ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
6DÇR3RJODMHQ
$QQXDOPHHWLQJRIWKHDVVRFLDWLRQ&RPSXWHU
$SSOLFDWLRQVDQG4XDQWLWDWLYH0HWKRGVLQ$UFKDHRORJ\
&$$7+(',*,7$/+(5,7$*(2)
$5&+$(2/2*<+HUDNOLRQ&UHWH*UHHFH
WKWK$SULO
7KLV \HDU¤V WKLUWLHWK FRQVHFXWLYH DQQXDO PHHWLQJ RI
WKH DVVRFLDWLRQ &RPSXWHU $SSOLFDWLRQV DQG 4XDQWLWD
WLYH0HWKRGVLQ$UFKDHRORJ\WRRNSODFHLQ+HUDNOLRQD
SLFWXUHVTXH KLVWRULFDO SRUW DQG HFRQRPLF FHQWHU RI
&UHWH&UHWHLVNQRZQDVDFUDGOHRI0HGLWHUUDQHDQFLYL
OL]DWLRQ ZLWK LWV 0LQRDQ FXOWXUH DQG LV DOVR D SRSXODU
WRXULVWVSRW7KH)257+,QVWLWXWHRI&RPSXWHU6FLHQFH
DQG WKH )257+ ,QVWLWXWH RI 0HGLWHUUDQHDQ 6WXGLHV RU
JDQL]HGWKLV\HDU¤VFRQIHUHQFH'LFWDWHGE\WUDGLWLRQWKH
PHHWLQJ FRQWLQXHG IRU ILYH GD\V ZLWK RYHU SDUWLFL
SDQWVIURPDOORYHUWKHZRUOG7KH6ORYHQLDQSDUWLFLSDQWV
LQFOXGHG WKH DXWKRU RI WKLV SDSHU DQG D FROOHDJXH IURP
6$6$6ORYHQLDQ$FDGHP\RI6FLHQFHVDQG$UWV
,Q WKLV UHSRUW , ZLOO SUHVHQW WKH SURJUDP RI WKH &$$
FRQIHUHQFHDQGWU\WRH[SODLQWKHFXUUHQWLVVXHVRI
PRGHUQWHFKQRORJLHVLQDUFKDHRORJ\GLJLWDOO\VXSSRUWHG
DUFKDHRORJLFDO PHWKRGV DQG WKH LQIOXHQFH RI LQIRUPD
WLRQWHFKQRORJ\ LQ DUFKDHRORJ\ DQG LQ WKH DUFKDHRORJL
FDOFXOWXUDOKHULWDJH
7KHILUVWGD\RIWKHFRQIHUHQFHZDVGHYRWHGWRUHJLV
WUDWLRQDQGIRXUZRUNVKRSV6FLHQWLILF&UHGLELOLW\DQG
$XWKHQWLFDWLRQLQ&XOWXUDO9LUWXDO5HDOLW\WKH&,'2&
&RQFHSWXDO 5HIHUHQFH 0RGHO DV D 7RRO IRU ,QWHJUDWLQJ
&XOWXUDO,QIRUPDWLRQ6HOHFWLQJ 0DWHULDO IRU 'LJLWL]D
WLRQ DQG (YDOXDWLQJ WKH 'LJLWDO 3URGXFWV DQG 0DQ
DJLQJ6WUDWLJUDSK\WKH,QWHJUDWLRQRI6WUDWLJUDSKLF'DWD
EDVH DQG *UDSKLFDO ,QIRUPDWLRQ IURP ([FDYDWLRQ 7KH
RSHQLQJ FHUHPRQ\ WRRN SODFH WKH QH[W PRUQLQJ 7KH
SUHVLGHQW RI WKH &$$ DVVRFLDWLRQ 1LFN 5\DQ WKH FRQ
IHUHQFHRUJDQL]HUVDQGSROLWLFLDQVDOOJUHHWHGWKHJXHVWV
7KLV ZDV IROORZHG E\ D OHFWXUH JLYHQ E\ -HDQ&ODXGH
*DUGLQD DQG WLWOHG $UFKDHRORJLFDO 'LVFRXUVH &RQFHS
WXDO0RGHOLQJDQG'LJLWDOL]DWLRQ7KHDXWKRUSUHVHQWHG
WKH UHDOLVWLF SUREOHP RI GLVVHPLQDWLQJ VFLHQWLILF LGHDV
7KHIDFWLVWKDWWKHLQFUHDVLQJQXPEHUVRIVFLHQWLVWVSUR
GXFH DQ LQFUHDVLQJ QXPEHU RI DUWLFOHV WKDW GXH WR WKH
WLPH OLPLWV RI LQGLYLGXDO FROOHDJXHV UHPDLQ D FDXVH RI
WKHLURZQ+HSURSRVHGJXLGHOLQHVIRUGHYHORSPHQWRID
PHWKRG RI ZULWLQJ ZKLFK ZRXOG IDFLOLWDWH VZLIWHU DE
VRUSWLRQ RI WKH HVVHQFH RI LQGLYLGXDO DUWLFOHV 7KLV ZDV
IROORZHG E\ WKH XVXDO WKUHHGD\ FRQIHUHQFH SURJUDP
WKDWDSDUWIURPWKHDIRUHPHQWLRQHGZRUNVKRSVLQYROYHG
