, etc.--are becoming established. That is natural.
If we share a common understanding, then all our practical actions undertaken under changing
conditions will be appropriate and will come to acquire a positive character (…) That is very
important. You see, as I said, the most important thing is that the changes lead to greater openness
even in our relations with each other. We are beginning to become organically integrated, freeing
ourselves from everything that divided us. What will this be called in the final analysis? I think it is a
new level of relations. For that reason, for my part, I support your proposal; let us not conduct the
discussion at the level of the Church. In history this has always led to religious wars”.
At the joint press conference, superpower leaders said (http://chnm.gmu.edu/
1989/items/show/40 (accessed February 27 2019) as follows: George Herbert Walker
Bush: “I’m especially glad we had this meeting. And we did gain a deeper understanding of each
other’s views. We set the stage for progress across a broad range of issues. … And there is virtually no
problem in the world, and certainly no problem in Europe, that improvement in the U.S.-Soviet
relationship will not help to ameliorate. A better U.S.-Soviet relationship is to be valued in and of
itself, but it also should be an instrument of positive change for the world (…) [N]ow, with reform
underway in the Soviet Union, we stand at the threshold of a brand-new era of U.S.-Soviet
relations…”.
Mihail Sergheevici Gorbaciov: “In the first place, I assured the President of the United
States that the Soviet Union would never start a hot war against the United States of America, and
we would like our relations to develop in such a way that they would open greater possibilities for
cooperation. Naturally, the President and I had a wide discussion -- rather, we sought the answer to
the question where we stand now. We stated, both of us, that the world leaves one epoch of cold war
and enters another epoch. This is just the beginning. We’re just at the very beginning of our long road
to a long-lasting peaceful period”.
The general line of the two leaders’ speeches can be synthesized by a statement
by Mikhail Gorbachev (Bush, 1989: 1627): “We should be very responsive to the challenges of
today’s world. And the leaders of our two countries cannot act as a fire brigade, although fire brigades
are very useful. We have to keep it in mind too. This element was also present”.
Historian Ioan Scurtu, summarizing Mikhail Sergheevich’s memoirs, Gorbachev
concluded that Mikhail Sergeyevich Gorbachev was aware of the necessity of moving
to a multi-polar system, of the necessity of European integration and unification, that
India, China, Japan were to be emerging powers, being agree, in principle, that the
Soviet Union was no longer the second pole of power. In turn, George Herbert
Walker Bush admitted that the US would be involved in Central Europe, while
Eastern Europe somehow remained in the Soviet sphere of interest, and the USSR
recognized its role as a “catalyst” (http: //www.ioanscurtu.ro / the-Malta-summit /:
“The talks were held both in the presence of the delegations and on the eye-to-eye basis. The issues
touched: disarmament, bilateral cooperation, the international situation. The American president
expressed his support for perestroika, reassuring him that he was dealing with an American
Administration and a Congress that was hopeful his reforms would be successful. Gorbachev said he
believed there were important changes in the world in terms of balance of forces. He said it was obvious
that the world was on the verge of passing a bi-to a multi-polar system; that willingly or not Europe
would be united and integrated economically; He mentioned further that other centres of international
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politics were Japan, China, India. Gorbachev was in fact recognizing that the Soviet Union was no
longer the second pole of power of the world. The leader of the Kremlin believed it was important to
discuss what lessons should be drawn from past experience from the Cold War. George Bush, in turn,
said he was interested in the developments in Eastern Europe (that used to be under Soviet influence);
Gorbachev emphasized he pursued no goals in Central (accepting US pre-eminence in that region)
Europe. The American leader praised the Soviet one saying it was the catalyst of the changes in
Eastern Europe, which were positive. Gorbachev in turn said they had to work together, in a
responsible spirit and with caution in a time when Europe was so troubled. Bush agreed”.
There was also a discussion about Romania, George Herbert Walker Bush,
considering that Romania, the German Democratic Republic and Czechoslovakia had
to enjoy the right of self-determination. On the occasion of his last visit to Budapest,
George Herbert Walker Bush saw that there was a strong protest movement in
Hungary over what they called the “ethnic terror” to which Ceauşescu would have
subjected the Hungarians in Romania.
Central and Southeast European perceptions of the Malta Summit

A first problem found by contemporary historiography shows that at the Malta
Summit no issues related to nuclear weapons were discussed. This issue, underlines
the Hungarian historian Béla Révész, came to public attention in the middle of 1990
when the Soviets began to withdraw their troops from Eastern Europe because the
existence of Soviet nuclear weapons was presumed on the basis of syntheses made by
the American secret services (Békés, Révész, Vajda: 2015 https://www.wilsoncenter.
org/publication/the-malta-summit-1989-hungarian-perspective-related-sources-after-
25-years): “The Eastern European” atom scandal ‘broke at the beginning of the 1990s in the
midst of the withdrawal of the Soviet troops from the region. Some information became public that, in
sharp contrast to the semi-official standpoint, the Soviet Army was stationing its nuclear arsenal not
only in Czechoslovakia and the GDR, but also in Poland and Hungary too. “The Soviet troops
stationed in Poland do not have nuclear weapons.” This was how the Polish government commissioner
in charge of the Soviet troops’ withdrawal attempted to deny the news in April 1991. This was
however disproved by Victor P. Dubynin, the Commander-in-Chief of the Soviet Northern Group of
Forces in Poland, when he admitted: the Soviet Union had indeed stationed nuclear warheads in
Poland until mid-1990. In Eastern Europe, there were rocket units, and there were also nuclear
warheads too. But in the first half of 1990 they were all transferred back to the Soviet Union – as
the general added. The news from Poland stirred up the Hungarian public and demanded clarification
of the situation in Hungary”.
In Czechoslovakia, for example, the press reported little about the meeting in
Malta. In addition, historian Barnabas Vajda states that the Kremlin leader was not
fully informed about the pro-Western attitude of Central European citizens. In his
conception, Mikhail Sergeyevich Gorbachev was an idealist who believed in the
creation of “communism with a human face”: “If people read only the central political
newspapers, then Czechoslovak readers knew very little about the fundamental changes in 1989.
Among others they could not know that Mikhail Gorbachev miscalculated the situation in their
region. Eastern Europeans did not know that Gorbachev was not sufficiently briefed on Eastern
Europe. As a great fan of euro communism, Gorbachev believed that unreformable systems in the
region could be reformed. He was totally unaware of the egoism among the Eastern European
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communist leaders, whose nationalism and mutual hatred was hiding under jovial smiles at every
meeting initiated by the Soviet comrades. In fact, Eastern European comrades have always had
different economic motives, and by mounting pressure on their economy, they have become more and
more selfish. Gorbachev miscalculated the growing pro-Western orientation of Eastern Europe too.
He relied on his aging fellow-leaders, and he did not get the point that every buying panic, every
devalued currency, every revolt, every increase in energy price was a potential landmine under the
structure of local pocket-communism. He was certainly informed of the most common demands made
by the marginalized political dissent (such as more democracy, giving up the monopoly of political
power, freedom of speech, etc.), but he did not understand their importance in the Eastern European
context. On the contrary, even at the end of 1989 he still used singular (‘party’) when speaking about
Eastern European political systems. Gorbachev was not aware of the hidden pro-Western attitudes of
the peoples in Eastern Europe. He did not understand that even a rock concert could serve as a
protest against the political system throughout the whole of Eastern Europe, creating a challenge for
local leaders”.
In Romania, the document presented in the Annex revealed to Nicolae Ceauşescu
on December 1, 1989 that the USSR was to offer US concessions in exchange for the
infusion of US capital in the Soviet economy, which was on a share of damage. In
addition, the synthesis by the Romanian Securitate insists that the leaders George
Bush and Mikhail Gorbachev were to initiate pressure actions in China, Cuba,
Romania, to impose real reforms. The document showed that nuclear weapons issues
were not to be discussed. In addition, it was expressed the idea that France and
England did not want a seizure of leadership of Western Europe by reunified
Germany.
Epilogue
Nicolae Ceauşescu decided to visit Mikhail Gorbachev in Moscow on December
4, 1989. It is certain that this last meeting of the Romanian leader with a Soviet leader
would be unfortunate for Nicolae Ceauşescu. He urged Mikhail Gorbachev to be
involved and stop the transformations in Central and South Eastern Europe, which in
his view would have contributed to the destruction of the socialist system.
Historian Ioan Scurtu analyses this meeting: “Gorbachev said that in a socialist
country,” how could we go into a broader meeting without first defining our position in our own
affairs? “Ceauşescu expressed his” concern “for” what is happening in some socialist countries in
Europe. We understand improvement, renewal, but this is not what I want to talk about now. But
the way things are done is seriously endangering not only socialism but the very existence of the
communist parties in the respective countries.” That’s why he had proposed a meeting of “our socialist
countries and our parties” to see “how things are done in some countries”. Gorbachev did not share
that point of view, stating that the modernization process should have begun long before; he talked
about Honecker, who “did not speak to me anymore”. The Soviet leader did not spare Ceauşescu:
“On the other hand, I know you have criticized me together.” Of course, Ceauşescu denied: “Well, we
have not criticized you. On the contrary, we said it would be good to meet sooner and discuss how we
should work better. “Gorbachev continued, “Frankly speaking, I’m really concerned about the co-
worker Honecker”. The Soviet leader concluded: “It is important to strengthen socialism. As for the
rest, it is every man for himself”. It is not clear that by saying the words Gorbachev meant he really
believed the reforms he started reinforced socialism or he just wanted to soften the blow. Then bilateral
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relations were approached. The Romanian leader tried to get promises for more supplies of oil and gas
from the Soviet Union for Romania. The two prime ministers agreed to meet on January 9 to discuss.
Then Gorbachev said something with many implications: “Will you live until January 9?”
(Olteanu, 1999: 234-243).
Returning to Bucharest, Nicolae Ceauşescu tried to relax on December 10, 1989,
on a last hunt. Contemporaries testify that the Romanian leader showed a gloomy
appearance. His hunting colleagues said that at that hunting he did not stay to count
the hunting, as he usually did. He had 15 days remain to live and 12 days to be the
head of the Romanian Communist Party and Socialist Romania. After the start of the
troubles in Timisoara, Nicolae Ceauşescu made a last visit to the Islamic Republic of
Iran on 18-20 December 1989, signing certain economic treaties with Iran. On
December 21, 1989, the last rally in Bucharest turned against him. The next day he left
the Central Committee headquarters on a helicopter, then was captured, alongside his
wife, Elena Ceauşescu, in Târgovişte and executed on 25 December 1989.
Mikhail Sergeyevich Gorbachev awakened many discontents with his reformist
attitude. The USSR continued the reform program, although the course of history was
another. The Union Republics were planning to break out of the USSR, while an ultra-
conservative CPSU group led by Ghenadi Yanaev decided to take power in the
summer of 1991, more precisely in August 1991. Isolated in the Crimea, Mikhail
Gorbachev was declared medical incapacity to lead the USSR and the USSR.
However, Boris Yeltsin, the leader of the future Russian Federation, managed to
restore peace, isolate the opponents and start the dissolution procedures of the USSR,
a historic act on 26 December 1991.
George Bush Sr. lost the 1992 presidential election, with Bill Jefferson Bill
Clinton winning the election, leading up to 2000, followed by George W. Bush, son of
George Bush Sr., Condoleezza Rice being called State Secretary for Foreign Affairs of
the United States.
The European Communities signed the Treaty of Maastricht on February 7,
1992, which provided for the extension of this structure to the Central and Southeast
Europe, after the first enlargement represented by the German Unification. Former
Yugoslavia, the division of Czechoslovakia, the enlargements of the European Union
in 1995, 2004, 2007 (accession of Romania and Bulgaria), 2013 NATO enlargements
in 1997, 2004 (including Romania’s accession) 2014 made the European Union a
global actor.
Until the coming of power of Vladimir Putin in the Russian Federation, there was
precept that the Cold War had a detached winner, the United States of America.
However, in recent years, amid a conciliatory attitude by the Barack Obama
Administration, the Russian Federation has recovered much of its geopolitical terrain,
engaging itself as a global player alongside the US and the European Union.
The Malta Summit, three decades ago, remains very important for the history of
the Cold War. This summit demonstrated on the one hand Mikhail Gorbachev’s
idealism and on the other hand George H.W. Bush’s pragmatism. The road opened by
Ronald Reagan had found a happy ending in Malta in 1989. The turbulent weather in
Malta in 2 December 3, 1989, opened the way for equally politically troubled times
over the next 30 years.
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ANNEX
“Top Secret” report (hand-writing) delivered by General Iulian Vlad (Troncotă,

2003: 207-208), chief of State Security Department, to Nicolae Ceauşescu, President
of the Socialist Republic of Romania on December 1-st, 1989
(http://www.ioanscurtu.ro/the-malta-summit/):
“We report the following intelligence collected from different sources, about the Bush and
Gorbachev Summit:
1. During the new summit between U.S.A. and U.S.S.R., organized upon the Soviets’
initiative, the two parties will make a priority of approaching the issue of redefining the spheres of
influence and drawing out a new common strategy meant to ensure, further on, their dominant role in
all international matters.
- It is to be expected that they conclude new agreements for the limitation of the areas of direct
confrontation, in favour of those where their interests meet.
- According to existing information, U.S.S.R. will make new concessions to the Americans in
exchange for economic and financial support.
- They intend to establish a new balance on the European continent, meant to gradually
diminish the differences between the political and economic systems of the socialist and capitalist
countries and to put into practice the concept of <ideology-free international relations> and creating a
so-called <European common house>.
- In this context the problem of the existing two military blocs will be raised to the effect that
they will be maintained for a while, at least until the stabilization of the situation in Eastern Europe.
- As to the growing concern of Bonn for the reunification of the two Germany, an agreement will
be made to assist the process, which will be delayed for the moment in order to include it in the
<European integration process>.
- Both parties will be in favour of accelerating bilateral negotiations for reducing armament and
military spending; USSR is interested in allotting more funds to domestic needs while the USA to
reduce the great deficit in the balance of payment.
It is possible that during the summit, Bush announce his intention to reduce the American forces
stationed in Europe in response to similar measures unilaterally adopted by the USSR
- In terms of bilateral relations, the US President will show his willingness to assist USSR
economically, on condition that Soviet reforms will improve further by taking into account
implementing free market economy.
- Beside the direct request for financial support, Gorbachev will insist to get MFN for U.S.S.R.
as well as a reduction of the restrictions on know-how transfer.
NOTE:
- The existing data imply that during the summit, Bush and Gorbachev will discuss the
possibility of setting increased pressure on the socialist countries that had not reached the stage of
implementing <real reforms>, namely P.R. China, Cuba and Romania.
- As to our country, Bush will emphasize that N.A.T.O. member states will continue to impose
restrictions upon their relations with Romania and will request that USSR do the same, mainly by
diminishing the supply of oil, gas and iron.
2. During the consultations of the last days with the Washington Administration, the
governments of Great Britain, France, West Germany and Italy insisted that:
76
- U.S.A. and U.S.S.R. avoid adopting final decisions concerning the European military force
balance, without prior consultations and consent of the West European countries;
- Armaments and forces stationed in Europe be reduced gradually with the revision of the
problem after there will be clear guarantees that the U.S.S.R. is willing to dissolve its military force;
- the U.S. observe all prior agreements with West European countries, namely that each of them
will have a greater role in influencing the situation in Eastern Europe, so that they should be able to
ensure a long term promotion of their own interests in the area.
France and England requested that, in view of the creation of a Confederation of the two
German states, it should be avoided a shift of power from Europe to unified Germany or the political
and economic, even military polarization between it and the U.S.S.R. as it used to be before WWII”.
References
Barnabás, Vajda. The Malta Meeting and Eastern Europe in 1989: How were they
presented by the Media Propaganda in Czechoslovakia? http://files.barna.webnode.hu/
200015130-dc46bde375/Malta_Chapter06_Vajda.pdf.
Blanton, Tom (2010). US policies and the revolutions of 1989. In: Tom Blanton, Svetlana
Savranskaya, Vladimir Zubok (Eds.) Masterpieces of history. The peaceful end of the Cold War in
Europe, 1989. Budapest-NewYork: CEU Press.
Békés, Csaba, Béla, Révész, Barnabás, Vajda, The Malta Summit of 1989 from Hungarian
Perspective: Related Sources after 25 Years, Apr 2, 2015: https://www.wilsoncenter.org/
publication/the-malta-summit-1989-hungarian-perspective-related-sources-after-25-years.
Gilles Schiller (Noel Stern): Mircea Dinescu, Le desespoir de la caserne Ceausescu, Libération,
pp. 32-33, Paris, 17 martie 1989.
Gorbaciov, Mihail, Sergheevici (1994). Memorii. [Memoirs]. București: Nemira.
Năstase, Adrian (2006). România după Malta. Vol. I. Bucureşti: FundaŃia Europeană
Titulescu.
Olteanu, Constantin (1999). România, o voce distinctă în Tratatul de la Varşovia. Memorii. 1980-
1985. Bucureşti: Aldo.
Scurtu, Ioan (2011). Politică şi viaŃă cotidiană în România în secolul al XX-lea şi începutul secolului
al XXI-lea. București: Mica Valahie.
Troncotă, Cristian (2003). Duplicitarii. O istorie a Serviciilor de InformaŃii şi Securitate ale
regimului comunist din România. Bucureşti: Elion.
President George H.W. Bush, “Joint Press Conference of President Bush and Chairman
Gorbachev at the Malta Summit,” Making the History of 1989, Item #40,
http://chnm.gmu.edu/1989/items/show/40 (accessed February 27 2019, 3:29 pm).
Bush, George (1989). Public Papers of the Presidents of the United States, Library of
Congress: Washington DC.
https://nsarchive2.gwu.edu/NSAEBB/NSAEBB298/Document%2010.pdf
https://nsarchive2.gwu.edu//coldwar/interviews/episode-24/rice1.html.
http://www.historyplace.com/speeches/reagan-tear-down.htm
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78
THE MODEL OF INTERETHNIC ACCORD

IN THE REPUBLIC OF KAZAKHSTAN (1991-2018):
HISTORICAL RESEARCH ASPECT
Kanat A. Yensenov*, Gani M. Karasayev**, Seitkali Z. Dyusen***
Bekmurat R. Naimanbayev****, Marat K. Islamov*****
Abstract
This article examines the population, nationality, ethnic cultural centers as the model of
interethnic harmony existing at that time, and the experience of different nationalities living in
political stability and peaceful coexistence in the Republic of Kazakhstan during the years of
independence. It also describes the foundation, formation and activities of the Assembly of
People of Kazakhstan. The main principle of sovereignty and political stability of Kazakhstan
is interethnic peace and harmony. Taking into account the interethnic accord and political
stability – the basis of unity of the people, the work on preservation of peace will continue in
the future. At present, representatives of different nationalities live in our country. It is well-
known that the future of an independent country, which unites them, is directly related to
these interethnic relations. This is why the article examines the model of inter-ethnic accord in
the Republic of Kazakhstan from the point of view of historical research and examines the fact
that representatives of different nationalities live in political stability and peaceful coexistence.
In general, the Republic of Kazakhstan is the 9th largest country in the world map. Over 18
million people live in Kazakhstan these days. Representatives of more than 140 nationalities,
who have justified themselves, live in a concrete mutual understanding and agreement. There is
every reason to conclude that the existing interethnic accord, mutual peace and stability in the
country are just as good examples for the nations of the globe.
Key words: independence, sovereignty, cooperation, tolerance, understanding, assembly
Introduction
The representatives of different nationalities, who have settled on the fate of their
destiny at different periods of times to Kazakhstan, make the biggest part of the
population of the republic. Today, they are living in the world community as citizens
of the Republic of Kazakhstan. When they were persecuted and fired, local Kazakhs,
* Professor, PhD, Department of Source Studies, Historiography and National History, State
History Institute of Ministry of Education and Science of Republic of Kazakhstan, 8 Mangilik
El Str., Astana, Republic of Kazakhstan, Phone: +77172740168, Email: kanat-02-79@mail.ru
** Professor, PhD, Department of Source Studies, Historiography and National History, State

El Str., Astana, Republic of Kazakhstan, Phone: +77172741037, Email: karasayev_gm@mail.ru
*** Professor, PhD, Department of Source Studies, Historiography and National History, State

El Str., Astana, Republic of Kazakhstan, Phone: +77178717274, Email: duisen52@mail.ru
**** PhD, Department of History of Kazakhstan and Geography, Silkway International
University, 17 F. Urkumbaev Str., Shymkent, Republic of Kazakhstan, Phone: +77252537152,

Email: naimanbaev_b@mail.ru
***** Master, Department of Humanities, Kazakh-Russian International University, 52 Aytekebi
Str., Aktobe, Republic of Kazakhstan, Phone: +77132217365, Email: Islamov_marat@mail.ru
79
despite the complexity of their situation at that time supported them and treated as
their siblings. A number of nationalities returned to their homeland at the time of
political repression and their rights restored. Many have remained voluntarily placed
on the Kazakh land. Today, as citizens of the Republic of Kazakhstan they work in all
spheres of economy and contribute to the development of the country (Baizakova et
al., 2017).
From the time of our country’s independence, the Kazakh people live on the
basis of actual political stability and interethnic accord with representatives of
different nationalities. It has been demonstrated that Kazakhstani model of inter-
ethnic relations has been formed over a quarter of a century. And the common
homeland fraternity and interethnic accord of the citizens of the country is
undoubtedly the result of peaceful and harmonious life. As Kazakhstan is a
multiethnic state, it is evident that it has accumulated extensive experience in
conducting inter-ethnic policy in the years of independence. Nevertheless, the issue of
interethnic policy implementation is crucial for our country.
Today in our country there are more than a hundred ethnicities, about 800 ethno-
cultural associations are functioning. That is why maintaining harmonious interethnic
relations and establishing a rational intercultural dialogue is one of the main strategic
objectives of the state policy. The language, religion, and traditions of any nationality
are not being harassed. Therefore, interethnic accord and peace of the republic reflects
the example of the international community.
Materials and Methods