WKUHHWRSLFDOJURXSV6HFRQGDU\.QRZOHGJH*HQHUD
WLRQ &RPSXWHU 6XSSRUWHG 5HDVRQLQJ 6SDWLDO ,QIRU
PDWLRQ$FTXLVLWLRQDQG(YDOXDWLRQDQG0DQDJHPHQW
RIWKH'LJLWDO+HULWDJH7KHVHFWLRQVWRRNSODFHVLPXOWD
QHRXVO\ IRU ZKLFK UHDVRQ ZH KDG WR SODQ RXU DWWHQ
GDQFH WR WKH OHFWXUHV $WWHQGLQJ WKHVH SUHVHQWDWLRQV LQ
VHSDUDWH DXGLWRULXPV ZDV WKXV FRQGLWLRQHG E\ DQ DG
MXVWHGUK\WKPRIFRPPXWLQJDPRQJDXWKRUV'XULQJWKH
EUHDNV ZH KDG WKH RSSRUWXQLW\ WR VWXG\ WKH SRVWHUV
ZKLFKZHFRXOGDOVRGLUHFWO\GLVFXVVZLWKWKHLUDXWKRUV
1RWHZRUWK\ IURP DPRQJ WKH ZRUNVKRSV ZDV WKDW RI
0DULD (FRQRPRX 8QLYHUVLW\ RI 0DQFKHVWHU 8. ZKR
YHU\SUHFLVHO\DQDO\]HGDQGH[SODLQHGDOOWKHSKDVHVRI
WKH SURFHVV RI SUHSDULQJ DQG SURGXFLQJ WKH GLJLWDO DU
FKLYHV IRU YDULRXV QHHGV 7KH TXHVWLRQV FRQFHUQLQJ VH
OHFWLRQ RI WKH PDWHULDO ILQDQFLQJ WKH FOLHQWV RU XVHUV
GHPDQGV HYDOXDWLRQ RI WKH UHVXOWV DUH RQO\ D IHZ RI
WKRVHZKLFKZHPXVWFRQVLGHULQRUGHUWRFUHDWHDVXF
FHVVIXO DQG XVDEOH SURGXFW 1DWXUDOO\ WKH PDLQ LQGLFD
WRURIVXFFHVVLVXOWLPDWHO\WKHXVHUIURPZKRPZHQHHG
IHHGEDFN LQIRUPDWLRQ 7KH IRXUWK ZRUNVKRS OHDG E\
'RPLQLF 3RZOHVODQG 7KH /DQGVFDSH UHVHDUFK FHQWHU
8.ZDVDOVRYHU\LQWHUHVWLQJ,WSUHVHQWHGDQLQQRYDWLYH
VRIWZDUH WRRO IRU LQWHUDFWLYH PDQDJHPHQW DQG VHOHFWLRQ
RI GRFXPHQW DUFKLYHV 7KH VNHOHWRQ RI WKH V\VWHP LV D
VWUDWLJUDSKLFPDWUL[ZLWKDGGHGVSDWLDODQGWLPHFRPSR
QHQWVWRZKLFKDOOWKHRWKHUGDWDDFTXLUHGGXULQJH[FD
YDWLRQ LV DWWDFKHG 3DUDOOHO ZLWK WKH WDEXODU YLHZ RI WKH
PDWUL[DQGRWKHUGDWDWKHJUDSKLFSDUWDOVRGUDZVRXWWKH
GHVLUHG REMHFWV :LWK KLV GHWDLOHG SUHVHQWDWLRQ RI D
ZKROO\ LQQRYDWLYH SURGXFW WKH DXWKRU JDYH D UHOD[HG
DQGZLWW\SUHVHQWDWLRQRIWKHTXHVWLRQRIDUFKDHRORJLFDO
PHWKRGRORJ\ VSLFHG ZLWK D JRRG PHDVXUH RI %ULWLVK
KXPRU%\IDUWKHEHVWOHFWXUHRIWKHFRQIHUHQFH
7KHWKHPHVSUHVHQWHG LQ WKH ILUVW VHFWLRQ ZHUH IDLUO\
GLYHUVH7KH\FRXOGEHGLYLGHGLQWRWKHIROORZLQJJURXSV
Ÿ ZLWK WKH JUHDWHVW HPSKDVLV RQ YDULRXV DSSOLFDWLRQV RI
YLUWXDO UHDOLW\ 3HWHU -DEORQND 8QLYHUVLWlW 7€ELQJHQ
*HUPDQ\ SUHVHQWHG DQ LPSUHVVLYH ZRUN RI D UHFRQ
VWUXFWHG 7UR\ WKURXJK DOO WKH WLPH KRUL]RQV VXSSRUWHG
E\ SODQV SKRWRJUDSKV RI WKH ILQGLQJV DQG WKH SRVVLELOL
WLHVRIPDQLSXODWLQJLQUHDOWLPH,QDGGLWLRQWRWKLVSUHV
HQWDWLRQ 0U -DEORQND DOVR JDYH D OHFWXUH WLWOHG +RZ
9LUWXDO 'UHDPV &DQ %HFRPH $UFKDHRORJLFDO 5HDOLW\
+HH[SRXQGHGWKHVWDJHVDQGH[SHULHQFHRIWKHSURJUHVV
RIWKLVH[WHQVLYHZRUNGRQHE\DUFKDHRORJLVWVVXSSRUWHG
E\ FRPSXWHU VSHFLDOLVWV 7KH QHZ SURJUDP ODQJXDJH
;'ZKLFKLVVXSSRVHGWRVXEVWLWXWH950/LQ'PRG
HOLQJIRUQHWZRUNVZDVSUHVHQWHGE\)UDQFHVFD&DQWRQH
1DSOHV 8QLYHUVLW\ )HGHULFR ,,
DQG )UDQFR 1LFFROXFFL
)ORUHQFH 8QLYHUVLW\ 7KH WRROV ZHUH HOXFLGDWHG RQ WKH
FDVH RI 3RUVHQQDCV PDXVROHXP NQRZQ IURP 3OLQ\¤V GH
VFULSWLRQV 7KH ODQJXDJH LV VXSSRVHG WR SURYLGH HDVLHU
FRQQHFWLRQV EHWZHHQ WKH QHWZRUN ' PRGHOV DQG WKH
GDWDEDVHV :H ZHUH JLYHQ D SUHVHQWDWLRQ RI XSJUDGHG
DUFKDHRORJLFDO JHRJUDSKLF LQIRUPDWLRQ V\VWHPV *,6 LQ
' YLUWXDO PRGHOV LQ WKH FDVH RI WKH VXUURXQGLQJV DQG
XUEDQH %RORJQD DQG D UHVHDUFK RI YDULRXV *UHHN FLWLHV
ZLWK WKH KHOS RI ' *,6 WRROV :H DOVR VDZ WKH XVH RI
YLUWXDOUHDOLW\DVDWHDFKLQJWRRODQG D PHGLXP IRU SUH
VHUYLQJ GHVWUR\HG FRPSOH[HV 7KH DXWKRUV )ORULQ
6WDQHVFX 8QLYHUVLW\ RI 6LELX 5RPDQLD DQG 0DULXV &L
475
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
XWD 8QLYHUVLW\ 'HFHPEULH 5RPDQLD SUH
VHQWHG D ZRUN PHWKRG DQG UHFHQW UHVXOWV LQ WKH SURMHFW
RIUHFRQVWUXFWLQJWKHDQFLHQWWRZQ &RORQLD$XJXVWD8O
SLD7UDLDQD6DUPL]HJHWXVD,QDGGLWLRQWRWKHYLUWXDOUH
DOLW\ ZHUH DOVR SDSHUV UHJDUGLQJ WKH DSSOLFDWLRQ RI *,6
WRROV $ PRVW LQWHUHVWLQJ H[DPSOH ZDV WKH SURMHFW RI
(OHQL 0DQW]RXUDQL 8QLYHUVLW\ RI $WKHQV DQG FRO
OHDJXHV7KHLUDQDO\VLVLVEDVHGRQIX]]\ORJLFE\ZKLFK
WKH\ SUHGLFW QHZ DUFKDHRORJLFDO ORFDWLRQV RQ DQ LVODQG
RIWKHZHVWHUQ&\FODGHV)XUWKHUZHVDZVRPHSUDFWLFDO
VROXWLRQV WR DUFKDHRORJLFDO GRFXPHQWDWLRQ -XDQ %DU
FHOR 8QLYHUVLWDW $XWRQRPD %DUFHORQD 'DPLHQ *UHHQ
%UXQHO 8QLYHUVLW\ SUHVHQWHG DQ LQQRYDWLYH WRRO IRU '
UHFRQVWUXFWLRQ RI VWUXFWXUHV GXULQJ DUFKHRORJLFDO H[FD
YDWLRQV7KHDXWKRULVRULJLQDOO\DFRPSXWHUVFLHQWLVWDQG
ZDV VRPHZKDW FULWLFDO RI FODVVLF DUFKDHRORJLFDO GRFX
PHQWDWLRQ $QG ILQDOO\ , PXVW PHQWLRQ WKH SDSHUV FRQ
FHUQLQJ DQDO\VLV RI DUWLIDFW FROOHFWLRQV 7KH HPSKDVLV
ZDVPDLQO\RQFODVVLI\LQJFHUDPLFPDWHULDO
7KH VHFRQG VHFWLRQ ZDV DOVR TXLWH EURDGO\ VHW 7KH
FRPPRQ GHQRPLQDWRU ZDV DFTXLULQJ DQG PDQLSXODWLQJ
VSDWLDO GDWD E\ VDWHOOLWH LGHQWLILFDWLRQ DHULDO SKRWRJUD
SK\ FDUWRJUDSK\ WHUUHVWULDO PHDVXUHPHQW JHRSK\VLFDO
PHDVXUHPHQW DQG H[FDYDWLRQ 7KH GDWD ZDV WKHQ PRUH
RUOHVVVXFFHVVIXOO\LQWHJUDWHGLQ*,6DQGDQDO\]HG5H
PRWH LGHQWLILFDWLRQ LV VWLOO XVHG IRU UHFRQVWUXFWLQJ ODQG
VFDSHVFRQQHFWHGWRDFWXDODUFKDHRORJLFDOFRQWH[WVHJ
. /DPEHUV HW DO ,QVWLWXW IXHU *HRGDHVLH XQG 3KRWR
JUDPPHWULH 6ZLW]HUODQG RU 0 )RUWH HW DO ,VWLWXWR 8QL