From the archive data of the President of the Republic of Kazakhstan archives
were used as archive data (AP RK), the Archives of the Foreign Policy of the Russian
Federation (AVP RF), the National Archive of the Republic of Kazakhstan (NA RK)
and the Pavlodar State Archive (SAPR). An analysis of the research works was done in
the field of historical demography and references to them. The analysis and the
functioning of the Assembly of the People of Kazakhstan, its regional centers were
used to prepare a scientific article.
Theoretical, objective, historical comparative analysis and historical sequence
methods were used mainly on the theory and methodology of scientific research. Each
topic has its own research methodology. It is well known that the historical
demography sphere, which we are researching, is a starting point in the post-Soviet era
when it is not properly developed and gained its independence. The term
“demography” was introduced in 1887 by P. Larussa. He published an article titled
“Demography” first for the first time. In Russia this work was published in 1893. This
branch emerged as a science in the middle of the twentieth century. Since then,
demography has been studied as a special subject in history. That is, in 1967, Russia
started using a Demography Course manual. There was a need for this discipline. It
was related to the study and the problem of the discipline (Smolensky, 2008: 133).
The Belarusian scientist V.N. Sidortsov in his work “The Methodological
Problems of History” used the term “demographic history” in the Russian-speaking
environment, while western researchers use a number of terms such as “population
research”, “historical demography” and “history of the population”. However, the
80
problem solving in this problem is based on the principles used in the research. It is
given different answers this question. For example, D.S. Smith: “The methodological
style of demography is useful in assessing processes and historical data and explores
the development of demographic structure and demographics.” (Sidortsov, 2006:
265).
Russian researcher L.M. Drobizheva has chosen the interdisciplinary course for
studying the problem of “Interethnic consent” and has a place in the sociology
direction and its methods are similar to western methods. In this work, the author has
identified the research areas and also outlined the problems that would be further
explored in the future (Drobizheva, 2017: 74). Kazakh scientists M.Kh. Asylbekov and
A.I. Kudaibergenova: “The historical demography of Kazakhstan is a young, but very
promising and important one, especially in the context of the independence of the
Republic of Kazakhstan. Undoubtedly, in this area the pre-revolutionary and Soviet-
era historians have written a number of works.
In the sovereign state, the problem of the historical demography of Kazakhstan
from the extreme ideologicalization, politicization to a genuine scientific path, its new
problems, from a new conceptual point of view, has become the main task. It should
be emphasized that conceptual research of topical problems of historical demography
of Kazakhstan is carried out on the basis of known methodological principles and
methods of historical science (Jaxybayev, 2018). The reason for this is that there is a
tendency to replace methodological principles and methods that had been previously
scientifically-critical, to “new” ones, but there is no realistic conclusion. There are also
attempts to turn some new approaches into methodological principles.
When re-examining topical issues of Kazakhstan’s historical demography, we rely
on the principles of historical, objective, multifaceted and other methodological
scientific principles (Asylbekov, 2003). Through such methodological principles and
methods, in the context of the independence of the Republic of Kazakhstan, the
demography sphere developed well: banned, secret issues were studied, many faces
were revealed, and conceptual reconsideration was possible.
The Russian scientist V.I. Butov says in his work: “Historical demography
explores the demographic processes, populations, national composition of nations in
the state. And there is another aspect of ethnic demography in this area. Thus he
studies the composition, traditions and interethnic accord of ethnic groups” (Butov,
2005: 22). Therefore, when considering the model of inter-ethnic accord in the
Republic of Kazakhstan, the issue of inter-ethnic accord will be discovered only when
historical-demographic research methods, historical data are analyzed from conceptual
point of view on the basis of comprehensive historical principles. Therefore, the
problem of ethnic accord is determined by studying the problems of history,
demography and ethno politics through interdisciplinary communication.
Uzbek scientist R.H. Murtazaeva wrote in her scientific article titled “Tolerance –
objective reality in the XXI century”: “At present, the issue of tolerance and
interethnic accord at the world level is of great interest to all people. He is a tolerant
person, a subject of human life, social harmony and fate in the modern world”
(Murtazaeva, 2018: 83). Obviously, the study of interethnic accord and tolerance, and
propagation of the right model of its model to the world is a requirement today.
81
Results and Discussion

The delegation of the Government of Singapore led by Lee Kuan Yu arrived in
the Republic during the prospecting work to develop the Republic of Kazakhstan as a
private independent state during the collapse of the Soviet Union. The transcript of
this meeting was kept in the Archive of the President of the Republic of Kazakhstan.
The two leaders talked about the development of the state. Lee Kuan Yu, arrived in
Almaty on September 19, 1991 and gave some pieces of advice to President of
Kazakhstan Nazarbayev on the development of the state. For example, the issues of
market economy development and modernization of the state were discussed (AP
RK, Fund-7). President of the Republic of Kazakhstan N.A. Nazarbayev in his
“Independence era,” states that in the period of the collapse of the Soviet Union,
Kazakhstan formed three basic principles of its domestic policy – peace, harmony and
unity – in the first years of independence of the republic. Now it is easy to say it, but it
was much harder to do in that difficult period. However, the result is evident. In 1989
the population became a common homeland with 126 nationalities living in the
country.
Many residents of the former Baltic state officially legalized political and civil
equality of all Kazakhstanis, regardless of ethnicity and state language, when we were
unable to obtain citizenship and underwent major political rights following the
disintegration of the USSR. On December 10, 1991, I swore to my people that the
election was the beginning of the formation of the brotherhood of Kazakhs, Russians,
Ukrainians, Koreans, Germans and other ethnic groups – all of them united and
decided to build a bridge to the future of our republic. The formation and
development strategy of the independent state, established in 1992, has settled the
ideas of stable civil accord and interethnic accord, which cannot be realized without
the intentional attempts of the Kazakh nation. Despite all the ethnic origin, all citizens
of the country have been able to become united people under the common roof
(Nazarbayev, 2017).
In the early years of Kazakhstan’s independence, US public figure Graham Smith
spoke in his second issue of the book “National question in post-Soviet states”,
concerning the ethnic situation in the country. Although the new nationalist
nationalism is more prominent, the two ethnic groups are dominated by the author,
and the nation is a multiethnic state. So far, President N.А. Nazarbayev maintains two
main ethnic groups in a certain level. The political power is mainly concentrated in the
hands of Kazakhs, and the Slavs are characterized by industry and education” (AP
RK, Fund-5a) obviously. But in fact, in the Ottoman Empire the interethnic accord
was formed with new achievements.
It is true that in the early days of the republic’s independence, there was an
uproar among representatives of different nationalities. The data stored in archive of
the President of the Republic of Kazakhstan on these events are abundant. If we pay
attention to it, these events did not have a massive mass character. This process was a
legal phenomenon. The reason for this is that Kazakhstan was in the forefront of
choosing a new road of independence. Which way do we choose: European or Asian?
Such kind of the question arose. During this period, efforts were made to implement a
system of modernizing a weak, democratic society. At the same time, there was
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anxiety among the representatives of other nationalities about their future destiny. At
that time, the issues of “nationality” and “double citizenship” were raised. This threat
and suspicion is the result of the President of the Republic of Kazakhstan N.A.
Nazarbayev. Mr. Nazarbayev dropped out (AP RK, Fund-5b). That is, he has begun
the new reforms for the future in this direction. The father was protected by the rights
of all nationalities. The country has been pursuing inter-ethnic peace and harmony,
and the “Kazakhstani Way” has been launched in this direction.
At the initial stage of the country’s independence, the head of the Department of
Internal Policy of the Administration of the President of the Republic of Kazakhstan
gave the information to N.A. Nazarbayev, that the socio-political situation in the
regions of Kazakhstan is stable. The territory of Kazakhstan is free from wars, ethnic
conflicts and political tensions. This peaceful situation is in the eyes of the world
community and the people of Kazakhstan. That is one of the most important
achievements of our young state, the issue of inter-ethnic harmony” (AP RK, Fund-
5c). If we look at the document stored in the archives of the Ministry of Foreign
Affairs of the Russian Federation, “In 1993, according to our calculations, about 500
thousand Russians were migrated. Particularly, the displacement of Russian specialists
from all positions of authority is of special significance. From these circumstances, the
Russian side believes that the deepening of cooperation within the CIS depends on
the settlement of the problem of ethnic Russians in the near abroad” (Archive of the
Russian Federation of the Russian Federation of Funds (AVP RF, Fund-897).
Former US public figure, political scientist Zbigniev Bzezhinsky, who predicts
and estimates political events and processes at the time when the Soviet Union
collapsed in the post-Soviet countries, predicts that it can be ethnic conflict in his
work “The Great Chess Toss: Homeland America and Its Geostrategic Imperatives”
nine states. These are republics: Kazakhstan, Kyrgyzstan, Tajikistan, Uzbekistan,
Turkmenistan, Azerbaijan, Armenia, Georgia and additionally to Turkey and Iran
(Bzezhinsky, 2013). Here, there were no ethnic conflicts in the Republic of
Kazakhstan, which included the list of such countries as the “Euro-Atlantic”, that is, a
potential conflict of ethnic origin. The reason is that President N.А. Nazarbayev since
his arrival in the 1991 presidential election has begun the reforms aimed at keeping the
issue of inter-ethnic accord in the country. For example, in 1992, he raised the idea of
the Assembly of the People of Kazakhstan and created it as a consultative advisory
body under the President in 1995.
Russian politician V.V. Zhirinovsky, who expressed his opinion about post-soviet
states during the collapse of the former USSR said, “Our party – the purpose and the
conclusion of the LDPR party does not need to create national states of post-Soviet
republics. In order to avoid transnational protests, a number of countries like
Kazakhstan, the Baltic and Ukraine should be created as a single province of Russia,
not as independent sovereign republics. There will be no interethnic conflict and
problems” (Zhirinovsky and Kulikova, 1997: 317). But it is clear that this is a personal
opinion of a politician. In fact, the former Soviet Union (the Red Empire) went to the
stage of history. It was a historic legal process. The fact is that empires, known from
history, are flourishing and falling. That is why the CIS countries have been created as
republics and have come to their own development paths.
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General Secretary of the United Nations Kofi Annan was in Astana on October
18, 2002. In his speech at the meeting with N.A. Nazarbayev he said “Kazakhstan is
recognized among some of the CIS countries as its uniqueness. Peace and stability in
the country have created a luxury, economic growth. The Republic of Kazakhstan also
has a role model for the countries of the world. For example, there are many
nationalities and ethnic groups in the country. Their interethnic accord is stable”
(Ayagan, 2010: 88). British public figure, writer Jonathan Aitken speaks about The
Republic of Kazakhstan and its President N.A. Nazarbayev “The surprise and
stereotypes “called several achievements of our republic. The first achievement is the
tolerance of the people of the republic. There are 140 nationalities and ethnic groups
living in Kazakhstan. Youth of the Republic are very active and look forward to the
future. The country has interethnic accord, tolerance and trust in one another (Aitken,
2011: 15).
The Assembly of the People of Kazakhstan is an advisory body under the
President of the Republic of Kazakhstan established on March 1, 1995 by the Decree
of the President of the Republic of Kazakhstan. President of the country N.A.
Nazarbayev first announced the idea of the Assembly of People of Kazakhstan in
1992 at the First Kazakhstan People’s Forum on the First Year of Independence. The
need to establish such an institution was politically motivated, as well as from the
standpoint of sustainable development of the newly created, independent, poly ethnic
and polyphonic state. This initiative is a prime course in world practice, which
provides a basis for a new stage in strengthening intercultural dialogue and allows
solving issues of interethnic relations at a high level (Nysanbayev, 1998). In its twenty-
year history, the Assembly has grown rapidly and has undergone significant changes.
During its development, Kazakhstan’s model of interethnic tolerance and social
harmony was formed. During these years the institutional structure of the Assembly
of the People of Kazakhstan has been strengthened and the organizational potential
of the society has become very important, it has become an important artery of
national diplomacy. Today the Assembly is the constitutional body chaired by the
President of the country. It determines its special status.
Established in 1995 in the Republic of Kazakhstan, the Assembly will participate
in the management of the people as the advisory body under the President. And in
small towns, its small assemblies were also established. For example, in Pavlodar
region on April 6, 1995 akim of the region D.K. Akhmetov: “The Small Assembly of
the People of Kazakhstan is to be established as a consultative and advisory body
under the Akim of the region” (SAPR, Fund-64), – the resolution signed. That is,
smaller Assemblies have been created in all areas. Their own rules, functions and
rights and responsibilities of these bodies have been shaped to serve. Ethnic and
cultural centers were established in the regions, whose purpose was to promote
interethnic accord and to organize good activities such as educational activities,
cultural events and Sunday schools.
There are a number of ethno-cultural centers in the country, which contribute to
the spiritual revival of the people of Kazakhstan. They were located in Almaty in
1995, according to the first sources. Looking back at the archive data and mentioning
the national cultural centers, we would like to mention the following: 1) “Kazakh
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Language” the republican society; 2) “Russian” community in the Republic of

Kazakhstan; 3) “Russian Union”; 4) “Tatar” republican cultural center; 5) Association
of the Tatar-Bashkir cultural center; 6) “Uigur cultural community”; 7) “Uyghur”
republican association; 8) Kazakhstan “Council of the Germans”; 9) German society
“Revival”; 10) City “German Cultural Center”; 11) “Turan” cultural-cultural center of
Azerbaijan; 12) “Chuvash cultural center”; 13) “Korean Republican Association”; 14)
republican “Chechen-Ingush cultural center”; 15) “Belarusian center”; 16) “Kyrgyz
cultural center”; 17) “Uzbek cultural center”; 18) Urban “Armenian Cultural Center”;
19) “Greek cultural center”; 20) Republican “Polish Cultural Center”; 21) “Jewish
cultural center”; 22) “Dungan Cultural Center” is registered (AP RK, Fund-5d).
Cultural centers of different nationalities are engaged in the organization of traditions
and traditions of Sunday schools of education and training. That is, ethnocultural
centers also work to promote interethnic accord and peace among the people of
Kazakhstan.
The Constitution of the Republic of Kazakhstan is recognized as the basic legal
guarantee of the ethno center interests. In our modern state, the legal basis for the
abolition of the law, this has provisions that limit the right of citizens to ethnicity. No
one shall be subjected to discrimination on the basis of sex, nationality, race, language,
religious beliefs, attitudes, place of residence or any other marks. It is clearly specified
in Article 14, Part 2 of the Constitution of the Republic of Kazakhstan. And Article 74
of the Basic Law states: “Laws and regulations that restrict the rights and freedoms of
individuals and citizens as enshrined in the Constitution shall not be enforced and
shall be eliminated” (Mamyraymov, 2008). At present, more than 140 ethnic people
live in our country. It is directly related to these interethnic relations, when the future
of the independent country, which unites them, fades. In this regard, the Assembly of
People of Kazakhstan has a special place.
President of the Republic of Kazakhstan, by the Decree of the President of the
Republic of Kazakhstan announced 1997 the Year of the National Accord and
Memory of the Victims of Political Repression. The historical significance of this
document was enormous. Because, during the Soviet period, the people of different
nationalities were deported, Kazakh intellectuals were repressed. Therefore, it was
necessary to pay attention to the tragic pages of this story, to write about it and to
explain to the people correctly (AP RK, Found-5e). The Institute for Strategic Studies
under the President of the Republic of Kazakhstan published its research results in
1998 on inter-ethnic harmony and stability in the country. Experts noted that the issue
of inter-ethnic accord was correctly resolved from the results of questionnaires,
questionnaires and other research methods (AP RK, Fund-5f).
If we look at the data of the National Archive of the Republic of Kazakhstan,
located in the capital of the Republic, in 2001 there are data on the number of
“Russian-speaking residents” and “European races” in the republic. There were many
Germans among the immigrants. In migration there were skilled workers from the
state, experts in the field of economics and so on. For example, the relocation of
Germans to Germany was due to the return to their historic Homeland and to create
conditions for future generations. They moved from the Southern Kazakhstan in the
early 90’s to the late 90s from the central regions: Karagandy, Akmola, Pavlodar and
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Kokshetau areas. In 2000, representatives of the German nationality – 29071

immigrants from the Republic of Kazakhstan (NA RK, Fund-53a).
On April 26, 2002 the Strategy of the Assembly of People of Kazakhstan was
adopted. The history of the Kazakh nation is full of history. However, when his fate
was on the brink, the Kazakh people did not let their blood separated from them, and
those who were not new. President Nursultan since the early years of independence
has been keenly committed to maintaining peace, harmony and security in our
multiethnic country, protecting its security and peace, maintaining interethnic and
interfaith stability and solidarity, harmony and political stability. After declaring its
independence, Kazakhstan declared itself a secular state. Our Constitution states:
“The Republic of Kazakhstan establishes itself as a democratic, secular, and social
state, its most valuable treasure – the human and human life, rights and freedoms”
(Ayagan et al., 2012: 173).
Information about the activities of the Minor Assembly in 2002 was presented in
Astana. Looking at it, it is stated that the work under the Strategy of the Assembly of
People of Kazakhstan is being carried out in a consistent manner. For example,
propaganda of national-cultural centers and traditions of ethnos, joint celebration of
events, demonstrates stability and unity (NA RK, Fund-54a). In the context of the
independence of the Republic of Kazakhstan, Kazakhs who had moved in difficult
times before the near and far abroad began to return to their historical homeland.
About 1 million people have moved there. For example, if you look at the 2004
migration data, 18,955 people (6,757) have moved to the country. They are distributed
in quota areas (NA RK, Fund-53b).
As on January 1 in 2005, 13362 repatriates’ families were registered in the Almaty
region with 49970 people. Among them are Uzbekistan (24934), Mongolia (12660),
China (8185), Turkey (1104), Russia (649) and Turkmenistan (1380) (NARK, Fund-
54b). According to the data stored in the national archive, in the West Kazakhstan
region in the first quarter of 2006, 2422 registered as oralman people (repatriates). Of
these, 553 applications were received from the Russian Federation, 1836 from
Uzbekistan, 30 from Turkmenistan, 1 from Kyrgyzstan, 2 from CIS, 28 from the
Republic of Kazakhstan, to the CIS) (NARK, Fund-54c).
Juriko Shoji, the UN permanent Representative to the Republic of Kazakhstan on
interethnic accord, said in his report: “Kazakhstan, located in the heart of Eurasia, has
been among the strongest migration and demographic processes for centuries.
Kazakhstan is a multinational state. All ethnic groups live in harmony and respect each
other’s traditions” (NA RK, Fund-53c). That is, a foreign expert has seen and
appreciated the interethnic consent of the people of the republic. At the present stage
of the state’s historical development, issues of civil peace and interethnic consent have
become an important part of the development strategy. In Kazakhstan, it was possible
to create a unique model of inter-ethnic relations and implement it in a legal and
institutional sense consistently. The national policy has been built on the basis of
transparency and reality, including: searching for ways of interethnic interaction,
strengthening the stability of the society, the rule of law and the independence of the
state as the basis for a fair settlement of the national question.
86
In the sphere of interethnic relations, “our future strategic goal is to increase the
unity of society and to form a unique Kazakhstani competitive nation” (Kamyrova,
2010). All conditions are created to solve this problem. First of all, it is a desire to
reach agreement with our people patiently; and second, the active role of the state in
establishing and strengthening the Kazakhstani model of interethnic relations. At
present, the ethno-political situation in Kazakhstan remains stable and there is no
clear and frank conflict between different nationalities. All-round research shows that
the level of trust in the authorities on the issue of inter-ethnic accord is high.
President of Kazakhstan N.A. Nazarbayev is concerned about interethnic
relations in the country: “Interethnic accord is a very delicate, ordinary human body’s
blood system. All our achievements in this year are due to the stability and peace in
the country. This is our basic position. The activities of the Assembly of the People of
Kazakhstan should be a contribution to stability, international experience and
international solidarity. The problem of peace in the country is not my personal
problem. The problem of the people of Kazakhstan, the problem of the state, the
problem of our future “(Nazarbayev, 2010). The national composition of the
population in the Republic of Kazakhstan, according to the last census of 2009, is as
follows: Kazakhs – 63.1%, Russians – 23.7%, Ukrainians – 2.1%, Uzbeks – 2.8%
Tatars – 1.3%, Uighurs – 1.4%, Germans – 1.1%, Koreans – 0.6%, Turks – 0.6%,
Azerbaijans – 0.5%, Belarusians – 0.4%, Dungans – 0.3%, Kurds – 0.2%, Tajiks –
0.2%, Chechens – 0.2%, Kyrgyzs – 0.1%, other ethnic groups – 1.1% (Asylbekov and
Kozina, 2009: 32).
What role do the Kazakh people play in Kazakhstan? Is the state a nation or a
polyethnic one of the people of Kazakhstan? Which side is preferred? This question is
very relevant nowadays. Although Kazakhstan is a polyethnic state, it is the founder of
the country, the titular nation – the Kazakh people. Firstly, it is defined in the
Constitution, and secondly, if the people are the source of power, the majority of the
population is Kazakh. That is why Kazakhs cannot be considered as one of the
multinationals. As for the Kazakh problem in Kazakhstan, there is no need to
discriminate or distract other nationalities in the country. But it is necessary to raise
the role of the Kazakhs. It is a natural phenomenon for any country to have a state-
like attitude. Well, the Kazakh nation is a nation that is a nation that is a country in its
name (Omargazy, 2013).
Due to the multiethnic nature of the Kazakh people, the turmoil, tension
between individual ethnics, as a whole, poses the greatest threat to the socio-political
stability and security of the state. Therefore, the development of inter-ethnic accord
and mutual understanding has become one of the strategic tasks for Kazakhstan. On
this way, the country has achieved significant results. As far as interethnic accord is
concerned, Kazakhstan has the right to say that Kazakhstan is a unique state among
the post-Soviet states, and that is not to say it (Kaipova, 2010). Interethnic relations
are a patriotism that is a structural element of culture. In his address to the nation,
Nursultan Nazarbayev noted that “We should develop patriotic feelings and love for
the country of all citizens of Kazakhstan”. From the moment of gaining
independence, radical renewal processes, which are taking place in all the systems of
Kazakhstani society, have largely affected its cultural and social development. Today
87
we are re-evaluating the historical experience of our people, changing traditional-

moral principles and thus creating a new political consciousness of Kazakh people
(Mukazhanova, 2010).
Kazakhstan is a country that has built a multinational and inter-ethnic accord.
There are 11 languages in Kazakhstan. There are 64 nationalities represented in the
authorities and the Presidential Administration. This case doesn’t exist in any CIS
country. Kazakhs have become “glorious nations” and cannot be ignored. The
Kazakh language is the official language of the Russian language. The official language
remains the language of interethnic communication not only in the country but also in
Kazakhstan itself. Since the Kazakhstan model is not a copy of another effective
economic model, this model cannot be copied in any other CIS or other countries.
The Kazakhstan model only takes into account the geographical, political, historical,
national and economic factors and circumstances that are unique to the country
(Medvedev, 2006).
The People’s Assembly of Kazakhstan has set the goals by the Assembly of the
People of Kazakhstan, which seeks to further development and strengthen tolerance,
interethnic and interethnic accord, brotherhood and friendship of the whole
Kazakhstan, settled in the establishment of a civil, open, secular, democratic, political
and economically independent society of our settled multiethnic people (Bzhezinsky,
2013: 148). It is evidenced by the rapid development of the country’s economy and
political stability in the country, as well as the aspiration of all ethnicities and ethnic
groups living in Kazakhstan to join the world’s secular states. At the same time, it is
important to note that Kazakhstan is a unique country in its history and entirety
governmental life. It is clear that the period during which the responsibility for self-
sacrifice and self-sacrifice was a part of national and ethnicity. Our happiness is that
Kazakhstan has joined the leading world community in less time.
From the very first days of its independence, Kazakhstan has created a unique
example of inter-ethnic relations based on the preservation of the identity and
integrity of ethnic groups in a multiethnic and diverse society (Seydin, 2007). From the
very first days of its independence, Kazakhstan has created a unique example of
interethnic relations based on the preservation of the identity and unity of ethnic
groups in a multiethnic and diverse society (Arzykulov, 2010). Our Constitution
begins with the words: “We, the people of Kazakhstan, united by a common historical
destiny, create statehood on indigenous Kazakh land”. These roads are important for
the development of Kazakhstan (Aitaly, 2005). The Assembly has made a significant
contribution to the maintenance of interethnic unity and harmony, thanks to which
the interethnic relations in the republic and in the region have been stronger during
the twenty years. Since the establishment of the Assembly of the People of
Kazakhstan, sessions have been convened to discuss key issues related to the further
reform of the Kazakhstan society, strengthening the national accord. The final
documents of the previous sessions fully support policies and initiatives aimed at
strengthening inter-ethnic and interfaith harmony, strengthening national harmony,
ensuring national security, and safeguarding the culture of the peoples of Kazakhstan.
(Abdikeshova, 2005).
88
The emergence of this body has been supported by both people and ethnic
minorities. After the Assembly started its work, many ethnic and cultural centers of
ethnic minorities for the first time had the opportunity to modernize their language,
traditions and implement it with the support of the state. Over 140 ethnic groups live
in Kazakhstan. A few years later, in his book “Kazakhstan Way”, Nursultan
Nazarbayev states: “We have created a unique tool of national relations on the
example of the Assembly of Peoples of Kazakhstan. Today, such a reputable and
authoritative national policy tool does not exist in any country of the world. “Within
the framework of the special program “Improvement of the Kazakhstan model of
interethnic and inter-confessional accord” in 2006-2008, the special program 2009-
2010 continued all the priorities of the Program being implemented in 2009-2010
(Telebaev, 2010).
One of the main conditions for the preservation of the integrity and
independence of a multi-ethnic state, such as any other country in the world, is the
issue of uniting its citizens into a nation-wide, unified society. Therefore, the Kazakh
authorities have pursued a policy of unifying their citizens into a nation-wide society.
In this direction, the focus is on the political consolidation of nationalities as a citizen
of the republic and it should be based on the commonality of national interests and
accounted for in the national policy of the state policy. From the very first days of its
independence, Kazakhstan has created a unique example of interethnic relations,
based on the preservation of the identity and unity of ethnic groups in many ethnos
and different religions.
Conclusion
In conclusion, the Kazakhstani model of inter-ethnic relations is working hard to
maintain political stability and peace in the country. In our country there has been a
solid dialogue of civilizational traditions that have passed hundreds of years of testing
as a form of peaceful coexistence of different ethnic communities. Independent
Kazakhstan has gained an exceptional experience of interethnic cooperation and
mutual understanding. The main achievement in this direction is that despite the
ethnic affiliation of Kazakhstan people have the rights to call themselves compatriots
for their contribution to the development of the republic, mentality and mutual
understanding. The phenomenon of friendship and co-operation of ethnic groups in
Kazakhstan is not the subjective role of some, but was born with the historical
experience of many countries. We must acknowledge that Kazakhstan is a form of
self-determination, regardless of nationality of all its citizens. This is the most widely
shared home for all national groups. Here, in the framework of a single state, there
must be public and compulsory social standards, accessible to all, regardless of
nationality. Only values that can be shared, symbols, and public order can make the
state viable.
In general, the national policy in our country relies on the following principles: a
reasonable combination of human rights and national rights; friendship, interethnic
harmony and cooperation among nations, nationalities and peoples, mutual assistance
and mutual support; stability and integrity of society; harmonization of national values
and universal values; realization of constructive national-specific interests; Equality of
89
socio-economic and spiritual-cultural development of all nations and nationalities in