YHUVLWDULR 2ULHQWDOH 6RPH SURMHFWV RI YLVXDOL]LQJ JHR
SK\VLFDO PHDVXUHPHQWV LQ *,6 ZHUH SUHVHQWHG HJ $
6DUULV HW DO ,QVWLWXWH IRU 0HGLWHUUDQHDQ 6WXGLHV &UHWH
'DQD -HQVHQ RI 6WDQIRUG 8QLYHUVLW\ SUHVHQWHG D JRRG
VWXG\RIWUDQVKXPDQFHLQQRUWKHUQ&KLOHZLWKWKHKHOSRI
DQ DFFRPSOLVKHG DOJRULWKP JHRJO\SKV DQG *,6 3LW
SURYHG WKDW ZH PLJKW DFKLHYH H[FHSWLRQDO UHVXOWV ZLWK
UHODWLYHO\VLPSOHWRROVEXWDFRUUHFWDSSURDFK7KH3RO
LVK PHWKRG RI VXUYH\LQJ WKH URXWH RI WKH IXWXUH PRWRU
ZD\ ZDV SUHVHQWHG E\ $JQLHV]ND 'RODWRZVND $GDP
0LFNLHZLF] 8QLYHUVLW\ WRJHWKHU ZLWK $QGU]HM 3ULQNH
3R]QDQ $UFKDHRORJLFDO 0XVHXP 7KH SLORW SURMHFW RI
WKHIXWXUHNPPRWRUZD\ZDVEDVHGRQDHULDOSKR
WRJUDSK\ IURP KHOLFRSWHUV 7KH SRWHQWLDO ORFDWLRQV DUH
ILUVW UHFRUGHG DQG WKH IRXQGDWLRQV DUH VHW IRU ODWHU H[
FDYDWLRQ
7KH ODVW RI WKH FRQIHUHQFH VHFWLRQV ZDV WKH PRVW
WRSLFDOO\KRPRJHQRXV,WZDVGHYRWHGWRSUHVHQWLQJDQG
GLVFXVVLQJ WKH VROXWLRQV DQG TXHVWLRQV RI HVWDEOLVKLQJ
SUHVHUYLQJ PDQLSXODWLQJ DQG VXEVHTXHQWO\ XVLQJ WKH
GLJLWDO KHULWDJH 6RPH RI WKH FRQWULEXWLRQV H[SODLQHG
PHWKRGV RI SUHVHQWLQJ YDULRXV DUFKDHRORJLFDO GDWD DQG
LQIRUPDWLRQ RQ WKH JOREDO QHWZRUN HJ . )HUQLH 8QL
YHUVLW\ RI <RUN HW DO 7KH WDVN GHPDQGV SURIRXQG
NQRZOHGJHRIDUFKDHRORJLFDO REMHFWV DQG NQRZOHGJH RI
WKH SURSHUWLHV DQG FDSDFLWLHV RI PRGHUQ LQIRUPDWLRQ
WHFKQRORJ\$QLPSHUDWLYHWKURXJKDOO WKH YDULRXV SUHV
HQWDWLRQVZDVWKHQHHGIRUV\VWHPL]DWLRQDQGVWDQGDUGL
]DWLRQ 3KLOLS &DUVOLOH 1DWLRQDO 0RQXPHQWV 5HFRUGV
&HQWUH8.SRLQWHGRXWWKHLVVXHRIQDPLQJSHULRGV,WLV
D NQRZQ IDFW WKDW WKH JHRJUDSKLF SRVLWLRQ RIWHQ GHWHU
PLQHV WKH WLPH VSDQ 7KXV WKH 5RPDQ SHULRG LV GLIIHU
HQWO\XQGHUVWRRGLQ,WDO\DVRSSRVHGWRLQ%ULWDLQ
7KLV \HDU¤V FRQIHUHQFH DJDLQ VKRZHG WKDW WKH WUHQG
LQFRPSXWHUDQGTXDQWLWDWLYHPHWKRGVLQDUFKDHRORJ\LV
WR PDNH WKH EHVW SRVVLEOH XVH RI LQIRUPDWLRQ WHFKQROR
JLHVIRUVROYLQJDUFKDHRORJLFDOSUREOHPVRQYDULRXVOHY
HOV*,6KDYHEHHQIDLUO\DGRSWHGE\DUFKDHRORJLVWVDQG
WKHLU XVH KDV EHFRPH D SUHURJDWLYH IRU VWXG\LQJ VSDWLDO
UHODWLRQV LQ UHJLRQV DV ZHOO DV DW LQGLYLGXDO VLWHV 7KLV
\HDU WKHUH ZHUH IHZHU SDSHUV RQ WKH WRSLF RI GRFX
PHQWLQJ DUFKDHRORJLFDO H[FDYDWLRQV 7KH HPSKDVLV DV
LQGLFDWHGLQWKHFRQIHUHQFH¤VWLWOHZDVPRUHRQDUFKLY
LQJDQGWKHYLVXDOL]DWLRQRIDUFKDHRORJLFDOKHULWDJH
$QG ILQDOO\ , ZRXOG OLNH WR PHQWLRQ WKDW LQ DGGLWLRQ
WRWKHIRUPDOSDUWRIWKHFRQIHUHQFHZHKDGDULFKVRFLDO
SURJUDP 6XFK PHHWLQJV DUH DOVR QHFHVVDU\ IRU HVWDE