the country. The common historical destiny that unites all nations and peoples in one
place will also serve to their common ideals and values.
In the policy of transnational communication of Kazakhstan, the world space
remains a typical country. Kazakhstani experience – the Assembly of People of
Kazakhstan – has been praised by the United Nations and the Organization for
Security and Co-operation in Europe on a global scale. Indeed, this is a striking
phenomenon that draws the attention of the world community. The Assembly
contributes to the effective solution of the problem of the foreign policy of the
Republic of Kazakhstan and contributes to the international image of the country.
The world countries are interested in the correctness of reforms in Kazakhstan in the
area of ethnopolitical, political, spiritual and interethnic relations. Therefore, the
public and statesmen of the neighboring republics are interested in the application of
Kazakhstan experience in preservation and development of interethnic concord. At
present, the ethno-political situation in Kazakhstan remains stable and there is no
clear and frank conflict between different nationalities. All-round research shows that
the level of trust in the authorities on the issue of inter-ethnic accord is high.
Recommendations
Based on the ongoing, interethnic relations in the independent Kazakhstan, it is a
result of a policy based on the principle of equality between nations, which is based on
the policy conducted by the President of the Republic of Kazakhstan, the Leader of
the Nation, Nursultan Nazarbayev. This is especially important for education, training
and personnel policy, and many others, strengthening the confidence of multinational
people in Kazakhstan in their common homeland and promoting their sense of
patriotism in Kazakhstan.
The role of the People’s Assembly of Kazakhstan, which has been created and
functioning at the initiative of the Head of the State, is very important in shaping this
kind of relations among representatives of different nationalities. The activity of the
given structure today attracts the attention of the world countries. Many leaders and
statesmen take it as a new model of nation-building. Kazakhstan’s experience in
interethnic and interreligious harmony has long been recognized in the post-Soviet
countries. Independence and peace of nations have become twins for both them and
Kazakhstan. This is Kazakhstan’s political brand. The history of modern Kazakhstan
shows that the Assembly of People of Kazakhstan has become a masterpiece of the
national policy pursued by the state of equality of all citizens. The Assembly of the
People of Kazakhstan has revealed a wide range of possibilities for the preservation of
national forms of ethnic groups on the basis of a common civic interest in the socio-
cultural system of the country. The role of the Assembly is characterized by the
support and further development of cultural diversity, religious freedom and interfaith
dialogue.
In order to further develop the model of interethnic consent in the Republic of
Kazakhstan we believe that the following should be done in the future. They are:
– Firstly, the Assembly of the People of Kazakhstan is to act as a coordinating
officer, to ensure that the representatives of different ethnic groups living in the
90
Republic live in a balanced state, and have a constant activation of mutual

understanding between them;
– Secondly, the Small Assembly of People’s Deputies of the regions should focus
on updating their work in accordance with these requirements. That is, they must
constantly seek new ways of ensuring inter-ethnic relations in the region in the
conditions of equality;
– Thirdly, ethno-cultural centres in all regions of the Republic should carry out
planned work and focus on its transparency;
– Fourthly, the work of the Peoples’ Friendship Houses is a must-have for the
day, and the focus should be on the topics of the events, including all conditions for
studying the native languages of ethnos;
– Fifthly, pay special attention to the implementation of special programs and
implementation of national and regional mass media aimed at strengthening
interethnic concord;
– Sixthly, focus on the translation and dissemination of research works on
interethnic peace and unity of Kazakhstan – Kazakh, Russian and English;
– Seventhly, intensification of efforts to publish scientific articles in the high
ranking world journals aimed at propagation of the model of inter-ethnic harmony in
Kazakhstan at the international level.
It is known that the implementation of such recommendations in the
implementation of the agreements and stability among the peoples of the Republic of
Kazakhstan contributes to the results of this activity and to its transparency.
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92
THE “BOLIVARIAN REVOLUTION” OF VENEZUELA

WITHIN THE FRAMEWORK OF POST-COMMUNISM
AND POST-DEMOCRACY (1998-2019)
Fidel Rodríguez Legendre*, Cristina Ruiz-Alberdi**
Abstract
The main objective of this article is to analyze the so-called Bolivarian Revolution
registered in Venezuela (1998-2018) in the framework of post-communism and post-
democracy. In this case, we estimate that its evaluation is fundamental since it was the first
experiment in Latin American revolutionary rupture that had the overcoming of capitalism as
its goal, carried out after the break up of the Soviet bloc and the splitting of the bipolar world
that came from the Cold War. From the point of view of the categories and traditional
concepts, the evaluation of the process initiated by Hugo Chávez may be of significant
importance, since the peculiarity of this experience has shown that categories such as
democracy, dictatorship, revolution, and totalitarianism have been insufficient for a clear
understanding of the social, political and cultural phenomenon that occurred in Venezuela.
With the aim of achieving an interpretation that can contribute to the clarification of this
process, in this paper we will first expose the appreciations and concepts referring to post-
communism and post-democracy, taking into account various points of view and theoretical
approaches, to then analyze the most important historical facts linked to the Chavez revolution
and the internal transformations experienced in this process to finally establish a balance of
this experience after twenty years.
Key words: post-communism, competitive authoritarianism, post-democracy, revolution
Introduction
When the fall of the Berlin Wall occurred on November 9 1989, a new stage in
the history of the West associated with an overcoming of communism had apparently
begun, in view of the failure of the implantation of the Marxist utopia in the case of
the countries that experienced what in general terms was called “real socialism”.
However, although in some countries ‘post-communism’ meant the exit of
communism to enter into capitalism, in other nations the reverse process took place:
leaving capitalism to enter into experiences associated with the construction of a new
utopia, the idea of revolution, class struggle and to achieve the welfare of the poor and
needy. But in this last modality, the abandonment of the approaches coming from
Marxism-Leninism is observed, to be inspired by other elements linked to regional
historical processes, nationalism and populism. This was the case of the revolution
initiated in Venezuela by the commander Hugo Rafael Chávez Frías, who after
* Professor, PhD, Faculty of Education and Humanities, University Francisco de Vitoria, UFV
(University Francisco de Vitoria UFV). Specialisation in History and Sociology. Ctra. Pozuelo-
Majadahonda Km 1,80028223 Pozuelo de Alarcón, Madrid, Phone: 91 351 03 03, Email:
f.rodriguez.prof@ufv.es
** Professor, PhD, Faculty of Education and Humanities, University Francisco de Vitoria, UFV
(University Francisco de Vitoria, UFV). Specialization in Pedagogic Anthropology. Ctra.

Pozuelo-Majadahonda Km 1,80028223 Pozuelo de Alarcón, Madrid, Phone: 91 351 03 03,
Email: c.ruiz.prof@ufv.es
93
carrying out an attempted coup against the democratically elected government on

February 4 1992, succeeded in obtaining power through the electoral process six years
later (December 6 1998).
This circumstance generates an unprecedented fact, at least in the political history
of Latin America: the record of the first revolutionary process in the historical
coordinates framed in post-communism, post-democracy and post-modernity,
understood as the latter, as a process in which a situation of disappointment with
respect to political approaches, the ideologies and transforming processesare recorded,
as the French philosopher Jean François Lyotard points out in his famous book,The
post-modern condition. We point out this last aspect since, in contrast, while many
Western countries initiate a process of revision and questioning of political doctrines
and ideologies (many of them linked to Marxism), in Venezuela, from the Bolivarian
Revolution there is a rehabilitation of political actions, social and economic policies
apparently overcome, that will even lead to an ideological and doctrinal re-discussion
that leads to the formulation of what Hugo Chávez called “Socialism of the 21st
century”.
This process became a form of what the American political scientist Steven
Levitsky called “competitive authoritarianism”, to derive in a “hegemonic
authoritarianism”, leading in turn, as it happens in the current circumstances, in a
totalitarian regime that has adopted the forms of “Chinese social control” and whose
state apparatus is in a situation of “liquefaction”.
Between post-communism and post-democracy: definitions and concepts

For the purposes of this approach, it is worth explaining that the terms post-
democracy and post-communism will work in a complementary manner because of
the interrelationships that are recorded when placing them in the experience of Hugo
Chávez’s revolution.
The concept of post-communism presents a series of difficulties, since its
elaboration is still in the process of discussion, and also since it is related to the
historical and social changes that arose at the end of the 1980’s and still has
ramifications in the present.
In response to the previous idea, we observe that, in relation to post-communism
as seen by Europe (for example, placing ourselves in Romania), the researcher Silvia
Marcu, based on the views of Charles King defines post-communism as “the political
regime that follows the communist, where the institutions of communism prevail over
those of a liberal-type capitalist democracy” (Marcu, 2004: 115). In other words,
although it tries to overcome the communist regime, Marcu points to post-
communism as a kind of “political syndrome” derived from the inheritance of a
totalitarian tradition with the survival of elements of concentration of political power
typical of communist regimes, thus making the transition process difficult.
On the other hand, from a Latin American perspective, the Venezuelan
sociologist and political scientist Carlos Raúl Hernández, at the beginning of the
process initiated by Hugo Chávez Frías, interpreted post-communism as a way of
confronting and fighting democratically constituted societies in the West before the
94
fall of communism in the Soviet bloc and the consequent intellectual defeat that such
a situation implied, reformulating the idea of revolution.
As can be observed, at first sight post-communism is conceived as a stage of
overcoming communism, regardless of the obstacles and the prevalence of
authoritarian elements in order to enter into capitalism and inaugurate democratic
experiences. Contrarily, in the Latin American case post-communism will mean the
revival of revolutionary processes (structured from the Russian revolution to the
fragmentation of the Soviet bloc) but with new components, and the replacement of
Marxist-Leninist ideology by combined forms of populism and socialism to face
capitalism. Inclusively, starting from a more global vision, Latin American post-
communism will operate as the historical convergence of the different thesis on the
revolutionary struggle elaborated between the sixties and seventies (of the 20th
century) from Latin America, and the new situation produced by the fall of the Soviet
bloc. To these processes we must add the appearance of the Sao Paulo Forum, all this
in the framework of the globalization process and the consolidation of the free market
system.
In this sense, and insisting on the idea initially provided by Hernández, post-
communism is described as a movement characterized by rehabilitating social
transformation, revolutionary practice, the fight against capital and the
implementation of a justice system that would put an end to differences of social
classes, but without taking into account the fundamental premises of Marxism, which
would be replaced by what Raúl Hernández calls post-communist elements related to
the proposals of Latin American political groups. On this last point, the approaches of
the Zapatista Movement in Mexico, the Workers’ and Indigenous Movements of
Bolivia (under the leadership of Evo Morales), the Colombian Guerrilla Movement
(FARC and ELN), and the Sao Paolo Forum are the areas where reformulation stands
out using the new approach and initiatives of the Latin American left.
In an attempt to define post-communism in relation to the emergence of
Chávez’s revolution, the aforementioned researcher Hernández (2001) points out the
following:
The Bolivarian movement is a post-communist attempt of nationalist and socialist facets,
oriented to support the mobilization of popular sectors against minorities with the intention of
deepening the control of the levers of power that still remain in the hands of civil society (civil society,
education, unions, church), neutralize and dissect the parties politicians, to “ideologically” control the
armed forces (Hernández, 2001: 161).
To this first conceptualization we must add the considerations about post-
democracy, since it is part of the process of the Bolivarian revolution in terms of its
theoretical and doctrinal components: in fact, post-democracy and post-communism
are complementary elements, at least in the Venezuelan case.
On this last assessment it should be noted that with the advent of post-
communism three scenarios can be registered: a- To leave communism to enter forms
of representative democracy in an incipient capitalist development framework (which
is the case of central European countries); b-To remain within the framework of
communism (at least from the doctrinal point of view, preserving the structures of the
communist party, which would be the situation of North Korea), but allowing the
95
establishment of capitalist structures (as in the circumstance presented by China); c-

Implement revolutionary actions (under the seizure of power by violent or democratic
ways) to get out of capitalism through socialist and populist actions, and replace the
paths of representative democracy, with regressive post-democratic forms (which in
the case of Venezuela were established in what was denominated as “participative and
protagonist democracy” led by a leader).
In reference to this aspect, the British sociologist Colin Crouch points out that
these post-democratic processes are the product of the disregard registered “in
modern societies” with respect to the mechanisms linked to the tradition of
representative democracy. This circumstance is recorded when experiences appear
that show characteristics associated with pre-democratic political structures in a
contradictory manner under the aegis of charismatic leaders, and where the values of
equality and participation through the mechanism of suffrage and the election of
representatives in congress are questioned.
In this order of ideas, Crouch points out that when registering the advent of a
post-democratic experience, one can observe the restoration of forms of leadership
prior to the democratic stage: in other words, if in the first pre-democratic phase
messianic leaders, forms of leadership and the concentration of power existed, these
were progressively overcome with the structuring of a design associated with the logic
of Western democracies.. At a later post-democratic stage, it could register the
restoration of the old components of the pre-democratic form that would have
supposedly been overcome (Crouch, 2004: 35-36). In this way, post-democracy is
equivalent to forms of regression, to authoritarian structures, and to the loss of the
freedoms obtained in the democratic stage.
From Crouch’s previous ideas regarding the Bolivarian revolution, the Argentine
ideologist Norberto Ceresole was one of those who theorized and structured a
doctrinal base that proposed the substitution of traditional democracy for a new
project that he called post-democratic. This project advocated the construction of a
participatory and protagonist democracy in which there was a direct relationship
between the leader and the people (understood as the legitimate bearer of national
sovereignty). At the same time, the only additional element of mediation between the
people and the leader would be the army conceived by the people, to configure what
Ceresole called the “leader-army-people axis”.
The Constitution of this axis implied that the people would not have to deposit
their sovereignty in the traditional political parties, sheltered under the structure of
representative democracy, but that the people could directly exercise their quota of
sovereignty through the mechanisms of representative and protagonist democracy.
Regarding the categorization of the post-democratic experience within the
framework of the Bolivarian revolution, as well as the detection of its origins, the
researcher Guillermo Boscán Carrasquero interprets Ceresole’s statements in the
following manner:
In order to carry out this categorization of the Venezuelan model as post-democratic, it resorts to
look for the distinguishing characteristics of our independence models in front of the models established
by the English and French revolutions of the 18th century. Thus we can find the precedents in
national and popular movements, such as the Argentine Peronism that always governed within the
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democratic channel, but with the permanent need for the participation of dignified citizens and a
nationalized and industrialized army (Boscán, 2010: 63).
At this point, and based on an analysis for the understanding of Hugo Chávez’s
revolution (understood as a post-democratic historical experience in the framework of
post-communism), we will introduce the proposal on competitive authoritarianism,
since we estimate that what has been created in Venezuela since 1999 is a hybrid
regime that will move from a “democratic-representative” structure, to a structure
with characteristics of “competitive authoritarianism”, then evolving to a “hegemonic
authoritarianism”, and finally reaching a situation of totalitarianism.
In this sense, for the understanding of the concept of competitive
authoritarianism, we start with Steven Levistky and Lucan Way who define it with the
following characteristics: a-Elections strongly contested and competitive, abuses of
power by the state, lack of transparency and manipulation by the autocrat; b-Presence
of a legislative branch that tends to be relatively weak, although it can sometimes
become a focal point of opposition activity; c-Subordination of the judicial branch,
through persecution, bribery, and extortion; d-Certain tolerance with the independent
press as long as it does not jeopardize its legitimacy and political control. Otherwise,
bribery, selective advertising, manipulation of debts and taxes, and the promotion of
internal conflict are encouraged (Levitsky and Way, 2002).
The Bolivarian Revolution in the framework of post-communism: stages

The Bolivarian Revolution has a particularity that differentiates it from other
Latin American revolutionary processes, such as the Cuban revolution, or the
Sandinista revolution, as it has been established by electoral means. However, the rise
of Commander Hugo Chávez and the MBR 200 (Bolivian Revolutionary Movement
200) had a military style that was characterized in the failed coup attempt carried out
on February 4th, 1992. From that warlike action, Chávez and his movement initiated
the progression process until power was obtained by means of free and democratic
elections which took place on the 6th of December 1998.
In order to evaluate this experience, we will then establish the following division
in stages, in order to specify the evolution of the aforementioned revolutionary
process, from a competitive form of authoritarianism, to reaching its current phase in
which the configuration of an autocracy is consolidated since the advent of Nicolás
Maduro Moros, after the death of Chávez Frías on March 5, 2013. In this sense, we
can establish the following timelines:
1-The first stage that we will call “Transition from Representative Democracy to
Competitive Authoritarianism (1999 to 2013)” has its beginning in 1999, being
characterized precisely by the changes of forms of political organization and the
exercise of strictly democratic court powers to forms of competitive authoritarianism.
It should be noted that, at the beginning of the revolutionary process, there were
democratic features expressed with the holding of elections, freedom of the press and
the existence of political parties, in addition to the relative independence of public
powers.
However, from the very beginning, authoritarian elements began to appear in the
leadership of Hugo Chávez Frías, such as discretional control of the legislative and
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judiciary powers, the creation of shock forces known as the “Bolivarian Circles”, the
harassment of the media and the progressive elaboration of an increasingly aggressive
discourse by the first president of the republic.
At the same time, the authoritarian strategy will take shape through the
implementation of a National Constituent Assembly for the revocation of the
Constitution of 1961 and its replacement by a new constitution enacted for the year
1999, adapted to the needs of the revolutionary government.
At this point, it is important to briefly note that the Constitution of 1999 is the
most important documentary evidence of that phase since it proposes from the legal
point of view the substitution of representative democracy for participatory and
protagonist democracy, as stated in the preamble of the aforementioned fundamental
law: “Establish a democratic, participatory and protagonist, multi-ethnic and
multicultural society in a federal, decentralized justice system” (Constitution of the
Bolivarian Republic, 2000: 5-6).
The aforementioned reference reveals the post-democratic nature of that
constitution, and at the same time accounts for the ideological profile and political
intentions of the Bolivarian revolution in terms of the intention of replacing the
representative democracy that had been established since 1961. At the same time, with
the approach of participatory and protagonist democracy, we observe the link with
post-communist content introduced in the proposals on post-democracy raised by
Norberto Ceresole.
In this sense, one of the fundamental lines is related to the elimination of both
the parties (as elements of mediation), as well as the institutions of the previous
representative democracy, and the establishment of the leader-army-people axis. Some
of these proposals will be included in the “Bolivarian Constitution”, through the
establishment of mechanisms aimed at promoting protagonism and the participation
of the people in the exercise of their sovereignty in the political sphere (Constitution
of the Bolivian Republic, 2000: 62-63), as established in Title III, Chapter IV “On
political rights and popular referendum”.
To be more precise, the project of “participatory democracy” as a post-
democratic modality, is specified in Article 62 whose text points out the necessary
participation of the people in “public management” as the only alternative to achieve
“protagonism”, which in turn guarantees development of both the individual and the
collective, at the same time the State should guarantee the methods of participation.*
For this purpose, and in order to guarantee the aforementioned forms of
protagonism, the mechanisms contemplated in the constitutional articles were the
following: a- Public office elections; b- The referendum; c- The popular consultation;
d- The revocation of the mandate; e- Legislative, constitutional and constituent
initiatives; f- The opening of a town hall; and g- The assembly of citizens.
* Article 62. All citizens have the right to participate freely in public affairs, directly or through
their elected representatives. The participation of the people in the formation, execution and
control of public management is the necessary means to achieve the leading role that
guarantees their complete development, both individually and collectively. It is the obligation
of the State and the duty of society to facilitate the generation of the most favorable
conditions for its practice (Cf. Constitution of the Bolivarian Republic of Venezuela, p. 58-59).
98
These means are those contemplated by the constitutional letter for the exercise
of popular sovereignty from the political point of view according to Article 70. In this
sense -according to the participatory and “protagonist” practices -, the “open chapter”
and the “assembly of citizens” become important, since from the judicial point of
view, the decisions taken by these two organizational entities with constitutional rank
would have a binding character.
At this point, and insisting on the thesis of Ceresole referring to post-democracy
and the impersonation of political parties as fundamental forms of previous
representative democracy, the aforementioned articles of the Constitution of 1999 that
seek the incorporation of participatory and protagonistic democracy will have their
effective concretion with the creation of “The Bolivarian Circles” having as legal basis
the articles of the Constitution of the year 1999.* Within the framework of this pro-
government initiative, whose main creator was President Chávez himself and
according to the official version, the “Círculos” were conceived as the basic
organizational system of the town in order to stimulate the participation of the
different sectors of society in the process of the “Bolivarian Revolution”, but in the
long run they will become groups of paramilitaries in government service, with a
structure similar to the Cuban CDRs (Committees for the Defense of the Revolution).
2-The second stage called “From Competitive Authoritarianism to Hegemonic
Authoritarianism” (2013 to 2017) begins with the death of Hugo Chávez on March
5th, 2013 resulting in the holding of elections by the government for the formation of
a second National Constituent Assembly on July 30, 2017.
Upon the death of the leader of the revolution, presidential elections are called on
Sunday April 14, 2013 to elect the successor of Hugo Chávez Frías. Nicolás Maduro
participates on behalf of the government (which included the United Socialist Party of
Venezuela and the so-called Patriotic Pole) and Henrique Capriles for the opposition
(representing the Democratic Unity) with Nicolás Maduro winning with 7,587,579
votes (50.61%), against 7,363,980 (49.20%) votes obtained by Henrique Capriles. In
this second phase, the political dynamic is adjusted to the final parameters of a
Competitive Authoritarianism, but little by little it loses strength, until it adopts the
elements of a hegemonic authoritarianism.
During this stage, among other facts, there is a marked idealization of the
National Armed Forces in addition to their participation in activities related to the
political parties associated with the government, a significant increase in the repression
of the public forces especially against the opposition, including the use of firearms and
the appearance of the so-called “Collectives” which are groups of armed irregulars
who use motorcycles as a means of transport and are dedicated to intimidating and
repressing the opposition population.
On the other hand, during this second period is when the historic popular
mobilizations of 2014 generated by the precarious economic situation, crime and
personal insecurity, had its formal start with the call of opposition leaders Antonio
* One of the articles that serves as support for the Bolivarian Circles is No. 62 which promotes
the participation of the people in the formation, execution and control of public management. It also
establishes that it is … the obligation of the State and duty of society to facilitate the generation of the most
favorable conditions for its practice.
99
Ledesma, María Corina Machado and Leopoldo López on February 12th, 2014 with
the important participation of the student movement. Finally, after several days, the
protest culminated with a total of 43 dead, more than 400 injured and an approximate
number of more than 1800 detained. As a result of the protests, the opposition leader
of the “Voluntad Popular” party, Leopoldo López, is arrested and tried.
On the other hand, and in causal relation to the series of protests that occurred
during the first half of that year, the cycle of the second “oil boom” begins to close,
which was characterized by high incomes with no prior antecedents in the economic
history of Venezuela- initiated during the year 2003 and ending just in 2014. It should
be noted that the populist model established by Hugo Chávez had its basis of support
precisely in the use of high income in dollars, which served to finance social programs
for strictly electoral and populist purposes.
However, until that moment, the government with Nicolás Maduro Moros as
president was still in the electoral issue, within the parameters associated with
“Competitive Authoritarianism”, in which, despite the lack of transparency and the
discretionary use of the power to manipulate electoral processes, there was a
possibility of obtaining certain management positions in the state apparatus through
suffrage, and that is what happened in the elections of December 2015.
In this regard, on December 6 of that year, the votes were taken to elect the
representatives to the National Assembly for the 2016-2021 parliamentary term, which
were won by the opposition, organized under the coalition called the Democratic
Unity Table (MUD), obtaining 7,728,025 votes (112 seats) against the government that
achieved 5,625,248 million votes (55 seats).
These elections are going to mark the last milestone of the dynamics linked to the
stage of the aforementioned “Competitive Authoritarianism”, from then on, to enter
into a political logic that will lead to more autocratic, totalitarian and restrictive forms,
which will be evident in the following facts: a-Hindrance of a recall referendum to the
government of Nicolás Maduro to be held in December 2017, proposed by the
opposition National Assembly; b- Attempt by the Constitutional Chamber of the
Supreme Court of Justice (controlled by the Maduro government), to disqualify the
National Assembly accusing the legislature of disrespect by means of sentence nº 156
issued on March 20, 2017; c-Repression of the protests of the population of
Venezuela with a balance of more than 163 deaths, and 5,051 arbitrary detentions; e-
Illegal convocation, by the government, for the election of representatives to a new
National Constituent Assembly, held on July 30, 2017.
3-The third stage called “From Hegemonic Authoritarianism to Totalitarianism”
(2017 to the present) will have as one of its fundamental characteristics the
development of a deep economic crisis which has its conjunctural cause, according to
the researcher John Magdaleno, in the “severe fall in imports [...] that contributes to
the reduction of aggregate supply; an increase in scarcity, with variable cycles that
impact on various items (among which are products of first necessity); [and] a fiscal
deficit estimated between 20% and 25% (Magdaleno, 2018: 155). This crisis will
increase scarcity, hyperinflation and public debt to levels never recorded in the
contemporary history of Venezuela.
100
In addition to this, it will add an increase inthe poverty rate by 87%, a decrease in
access to education by the population ages 2 to 24 years by 78%, a decrease of 11.4 kg
in weight per person, an increase of up to 68% in sectors of the Venezuelan
population that do not have medical attention, and an increase in homicides towards
the end of 2017 at a rate of 89 murders per 100,000 inhabitants (Magdaleno, 2018:
155-156).
In this socio-economic context, which will lead to a decline in the popularity of
the revolutionary process and Maduro’s leadership, there will be a closing of
democratic areas and an increase in repression. This circumstance will lead to a clear
situation of “hegemonic authoritarianism” in the process of transition towards a
totalitarian phase, in which forms of social control are beginning to be registered by
the Venezuelan government linked to the social control system used by the
governments of both Cuba and China.
It should be noted that these systems of repression used in Venezuela, receive
very important support and in many cases they have even delegated their functions to
the dictatorial Cuban Castro government. The role played by Cuba in terms of social
control and intelligence, geo-strategic support and counselling, espionage and
propaganda has been widely disseminated and recognized throughout the Venezuelan
revolutionary process, as well as the presence of the Cuban G2 (Cuba’s Intelligence
Service); just to give a figure, it is estimated to have a presence of more than 24,000
Cuban spies in Venezuelan territory.
On the other hand, since 2008 with Chavez as the head of power, the Chinese
government through its technological companies has participated in the construction
mechanisms of social control. In that year Chávez contacted the company ZTE
(Zhong Xing Telecommunications Equipment Company Limited) in order to
strengthen the citizen identification system. This company is the one that has
collaborated in the creation, at the beginning of 2016 and under the mandate of
Maduro, of the so-called “Carnet de la Patria”, a system of identification “parallel” to
the official one but with a QR code, which records citizen information including their
participation in the electoral processes or their inclusion in a popular aid program. At
the same time it gives access to various social benefit bonds, subsidies, CLAP (Local
Supply and Production Committees) scholarships, possibility of accessing rationed
gasoline, etc. This mechanism is both an instrument of control and of social exclusion,
since, on the one hand, it conditions everyone who needs help to comply with the
regime and thus alleviate their needs and, on the other hand, discriminates against
those who do not need to be registered because they do not have access to social
benefits.
Balance of the Post-Communist Revolution and conclusions