OLVKLQJQHZFRQQHFWLRQVLQDUHOD[HGDWPRVSKHUH
7KH ODVW GD\ ZH KDG D VHVVLRQ RI &$$ PHPEHUV DW
ZKLFKZH DSSURYHG WKH FDQGLGDWXUH RI )ORUHQFH IRU RU
JDQL]LQJWKHXSFRPLQJFRQIHUHQFHLQ7KHRUJDQ
L]HUV RI WKH QH[W PHHWLQJ ZKLFK LV VFKHGXOHG WR WDNH
SODFHLQ9LHQQDEHWZHHQŸ$SULOSUHVHQWHG
WKH SURJUHVV RI WKHLU SUHSDUDWLRQV IXUWKHU LQIRUPDWLRQ
FDQ EH REWDLQHG DW KWWSZZZDUFKDHRORJLHZLHQDW
FDDFDDKWP
&ODXGLR3RYROR
$QQRXQFHPHQWRIWKHLQWHUQDWLRQDOVFLHQWLILF
FRQIHUHQFH7+(9,&7,0,17+(6&(1(2)7+(
&5,0,1$/75,$/)URPYLFWLPOHVVFULPHVWRWKH
DSSHDUDQFHRIWKHYLFWLPLQWKHVRFLDODQGSROLWLFDO
GHEDWH.RSHU2FWREHU
,Q 2FWREHU WKH LQWHUQDWLRQDO VFLHQWLILF FRQIHU
HQFH 7+( 9,&7,0 ,1 7+( 6&(1( 2) 7+( &5,0,1$/
75,$/)URPYLFWLPOHVVFULPHVWRWKHDSSHDUDQFHRIWKH
YLFWLPLQWKHVRFLDODQGSROLWLFDOGHEDWHZLOOWDNHSODFH
LQ.RSHU7KH5HSXEOLFRI6ORYHQLD$WWKHFRQIHUHQFH
RUJDQL]HG E\ WKH 6FLHQWLILF DQG 5HVHDUFK &HQWHU RI WKH
5HSXEOLF RI 6ORYHQLD .RSHU WKH )DFXOW\ RI +XPDQLWLHV
.RSHU WKH +LVWRULFDO 6RFLHW\ RI 3ULPRUVND .RSHU DQG
WKH 'HSDUWPHQW RI +LVWRU\ RI WKH 8QLYHUVLW\ RI 9HQLFH
VFLHQWLVWVZLWKGLIIHUHQWGLVFLSOLQDU\EDFNJURXQGVGHDOLQJ
ZLWK WKH PDLQ FRQIHUHQFH WRSLF ZLOO SDUWLFLSDWH +RZ
HYHU WKH SURIHVVLRQDOV IURP 6ORYHQLD ,WDO\ &URDWLD
8QLWHG 6WDWHV 6SDLQ $XVWULD HWF SDUWLFLSDWLQJ DW WKH LQ
WHUQDWLRQDOPHHWLQJZLOOSXWDVSHFLDOHPSKDVL]HRQWKH
KLVWRU\ DV ZHOO DV RQ WKH FXUUHQW DQG DFWXDO HYHQWV
476
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
GHDOLQJ ZLWK WKH EURDG DQG FRPSOH[ LVVXH RI WULDOV ,Q
WKLVUHJDUGWKHODVWWHQ\HDUVRI%DONDQFRQIOLFWVDQGWKH
FXUUHQW HYHQWV LQ $IJKDQLVWDQ ,UDT DQG LQ WKH 0LGGOH
(DVW DUH RI HVSHFLDO LQWHUHVW ,Q WKH IROORZLQJ SDUW ZH
VKDOOLQWURGXFHWKHPDLQFRQIHUHQFHKHDGZRUGVDQGWKH
FRPSOH[QDWXUHRIWKHGHDOLQJZLWKWKLVWRSLF
7KHKLVWRU\RIWKHFULPLQDOWULDOFDQEHGHILQHGDVWKH
KLVWRU\ RI D SHUSHWXDOO\ DQG YDULRXVO\ UHSHDWHG WUDJHG\
ZKRVHFKDUDFWHUVSOD\HGDQGVWLOOSOD\DUROHWKDWLVFRQ
VWDQWO\ PRGLILHG XQGHU WKH SXVK RI YDULRXV FDXVHV 7KLV
NLQG RI KLVWRU\ LV REYLRXVO\ FRQQHFWHG WR WKH EURDGHU
KLVWRU\ RI FULPH DQG FULPLQDO MXVWLFH DQG WR WKH FULWHULD
RISXQLVKPHQWH[SHFWHG DQG DFFHSWHG E\ VRFLHW\ 9DUL
RXVO\ VWXGLHG DQG LQWHUSUHWHG E\ KLVWRULDQV RI ODZ DQG
VFKRODUVRIVRFLDOVFLHQFHVDWWHQWLRQKDVPDLQO\IRFXVHG
RQ WKRVH SURWDJRQLVWV ZKR EHWWHU OHQW WKHPVHOYHV WR
SRLQW RXW WKH FORVH UHODWLRQVKLSV EHWZHHQ OHJDO LQVWLWX
WLRQV GHYHORSHG LQ RUGHU WR GHILQH DQG UHSUHVV WKH
FULPHDQGVRFLHW\DWODUJH
)URP WKLV SHUVSHFWLYH WKH ILJXUH RI WKH DFFXVHG KDV
EHHQSODFHGDWWKHFHQWHURIVRFLDODQGSROLWLFDOLQWHUUH
ODWLRQVWKDWKDYHEHHQUHDOL]HGLQVRPHLPSRUWDQWWRSLFV
IRUWKHKLVWRU\RIFULPHDQGRIFULPLQDOMXVWLFH7KHUHOD
WLRQVKLSVEHWZHHQMXGJHDQGDFFXVHGEHWZHHQ LQTXLVL
WRULDO SURFHGXUHV DQG SURFHGXUHV EDVHG RQ WHVWLPRQ\
EHWZHHQV\VWHPRIOHJDOSURRIVDQGGLVFUHWLRQDU\SRZHU
RI WKH MXGJH KDYH EHFRPH SUHIHUUHG ILHOGV RI UHVHDUFK
OHDYLQJEHKLQGRWKHUSURWDJRQLVWVDQGWKHPHV
7KHFKRLFHWRIRFXVRQWKHYLFWLPLVQRWRQO\UHODWHG
WR WKH SUHYLRXV REVHUYDWLRQV EXW DOVR WR WKH IDFW WKDW
SDUDGR[LFDOO\ LW ZDV WKH YHU\ DEVHQFH RI WKH HVVHQWLDO
UROH RI WKH YLFWLP WKH GHILQLQJ FKDUDFWHULVWLF RI PDQ\
FULPHV LQ WKH SDVW 7KH YLFWLP ZDV DEVHQW RU SOD\HG D
TXLWHPDUJLQDOUROHDQGUHPDLQHGLQWKHEDFNJURXQGDV
WKH LQTXLVLWRULDO SURFHGXUH DSSHDUHG LQ WKH FODVVLFDO OH
JDOGHEDWH
3UHOLPLQDULO\ LW LV QHFHVVDU\ WR FRQVLGHU WKDW LQ DO
PRVWDOOFULPLQDOFDVHVŸDOVRLQWKRVHZKHUHWKHYLFWLP
LV UHFRJQL]DEOH DQG DFWLYH Ÿ LW LV VRFLHW\ ILUVW DQG IRUH
PRVW WKDW DFWV DV YLFWLP DQG DUUDQJHV LQ WHUPV RI RU
JDQL]DWLRQ DQG FRVWV UHSUHVVLYH DQG SUHYHQWLYH PHDV
XUHV WRZDUG EHKDYLRUV GHILQHG D SULRUL DV IRUELGGHQ E\
ODZ 7KH FODVVLF GLVWLQFWLRQ EHWZHHQ FLYLO DQG FULPLQDO
ODZHYHQLILW KDV EHHQ DPELJXRXV IRU PDQ\ FHQWXULHV
SUHYHQWV XV IURP VHHLQJ WKH IUHHGRP RI LQLWLDWLYH WKDW D
SHUVRQ KDG WR FDOO IRU SURFHHGLQJV LQWHQGHG WR VROYH D
SHUVRQDOLQMXU\FRPPLWWHGE\RWKHUV
,QWKHODWH0LGGOH$JHVWKHLQFHSWLRQRILQTXLVLWRULDO
SURFHHGLQJV PDGH WKH UROHV RI WKH MXGJH DQG WKH WULDO
DSSDUDWXV ULVH WR SURPLQHQFH E\ HURGLQJ ERWK WKH LP
SRUWDQFH RI WKH OHJDO FURVVH[DPLQDWLRQ DQG WKH SURILOH
RI WKH YLFWLP 7KH SODLQWLII ZDV TXLFNO\ VXSSODQWHG E\
WKH H[RIILFLR LQLWLDWLYH SHUIRUPHG E\ WKH MXGJH DFFRUG
LQJ WR WKH VRFLDO DQG SROLWLFDO LPSRUWDQFH RI WKH FRP
PLWWHGFULPH
7KH HYROXWLRQ RI WKH (XURSHDQ FULPLQDO WULDO H[FHSW
IRU(QJODQGOHGWRWKHFUHDWLRQRISXEOLF RIILFLDOV VXFK
DVLQ)UDQFHRULQ9HQLFHHQWUXVWHGWRGHIHQGFRQVLGHU
DEOHLQWHUHVWVRIWKHVWDWH$ZLGHUDQJHRIFULPHVZKLFK
VRFLRORJLVWV GHILQHG DV YLFWLPOHVV FULPHV GHYHORSHG
DORQJZLWKWKHVHWUDQVIRUPDWLRQV
,QDVRFLHW\ZKHUHWKHODZRIPHQZDVVRFORVHO\LQ
WHUWZLQHG ZLWK WKH ODZ RI *RG WKH GLVWLQFWLRQ EHWZHHQ
FULPHDQGVLQZDVRIWHQYDJXHQRWRQO\EHFDXVHLWZDV
KDUG WR GLVWLQJXLVK WKHP LQ WKH FXOWXUH RI WKH WLPH EXW