Before establishing a balance and pointing out some brief conclusions regarding
the data and information aforementioned, it is important to point out that while this
research work is being carried out, an important social mobilization process has taken
place, under the leadership of the current President of the National Assembly Juan
Guaidó (from the “Popular Will” party), who on January 23 of this year 2019, was
sworn in at a Citizen Council held in Caracas, as President in charge of the Bolivarian
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Republic of Venezuela. For this purpose, article 233 of the Constitution has been
used, in which it is stated that, faced with an absence of power in the Head of State,
the President of the Congress must assume the presidency of the Government and
call elections. The use of this article of the constitution is based on the fact that the
election held last May, 2018, in which Nicolás Maduro was re-elected for another
presidential term of six years, was declared illegal.
In this framework, the Venezuelan opposition led by Juan Guaidó has the
support of a large sector of Venezuelan society, in addition to the support of the
international community with the United States, Canada, Colombia, Brazil and
Argentina among other countries of the American continent, and several nations of
the European Union such as the United Kingdom, Germany, France and Spain.
Starting from this situation whose process is ongoing, in any case a balance can be
established on what has been the revolutionary experience frame worked in the styles
of post-communism and post-democracy.
Under this framework, one of the most important characteristics that we can
register in this last stage of the Bolivarian revolution is that, despite the consolidation
of a totalitarian government, the country has not been stabilized. In its logic, this
contradictory situation can be summarized in a dilemma in which, although Maduro’s
government has social control of the population, however, it does not get control of
certain parts of the Venezuelan territory. On this point, researcher Ysrrael Camero
points out that Venezuela: “... it is the only case of totalitarianism that has weakened
the State. This implies that power operates under two levels simultaneously,
concentrated in some areas, liquefied in others” (Ysrrael Camero, 2019. 2a2.2-2.2)
This circumstance is observed in the presence of the ELN (Army of National
Liberation of Colombia) in areas of southern Venezuela, where they control
productive areas of the mining arc rich in gold, diamonds, coltan and oil (states of
Bolivar and Amazonas). The same situation is registered in the control exercised by
drug trafficking in the Venezuelan coastal areas, or the presence of factors linked to
Islamic terrorism on the island of Margarita.
The problem described above leads us to conclude provisionally, that the post-
democratic revolutionary process, as has been proposed in Venezuela, has led to a
weakening of the State apparatus, or a liquefaction of administrative power and
government control.
Second, if we consider the “Bolivarian Revolution” as the first revolution initiated
in Latin America after the fall of communism, we believe that although there has been
an intention to change, it has operated predominantly in formal and discursive aspects.
The socialist revolutions pursue the transformation of reality to advance to new stages
of welfare, justice and substantive benefits for the majority, although in practice they
never achieve their objectives. Therefore, the underlying problems that have plagued
Venezuelan society in the years prior to the arrival of Hugo Chávez to power, not only
have not been resolved, but have become more acute, leading to an increase in the
indexes of poverty, marginality, external debt, corruption, dependence on oil income,
delivery of wealth to international capital and the lowering of the Venezuelan’s
standard of living in general.
102
On the other hand, regarding the course of the process and its characteristics, we
observe that the “Bolivarian Revolution” can be interpreted as a historical moment in
which there has been a new concentration of power, (this time with greater features of
militarism, improvisation and empiricism) at the same time that it marks forms of
regression to circumstances, procedures, political modalities and organizational
structures prior to the democratic stage inaugurated in 1958. Therefore, the experience
promoted by Chávez could be associated with pre-modern elements, that is, pre-
democratic, even when the electoral variable has been a frequent practice but distorted
by the regime that, although they had emerged from elections, appears as authoritarian
and caudillistic, with a notorious populist personalism.
Finally, it is worth pointing out a final component that may mark an important
difference with other revolutionary processes, such as the structuring of a narco-state
with the presence of a group of criminals, drug traffickers and smugglers in
government positions. This situation led Evan Ellis, a professor at the Institute of
Strategic Studies of the Army War College in the United States, to point out that what
was happening in Venezuela was not “... a matter of politics or international relations,
but an insertion of large-scale organized crime: A group of criminals has taken control
of the State and assaulted its treasury. The underlying problem is that there is no
international legal mechanism or a model of regional cooperation that allows rescuing
a State in these circumstances without violating its sovereignty” (Romero-Castillo:
2017).
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CEPYG Magazine. Caracas. Politika. UCAB: 2.
Crouch, Colin (2004). Post-democratic. Madrid: Taurus.
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Freedom of Expression and Information. Venezuela: Public Space-Konrad Adenauer Stiftung.
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Nonconformity in post-communism ten years later. Barcelona: Editorial Península.
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Caracas Mayor’s Office-Collection of Political Texts number 1.
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Municipal Institute of Publications-Alcaldía de Caracas.
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Autoritarianism. Journal of Democracy. Johns Hopkins University Press. Volume 13, Issue 2: 51-
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Buenos Aires, Number 274, Mach-April: 152-164.
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NATIONAL CODE: METAPHYSICS AND UNITY

OF HISTORICAL CONSCIOUSNESS
Akmaral Dalelbekkyzy*, Zeinol-Gabden Bisengali**, Aknur Toleubayeva***,
Aimukhambet Zhanat****, Karlygash M. Baitanasova*****
Abstract
The long development history of literature has formed a new kind of artistic thinking
system. Generally, there was an influence of internal potential of each nation’s literature on it
apart from classical basis. Artistic thinking has enriched the cognitive perception and fantasy of
a man. The nature of the speech art of any nation is too deep. Man generally recognized the
language itself, specific features of the speech art, and deepened its meaning over epoch. Even
the power of the word has become a reflection of the people’s customs and religious beliefs.
The tradition of their life and national-ethnographic peculiarities were illustrated by words and
a diversity of peculiarities in a form of signs, paralanguage and symbolic characters were
supplemented. They highly emphasized the powerful character of the word and the tradition,
ritual, and customs of their life were conveyed through various forms of expression. It came
from the folklore genres of our nation. These features have accumulated in the centuries-old
space and have reached these days. The people were constantly retrieving their cognition,
memory, concepts and ancient images. It later focuses on the stability that identifies the
formation of the nation, its history, socio-political status, and cultural phenomenon. Thus, the
national code, established in the cognition of people, has formed. Its significance is to analyze
the nature of phenomena in the national consciousness, to determine its role in the past and
future and thereby to demonstrate the uniqueness of the national identity.
Key words: nationality, history, cognition, metaphysics, code, person
Introduction
During the independence period, the nation’s peculiarities were characterized by a
change in the socio-political situation of every nation, its impact on its spirituality and
its future purpose. It is known that the imperial dominance, which hindered the
stabilization of the national identity and the acquisition of a full-fledged nationality,
* Assistant, PhD, Department of Kazakh Literature, Al-Farabi Kazakh National University, 71
Al-Farabi Ave., Almaty, Republic of Kazakhstan, Phone: +87059908407, Email:

dalakma@mail.ru
** Professor, PhD, Department of Kazakh Literature, Al-Farabi Kazakh National University,
71 Al-Farabi Ave., Almaty, Republic of Kazakhstan, Phone: +87012770015, Email:

zinolgabden@hotmail.com
*** Lecturer, PhD, Department of Theory and Practice of Translation, L.N. Gumilyov Eurasian
National University, 2 Satbaev Str., Astana, Republic of Kazakhstan, Phone: +87014178438,

Email: aknur.toleubayeva@gmail.com
**** Professor, PhD, Department of Kazakh Literature, L.N. Gumilyov Eurasian National
University, 2 Satbaev Str., Astana, Republic of Kazakhstan, Phone: +87017849292, Email:

a_zhanat@mail.ru
***** Professor, PhD, Department of Kazakh Literature, L.N. Gumilyov Eurasian National
University, 2 Satbaev Str., Astana, Republic of Kazakhstan, Phone: +87021917588, Email:

k.baitanasova@mail.ru
105
has blinded the minds of the people. In this case it is unlikely that the national
consciousness will be able to overcome and show an individual image. “The process
of formation of historical consciousness has been intensively taking place in the
history of our country for more than a decade. In our society, the whole nation
starting from the President to the ordinary citizen has turned their focus on our
national history. Everyone was striving to find out about his origin, genealogy; each
citizen looked at the past of his country and by these searched for answers to many
current questions. It was a remarkable phenomenon that demonstrated the high level
of national culture. Because only that nation that hopes for the future, is eager to
know their past. If people are indifferent to the past, then their hope for the future
will be lost” (Nurpeyis, 2005: 5). The formation of the nation is directly related to its
history, socio-political situation, and cultural phenomena. Independence, first of all, is
valuable in order to deepen the essence of these rarities (Kozyrev et al., 2016).
The notion of metaphysics was first used by Aristotle’s work. Unlike other
sciences metaphysics defines notions which meanings are eternal. What is world? Is
there a God? How were consciousness and kindness in human’s nature formed? Why
was man born and why does he die? That is metaphysics that defines notions related
with nature, which questions go along with its answers. G.I. Spasskii’s work called
“Kyrgyz Kaisaks of Big, Middle and Small hordes” was one of the earliest works on
the history and ethnography of the Kazakh people in the Russian oriental literature
(Karasayev et al., 2018; Yensenov et al., 2016; Sailaukyzy et al., 2018). It hasn’t lost its
significance till these days. By collecting information about the history of countries of
Central Asia he published its systematic versions in the journals such as “Siberian
Bulletin” and “Asian Bulletin”. The researcher’s essay about the traditions, customs,
economy and household of the Kazakh people, in which he has accurately described
situations observed by himself, is rich for nomadic life of the Kazakhs. Historian relies
and compares lots of historical facts in the process of classifying the genealogy of
khans (Nurpeyis, 2011; Doronina et al., 2018).
Works of the researcher L.N. Gumilyov deeply studied the history of human
society and deepened the evolutionary interval between the period of mythical
existence and the relationship between the nations. The scientist, M. Kozybayev,
stated: “The concept of L.N. Gumilyov doesn’t show the evolutionary derivation of
humanity, but the inner type of it and by making a scheme of studies of the
integration period between different tribes and races he intends to show humanity
through the worldwide history which gives an imagination of Babylonian movements.
His theory is complicated till nowadays. It is wrong to understand that the theory of
human relativity cannot be understood in terms of the reduction and expansion of the
category of time, the mystery of the interaction between ethno-genesis and biosphere.
The scientist introduces the term “ethno-sphere” and defines the inseparable
connection between development of humanity and nature. The major step in the
studies of nation was a national unity and the formulation of the national association
(Beisembina and Kozhabaeva, 2012: 128).
Humanity civilization has always been under evolutionary development. It also
reflected a nature of passionarity, which is, in particular, self-sacrifice of individual
nature for the sake of society and mass; and in which knowledge and understanding
106
are dedicated for the sake of humanity through special activeness. According to L.
Gumilev, passionarity is a stable set of characteristic features of the whole ethnos in a
certain era. It is equal to metaphysical specificity as a special phenomenon of human
existence (Kataeva et al., 2015).
It was shown in the works of Aristotle, I. Kant, Rubinstein, M. Bakhtin, al-Farabi
and Balasagun in each era and the system of national concepts was considered
(Bondaletov, 2014).
The Nature of Metaphysical Thinking

There are a lot of unsolved issues in metaphysics according to scientists in
different fields. That’s why it’s topical. It was also supposed that metaphysics would
be removed as a scientifically unfounded subject in the history of thinking.
Metaphysics, however, is a precious knowledge of the many situations in life, thus it
increases the interest in the phenomenon of creation and its secrecy. Philanthropist
Immanuel Kant himself, who is a founder of radical critical thinking on metaphysics,
recognized it as phenomenon of human spirit: “The process of abundance of
metaphysical research by the spirit of humanity is the same as the process of a
complete stop of breath for fear of polluted air. Metaphysics will always be present in
a conscious person’s mind” (Kant, 2017). The literary word has its own metaphysics.
The nature of metaphysical thinking is complex and wide. Consideration of human life
within a variety of spaces makes literature different from other types of art. Concepts
of metaphysics such as god and man, spirit and body, sacredness and sin, life and
death, freedom and law, fate and chance are reflected in authentic literature
(Nyssanbekova et al., 2015; Kostruba, 2018). It doesn’t mean that literature is a branch
of philosophy that simply conveys idea and thought in a form of images. It’s true that
metaphysics as one of branches of philosophy considers the laws of worldview, the
diversity of nature and high accuracy. Theater and fine art, religion and politics,
language and music have their own metaphysics. Thus metaphysics differs from
philosophy in broad and narrow sense. On the one hand, metaphysics is just one
branch of philosophy along with epistemology, ontology, ethics, and aesthetics. On
the other hand, philosophy is a field of metaphysics such as literature, theater, fine art
and music. One of the many themes of metaphysics is how human beings come to
this world and why he leaves it. Metaphysics is not only about the eternal
phenomenon of nature but also it is an area of different issues concerning human
nature.
Metaphysical phenomena do not directly take place in literary works. In fact,
metaphysics is reflected in the literature through images, style, vocabulary, detail, and
self-use of authors. Sometimes metaphysical concepts last for centuries. Accordingly,
the study of art of metaphysics requires a different approach than the metaphysics’
tract. Even the author’s direct thoughts aren’t faced: there the whole idea of artistic
and literary work is discussed. But this system of thinking may sometimes be
unknown to the author. Thus, the literature researcher will meet many indirect
materials, textual and inter-textual interactions. Here we can come to the conclusion
that the artistic metaphysics is much more profound than the philosophy that studies
the common concepts and categories.
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Metaphysics in literature is a visual, long-lasting or eternal thinking system lasting

from centuries to century and transmitting from one writer to the other. Metaphysics
in the literature has two meanings: literature transmits and visualizes certain
metaphysical concepts; on the other hand, it’s an object of metaphysical research.
According to the researcher’s point of view, “Russian literature is an authentic Russian
philosophy that is a wonderful philosophy of word which has its unique and diverse
set of colors like a rainbow. Very significant issues of human spirit are always rooted
from its depth” (Esalnek, 1985). This characteristic of metaphysics has proved its
relevance about the study of eternal values (Kataeva et al., 2016; Mnaidarova et al.,
2017). The main idea in the metaphysics of Russian writers of the 19th century such as
Pushkin, Lermontov, Gogol, Dostoevsky, Tyutchev and L. Tolstoy was firstly
discovered in the works written by Russian thinkers of the Silver Age such as Rosanov
and Merezhkovsky, Shestov and Berdyaev. The period of metaphysical thinking and
consequence of the results of the Russian literature of the 20th century is the Silver
Age that corresponds to the beginning of the twenty-first century.
It is known that the spiritual treasures of humanity are always ahead of time. It is
well known from the history that the poem “Kutty bilik” written by Zhusip Balasagun
in the 11th century has an important role in the life of the country. The author was
awarded by the title of “khas khadzhib” (a chief counselor or a grand vizier) for this
work. Zhusip Balasagun’s work, which was preceded by time, has been acknowledged
as a valuable historical manuscript that has not lost its significance. The issues,
discussed in the Balasagun’s work, are of great importance today in the era of
globalization. The actuality of the principles of morality, humanity, goodness, justice,
and literacy during the governing the country raised by that era has not lost its
significance and value till these days. The main purpose of the poem is to create a
happy society and to form a generous and prosperous country. Principles starting
from forming a family to the establishment of the state and even to the management
of the country are included. The creation of a happy, strong-willed society is a desire
of humanity that hasn’t lost its topicality since the moment of the birth of man. In the
poem, the author states: “Now let me tell about a man, I’m a person who mastered
wisdom and knowledge” (Balasagun, 2007: 12). We know that human beings are not
born intelligent and smart at once. These qualities come to the human being through
labor. Family upbringing and discipline, good and bad happenings in the environment,
social construction, and social status of the population – all these factors can affect
the human beings. It is necessary to have a strong education and knowledge in order
to differentiate the distinction between these pleasant and unpleasant phenomena.
Only in this case an ordinary human can live with intelligence, reason, and rationality.
During the post-Soviet period the discourse of “Eurasianism” and “space”
sought to appear in the foreground. From the point of view of the Eurasian, there was
a huge impact of western influence for a certain period of time. Because the world of
artistic expression has eternal inseparable ideas for centuries which satisfy the highest
intelligence of humankind. They all form the meta-narrative. Metaphysics was mostly
associated with meta-narrative. Each metaphysical branch leads to a meta-narrative. It
means that there are themes and style of narration that peculiar to all literature. In
most cases meta-physicality of literature is expressed with the help of interpretation of
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the image and signs of the idea. As T. Carroll states, “The symbol also includes
confidentiality which means that both silence and speech are interconnected and have
a bilateral meaning” (Kravets, 2005). In fact, everything is expressed by characters, not
by the writer. According to the researcher M. Bakhtin, “the created image (that is the
first author) cannot be entered to the image made by him. Anything can be expressed
from the behalf of the writer. That’s why the first author always remains in silence”
(Bakhtin, 1996). It means that the author cannot enter to the image completely which
leads to the metaphysical secret in the artistic world. The secret of the fiction is the
silence of the “first author”. As a result, the reader keeps thinking after narration.
Artistic word carries a certain meaning. The ancient traditions and customs of the
Kazakh people can prove it. For example, the secret of the word is kept starting from
puzzles and proverbs in folklore to all genres. For example, the Kazakhs utters word
by adding color and meaning.
The proverb “The intellect comes from the young and the jewel comes from the
stone” has both simple and concrete meaning. This proverb can carry a lot of
meaning and many issues can be discussed within its scope. A short saying expresses a
concise and clever statement full of wisdom and truth. The reader will interpret the
idea behind it by himself. The richness of the word is a distinctive feature of the
people’s vocabulary fund. Bi and sheshen (orators) kept the unity of the country
owing to the power of speech and word. The founder of metaphysics – Aristotle
stated, “The amazement of the people has led to philosophy.” Our people’s speech
expresses deep wisdom. Don’t the heroic poems of the folklore narrate the traditions
of the people, the love and care for the generation along with the heroism of the
country? For example, the poem “Kambar-batyr” starts from the ancestral ritual,
“Fellows, let me start my poem from prayers, first of all, to God, then to deities” and
continues with the praise of Azimbay “who is helpful for those who are hungry and
without transport and who is kind for cattle and who is ready to help people and the
country in time of need” and he has six sons and beautiful daughter called Nazym
(Aidashev, 1987: 5). These characteristics are peculiar to any poems about heroism.
The beginning of heroic poems starts from meta-narrative like a dastan (poem).
This is because the hero himself comes from the country, so his homeland, his native
land, his parents and the state of his country should be included in it. This prologue is
accompanied by amazing events. By attracting the reader, the writer points out the
heroism and heroic acts of the character, describes his wise wife and clever horse,
shows the origin of the heroism and bravery and numerates its peculiarities. It collects
metaphysics. It means that the hero is a special character and a unique person from
his birth to raising a horse. This image was born of the people’s dream about a man
who will defend his country. So the hero should not be vulnerable: “he is a legendary
figure often of divine descent endowed with great strength or ability and he is a
person who, in the face of danger, combats adversity through feats of ingenuity,
bravery or strength”. The noble nature of the hero, who is a great fighter for the
country, should also be seen from his wife, horse, his noble qualities, and the most
formidable military fights.
The cultural code of the people is a system of information that identifies the
culture and literature of the country. Socio-cultural codes are transmitted in the world
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history in accordance with epoch, state policy and cultural level, but the basis of the
national identity and life of the people is preserved. Culture – is a life of the people
and it is past, present and future of their intellectual development. Each nation
preserves, retains and transmits its own spiritual values within the scope of the
development history of all human civilization. A number of manuscripts have been
reached the public within the framework of the state program “Cultural heritage”.
Many events, which were gone through by the Kazakh people, are kept in the
history of the Great Steppe. Al-Farabi, Mahmoud Kashgari, Balasagun, Ibn Sina,
Yassawi, Ulugbek, who lived in different eras, contributed to the development of the
world civilization. The great works of these outstanding figures of the great steppe led
to the European renaissance. At the present stage of integration and innovative
search, the process of globalization also allows to recognize the nature of each nation.
Therefore, the personality of the individual, the dialectics of the soul, the concept of
the individuality, the character of action are taken into account.
The National Identity Code of Kazakhstan