DOVREHFDXVHWKHVHFXODUMXVWLFHVHWLWVHOIDVGHIHQGHURI
UHOLJLRQ )LUVW DQG IRUHPRVW DPRQJ YLFWLPOHVV FULPHV
RQHUHFRJQL]HVWKDWWKRVHFULPHVSURVHFXWHGE\FOHULFDO
DQG VHFXODU FRXUWV GLUHFWO\ WKUHDWHQHG WKH IXQGDPHQWDO
YDOXHVRIDSDUWLFXODUVRFLHW\FULPHVVXFKDVZLWFKFUDIW
KHUHV\EODVSKHP\RUELJDP\
7KHVHFULPHV ZHUH SHUFHLYHG SDUWLFXODUO\ GDQJHURXV
WRZDUGVRFLHW\DQGWKHLUFRQGHPQDWLRQSUHVXSSRVHGWKH
GHIHQVH RI WKH VSHFLILF LQWHUHVWV RI SUHGRPLQDQW JURXSV
ZKRVHFKDUDFWHULVWLFVZHUHVWURQJO\WKHRFUDWLF7KLVZDV
DOVRWKHFDVHLQ$PHULFDQFRORQLHVZKHUHDVLQ(XURSH
WKH SUHGRPLQDQW JURXSV ZHUH FKDUDFWHUL]HG E\ WKH DOOL
DQFHEHWZHHQWKURQHDQGDOWDU
7KLV SURFHVV ODVWHG IRU D ORQJ WLPH HYHQ LI LQ WKH
HDUO\ PRGHUQ DJH LW ZDV VHULRXVO\ FKDOOHQJHG E\ WKH
HPHUJHQFH RI VHFXODU SRZHU WKDW FKDOOHQJHG WKH HFFOH
VLDVWLFDO GLUHFWLRQ RI IXQGDPHQWDO LGHRORJLFDO YDOXHV RI
VRFLHW\ 7KDW LV ZK\ VRPH GLIIHUHQFHV ZHUH VLQJOHG RXW
ZLWKLQWKHFULPHVZLWKSURIRXQGUHOLJLRXVFRQQRWDWLRQV
WKHVHGLIIHUHQFHVXQGHUPLQHGWKHLGHRORJLFDOIRXQGDWLRQ
WKDWVRQDUURZO\ERXQGWKHFULPHWRVLQ)RUH[DPSOHLQ
9HQLFH GXULQJ WKH ILUVW SDUW RI WKH VL[WHHQWK FHQWXU\ D
GLVWLQFWLRQ ZDV PDGH EHWZHHQ KHUHWLFDO DQG QRQ
KHUHWLFDO VZHDUZRUGV 7KH ODWWHU ZHUH SXW XQGHU WKH MX
ULVGLFWLRQ RI D QHZ PDJLVWUDF\ WKH (VHFXWRUL FRQWUR OD
%HVWHPPLDOLWHUDOO\MXGJHVDJDLQVWEODVSKHP\
(G0XLU'DUNR'DURYHFDQG&ODXGLR3RYRORWRFKDLUD
LQWHUQDWLRQDO PHHWLQJ 7KH ODQJXDJH RI YLROHQFH .RSHU
WKWK2FWREHU
(G0XLU'DUNR'DURYHF LQ &ODXGLR 3RYROR Y SUHGVHG
VWYX PHGQDURGQH NRQIHUHQFH *RYRULFD QDVLOMD .RSHU
477
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
7KHVH NLQGV RI FULPHV KDG VWURQJ V\PEROLF YDOXHV
VLQFHWKH\WKUHDWHQHGVRFLDOVWDELOLW\DQGLQGLUHFWO\WKH
RUGHURISRZHU7KHSXQLVKPHQWVIRUWKHVHFULPHVZHUH
VHYHUHSHQDOWLHVWKDWZHUHFDUULHGRXWDFFRUGLQJWRSXE
OLF ULWXDOV LQ RUGHU WR GHVFULEH WKH LGHQWLW\ RI WKH JXLOW\
SDUW\LQDQLQIDPRXVZD\,QDOOWKHVHFDVHVWKHODZDQG
WKH FRQFUHWH MXGLFLDU\ SURFHHGLQJV WRZDUG WKH DFFXVHG
WHQGHG QRW RQO\ WR GHILQH WKH ERXQGDU\ EHWZHHQ *RRG
DQG (YLO EHWZHHQ DOORZDEOH DQG LOOLFLW EXW DOVR DQG
DERYH DOO WR GUDZ WKH LQVXSHUDEOH OLPLW SDVW ZKLFK D
PDQ FRXOG QRW FURVV ZLWKRXW DURXVLQJ GLYLQH DQJHU GL
UHFWHGDWWKHZKROH
2EYLRXVO\ WKH GHILQLWLRQ RI WKHVH FULPHV DQG SDU
WLFXODUO\ WKHLU DFWXDO UHSUHVVLRQ UHIOHFWHG QRW RQO\ WKH
FXOWXUDODQGUHOLJLRXVYDOXHVRIWKHWLPHKHQFHWKHFORVH
FRUUHODWLRQEHWZHHQFULPHDQGVLQEXWDOVRUHSUHVHQWHG