The national code of the Kazakh people is unique. Generally, it is evident from
the socio-ethnographic, cultural and literary nature of its development. And its artistic
expression reflects the ethnic identity of our people and the peculiarities of the artistic
thinking system. The world ethnographic picture is a phenomenon of worldview.` The
first world model is formed at the earliest stage of ethnos development, and it is a
mythical entity. Mythology is not isolated from the nation, it is a spiritual
“foundation” of the nation and its first history. The most importantly it identifies the
national character and develops throughout the whole lifetime with that nation.
However, mythology also has elements of interethnic and universal character.
Concepts of “meken” (dwelling) and “ui” (home) can be used as a proof of it. It takes
universal feature for all people of the world.
The mythologeme of “home” has had a significant impact on the world literary
process as a noteworthy concept. In every artistic illustration this concept has its own
philosophical and moral meaning. Of course, this concept has a conventional
character among the Kazakhs who lived in a nomadic way of life. The Kazakhs raised
cattle on great steppes throughout all seasons, built their dwellings and settled on
those locations. The place, where they settled for a season, was considered as their
home. Therefore, home has a wide and diverse meaning for the Kazakh people. The
land, which was the ancient home of our ancestors for centuries, is measured with the
width of the steppe. The genetic memory of our people broadened through this. The
mythologemes of “meken” (dwelling) and “ui” (home) have got a specific cult, and
our people are proud of the sacredness of the kara shanyrak (it’s a dwelling of the
Kazakhs in a form of yurt that means a continuation of the family passed on from
generation to generation and revered by sons as a sacred place).
Defeating the country, keeping peace and unity was a task for the nation. There
were bis (judges) and defenders who managed the nation in order to preserve the
unity of the country and left their prints in the history of the nation. Thus, the concept
of “meken”, “turak”, “konys” (dwelling, home) is conceptual for our people. All these
have deepened the metaphysical nature of human existence. It was important to keep
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the peace and to find a place for the livestock. So when the land was in danger and
surrounded by the enemy, first of all zhyraus (a poet) and orators convened. They led
the country acting on the situation in the country. Finding a safe place for protection,
putting a horse-rider on the horse, choosing his five weapons, mobilization against
enemies, the processes of negotiation and agreement – all of these have to be done in
a certain order. And that was the only way to save the nation. All these have formed
the attitude towards environment, surrounding space in the human mind and
formulated notions such as the essence of life, well-being of the future generation, life
and death, faith and spirit. The national code is a preserved, stabilized sign of the
nation’s worldview and consciousness. It is transmitted from generation to generation.
Of course, it is not in that state, it is transmitted with a complete changes and
modifications.
The current state of the nation and its lifestyle influences it. It maintains a unique
characteristic. Type of struggle for survival formulated in mind has a priority as well.
For example, blessing, wishes, prayers to God, gratitude, curse, sacrifice, predicting
dreams, myth and legendary stories – all these broadened the metaphysical nature of
the human. Man’s worldview reminded him of the past and contemplated the future,
and emphasized his attention on various para-signs. Some archetypal concepts, hidden
in the depths of consciousness, came forward. Spatial and time-dependent relations
are characterized by idyllic quality. It means that the ratio of space was specified so
that human beings has given a special attention to their native land, settlements,
ancestral homeland and kept every detail in memory. It means that unity of the space
synchronized cradles and graves, childhood and old age, and simultaneously conceived
the concepts of the past and future in human consciousness.
In the modern literary science, the problematic field of mythologeme is broad
and contradictory. Because the concept is connected with philosophy, sociology,
political science in terms of cultural and scientific paradigm, and mythologeme is
constantly added with new, secondary meaning. At the same time, the scientific
discourse about mythologeme considers it as one of the most central issues in terms
of mythological expressions of literary text. The reason for this is that the space of
artistic text can simultaneously consider two fields – the ancient archaic thinking and
mythological expression of the individual-author. The crisis of civilization in the
development of society, the vulnerability of consciousness, and the uncertainty of the
humanity in the future made them look at the past and at its nature, and search for the
harmony of the surrounding environment. It means that it led to consider the ancient
mythologeme, fixed in the memory of the people, in terms of neo-mythology.
Nowadays new perspectives of ancient concepts of man are revealed and perceived. It
means that our people’s attitude towards local policy has expanded from the unity to
the privacy. This mythologeme reveals the interaction of human cultures. Thus, the
image of the ancient steppes, dome, ordain is associated with the civilization of today’s
new era. In this way, the image of an ancient cognition can be formulated in the minds
of the human beings. And in fiction they are formed on the basis of mythological
plots and images. In any time, the people expected good things from the future. These
are widely described in fairy tales, legends and poems.
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Classical art really appears in the place where its release is fully recognized. Of
course, the infinite value of classical works has been recognized in the centuries-old
network. This frankness of classical art coincides with the classical philosophy found
before Hegel. Its further continuation continued in the works of thinkers like
Kierkegaard, Schopenhauer, Feuerbach, Marx, and Nietzsche. At the same time there
is another side of it, which is an aesthetic “acceptance”. Hence, humanity is elevated
to spiritual heights by perception of art types.
“Doubts and trust” are contradictory notions. The analyst S. Kierkegaard
analyzed this paradox in his work “Fear and Trembling” (Kravets, 2005). The avant-
garde art is characterized by religious, confidential, and unconsciously structured
recognition. If everyone looks at his genetic background with great skepticism, then
his feeling can lead to a variety of uncertainties, suspicions, and contradictory
thoughts. A sense of duality and a sense of having a dream in human cognition are
caused by this. Nature of human beings is very close to mysterious phenomena
according to the ancient heritage. In the process of solving this mystery, he learns how
to fight, act, think, and evaluate correctness or incorrectness of his work. Man
experiences a different state of being such as predicting the future, imagining,
inventing, applying different approaches, asking for help from deities, and praying.
“Civil society” is a social inequality in the slave ownership, feudal or bourgeois
society. At this stage ideological contradiction was prevailed. Hegel called this process
as a process of personalization, a self-determination and personal aspiration of his
own personality. This type emerged in Europe in the 11-12th centuries and it was
marked by the signs of the humanist worldview of the renaissance period and it was
dedicated to the preservation of human rights on the earth. This type has gone
through the evolutionary way of its development and its direction has been broadened
over epoch, and now it protects not just the moral and ideological rights of individual
people, but also the interests of individual countries and groups. Thus, substance type
possesses one of the most advanced power and consciousness of the nation.
Equivalent of the term “personality” in the West European language is a persona,
which is a notion that defines individuality of an individual. In determining the notion
of a person, apart from his personality, it is necessary to determine the period in
which he lived and the real time-spatial relations. The distinctive feature of a person is
that he stands superior by his actions and the deepness of his thoughts. The person
preserves the national traditions of his nation and foresees perspectives of its far
future.
The preservation of the tradition is directly related to the cultural memory of the
nation. Folklore heritage of our nation is full of all that life of the nation. Of course,
“ready-made forms” in folklore were the basis for the plot, genre, and for types of
storytelling. However, the ontological horizon of the world has been mastered within
the framework of artistic, rhetorical tradition. In other words, good living conditions,
comfortable settlements, well-being of our people and future generation are common
to the peoples of the world. In order to maintain this balance, every nation is pursuing
different actions – struggle, conflict, peace, migration (Sulyagina, 2014). Particularly,
tradition and customs that have passed from generation to generation differ by their
topicality. Traditions are kept not only in the oral traditions of our people, but also in
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writing. In this sense, the tradition does not limit the creativity of the artist. On the
contrary, it relies on advanced traditions of its era. Tradition and conventionality have
been preserved as a cultural phenomenon in the historical era. Each tradition has its
own basic directions. According to the researcher V. Khalisev, “breaking
conventionality has expanded the tradition of literary creativity and broadened its
essence as well” (Nikolyukin, 2001). Of course, major changes in social and political
life have a tendency to be reflected in artistic creativity. In this regard, “ready-made
forms” also appear in the literature. For example, there were literary works similar in
plot and ideological compositions describing characters of the rich, poor and the
orphaned which were peculiar to the literature of the beginning of the past epoch.
According to this, the system of characters as the fighters, the needy and of those,
who suffer from tradition of kalyn mal (a marriage of convenience) have been
formulated. They have become an active force in society. The reason is that their
personal situation showed the problem of the whole society.
It is known that human consciousness can not be taken out of history. The
nature of a person determines his social feature. The social atmosphere of that
environment changes due to the more shifts in human condition and factor. This is
because a person is in a position of priority in society. The inner nature of a person is
a psychological world. Deep and more specific aspects of human psychology are
identified as it goes deeper. According to researcher S.L. Rubinstein the psychological
aspect includes psychic mechanisms and processes. Because the personal
psychological state of a person has a general characteristic specific to his own
environment (Rubinstein, 2012). Scientists such as S.G. Yakobson and N.A.
Menchinskaya, who have studied this issue in their research, have made efforts to
determine the mechanisms of formation and functioning of moral principles and
forms of scientific worldview (Yakobson, 1962). From ancient times, psychologists
have discovered that the processes of thinking, perception and understanding in
people are at different levels. It means that it involves the conscious, unconscious,
normal and habitual actions of a person. The psychologist P.V. Simonov refers this
psychological consciousness to the type of consciousness beyond human existence.
In contrast to general psychology, social psychology studies the psychological
reaction of a person in a specific environment. From this point of view, social
psychology deepens the essence of general psychology, because social itself identifies
the person’s ethnicity, environment, tradition and morals. But the daily state of a
person in the mass environment is not always consistent. His personality in the same
environment can be distinguished as distinctive due to his knowledge, experience,
attitude, and behavior. The study of the structure of the person determines his
humane, behavioral, intellectual, and cognitive features of his character in the same
environment. The more distinctive person’s feature is, the more unique his personality
is. Morality in a society is the result of a person’s actions. Meanwhile, humane and
moral values are the essence of society. The fate of the people who became leaders in
the history of the nation proves it. At one time, Bukhar zhyrau (poet) was a mediator
between the khan and the people and made efforts to preserve the integrity of the
people. Zhyrau could direct the khan concerning incorrectness of his policy and poet
could even manage the whole tribe with his witty speech. Sometimes he predicted the
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future and asked both the khan and the people to calm down. He contributed to the
maintenance of requirements of ethics and the peaceful life among people being a
poet, writer, negotiator and a predictor. This unique feature of Bukhar was necessary
for the khan who ruled the country. Thus, zhyrau could freely interfere in the
domestic and foreign policies of the country, and became adviser of the khan. This
character of zhyrau distinguished him from other figures. That is why zhyrau’s word is
wise, sharp, and deep.
From the beginning of human existence on earth, he endeavored to draw closer
to life, happiness, goodness, faith, humanity, compassion, and wisdom. Here comes
the question of the essence of life, eternal values in the mind of man. Abu Nasr al-
Farabi, a teacher of all humanity, states in his treatise “On Views of the Citizens of the
Virtuous City”: “If a person’s goal of life is to attain the greatest happiness, he must
know what happiness is and he must set it as his aim and pursue it. Then he must
know what to do to make him happy. From the various characteristics of different
individuals, the following conclusion is drawn: The things that should be known and
the happiness are not always possessed. This is not peculiar to all human being. A wise
teacher is needed to do this. Some people need a little guidance, while others need
more. But even if these two forms of guidance are manifested, that person, who has
been taught or taught without the exterior motivation, does not fulfill all those learnt
and taught advice. This situation is typical for most people. Therefore, he needs those
who can teach them all and motivate them to do the right actions (Nurpeyis, 2005:
409).
The most intelligent figure – Zhusip Balasagun – states his thoughts about
happiness: “The happiest person is a person who is generous and happiness happens
to the one who gives happiness” (L.N. Gumilev and problems of steppe civilization,
2012: 206). It means that if generosity and openhandedness prevail, then the one is an
owner of the happiness. The call of everyone to goodness as a teacher is the same as
being a judge. The scientist Zhusip states that judges know how to deal with people
and they lead people to goodness and kindness. People are taught to learn their
knowledge and respect them. Man’s position on the essence of life is formulated
according to the decision how to handle them and the direction to which his character
must be focused. Abay was a person who expressed his opinion on that issue. A
person who brings up “a complete man” must be a perfect teacher. Only a person
who has reached the level of “a complete man” should be worthy of the title of a
national teacher (Kunanbayuly, 2005).
The essence of human beings is primarily inclined to independence. It is
characterized by a common characteristic of each nation that is the identity of the
nation. The Kazakh nationality is characterized by features that identify the person
such as sincerity, vastness of thought, reasonableness, accuracy of speech, history of
the past, motives of the ancestral tradition. Hence the theory of personality is
formulated. And each person is aware of the changes, peculiarities, and circumstances
of his environment. It empowers his emotionally-sensual, intellectual and spiritual
strength. He is always in dialogue with his environment. According to the scientist M.
Bakhtin: “Speaking is necessary for others. People communicate and interact in order
to make human thoughts realistic. So they get to know each other. This interaction is
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realized in the form of meaningful, composite-linguistic communication. This leads to

“dialogue” (Bakhtin, 1987). The dialogue format is different. It includes aitys (a
contest centred on improvised oral poetry spoken or sung to the accompaniment of
traditional musical instruments), agreement, negotiations, various interiors in the
history of our nation, weapons, clothing patterns, traditions and customs. For
example, “... according to us, the most important procedure in the khan election is the
ritual of lifting up the new khan on a white felt mat that is a welcoming process of the
newly elected khan. It consists of the following two moments: 1) The ceremony of
putting the new khan on a white felt mat; 2) The coronation of lifting up the new
khan on a white felt mat. This is the culmination process of coronation of the khan”
(Borash, 2007: 76). This is a model of dialogue between the people and the khan. This
procedure, which is performed before the people, means that the khan is elected by
the public and now he is in power, his word is law. It also means that people must
appreciate and respect the khan.
Human history does not only solve political issues in society. In the history of
human development, all issues must be topical. Established phenomena in history
must be considered from different perspectives in the process of historical
recognition. It involves a person, a person’s intelligence. Historian scientist Kh.
Abzhanov states: “The owners of civilizations in the east of the Eurasian continent –
those who left pictures of wild animals in Kulzhabasy in the III millennium BC, those
who brought Begazy-Dandybay culture in the Bronze Age, the Kazakhs, who were
captured by the ancient Turkic people, continued the ancient tradition and formulated
two rational models of preservation, systematization, and propaganda of the history
even at the time when professional social sciences haven’t completely formed. The
first thing to do is to tell the events of the history that happened in the past. The
second thing is a genealogy. According to the first, the historical process is
characterized by the intervention of the people, kagan (a king), khan, batyr (a hero), bi
(a judge) and bek (a head), while the second type gives priority to the individual. Cause
and reason, beginning, procedure of the history in both of them are concluded by
witty statements and thoughtful sayings” (Abzhanov, 2007: 3-4). The calmness and
tolerance inherent in the nature of our nation contributed to worldview. In many
cases, the tradition of ancestors was performed by the word. Following our steppe
law, our people have found answers to many secrets offered by nature, and have made
it a part of their daily lives. People sometimes ask rhetorical questions to the mass,
environment, and even to their descendants. People accepted the metaphysics of
creation and constituted the image and style. Even though a human being dies, he
acknowledges that his soul is eternal, and he prayed for the ancestor. People
formulated concepts that are eternal, believed in the magic power of the word.
Academician S. Kaskabasov claims: “Works of the artistic folklore have another
way of performance. It is an expository way, that is, interpretation. Such a style
appears in the art of highly skilled artists and in fairy tales. They do not just narrate or
tell a fairy tale. They occasionally express their attitude towards the story, sometimes
directly and sometimes indirectly without interference with the event” (Kaskabasov,
2011: 40). Emotional openness of human being and inclination to communication are
reflected in their mother tongue. Language culture of human is characterized by its
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national identity as the development of its ethno-social and cultural-historical integrity.

The etiquette of the Kazakh people has formulated and developed over the centuries.
Its usage depends on society’s development, social status, and age. The researcher L.S.
Scherba, in his study of linguistic practice, puts forward the idea of introducing the
dyad of “language-speech” as follows: “... All language dimensions that we support are
shaped by our speech and understanding as a future concept and become a” language
material”. The culture of speech is formed as a result of all these things” (Shcherba,
1957). It functions as a tool of understanding a person and observing his nature.
Conclusions
The Kazakh people experienced many wars, struggles and tragic events in their
past history. It was the country, the vastness of the land, and the wealth of the steppe
that the enemy was trying to capture. But bravery heroes who were fired by arrows,
orators who were witty and smart invoked the country to stand aside from situations
that could bring tragedy for the nation. This is the feature of the nation. The Kazakh
people have expressed their centuries-old dreams and wishes, wisdom about life in
their witty words, tradition and customs. The unique consciousness and cognition of
the nation have been formulated through this. This defines a national code.
Literature of any country is a reflection of the culture and national consciousness
of the people. The literature reflects hope for the people’s freedom, independence,
and for future. Therefore, social inequality, struggle, and general state of people are
constantly reflected in literary works. Literature has its own metaphysics. The
complexity and broadness of metaphysical thinking, consideration of limited and
unlimited situations of human life differentiate the literature from other types of art
that quickly change the mood of the person. This proves the potential of literature,
the integrity of artistic and cognitive power.
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GEOPOLITICAL USES OF THE SPEECH

IN INTERNATIONAL RELATIONS: ELEMENTS OF ANALYSIS
OF COOPERATION BRIC AFRICA
Hanse Gilbert Mbeng Dang*
Abstract
The new configuration of the international system has favoured numerous changes in the
international order. One of these major changes is the reorientation by state actors of their
foreign policy practices. From this perspective, discourse occupies a prominent place in the
direction and conduct of foreign policies. It is even at the heart of the practice of new
international relations. The shift of the world towards a multipolar model, the formation of
numerous geopolitical entities on the basis of political and economic solidarities, revived the
debate on the geopolitical uses of discourse in international relations. This debate finds its
foundation and its relevance in the geopolitical reconfiguration of the world with the advent of
new geopolitical and geo-economic entities like the BRICs recently become the BRICS or
BRICAS. As a result, multilateralism emerges as a form of international cooperation par
excellence. In this new framework, Africa is positioning itself more as an actor who makes
sense. This repositioning of Africa on the international scene is taking place through the new
impetus given by African leaders to relations with emerging countries. The structural and
conjunctural transformations of the world system call on Africa to renew its relations,
particularly with the BRICS. In this context, the present proposal aims at identifying the
elements of analysis of the Africa-BRIC cooperation on the basis of the reciprocal speeches of
the plenipotentiaries of the two entities.
Key words: geopolitics, discourse, international relations, Africa, BRIC
Introduction
The rise of the emerging economies of Brazil, Russia, India and China,
understood as the BRIC, has provoked a new geopolitical reconfiguration. The
formerly unipolar international system, characterized by an American-European
preponderance over the world economy, is today challenged and challenged by the
rise of the BRICs. These “new masters of the world” to takeover (Ziegler, 2002: 11)
have burst onto the African scene and seems to rise as a partner of choice for this
continent that vibrates to the rhythm of emergence. African geopolitics, as well as
global geopolitics, are being reconfigured (Mbeng Dang, 2016: 185). Formerly
considered as the preserve of the European powers, Africa is now courted by the
BRICs. The Africa-BRIC relations mark then constitute one of the major
determinants of the renewal of Africa in the international partnership. The main
challenges of this partnership lie in the sustainable growth of the African economy, its
openness to international market civilization and its integration into the world
economy (Chouala, 2003: 57). Only, the Africa-BRIC cooperation seems to be
maintained by many speeches which convey the illusion of a balance of the balance of
* Senior Lecturer., PhD, University of Douala, Faculty of Arts Letters and Socials Sciences,
Internationals Relations Specialization, No Kpolota Street, Bertoua, Cameroon, Phone:
+237695180408, Email: hansegilbert@yahoo.fr.
119
power between the two entities. As a result, the analysis of the discourse in
international relations seems to impose itself as a grid of reading making it possible to
better identify the new stakes of the partnership. Discursive production in Africa-
BRIC relations is from both a theoretical and practical point of view an important
element in understanding and apprehending the posture of the principal
plenipotentiaries. While discourse is the driving force in the implementation of states’
foreign policy, its geopolitical uses are at least a vector of power that determine and
influence power relationship between them. Considered as a combination of words,
discourses reflect the aspirations and the degree of power of states through the
guarantors of foreign policy. It is in this that one must perceive the relevance of the
expressions “words of power” or “power of the words”.
That said, the objective analysis of discursive production in the theoretical field
of international relations cannot be better operationalized than by a preliminary
conceptual clarification. The concept of discourse is much more used in the field of
linguistics and language sciences. For semiotics, discourse analysis seems to have
invested the field of interdisciplinary. Several definitions are then proposed
depending on the nature of the discourse as well as its purpose. The French
dictionary Larousse gives some definitions. Oratory development, on a specific
subject, said in public, and in particular on a solemn occasion by a speaker speech of
circumstance. Written or oral manifestation of a state of mind; set of didactic
writings, oratory developments held on a theory, a doctrine Marxist discourse.
Benveniste defines discourse as “any enunciation supposing a speaker and a listener
and in the first the intention to influence the other in some way” (Benveniste, 1966:
242). Discourse is a statement or set of statements considered from the point of
view of the mechanism of its production, in other words a statement or set of
statements in a situation of communication. In the context of international relations
understood as interactions and exchanges between several actors, discourse refers to
the production of ideas, their transmission and the reception of the effects they
produce.
The geopolitical uses refer to the capitalization of the effects produced by the
actors of the international system in a well-defined space according to the stakes, the
context and the available resources. The production of a discourse on the
international scene is then conditioned by its capacity to influence a public opinion
national or international and its faculty to establish an interaction. This interaction
must provoke a play of balance or influence of the balance of power. In the
cooperation between Africa and the BRIC countries, the speeches of the principal
plenipotentiaries are those which lay down the bases of all the observed interactions in
terms of stakes, perception, actions and purpose. Thus, can we not say that speech has
always been what has always participated in the legitimization of the foreign policy of
states in international relations? How can one assess the relations between Africa and
the BRIC countries on the basis of discursive production? These are some questions
that can help feed this reflection.
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Africa as seen by the BRICs: panorama of an altruistic perception of an

actor in hegemonic posture
Never before has a continent been the subject of many pessimistic (Dumont,
1962: 10) optimistic, ambivalent, contradictory and unanimous speeches like Africa.
The pessimistic discourses on Africa show that Africa is a continent that is slow to
take off economically and emancipate itself politically because it has remained
connected to the Western world (Traore, 1999: 15). Pessimists see Africa as a land of
natural disasters, endemic diseases, poverty and food insecurity, lack of democracy and
human rights and governance deficit. The optimists, (Edem Kodjo, 1985: 5),
meanwhile, see Africa as a continent full of hope, one containing all the assurances
with regard to certain economic and socio-demographic indicators. With a young and
dynamic population, abundant natural resources, advances in the field of
industrialization, the vision of optimistic discourses seems to put off because of the
pessimistic theses of an actor who appears more under-represented than resigned
(Kabou, 1991: 17). But these discourses, despite the fact that they are contradictory, all
agree on the fact that Africa is a player in the international game. More than a
continent, Africa is a geopolitical entity and an important geo-economic actor with
regard to the new geopolitical and geoeconomic reconfiguration of the world. If
Africa is the subject of a debate between pessimists and optimists, what may be the
vision of the BRIC countries to this continent that has become one of their big
partners in this new cooperation?
Africa land of peace and attractiveness: strategy of the legitimization of the presence of the “big
four” in Africa
Africa is seen by the BRIC countries as a land of peace and attractiveness. The
new development theories that have developed since the end of the 2000s are ample
proof of this. Only this view of the BRIC countries seems to be in contradiction with
the pessimistic theses that regard Africa as a land of chaos. An Africa of war, coups
and huld up elections according to the pessimists appears as a land of peace for the
BRIC countries. How to understand then the attitude of the BRIC countries towards
Africa presented as a land of peace and attractiveness? Is it a philanthropic speech and
simply an apology? These queries, relevant as they may seem, are more questionable in
the light of the pessimistic discourses densely produced on Africa. Speaking of peace
in Africa, Pierre Kipre says: Africa, perhaps more than other continents, is sick of
violence and war. Political violence, certainly, with its procession of civil wars and
border conflicts; but also economic violence with the various forms of predation of
collective wealth painfully collected; social violence also with the growing
impoverishment of peoples and the most brutal forms of exclusion; finally, cultural
violence with more or less pernicious forms of acculturation, in addition to the
scientific and technological gap. These multiple forms of violence are constant threats
to peace in Africa because violence here leads to war or creates objective conditions
(Kipre, 2003: 133).
In the light of this analysis, we understand that the BRIC countries’ discourse
seems to be moving away from realities. The political discourse of the BRIC countries
on Africa as a land of peace is an apology because it has a geopolitical and geostrategic
121
purpose to win the sympathy of African states. With its many natural resources, Africa
is then courted by the BRIC countries that paint it as a land where life is good. If
Africa seen by the BRICs appears as a land of peace, it can also be explained by the
rhetoric of friendship on the grounds of courtesy in the practice of international
relations. Yves Viltard already evokes the fact that, depending on their interests, states
build friendships that are both “horizontal” and “vertical” (Viltard, 2009: 127).
Far from the idea of triumphing the views of Afro pessimists, we must still
recognize that Africa seen by the BRIC is in perfect contrast with certain facts. The
notion of peace convened by the BRICs appears ambiguous in the African context.
Peace, whether considered as the absence of war, the absence of violence, the absence
of turmoil, political stability or a state of tranquillity, encompasses all these
considerations for this continent with complex and multifaceted realities. If peace in
Africa takes on all its dimensions, then we understand that the vision of the BRIC
countries is a more or less narrow vision; departing somewhat from reality. It is based
on discourses whose geopolitical uses contribute to legitimizing a presence with an
economic and strategic focus. This results in an intense diplomatic presence of the
BRIC countries in Africa.
Table 1: The diplomatic presence of the BRICs in Africa

Country Number of permanent diplomatic missions in Africa
Brazil 35
Russia 40
India 29
China 49
Sources: https://www.embassypages.com/inde, accessed October 23, 2016
Moreover, the BRIC’s vision of Africa as a land of peace contrasts with Afro-
pessimistic views because Africa is a land of peace and stability. While economic
investments presuppose a favourable political atmosphere, the attractiveness argument
of the BRIC countries in Africa finds all its relevance in the stated discourses. With its
economic potential and the absence of war and other forms of violence in the states,
Africa appears to the BRICs as a land of peace and attractiveness. In a context marked
by the rise of asymmetric threats, economic activity has fallen sharply on a global scale
because of the decline in the index of peace. However, despite the multiple backlashes
of insecurity faced by African states, sub-Saharan Africa seems to be doing well with
the best peace index for 2015.
Thus, the perception of peace by the BRIC countries in Africa is a construct
whose purpose is to legitimize their presence on African soil. The speeches of the
BRIC countries on the peaceful character of the African continent have a geopolitical
use which aims to reassure African leaders of the welcome and tranquillity offered by
their states to foreign investors. The same is true of the question of democracy and
human rights on the African continent.
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On the subject of democracy and human rights in Africa: the ambivalent speeches of the BRICs
The new globalization is not only characterized by the domination of capitalist
ideology, but also carries certain values such as democracy and human rights. While it
is true that democracy and human rights are values of Western origin, we must
nevertheless recognize that they have managed to universalize and are now accepted
by the majority of human societies. However, some BRIC countries like China seem
to be undermining the issue of respect for democratic values and the protection of
human rights in Africa. By placing its relations with African countries on the
immutable and sacrosanct basis of “neutrality and non-interference”, Chinese
diplomacy seems to be a hindrance to the emergence of the rule of law in Africa. At
the same time, it delays the political integration of the continent while giving Beijing
the means of its influence in international bodies at the expense of competing powers
(Mbaye Cisse, 2016: 2). However, while current data shows that China seems to be
undermining the issue of democracy and respect for human rights in Africa today, the
old data show quite the opposite. While African states were still under European rule,
China supported the latter in their decolonization movements. Accompanying China
in the process of decolonization in Africa was part of the promotion of human rights
that was now being divested in Africa (Dorna, 2007: 23).
All things considered, notwithstanding certain palpable facts, China’s thesis of
denial of human rights in Africa reveals some of a geopolitical instrumentalisation
stemming from the Western vision. The Western discourse on Chinese politics in
Africa in its geopolitical uses, seems to make China a “bad master” in terms of
democracy and respect for human rights towards the student that is the Africa. Thus,
Africa continues to be in the eyes of the Western world, a bad student of globalization
(Abwa, 2003: 474). If Western discourses make Africa a bad student of globalization
in reference to the lack of appropriation of values that it considers to be universal, this
is a paradox. The colonial West, very much looking at the question of respect for
human rights and democracy on its own land, has however most obviously
contributed to the violation of these same principles in Africa. We can then
understand the denial of democracy and human rights in Africa is discursive
constructions that fuel the game of international relations. This calls for reservations
about the judgments to be made about China’s vision of respect for human rights and
democracy in Africa.
On the other hand, if China is presented as a “bad master” of democracy and
human rights in Africa, this is not the case for the other BRIC countries. The latter
remain watching over the consolidation of the rule of law through the promotion of
democracy and respect for human rights in Africa. Despite the divergence of views of
these countries with those of the Western bloc, they remain unanimous on the need to
universalize certain values such as democracy and respect for human rights. Despite
many structural shortcomings in the legal and institutional arrangements of these
states, we must still recognize the BRIC’s significant progress in respect of human
rights and the promotion of democracy. Brazil, once considered a democracy and a
state of lawlessness (Pinheiro, 2016: 3), seems to be gradually becoming an example to
follow. In this regard Paulo Sergio Pinheiro stay that:
123
In the last twenty years of the twentieth century, despite the political transition of
1985 and the fact that Brazil has become a country different from that of the time of
the military dictatorship, its income distribution model remains one of the most
iniquitous in the world. Brazil is the Latin American country whose income
distribution is the most unequal. It has an extraordinary stability, apart from a rapid
decline observable in the period 1989-1992, during the “Cruzado Plan” (Pinheiro,
2016: 4). As for Russia and India, these two nuclear powers somewhat opposed to
Western ideology seem rather sceptical about the question of democracy and human
rights in Africa. Through an attitude of neutrality that characterizes Russian and
Indian diplomacy in Africa, these two countries, far from denying the need for Africa
to appropriate democracy and respect for human rights seem not to grant too much
importance to these notions.
If the BRIC countries seem to ignore or undermine the question of respect for
human rights and democracy in Africa in their speeches, it contributes to safeguarding
the economic interests of these states in Africa. Therefore, failing to impose on
African states the promotion of democracy and respect for human rights, the BRICs
prefer to have a neutral attitude for economic needs. It can also reflect respect for the
independence and sovereignty of African states, which is one of the foundations of
BRIC-Africa cooperation. It is on the basis of this courteous and neutral stance that
Africa exalts international solidarity in this cooperation.
Words and words to transform the world: Africa and the exaltation of
international solidarity
In the beginning was the word as reported by Judeo-Christian cosmogony based
on biblical literature. It simply means that speech and speech are the foundation of
any initiative. Without wishing to go into the apologetic theology of the Bible, it is
indisputable to say that words and words in international politics have meaning and
change. Words therefore remain a great vehicle of information. The latter is decoded
from a perception that differs from one individual to another (Buhler, 2011: 491).
Words and words, Africa has been able to produce and convey over time. In the
context of cooperation between Africa and the BRICs, words and words play an
important role, especially when Africans believe that these can transform the world.
To do this, African leaders have repeatedly exalted international solidarity for the
advent of cooperation in which all actors would succeed in safeguarding their mutual
interests (Dan Bariah, 2013: 7). Contrary to the leaders of the BRIC, for whom Africa
is a land of peace committed for several decades on the ways of reinforcing
democratic principles, Africans differently view BRICs according to their interests.
The issues of international solidarity and the strengthening of partnership are at the
heart of Africa’s discourse production with regard to the BRICs.
Deepening friendship and strengthening partnership in Africa-BRIC relations: hope for Africa?
BRICs are a chance for Africa? The question may seem trivial but meaningful
because of the perception of the African authorities of their new partners, Brazil,
Russia, India and China. Africa calls for the deepening of friendship and the
strengthening of partnership in its relations with the BRIC countries. Friendship and
124
partnership, these are the key words of the African leaders towards the BRIC
countries to which they base a hope through their speeches. Should Africa then hope
to deepen the friendship and strengthen the partnership with the BRIC? On the basis
of speeches, the affirmative seems to be the answer to this question. But to look
closely at the facts, one seems to move away from these idealistic considerations
Africans make in terms of friendship and cooperation. The leaders of African states
have a contemplative stance towards the BRIC countries. Throughout the many
speeches, they continue to exalt and magnify the relations that their States maintain
with the BRICs. As an illustration, here is what President Paul Biya of Cameroon
thinks about China-Cameroon relations: ‘‘The cooperation between Cameroon and China is
characterized by important achievements covering fields as diverse as agriculture, health, education,
infrastructure, telecommunications, culture and sport. And I like to say, China is one of the safest
and most faithful of these external partners. It is also an opportunity for me to highlight the
remarkable work accomplished in the framework of the Forum on China-Africa Cooperation and to
express our gratitude to the Chinese authorities....’’. In the light of this discourse, an
observation emerges, that of an Africa which considers the BRICs as the bearer of
the salvation of a continent qualified as a minor actor and a resigned protagonist. The
deepening of the friendship and the strengthening of the partnership that Africans
call all their wishes has for geopolitical ambition to allow Africa to position itself as a
player that makes sense. If the speeches of the Africans happen to be manifestly not
carrying power, it is none the less true that they hide the latent desires of a
geopolitical entity in search of power. To abound in the same direction as the
Cameroonian President, Ibrahim Boubakar Keita displays the same idealistic and
contemplative posture towards India in these terms: “We are here again for the third time to
continue our dialogue, deepen our friendship and strengthen our cooperation. (...) The India-Africa
partnership, an expression of South-South cooperation, is today essential to boost economic and social
development at the scale of the Planet. Hence, the need to maintain and strengthen our partnership by
putting in place an appropriate monitoring mechanism. (...) Africa and India must intensify their
strategic partnership to promote the vital interests of developing countries in the management of major
international issues”.
Table 2: lexical-syntactic indicators of African discourses on BRIC

Cooperative
Lexical Fields Finality
determinants
Economy economic prospects, development, economic To impulse the economic and social
development, economic recovery development on the scale of the Planet.
Policy major international issues, dialogue, Promote Political dialogue Between
consultation, international community, South- states
South cooperation
Technology Telecommunications, digital divide, technology Promote sustainable development
transfer, digital revolution, through the transfer of technology
Security Peace, security, terrorism, extremism strengthen cooperation in the crucial
area of peace and security
Source: realized on the basis of the speeches of the African presidents
and adapted by ourselves
125
By implicitly calling for the deepening of friendship and the strengthening of

partnership, Africa is also drawing the outlines of an actor who wants to assert himself
in the international system. The manifestly sweet and exhilarating discourse of Africa
aims to influence or modify the attitude of its receiver. One can then take the risk of
asserting that Africa, just like the BRIC countries, also produces discourses whose
uses have a purely geopolitical basis which consists in passively defending their
interests. In a world where the actors of the international system are cunning and
responsible (Badie, 1999: 304), Africa finds it necessary to hold a discourse of non-
power in order to establish itself as a power. This is why Africa has focused its
strategy on the promotion of international solidarity that guarantees equitable and
sustainable cooperation.
International solidarity, responsibility and “win-win” partnership: Africa’s expectations of the

BRICs
The term “international solidarity”, more recent, is more the expression of a
mutual commitment, which implies a sense of mutual responsibility. In a world where
poverty is increasing and in which globalization accentuates the interdependence
between countries, it is a question of building together, countries of the “North” and
“Southern” countries, solidarity projects aimed at reducing these inequalities and
guarantee access to fundamental rights (education, food, health, access to water, etc.).
Partnership, from the point of view of the theoretical renewal of international
relations, is also part of a dynamic of international civilization of political mores. It is
in this perspective that it is a frame of political enunciation, which conveys a vision of
the world whose key elements are liberalization of the political and economic markets,
institutional and economic reforms, rule of law, human rights, governance,
decentralization, technocracy, civil society, etc. In relations between Africa and the
BRICs, the expectations of the black continent boil down to more international
solidarity, to state responsibility and to the advent of a “win-win” partnership. Victim
of the deterioration of the terms of trade and the extraversion of its economic
structures, Africa is positioning itself as an actor seeking international assistance.
Through a plethora of speeches, the leaders of the African States are trying every day
to solicit the humanitarian intervention of their partner, including the BRICs. If Africa
was yesterday a chance for some Western powers like France, it now believes that the
BRIC are a chance for it. This reversal of situation may seem first sight banal but, it is
bearer of meaning. A continent formerly courted because of its economic
potentialities by Westerners today in position of minor actor in the international game.
Africa today counts more than ever on redefining the terms of cooperation for the
advent of a “win-win” partnership. A win-win partnership, of which China is the main
advocate in its policy of cooperation with African states.
Conclusion
Peace, attractiveness, investment, democracies, human rights, international
solidarity, win-win partnership, only words that underlie cooperation between Africa
and the BRICs. Africa-BRIC relations are based on a production of many discourses
that contribute to influence, determine or condition the actions of these two
126
geopolitical entities in a position of altruistic mistrust and mutual assistance. Through

the discourses produced by the two entities, there emerges a desire to transform an
international universe characterized by the cunning of certain states or transnational
groups animated by a hegemonic will and a desire for power. While Africa calls for
greater cooperation and deepening of friendship, the BRICs call on Africa to respect
democracy and strengthen the rule of law. Words and speeches to transform the
world. Only, do the words translate the acts? The question arises in all its relevance as
it is true that by scrutinizing relations Africa-BRIC, one realizes that beyond the
speeches, each actor instrumentalises the speech to better defend its interests. Without
wanting to refute the idea of a will of transformation of the world through the
discourses, one must nevertheless admit that the speeches sometimes hide hegemonic
ambitions and the desires of powers. That said, words, though meaningful, are full of
latent issues that often hide the actions. All in all, speeches on the international scene,
contribute to the legitimization of the hegemonic ambitions of certain states and the
reduction to the status of marginalized or underrated actors for others. This, in our
humble opinion, emerges from the analysis of BRIC country speeches and their
African partners. In short, the discourse in international relations is a geopolitical
resource in the hands of the States which make use of it as complex as the
international system.
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128
ALBURNUS MAIOR / ROSIA MONTANA – A HISTORIOGRAPHICAL

ANALYSIS
Florian Olteanu∗
Abstract
The article wants to present exclusively the historical importance of the Alburnus
Maior/Rosia Montana site, marking the main discoveries made during the entire history. The
political debate over the contemporary mining project of RMGC will be presented soon in
another work, much extensive (a book) because of the complex legally, economic, strategic and
patrimonial importance of the site of Alburnus Maior-Rosia Montana, for Romania and for the
mankind.
Key words: Rosia Montana, Alburnus Maior, Roman mines, wax tablets, historical importance
Introduction
The present article reveals the main aspects concerning the historical importance
of the site of Rosia Montana. The site had entered in the mass media attention and in
the scientific world attention in 1999, twenty years ago, when the Romanian-Canadian
Company- RMGC-Rosia Montana Gold Corporation obtained the license of mining
No.47/1999. Main stock holders were Gabriel Resources and Romanian State. The
license was transferred from Mininvest Deva, Romanian State Company and was not
obtained by auction. In 2006, the mining activity was stopped. The public
international opinion and debates stopped for the moment, the evolution of the
complex project of gold exploitation for environmental and cultural, historical
reasons, the site being enlisted to be registered in the frame of UNESCO world
monuments.
As we can see in the history, the natural, mineral reserves had a great geopolitical
role in all the historical ages, especially in the ages of the great empires, in the Ancient,
Medieval, Modern and Contemporary times.
Geographically (https://www.adoptaocasa.ro/despre-rosia-montana/date-generale),
Rosia Montana is located in Apuseni Mountains, placed at 11 km distance from
Abrud, 15 km distance from Câmpeni, 41 km distance from Zlatna, 76 km distance
from Alba Iulia, 135 km distance from Cluj-Napoca. Alongside Rosia river, is a
Hollow, which is guarded by Mountain Massifs: Rotundul, Vârsul, Curmătura,
Ghergheleu, Cetate, Orlea, Tille, between the confluence of Rosia and Abrudel, to the
natural amphitheatre, formed by Mountain Massifs Jig, Cârnic, Lety, Şuley, on a
distance of 6 km. Mountain Massifs Orlea and Jig (North) Cetate and Cârnic (South),
are old mountain volcanoes cons in which were located the gold, and silver ore
reserves.
The tradition of gold reserves exploitation is attested in the Apuseni Mountains in
the Dacian Époque. Even Rosia Montana is documentary attested in 131 A.D., during
∗
Assistant Professor, PhD, University of Craiova, Faculty of Social Sciences, History
Specialization, No. 13, A.I. Cuza Street, Dolj County, Phone: 0040251418515, Email:
florianolteanu19@gmail.com.
129
the reign of the Roman Emperor Hadrian; the living of the Dacians in the region is
attested many centuries before in literary sources and proved by archaeological
discoveries. For example, the Roman-Greek geographer Claudius Ptolemaios (87-165
AD) from Alexandria (Roman Province of Egypt) mentioned 12 Dacian tribes. One
of them was the Dacian tribe of the “Apuls”. Apuls were the native who gave the
name “Apulum” (present Alba-Iulia) of the Roman city settled after the Roman
conquest of Dacia.
Jerome Carcopino (Carcopino, 1934: 73-86) evaluated the treasury of the last
King of Dacia, Decebal (87-106 A.D.), captured by the Romans in 106 AD helped by
a Dacian traitor, Bicilis, former Decebal confident, at 165 tons of gold and 331 tons of
silver. Apuseni Mountains, the Valley of Aries River were known for great reserves of
gold. Romans, after the conquest of Dacia decided to bring Dalmatic and Illyrian
specialists in mining, because they were highly specialized and more confidents in the
eyes of the Roman occupants, than the former Dacian gold miners.
Attested in the Roman Empire Age, the site of Rosia Montana/Alburnus Maior
was known by its gold reserves, and its gold mines. After the Roman Retreat, ordered
by Emperor Aurelian (270-275 A.D.), the site remained unknown until the Modern
Age, when the Habsburg Authorities started the gold exploitation, in the ancient
Roman gold mines. Known alternatively as Goldbach (Golden River) in German, or
Verespatak (Red River) in Magyar, Rosia Montana entered in the attention of the
archaeologists after the discovery in the ancient Roman mines of the “tabellae ceratae”,
some wood tablets (collated two or three), covered with wax on which were made
mathematical calculations or were signed contracts (Ardevan, 1998: 292-296). In the
Roman archaeology, the wood and wax tablets from Alburnus Maior have the chance
to be well conserved thanks to the environment of ancient mines where they were
deposited from 1500 years until their discovery in the XVIII-XIX centuries.
Precisely were discovered during 1786 and 1855. Totally were discovered 40 wax
tablets, but only 25 of them remained safe and could be interpreted (Rusu Abrudean,
1928: 7-12). Only one tablet, dated February 6 131 A.D. comes from the age of
Hadrianus (117-138 A.D.), which marks the documentary attestation of the name
“Alburnus Maior” (archaeologically, the site is attested before 131 A.D.). The rest of
the tablets are dated on the age of Roman emperors Antoninus Pius (138-161) and
Marcus Aurelius (161-180).
Another major importance of the site is represented by the system of mining
galleries, unique in the Europe. In the site we can find more than 7 km of Roman
galleries, more than 80 km of Medieval and Modern mining galleries which have a
major importance for the “mining industrial archaeology”. Due of the extensive
exploitation, the site is no secure for touristic activities. From 2001, National Museum
of Romanian History started intensive archaeological researches in Rosia Montana
site.
I will present a short synthesis of the main conclusions made by the historian
Radu Varga: “Beside various chance discoveries, the history of the settlement became better known
through the extensive archaeological researches which were carried out beginning with 2001. Around
the mining area settlements were formed at Tăul łapului, Hăbad-Brădoaia, Hop-Botar which
included also cemeteries, the latter being attested also at Părăul Porcului – Tăul Secuilor, Țarina,
130
and Tăul Cornei. Regarding the population of Alburnus Maior, the corresponding inscriptions attest
192 individuals, most of them being of Illyrian origin, specialized in mining activities. The aurariae
Dacicae belonged to the Roman emperors, but the mining areas were rented out; in the case of
Alburnus Maior the mining activity started with the conquest of Dacia and ended during the reign of
Aurelianus, once with the abandonment of Dacia. Regarding the military presence in the area, tegular
material with the stamp of the legio XIII Gemina has been attested here, as well as the dedications of
some beneficiarii consulares” (http://hiphi.ubbcluj.ro/Community-statutes-ideology/
Monographic%20files.pdf). We can conclude that, at Alburnus Maior, all the
epigraphic sources offer precious information about the ethnical origin and main
occupation of the inhabitants. The 192 mentions are referring to the Illyrian
population as ethnical origin and to the mining activities as main economical
occupation.
Ancient Roman mining galleries and ancient wood/wax tablets

During Roman administration installed by the Emperor Trajan (98-117 A.D.),
after 106, in the perimeter Alburnus Maior (Rosia Montana) – Ampelum (Zlatna) –
Apulum (Alba Iulia) were established colonists from Illyricum and Dalmatia (today
Croatia, respectively Albania) specialized in mining activities. Geographically, the
mining complex was established between Câmpeni and Abrud in Orlea Mountain
Massif, the localities being connected by a Roman road, which followed the water
course of Ampoi River. The administrative headquarters was placed in Ampelum
(Zlatna). The official operations were conducted by a “procurator aurarius”, but the
mining activity was also entrusted to the private concessioners. The security of the
gold prospections and exploitation was provided by Numerus Maurorum Hispanorum
(Petolescu, 2002: 137-138).
The site is important for the investigation of the technique of gold exploitation
(Timoc, 2008: 96-106). A Roman mining gallery (cuniculus) had a trapezoidal form, had
small dimensions (0, 70 m width, 1 m high). Miners followed the golden source,
digging in steps, until 300 m, in deepness (http://enciclopediaromaniei.ro/wiki/Rosia
Montana).
The perimeter in which were discovered wood/wax tablets were: Mount Igren
(Lorincz Mine, the only wood/wax tablet written in Greek), Mount Letea (St. Joseph
Mine), St. Catherine Mine, Ohaba St. Simion Mine, Mount Cârnicu Mare (St. Ladislau
Mine).
We can observe that in the Medieval and Modern Ages, the mining activities were
conducted in the former Roman galleries, using new techniques.
The historical information is very important: a society for funeral helping,
contracts (concession, buying houses and slaves), bills, fees documents. Many tablets
remained in Romania, other were taken in Berlin or Budapest Museums. Is generally
considered that, during the Marcomanic wars (II century A.D.), during Marcus
Aurelius reign, some of the holders of these tablets had put them in the galleries
where they were found later, during the Modern Age. It is possible that, the holders of
the tablets made some safe houses in the mining galleries, for protecting their lives and
their goods.
131
The first historian who examined, interpreted and published with illustrations the
wood tablets from Alburnus Maior was Theodor Mommsen, the creator of Latin
Corpus of Inscriptions (Corpus Inscriptionum Latinarum-CIL), in 1873.
Ion Rusu Abrudeanu published at Bucarest, in 1928 the work MoŃii, calvarul unui
popor eroic, dar nedreptăŃit (“MoŃii” (people of Apuseni Mountains) the Calvary of a heroically but
wounded people), at the “Cartea Românească” Publishing House.
We can consider that the wood tablets from Alburnus Maior can be considered as
being at the milestone from the Roman Epigraphy and Roman Paleography.
Modern and contemporary excavations on Rosia Montana site

After the strategic retreat of the Roman Emperor Aurelian (271/274 A.D.), the
former Roman territories (present time territories of Banat, Transylvania, Oltenia and
Western Walachia, the South-Eastern corner of Moldavia – the rest of Walachia and
Moldavia were inhabited by the free Dacian population) were, in the first centuries of
the Medieval Age, on the way of the Great Migrations. The Romanian local
governments emancipated in the Middle Age from Magyar authority (Walachia and
Moldavia) or entered under Magyar authority (Banat, Transylvania) were very rich in
natural reserves and the great neighbour powers tried to control them. Romanian
population with Dacian-Roman origins and Slavic, Cumanic influences had a small
military defensive and offensive force, being under a permanent pressure of the
neighbour militarized forces. The Byzantine Empire (former Eastern Roman Empire)
was in a permanent involution, collapsing in May 29, 1453, when the Ottomans had
conquered Constantinople. Poland, Hungary and later the Habsburg Empire, Tsarist
Russia and the Ottoman Empire tried to have an effective domination over the
Romanian Principalities because their geostrategic position (Carpathian Mountains,
Danube and Black Sea) and their rich natural resources.
It was normally for a great political force as the Habsburg Empire (whose origins
can be placed in the Medieval Europe) whose ethnical basic territory (Austria, the
Carolingian Ostmark - the Outpost from the East, placed on the Middle Danube
Valley) was poor on natural resources, to find territories with great reserves in gold,
iron ore sources, forest exploitation and agricultural territories. After the last defeat of
the Ottoman armies in the front of Vienna (the Vienna siege), in 1683, Austria tried to
extend its territory and to make great alliances with Spain. But, first of all, Austria had
to face with a great opposition of France leaded by Louis XIV. The King of France
had tried to put Austrian Empire in difficulty helping the “Curutz War” (1703-1711),
in Transylvania (“Curutz” was a term derived from “crusaders”). The strategically
manoeuver of the King Louis XIV tried to involve the Ottoman Empire for
weakening Austrian force. Prince Francisc (Ferencz) Rakoczy II tried to emancipate
from the Austrian rule, helped by Nichita Balica, Bucur Campan and the famous
Romanian “haiduc” (Balkan term for outlaw), Pintea the Brave (Pintea Viteazul). In
August 11/21 1690, Romanian Prince-ruler Constantin Brâncoveanu had rejected a
Habsburg attack at Zărneşti, near Krosntadt (Braşov), keeping the control of Walachia
and gaining some authority in the eyes of the Habsburg Empire, being named “Baron
of the Holly Roman-German Empire”. In 1711, Moldavian ruler, Prince Demetrius
Cantemir tried to emancipate Moldavia from the Ottoman suzerainty, making an
132
alliance with the Russian Emperor Peter the Great, but the Moldavian-Russian allied
forces were destroyed at Stănileşti, near Prut River (Ottoman forces being arranged
and trained by Carol XII, former king of Sweden, who establish its residence at
Tighina-Bender, a city controlled by Ottoman Empire near the Dniester River). The
Prince-ruler Constantin Brâncoveanu tried to emancipate Walachia, playing a
dangerous game, between Russians and Habsburgs, being discovered and executed in
1714, by the Ottoman Empire, with the secret help of Louis XIV (according to some
sources, the French Ambassador in Constantinople assisted personally at the
execution of the ruler Constantin Brâncoveanu, his sons and his son in law). In 1699,
Transylvania was occupied according to the Karlowitz Treaty by Habsburg forces.
Romanians had the possibility to embrace the Union confession (The Greek-Catholic
Church), to safeguard their language, and a social status, but the great majority of
Romanians remained Orthodox and without political and social rights. Romanian
monks Sofronie from Cioara and Vissarion Sarai had tried to fight for the Orthodox
faith, because the Habsburg authorities placed Romanian Orthodox subjects under
the control of Serbian Metropolitan Siege of Karlowitz (which denied the confessional
service in Romanian, using Serbian, during the divine services). The Peace from 1711,
signed in Satu Mare, ended the war with a Habsburg victory. In 1718, at Peace Treaty
of Passarowitz, Vienna Imperial Court took the control of Banat (occupied by the
Ottomans after Mohacs battle in 1526) and Oltenia (from Cerna to Olt River). At the
Peace Treaty of Belgrad in 1739, Oltenia was reunited with Walachia under the
Ottoman suzerainty. After the War of the Succession of Austrian Throne (1740-1748),
the Habsburg Empire would be conducted by the Empress Maria Theresia, according
to the “Pragmatica Sanctio” (1713). The Habsburg Empire was interested in keeping the
integrity of the Ottoman Empire, her son future Emperor Joseph II being counselled
by the experts in geopolitics not to accept Tsarist Russia’s actions to dismantle the
Ottoman Empire. The Emperor Joseph II concentrated its attention in Poland (where
was located a great coal reserve in Silesia), making approaches with Prussia, Russia,
against the Ottoman Empire. Poland was finally smashed and divided in three parts
losing its independence and its territorial integrity. In the same geopolitical context,
Austria and Tsarist Russia, had make an arrangement after the Peace of Kuciuk
Kainardji (1774) the Habsburg Empire gaining the control of Bukovina (Northern
part of the Romanian Moldavia) in 1775, and in 1776, after the Palamutka Convention
obtained another “set” of 46 Moldavian villages.
Practically, between 1699 and 1776, thirteen years before the national movement
of Horea, the Habsburg Empire had gained the control of a lot of Polish territories
rich in mineral resources, Romanian territories with natural mineral reserves
(Transylvania), agricultural, salt, forest, zoo technical exploitations (Oltenia,
Bukovina).
After the installation of the Austrian authority in Transylvania, after Karlowitz
treaty in 1699, at Rosia Montana would be constructed a mining settlement, in which
the pipelines for water alimentation and other technical arrangements, underground
galleries, mining surface facilities totalized 140 km.
From 1700, to 1846, the gold mining site of Rosia Montana (Goldbach) was
administered by private concessionaries, under the control of the Habsburg
133
authorities. In that time, the great majority of the miners had Romanian ethnic origin
and was in a social and political condition of serfdom. The Habsburg Empire was
dependent by the gold of Apuseni Mountains, in which Rosia Montana had a major
role.
It is necessary to understand that in all the great empires which dominated parts
of the Europe, the scientific researches were helped by the royal and imperial courts
because these researches helped the policies conducted by them: historical rights on
some territories, natural resources which could help the economy of these kingdoms
or empires, geostrategic importance of some relief forms: plains, mountains, rivers,
deserts, gulfs, lakes, seas, oceans etc.
The Habsburg Empire did not make an exception. In 1824, Romanian boyar
Dinicu Golescu made a trip in Transylvania, Hungary, Austria, Switzerland, Northern
Italy, Trieste, Banat (Anghelescu, 1982: 13-52), and published his impressions, in a
book, published in Pest, in 1826, in Romanian language, book entitled “The transcript of
my trip”, in which he mentioned that in Vienna, the great capital of the Habsburgs he
visited Universities, Libraries, Museums. He had mentioned also that Vienna had a
Military Academy, being as Paris, one of the most important educational and cultural
centres in Europe.
We can understand that the Habsburg authorities (and after 1867, Austrian-
Hungarian authorities) had the interests in publish works about the history, people
and especially the resources of Transylvania. Today we know the works of Martin
Opitz (Dacia Antiqua) and Eduard Robert Roesler. Eduard Robert Roesler had
elaborated his work to deny the continuity of Dacian-Roman population in
Transylvania (beside the rich evidence of the Middle Age sources favourable to
Roman-Dacian continuity) for rejecting the Romanian requests of national self-
determination and, of course for giving the reason of exploitation of the Romanian
land mineral and natural resources (especially the exploitation of the valuable metals).
By these reasons, the first scientific researches on Rosia Montana sites were made by
Ignatz Eden in 1774.
In 1784, Transylvania was troubled by a great popular revolution of the
Romanians. The leaders of the uprising were Romanian origin Habsburg subjects
Horea (Nicola Urs), Closca (Ion Oarcă) and Crisan (Marcu Giurgiu). Presented in
many ways, the Romanian Revolution of 1784 was a national and social movement.
Some sources accredited the idea that Horea (http://www.stelian-tanase.ro/masonul-
ursu-nicola-zis-horea/) was responsible with the gold exploitation in Apuseni
Mountains (https://saccsiv.wordpress.com/2010/10/30/rascoala-lui-horea-closca-si-
crisan-un-experiment-masonic-aurul-motilor-sursa-de-finantare-a-revolutiei-franceze/),
as confident of a great Austrian representative of the Imperial Court of Vienna,
Ignatius Born (who had in his own propriety, some important gold mines in Apuseni
Mountains), an important Free Mason of his time. Some sources (Chindriş, 2009: 54-
59) accredited the idea that Horea was a Free Mason (nationalists in the XX-th
century, and in present times, considered that the quality of the Free Mason of Horea
was “created” by the Magyar nobles for accusing Horea as an “Austrian agent” (https:
//luceafarul.net/rascoala-lui-horea-de-la-1784-o-resurectie-religioasa-si-de-eliberare-
politica-a-romanilor-ortodocsi-din-ardeal), but this affirmation is not real). The action
134
of Horea is presented by a well-known Free Mason, Jean Pierre Brissot who had sent
a letter for “misconduct” to the emperor Joseph II beside Horea national movement,
comparing the principles of Horea with the principles of the new created United
States of America. According to some sources Horea had a mission to send more gold
in Austria to Joseph II (Horea was initiated in Free Masonry in Vienna, in “Zur
Wahren Eintracht” Lodge). But Horea would in exchange, the right to raise his people
against Magyar nobility abuses (Unio Trium Nationum – 1437, Werboczi Tripartitum –
1517 considered Romanians as tolerates). Romanians who accepted the Union with
Catholic Roman Church (1699-1701) had some rights, but Orthodox Romanians
(more of them miners in the Apuseni Mountains had no political and national rights).
Joseph II would to use the Romanian Gold in undermining France which was on the
way to start the Revolution of 1789. An international conflict with Netherlands
obliged Joseph II to sacrifice the Horea National Movement, Habsburg military
commanders receiving order to pacify Transylvania (Prodan, II, 1979: 5-30).
Horea had understood the situation and prepared the resistance in the autumn of
1784. At Zlatna, was founded the “Superior Council of Mining”, as in the Roman
times. Romanian revolutionary troops had entered in the Rosia Montana on
November 6, 1784, after a great fight with Austrian troops. After the defeat of the
Romanian Revolution, Count Anton Jankovic made some inquiries and succeeded to
capture Romanian revolutionary leaders, who were executed on February 28, 1785
near Alba Iulia (Horea and Closca, smashed by the wheel, Crisan committed suicide in
the prison).
In 1789, the year of the start of the French Revolution, a very skilled analysis is
made by professor Muller von Reichenstein. In 1863, Rosia Montana region is
included and described in “Geologia Siebenburgens”. Other precious information on
Rosia Montana mineral potential were described in works signed by B. Cotta (1861),
M. Palfy, G.T. Posemny in 1905 and 1912.
Great libraries and archives of Vienna had in their ranges a lot of important
information about the gold exploitations of Rosia Montana. After the discovery of the
wax tablets (at the end of XVIII-th century and the beginning of XIX-th century), and
their publication in 1873, by Theodore Mommsen, the gold exploitation had
continued ignoring the legitimate right of Romanians who were as their ancestors, the
best miners in the region.
Romanian researchers N. Petrulian and V. Brana had signed studies on Rosia
Montana on 1934 and 1952. R. Popescu, A. Cioran continued the researches in 1978.
Gheorghe Popescu, Gabriela Tamaş-Bădescu published their researches in 2007
(Iatan, 2008: 6-9).
In 1846, on July 1-st, “Royal Gallery Holly Cross Orlea” was founded the first
Austrian State industrial factory for gold exploitations and prospections. Galleries
were dug on 60 m deepness. In 1850, la Aprăbuş, at the entry of the Orlea Mine, will
enter in use a railway (small rail track gauge) long of 3,1 km. In 1852, other mining
facilities will complete the image of the new industrial mining site: an inclined plane of
570 m, a water alimentation facility (channel) from Abrudel River, and the industrial
facility for the ore grinding.
135
In October 22, 1848, Chamber Director Nemegyei Janos, the representative of

the State Gold Exploitation Office in Zlatna, was asked by some Romanian members
of the Romanian Revolutionary Guard (they had a personal initiative, it is proved that
Avram Iancu, the leader of Romanian Revolution did not know nothing) to re-enter
under Imperial authority. Avram Iancu (Dudaş, 1998: 78-90), the leader of the
Romanian Revolution did not know about the initiative of Romanians to occupy
Zlatna and to disarm the 300 members of the Magyar Revolutionary Guard. There
was established a round of discussion for mediation between Romanian and Magyar
representatives (Nemegyei János, George Anghel, dr. Knöpfler – form Zlatna citizens
and Magyar Revolutionary Guard and prefect Petru Dobra, Ioan Nobili, priest
Milidon – for the Romanian side), but they had failed. On October 23, 1848 a conflict
was started between Romanian and Magyar Guard members. Magyar attacked
Romanian who had their lunch, killing 8-10 Romanian Guard members. On October
24, 25, 1848, after the Magyars killed 8-10 Romanian Guard members, Romanian
civilian who were living in the neighbouring villages of Zlatna, alarmed by the fact that
Magyars for escaping by Romanians had put fire on Romanian houses, had come in
Zlatna, in a great number and had make revenge acts against Magyar civilians. On
October 26 1848, Avram Iancu had come personally in Zlatna and gave the order of
ceasing fire, and to protect the Magyar civilians, against the violence of Romanians.
After 1918, until 1948, the Rosia Montana site was exploited by privat and state
facilities. Form 1948, “Rosia Montana Mining Exploitation” until 1999, Romanian
state have had the monopoly of gold exploitation. The industrial facility was closed in
2006.
How many gold quantities were exploited on Rosia Montana during

Modern Age?
In the Ancient Roman Age, was considered that from Alburnus Maior in the
Roman Empire treasury entered more than 500 kg gold by year. From 107, until 271,
we can consider that from Rosia Montana were exploited more than 82 tons of gold.
Romanian geologist Aurel Sântimbreanu (https://www.historia.ro/sectiune
/actualitate/articol/cat-aur-a-dat-rosia-montana-intre-1852-1938) discovered on
County Office of National Archives in Alba Iulia, a precious document “Framework of
the production of the Exploitation Rosia Montana during 1852-1938” which presents the gold
quantities exploited on Rosia Montana in this period: 249 ore tons grinded in 1852,
offered 1,30 kg gold and 0, 63 kg silver; 4306 ore tons grinded in 1867 offered 25,46
kg gold and 17 kg silver. In 1905, 12.235 ore tons offered after grinding – 89, 8475 kg
of gold, 42, 4871 kg of silver. In 1908, at Rosia Montana were exploited 106,710 kg of
gold and 44, 4550 kg of silver. In the 1918, Union Year, 12.805 ore tons offered 28,
140 kg of gold and 18,812 kg of silver. In 1938, 25,780 ore tons offered, after
grinding, 123,864 kg gold, and 67,763 kg silver.
From 1852, the Modern and Contemporary Age gold exploitation of Rosia
Montana site produced until 1938, 2,473 tons of gold (Sântimbreanu &Wollmann,
1974: 240-279).
136
Conclusions
By the data presented in this article we can see that Rosia Montana is a historical
site which has an industrial continuity from the Ancient times until the Contemporary
Age. The name “Rosia”- “Red”, translated by Hungarians with the same expression is
in connection with the red ore which coloured the waters of the River Rosia, which is
crossing Rosia Montana site.
The gold of Rosia Montana was a very important part of the international
relations of the Modern Europe. The Habsburg Empire succeeded to preserve the
right of exploitation on Rosia Montana site for ensuring the gold necessary in the state
treasury in Vienna. It is very difficult to establish what was, as a total quantity, the real
quantity of gold extracted from Rosia Montana from Antiquity until 2006. The secret
quantity of gold offered by Horea (according to the various sources) to the Emperor
Joseph II (himself an Illuminated Emperor and a Free Mason), for helping the start of
the French Revolution (that gold vas never registered in the official papers of the
Imperial Court Administration), the private exploitations until 1846, the Soviet
influence in Romania in the XX-th Century (Red Army stationed between 1944-1958
on Romanian soil), the secret of the gold quantities preserved during the Communist
period in Romania, between 1958-1989 are important elements to be considered in
order to offer the conclusion that, we can never know how many gold was exploited
at Rosia Montana until 2006.
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perioada romană la Alburnus Maior (Rosia Montana). In Apulum, 12: 240-279.
Varga, R.adu, http://hiphi.ubbcluj.ro/Community-statutes-ideology/ Monographic%20
files.pdf.
Timoc, Călin (2008). Mineritul aurifer în Dacia Romană. Timişoara: Universitatea de Vest:
https://csiatim.uvt.ro/NOU/BHAUT/ro/pdf/2008_9_art02.pdf
https://www.historia.ro/sectiune/actualitate/articol/cat-aur-a-dat-rosia-montana-intre-
1852-1938.
http://enciclopediaromaniei.ro/wiki/Rosia Montana.
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https://saccsiv.wordpress.com/2010/10/30/rascoala-lui-horea-closca-si-crisan-un-
experiment-masonic-aurul-motilor-sursa-de-finantare-a-revolutiei-franceze/.
http://www.stelian-tanase.ro/masonul-ursu-nicola-zis-horea/.
https://www.adoptaocasa.ro/despre-rosia-montana/date-generale.
https://luceafarul.net/rascoala-lui-horea-de-la-1784-o-resurectie-religioasa-si-de-eliberare-
politica-a-romanilor-ortodocsi-din-ardeal.
138
IN MEMORIAM
In Memoriam – Ştefan Ştefănescu (May 24, 1929 – December 29, 2018)
The life and deeds of a man are in direct relation to the geographic, social,
cultural and geopolitical environments of an existential period of time. Facing the
challenges of these life environments makes any man add to his name different
dimensions to define him as a human personality, to bind him with the epithets of the
celebrity and to perpetuate him as a model for his contemporaries and future.
The fullness of a personality, measured by deeds, is a sum of the unravelling path
that one chooses in life. The transition from a horizon of knowledge and
understanding, to another one, from a native domestic environment to the more
distant parts of the intellectual light centers created by multisecular ages of humanity,
preserves in the beings of a person the local seal as the starting point and the river of
history as a level of human self-indulgence. In the Romanian space, a man escalates
the stages of becoming; bearing in his layers the inheritance of the traditions and
individualities of each part of Romania, a certain patrimony of spirituality.
In this auctorial canon, Stefan Ştefănescu’s personality, as a great Romanian, born
on 24 May 1929 in Dolj county, in the village of Goicea Mică, and contemporary with
us until 29 December 2018, climbed the stairs of childhood and the first schools at
Goicea, those of secondary school at the “Nicolae Filipescu” Military National College
from Dealu-Predeal Monastery, continuing his studies at the Faculty of History in
Bucharest and postgraduate studies in the specialization of Byzantinology and the
History of South Slavs at “Lomonosov” University in Moscow, and afterwards in
Paris (France) at the Ecole Nationale des Chartes, the Ecole Pratique des Heutes
Etudes – the 5th Section of the College of France and the Sorbonne. By the age of 37,
the horizons of Stefan Ştefănescu, from Goicea to Târgovişte and from Bucharest to
Moscow and Paris, in the most powerful stage of a life of scholarly accumulations and
social experience, shaped a danubian from Oltenia region into a complex personality
of European essence, more capable than others at a time of multiple necessities which
reappeared from the ashes of the Second World War and from the re-establishment of
the world in the parameters of post-war geopolitical order. His conceptual heritage of
life, of Oltenian essence, correlated with the spirit of Oltenia, the roots, the permanent
activism, the pristine Romanian nationalism, the openness to other horizons (Balkan,
Western, Eastern) and the universality and modernizing perspectives provided him
with vigor and human strength, intellectual and creative capabilities, and even pride (as
a noble Romanian feeling) competitive with himself and with the great values and
figures of the established and eternal history in the national affective memory.
We could perfectly comprehend this enumeration of stylistic qualities that
partially form and identify a psychological portrait only by reminding us of another
nearby scholar from the Oltenia Plain, Ilariu Dobridor, who made it clear that “in the
underground of the nebulousness of the human soul all the germinations and
efflorescences [that] seem possible” (Oltenia, Craiova, 1943). Ştefan Ştefănescu, in
139
times of socio-political upheaval, in the Orthodox spiritual cleansing kept in his

father’s house at Goicea, chose his path, intuitively, based on the traditional canons of
life, which in 1943 (in wartime), Victor Papilian reveals them as a future perspective
for young people in the settling of a centuries-old tradition, an emulation basis for
their formation.
In an anticipation of post-war changes, he underlined that “Tradition creates an
environment that any researcher feels. It is the utmost environment for meditation. It
brings an emulation, which comes not only from the present and from the contingent,
but it also arises from centuries-old hard work, attended by the spirit of the great
masters, the whole breath of the cultural landscape, the students, the societies and the
population, the geography of the country, the picturesque province and the locality.
Here lies, invulnerable and impetuous, the very precious tradition of the province! It
forms the closest, more intimate circle of the production environment” (Ibidem).
The “Oltenian” dowry of the young man Ştefan Ştefanescu immersed him in a
restitutionary, patriotic and revitalizing calling in antithesis with the imposition of the
Marxist-Leninist doctrine brought on by the all-powerful foreign policy-makers after
1944-1947. In the sense of this formative process, the young Stefan Ştefănescu, in the
midst of regaining freedom in the space of life and creation of the Romanians, was a
part of this destiny. The History of Bania, a vice-princely or vice-voievodal institution
in Wallachia in the Middle Ages, from 1965 to 1966, completes a complex
historiographical recovery based on the entire scholarly construction of the second
half of the nineteenth century and the first half of the 20th century. Through this
fundamental work, at that time, the Romanian mind was reestablished in relation to
the troubled Romanian medieval history. Through it, Ştefan Ştefănescu became a
follower of the “Arhivele Olteniei/Archives of Oltenia” magazine (1922-1946), a
historiographical polarizing center during the interwar period, succeeding in the first
synthesis of the history of the studies and documents published on the pages. The
author of the book was thus beyond the Marxist-Leninist dogmas of the
historiography imposed and promoted by Roller, but in perfect harmony with the
major political changes of the years 1964-1966 that shaped the independent position
of Romania in the socialist camp. The book, which responded to the “thirst for the
future” of the era, subsumed and guided at the same time the national history, proof
being the printing of the second historiographical work of great scientific opening and
conception, Țara Românească de la Basarab I până la Mihai Viteazul /The Romanian Land
from Basarab I to Mihai Viteazul (Bucharest, 1970).
Thus, the years of training in the Romanian horizons were the time that marked
the personality and destiny of Ştefan Ştefănescu, surpassing him by the nature of his
soul and by the historiographical creation of pure nobility and importance through
political-ideological consequences, preceding the great revival of the historical science
from the last seven years of the last century.
The great historian Ştefan Ştefănescu pieced together the old period of the great
modernist positivists Dimitrie Onciul, N. Iorga, C. Giurescu, Constantin C. Giurescu,
Petre P. Panaitescu and others, divided by the Second World War and the Romania’s
communist process. His work on the Great Bănie of Oltenia became a scientific
landmark in rewriting the history of the Romanian people.
140
At the same time, all informational accumulations (of documentaries and ideas)
of the historical science were published in a second edition of this work in 2009, with
new additions, ideas and new interpretations.
The works before 1965, in a time still avant-garde, derived from the needs of the
sixth decade of cultural censorship years (the “obsessive”), revealed him socially. For
the virtues of his works, excellent in balance and the measure of interpretative
judgments, he climbed the professional stages of researcher (1950-1960), scientific
secretary and head of the Middle History Department and old Romanian institutions
at the Institute of History “Nicolae Iorga” (1960-1966), PhD in History (1967),
University Professor at the Faculty of History, University of Bucharest (after 1975),
Romanian Academy Award winner with “Nicolae Balcescu” Prize, or administrative
and social-political director of “Nicolae Iorga” Institute (1970-1990), Dean of the
Faculty of History (1975-1977) and of the Faculty of History-Philosophy (1977-1984),
member of the central bodies of the state.
Under his tutelage, in a team with several other important historians of the
country – Andrei OŃetea, Ştefan Pascu, Dan Berindei, Camil Mureşan, Gheorghe
Platon, Dinu C. Giurescu, Ioan Scurtu etc., a few prerequisites of Romanian
historiography have been accomplished, namely the compilation and publication of
valuable national history syntheses – Istoria României/The History of Romania (1964),
Istoria poporului român/The History of the Romanian People (1970), Istoria Dobrogei/The
History of Dobrogea (1971), Istoria medie a României/The Middle History of Romania
(1966), Istoria Românilor/The History of Romanians (2001) – and Documente privind
istoria României (the Corpus of Documents on Romanian History) and Documenta
Romanie Historica.
His work of theatrical diversity, comprising over 400 titles, includes studies for
the entire geographic and chronological range of the History of Romanians and for
many aspects (political, social, demographic, economic and cultural), with
“documented approaches”, lacking in “speculations and ambiguities, hazardous
hypotheses of empty phraseology”, cultivating “the precept that science is less likely to
progress perceptibly when it is tied town by axiomatic verdicts” (after Victor Spinei,
Rigoare şi obiectivitate profesională pilduitoare: Academicianul Ştefan Ştefănescu/Profound
professional rigor and objectivity: Ştefan Ştefănescu, in vol. Studia Varia in Honorem.
Professoris Ştefan Ştefănescu Octogenarii, Ediderunt Cristian Luca et Ionel Cândea,
Bucureşti-Brăila, 2009).
For the city of Craiova, which he carried in his heart for all his life as the place
where all the Oltenians were heading, or as a station to other sightings, the great
historian exhibited an attraction of special scholarly essence, starting from the
consideration that “the life and prosperity of the cities was tightly linked to the state of
the surrounding land, whose specifics expressed and influenced him”. Craiova was an
urban metropolis for his native village, Goicea, and “a true metropolis of Romanian
culture”, its history being a matter of the dignity with which he geographically
identified. Several stories of Craiova’s history are undoubtedly the most representative
and essential chapters of a future monograph on this subject (Începuturile Băniei de
Craiova. Pe marginea unui document recent publicat/The Beginnings of Craiova Banie. On
the side of a recently published document, in “Studii și materiale de istorie medie”,
141
vol. I, pp. 325-332; Craiova în statistica din 1833/ Craiova in the statistics of 1833, in Sub
semnul lui Clio. Omagiu Acad. Prof. Ştefan Pascu, Cluj-Napoca, 1974, pp. 244-250; Repere în
istorie/Milestones in History, in “Magazin istoric”, Special issue, 2007, pp. 5-9 etc.).
In addition, under his tutelage, Craiova formed a nucleus of historians, whom he
proudly called the Historical School of Craiova, which proved to be very productive in
the final years of the last century and the beginning of the new century.
The prestige of the great historian was recognized by his contemporaries, for
which he was elected member of the National Committee of Historians of Romania
and member of several international academies, centers and commissions of historical
studies (European Academy of History in Brussels, the history of the State
Assemblies, the International Commission for Slav Studies, the Center for Italian-
Romanian Historical Studies in Milan, the Joint Romanian-Yugoslav History
Commission), a correspondent member (1974) and permanent member (1992) of the
Romanian Academy, or titles and orders such as “Honorary Citizen” of Goicea and
Craiova Municipality, honorary member of “Mihai Viteazul” Cultural Foundation –
Călugăreni, Cultural University “Nicolae Iorga” – Vălenii de Munte, “Romanian
Writing/Scrisul Romanesc” – Craiova, “The Romanian Village/Satul Românesc” –
3rd Millennium, “Historical Store/Magazin Istoric”, “Civitas Nova” – Braşov, the
orders “Scientific Merit/Meritul ştiinŃific” (1966) and “St. Metodiu and Chiril” –
Bulgaria, the title of doctor honorius causa of several universities (including from the
University of Craiova, which the Senate approved but which, for medical reasons, he
did not collect) and the “Man of the Year 1995” by the American Biographical
Institute Research Association.
For all Romanians, the decease of the great historian at the end of 2018 means a
loss of a great Romanian who, through his personality and his work, set the positive
coordinates and desiderata of an era of profound changes and spectacular events for
over seven decades, both in writings, as well as in facts.
Through everything that Stefan Ştefănescu represented, he remains in the heart of
all Romanians, a symbol of the vocation of national historiography, the patriarch of
Romanian Medieval Era in our contemporary history, the great historian to whom we
owe gratitude and eternal memory.
Ad perpetum rea memorian, aere perenius...
Dinică Ciobotea
In Memoriam – Titu Georgescu (23 February 1929 – 28 July 2004)

90 years from birth
We bring to the attention of the lovers of history in the country and abroad, the
remarkable personality of a professor and researcher, which some will discover later
and due to the modesty and dignity that characterized his whole life.
Born on 23 February 1929, in Corabia in Olt County, in a modest and dignified
family, the young Titu Georgescu follows the first classes in his hometown, then he is
admitted to the prestigious “FraŃii Buzeşti High School” in Craiova.
142
The good results obtained in the studies recommended him to participate in

another contest, being admitted to the “Military National College Nicolae Filipescu”
from the Dealu Monastery (near Târgovişte), also known as “Predeal Military High
School”, where the high school functioned after the earthquake in 1940.
At this elite military institution of inter-war Romanian education, he built, in a
soldierly and competitive atmosphere, a wide range of knowledge including language
learning.
Humanist skills and passion for history have been decisive in the choice of the
future professor. Thus, between 1948-1952 he attended the courses of the Faculty of
History and Geography of the University of Bucharest, being trained by professors
such as Barbu Câmpina, Alexandru Elian, Dumitru Almaș, Andrei OŃetea, Vasile
Maciu and others.
Being remarked by his teachers, he is coopted as an university lecturer from the
first years of his studies (1950-1952), then he rises into the university hierarchy from
assistant to university professor (1968). Four years later, in 1972, he was awarded the
title of Docent PhD, and in 1980, acknowledging his merits in scientific research, he is
a laureate of the Academy Award.
He was editor-in-chief of the magazine “Annals of History” and founder of the
magazine collection “The Little History Library” and “Evoke”. At the same time, he
was the initiator and mentor of the magazine “History Store” published in 1967, in a
favorable context to revive our historiographic tradition and to enhance contacts with
scientific centers in Europe.
Also, Titu Georgescu was editor-in-chief of the university course “Fundamental
problems of history of Romania” and scientific leader of numerous PhD students. He
represented our country in colloquies, international meetings and congresses of
history in Europe.
Among the works published by the professor we mention: Nicolae Iorga împotriva
hitlerismului/Nicolae Iorga against Hitlerism (1966), Intelectualii antifascişti în publicistica
românească/The antifascist intellectuals in Romanian journalism (1967), Mărturii franceze
despre 1848 în łările Române/French Testimonies about 1848 in the Romanian Lands
(1968), A Concise History of Romania (1980), Argumente ale istoriei pentru o nouă ordine
internaŃională/Arguments of history for a new international order (1977), România între
Yalta şi Malta/Romania between Yalta and Malta (1996), România în istoria
Europei/Romania in the history of Europe (1997), Tot un fel de istorie/Another kind of
history – three volumes – (2000-2004).
Since his youth he has entered the historiographycal front of his time, Titu
Georgescu was part of the team of young historians who had engaged in the struggle
for eliminating the theses imposed by Mihai Roller in the early 50s and for the
reinforcement of the national values as a whole. It was an attempt to integrate the
history of the workers’ movement into the history of the Romanians as part of it (Ioan
Scurtu).
Among his initiatives we recall the publication in 1976 of the course titled
“Fundamental problems of history of Romania” which, at his insistence, was taught in
all the higher education institutions in our country.
143
A wider form of this work to which historical documents were attached was to be
published in 1986, summing up 486 pages and considered by some specialists to be
the best synthesis of the history of Romanians before 1989.
In fact, Professor’s competence, skills and scientific rigor have been recognized
not only in the country but also abroad, where remarkable names of European
historiography as: Maurice Baumont, Roger Gheysens, Jacques de Launay, Jacques
Lévesque, Catherine Durandin, Henry Michel, they appreciated his research, inviting
him to many events organized in Paris, Milan, Moscow, Balcelona, Dublin.
Since 1965, Professor Titu Georgescu has received from the Ministry of
Education the right to coordinate PhD theses of the great Romanian researchers and
foreigners from countries such as Greece, Japan, Israel, Egypt, Iraq.
Parallel to the prestigious didactic and scientific activity, Titu Georgescu has also
been given administrative functions, which he has achieved with positive results. The
first responsibility was that of the rector of the University of Craiova, which he
exercised between 1971-1974.
Overwhelmed by the many administrative problems faced by the young university
in Bans Fortress, the new rector finds the time to attract ambitious intellectuals from
Craiova, such as: Marin Sorescu, Alexandru Firescu, Adrian Păunescu, Petre Gigea,
Florea Firan, Amza Pelea, Tudor Gheorghe, Emil Boroghină, metropolitan bishop
Nestor Vornicescu and many others.
In the context of the necessity of connecting the University of Craiova in Balkan
and European academic relations, Titu Georgescu’s initiative was to complete the
twinning with the University of Skopje (Macedonia), because it motivated the rector
of Craiova “I wanted to establish contact with Macedo-Romanian academics and
intellectuals toward reconnect with south-Danubian Romans, too forget”.
At the same time, he intensified academic ties with the university centers of the
country, from Bucharest, Cluj and Iași. We keep in mind the projects he had,
especially the one of attracting as associate professors of the university, known names
of Romanian literature, such as Marin Preda and Marin Sorescu. Since 1975 he has
been the Pro-Rector of the University of Bucharest, responsible for the research
activities at the Faculty of History, Philosophy, Law, Sociology, as well as at the
institutes of the Romanian Academy.
In order to stimulate the scientific research of teaching staff that is teaching
history in pre-university education, Titu Georgescu recommended to teachers the
realization of local monographs, so that the spiritual values of the Romanians would
be revealed at national level.
Moreover, at his initiative, as a Rector in Craiova, a team of authors elaborated a
thematic guide as a working tool for those who chose to make a village monograph.
More than 40 scientific-methodical works, representing local monographs were
developed under the guidance of the Professor, some of which were later published
by the authors. It also captures the variety of themes over which Titu Georgescu has
stood. We recall from those: national unity and independence, anti-fascist and anti-war
movement, the place and role of intellectuality to affirm and defend the country’s
fundamental desideratum, emphasizing the valuable traditions of the material and
spiritual treasure throughout the territory of Romania.
144
The model of professional dedication, permanently mastered by a true patriotism,

the Professor contributed to the formation of a generation of specialists in history and
diplomacy.
In his 75 years of life, Titu Georgescu created a vast work, tackling themes
appropriate to the historiography of his time. After retiring, in 1994, he worked at
“Spiru Haret” University until 2004. Through his entire didactic, scientific and
managerial activity, Professor Titu Georgescu has effectively contributed to the
development of historical knowledge, his qualities are imposing him as a remarkable
specialist in the field of historical research, which he served with devotion. If we add
to this, the personality of Titu Georgescu, sensitive, generous, volunteer, we
recompose the profile of a genuine intellectual.
ConstanŃiu Dinulescu
145
146
A.U.C.H. Manuscript Submission
GUIDELINES FOR PUBLICATION IN ANALELE UNIVERSITĂłII DIN CRAIOVA.
ISTORIE (ANNALS OF THE UNIVERSITY OF CRAIOVA. HISTORY)
Email: Manuscripts should be submitted online at

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with the following settings:
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About the author(s)
After each name insert a footnote (preceded by the symbol *) containing the author’s professional title,
didactic position, institutional affiliation, contact information, and email address.
E.g.: Sorin Liviu Damean*, Marusia Cîrstea**
* Professor, PhD, University of Craiova, Faculty of Social Sciences, History Specialisation, No. 13, A.I.
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References: The references cited in the article are listed at the end of the paper in alphabetical order of
authors’ names. References of the same author are listed chronologically.
Reference citations
I. Reference-List Entries for Periodicals (APA Style)
a. An Article in a Journal with continuous paging
Harrison, R.L., & Westwood, M.J. (2009). Preventing vicarious traumtization of mental health therapists:
Identifying protective practices. Psychoterapy: Theory, Research, Practice, Training, 46, 203-219.
In-text citation (Harison & Westwood, 2009)
b. An Article in a Journal with separate paging
Damean, S.L. (2013). The Royal Family of Romania and the National Reunification War. Analele
Universității din Craiova. Istorie, 23(1), 43-50.
In-text citation (Damean, 2013: 50)
c. An article in a monthly magazine
Madu, C. (2010, March-April). A cure for crime. Psychology Today, 43(2), 12.
In-text citation (Madu, 2010: 12)
II. Reference-list entries for books and other separately published materials
a. A book by one author
Damean, S.L. (2004). România şi Congresul de Pace de la Berlin (1878). Bucureşti: Mica Valahie.
In-text citation (Damean, 2004: 49)
b. A book by two or more authors
Rosenthal, R., Rosnow, R.L., & Rubin, D.B. (2000). Contrasts and effect sizes in behavioral research: A
correlational approach. Cambridge, England: Cambridge University Press.
147
First in-text citation (Rosenthal, Rosnow, & Rubin, 2000: 230-231)
Subsequent citations (Rosenthal et al., 2000: 232)
Scafes, C., Şerbănescu, H., Andonie, C., Scafes I. (2002). Armata română în războiul de independență. 1877-
1878. Bucureşti: Sigma.
First in-text citation (Scafes, Şerbănescu, & Andonie, 2002: 150)
Subsequent citations (Scafes et al., 2002: 151)
c. A book with no author named
The Blackwell dictionary of cognitive psychology. (1991). Oxford, England: Blackwell.
In-text citation (The Blackwell dictionary, 1991: 98)
d. Multiple works by the same author
Sternberg, R.J. (1990). Metaphors of the mind: Conceptions of the nature of intelligence. New York, NY: Cambridge
University Press.
Sternberg, R.J. (2003). Psychologists defying the crowd: Stories of those who battled the establishment and won.
Washington, DC: American Psychological Association.
Sternberg, R.J. (2003). Why smart people can be so stupid. New Haven, CT: Yale University Press.
Sternberg, R.J. (2007). Wisdom, intelligence, and creativity synthesized. New York, NY: Cambridge University
Press.
In-text citation
The 1990 book: (Sternberg, 1990: 45)
The first 2003 book: (Sternberg, 2003a: 23)
The second 2003 book: (Sternberg, 2003b: 25)
The 2007 book: (Sternberg, 2007: 139)
All four works in the same citation: (Sternberg, 1990, 2003a, 2003b, 2007)
Damean, S.L. (2004). România şi Congresul de Pace de la Berlin (1878). Bucureşti: Mica Valahie.
Damean, S.L. (2008). Diplomați Englezi în România (1866-1880). Craiova: Universitaria.
In-text citation
The 2004 book: (Damean, 2004: 77)
The 2008 book: (Damean, 2008: 55)
e. Reference to a chapter in an edited book
GhiŃulescu, M. (2014). EvoluŃia instituŃiilor politice în timpul regimului comunist. În Damean, S.L.
(coord.) EvoluŃia instituŃiilor politice ale statului român din 1859 până astăzi. Târgovişte: Cetatea de Scaun.
In-text citation (GhiŃulescu, 2014: 111)
III. Archival Documents and Collections
a. Collection of letters from an archive
Benomar, Fr.M.C. (March 1875-December 1876). Legación en Berlin. Correspondencia confidencial y
reservada con los Ministros de Estado. Cartas a los mismos (Tomo I, Signatura 9-32-7-7401). Royal
Academy of History, Madrid, Spain.
In-text citation (Benomar, Fr.M.C., 1875-1876, Benomar, Fr.M.C. to F. Calderón Collantes, June 5, 1876)
b. Unpublished papers, lectures from an archive or personal collection
SuŃu, C.N. (1863). Propunerea lui C. ȘuŃu în numele lui D. Jose de Salamanca. Fond Ministerul Lucrărilor
Publice (dosar 100). National Historical Central Archives Service, Bucarest, Romania.
In-text citation (SuŃu, 1863)
Universidad Central (1868). Espediente Vizanti y Basilio Andrés. Universidades, Sección Filosofía y Letras
(Signatura 6887, expediente 1). National Historical Archive, Madrid, Spain.
In-text citation (Universidad Central, 1868)
Gullón E. Iglesias, P. (1898, April 18). Memorandum adresat de Guvernul Spaniei Puterilor prietene asupra
insurecției cubane. Fond 71 (Problema 21, Dosar 69). Diplomatic Archives Unit of the Ministry of Foreign
Affairs, Bucarest, Romania.
In-text citation (Gullón E Iglesias, 1898)
IV. Reference to a web source
J.G. (2016, April 11). 7 Deadly Environmental Disasters. Retrieved April 25 2016, from
http://www.history.com/news/history-lists
In-text citation (http://www.history.com/news/history-lists)
148

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Analele UniversităŃii din Craiova. Istorie, Anul XXIV, Nr.

STUDIES AND ARTICLES

STUDIES AND ARTICLES

MUNICIPAL INTEGRATION OF SOUTHERN UKRAINE JEWS

Defining the status of representatives of different nationalities in the

Analysis of statistical data of representatives of different nationalities of the

Table 1: National representation in municipal self-government of the Southern

According to the calculations of O. Danylchenko (2009), the national formation

KING CAROL II’S NATIONAL RECONCILIATION POLICY

The new Government

The attempt of the reconciliation with the political leaders

Tătărescu Cabinet in action

A difficult situation and the attempts to redefine the authoritarian regime

THE CASE OF THE “DISPLACEMENT” OF SERBS FROM KOSOVO

Key words: Kosovo, Serbs, migration, Kosovo, World War II

Garashani’s project, Drazh Mihajlovic’s Chetnik Movement began in the Second

and colonization) that the Kingdom of Yugoslavia implemented to deploy Albanians

The invasion of Yugoslavia and the division of Kosovo

THE UKRAINIAN ORTHODOX AUTOCEPHALOUS MOVEMENT

Key words: the Orthodox Church, autocephaly, hierarchy, canonicity, occupation

* Associate Professor, PhD, The National University of Ostroh Academy, Faculty of

Patriarchate. Immediately after the establishment of the German occupation

The relationship of the UAOC with the Warsaw Metropolitanate

Formation of the canonical episcopate and admission of “Lypkivtsi”

Metropolitan Oleksii Hromadskyi, who was positioned as part of the Moscow

combination of the sacraments of repentance and conscience, however, it was in this

Collaboration with Germans

The Collaborationism of UAOC

The autonomists’ attitude towards the occupiers

WITH VIGILANT CONCERN: THE DEBATE

Key words: Censorship, cinema, mass media, Francoist regime, laws

studies, Peace Avenue, 137, Logroño, Spain, Phone: 0034699937730, Email:

García Escudero’s “spirit”

cinematographic ethics. We believe that it is necessary to find a point of balance in

Reactions to censorship regulations

The underestimation of a seemingly undereducated audience inevitably meant

in the sense of the roughness of stone or unpolished rock or a pebble of a scandal,

S.A. (May, 1963). Responsabilidad familiar. Familia española.

THE CONFERENCE IN MALTA (2-3 DECEMBER 1989)

The Opportunity of Malta Summit. Synthesis of Soviet-American bilateral

Central and Southeast European perceptions of the Malta Summit

“Top Secret” report (hand-writing) delivered by General Iulian Vlad (Troncotă,

THE MODEL OF INTERETHNIC ACCORD

Key words: independence, sovereignty, cooperation, tolerance, understanding, assembly

History Institute of Ministry of Education and Science of Republic of Kazakhstan, 8 Mangilik

History Institute of Ministry of Education and Science of Republic of Kazakhstan, 8 Mangilik

University, 17 F. Urkumbaev Str., Shymkent, Republic of Kazakhstan, Phone: +77252537152,

Str., Aktobe, Republic of Kazakhstan, Phone: +77132217365, Email: Islamov_marat@mail.ru

Materials and Methods

Results and Discussion

Language” the republican society; 2) “Russian” community in the Republic of

Kokshetau areas. In 2000, representatives of the German nationality – 29071

we are re-evaluating the historical experience of our people, changing traditional-

socio-economic and spiritual-cultural development of all nations and nationalities in

Republic live in a balanced state, and have a constant activation of mutual

Ayagan, B.G. (2010). World about N.A. Nazarbayev. Astana.

THE “BOLIVARIAN REVOLUTION” OF VENEZUELA

Key words: post-communism, competitive authoritarianism, post-democracy, revolution

(University Francisco de Vitoria, UFV). Specialization in Pedagogic Anthropology. Ctra.