D W\SH RI LGHRORJLFDO EDUULHU WKDW KDG EHHQ UDLVHG E\
GRPLQDQW FODVVHV LQ GHIHQVH RI D V\VWHP EDVHG RQ WKH
VWULFWFRQQHFWLRQRIVWDWXVKRQRUDQGZHDOWK
7KHLQTXLVLWRULDOSURFHHGLQJVZHUHWKHPRVWHIIHFWLYH
ZD\WRFRQQHFWDZLGHUDQJHRIFULPHVŸLQ ZKLFK WKH
YLFWLPZDVLGHQWLILHGZLWKVXSHULRURUVXSHUQDWXUDOHQWL
WLHVŸZLWKVRFLHW\DVDZKROHLWVHOIQRWDOZD\VFOHDUO\LQ
DJUHHPHQWZLWKUHOLJLRXVDQGSROLWLFDOSUHFHSWV7KLVEH
FRPHVHYHQPRUHVLJQLILFDQWLIZHFRQVLGHUWKHLQSXWRI
WKH YLFWLP RU WKH NLQG RI WUXVW DQG OHJLWLPDF\ HQMR\HG
E\ UXOHUV DPRQJ WKH UXOHG 7KHVH IDFWRUV FRQVLGHUDEO\
FKDUDFWHUL]HGWKHHIIHFWLYHQHVVDQGLPSDFWRIODZ
7KHUHODWLRQVKLSEHWZHHQDQHFRQRPLFDOO\VWDEOHVR
FLHW\ DQG PDUJLQDO JURXSV SOD\HG DQ LPSRUWDQW UROH LQ
YLFWLPOHVVFULPHV
0DQ\ FULPHV DJDLQVW PRUDOV DQG UHOLJLRQ IHOO XQGHU
WKH FDWHJRU\ RI YLFWLPOHVV FULPHV¤ DPRQJ WKHP ZHUH
DOVR PDQ\ VH[XDO FULPHV 7KLV ZDV GXH QRW RQO\ WR WKH
VWULFW FRQQHFWLRQ EHWZHHQ PRUDOV DQG DOORZDEOH VH[XDO
EHKDYLRUVWKDWH[LVWVLQDQ\DJHWKLVDOVRGHSHQGHGRQ
WKH IDFW WKDW PDQ\ FULPHV FDQ EH FRQVLGHUHG YLFWLP
OHVV
EHFDXVHWKHYLFWLPFRQVHQWVPRUHRUOHVVDQGERWK
YLFWLPDQGDFFXVHGDUHJXLOW\RULQQRFHQW
)RUQLFDWLRQ SURVWLWXWLRQ DQG VRGRP\ ZHUH RIIHQVHV
DJDLQVW WKH GRPLQDQW VH[XDO PRUDOV EXW WKH YLFWLP¤V
FRPSOLFLW\LQ WKHP LV RIWHQ UHFRJQL]DEOH 6RPH FULPHV
VXFK DV VRGRP\ ZHUH GHILQHG E\ VL[WHHQWKFHQWXU\
FULPLQDOLVWVDVFULPHVDSURYDGLIILFLOHGLIILFXOWWRSURYH
EHFDXVH WKH\ ZHUH FRPPLWWHG LQ WKH PRVW DEVROXWH VH
FUHF\ 7KH WKHPH RI WKH YLFWLP¤V FRPSOLFLW\ FDQ REYL
RXVO\ EH H[WHQGHG WR RWKHU W\SHV RI FULPHV ,W KDG
JUHDWHULPSRUWDQFHIRUWKRVHZKRGHIHQGHGFXOWXUDODQG
LGHRORJLFDO YDOXHV WKHUHE\ WKH\ FULPLQDOL]HG FHUWDLQ
DFWV$VZHVKDOOVHHWKHSUREOHPVWKDWDUHUHODWHGWRD
YLFWLP¤V DOOHJHG FRPSOLFLW\ FDQ EH H[WHQGHG WR PDQ\
RWKHUFULPHV
7KH UHODWLRQ DPRQJ GRPLQDQW VH[XDO PRUDOV YLF
WLPOHVV FULPHV DQG WKH VRFLDO VHQVLELOLW\ VKRZQ WRZDUG
WKHPLVWKHPRVWUHOHYDQWWKHPHRIWKLVFRQIHUHQFHWKDW
IRFXVHVRQWKHILJXUHRIWKHYLFWLP+RZHYHUWKHDERYH
PHQWLRQHG UHODWLRQVKLS SUHVHQWV DQG EULQJV IRUZDUG WKH
FRQVLGHUDEOH SUREOHPV RI WKH VRFLDO DQG OHJDO WUDQVIRU
PDWLRQVWKDWWKHYLFWLPOHVVFULPHVXQGHUZHQWRYHUWLPH
:H DOVR QRWH WKDW WKH\ UHIOHFW WKH GHHSHVW FKDQJHV
ZLWKLQVRFLHW\DVDZKROH
,W LV LQGXELWDEOH WKDW PDQ\ RI WKH YLFWLPOHVV FULPHV
FKDUDFWHUL]HG E\ WKH VWULFW UHODWLRQ EHWZHHQ FULPH DQG
VLQ EHJDQ WR GHFOLQH GXULQJ WKH HLJKWHHQWK FHQWXU\ DV
/DZUHQFH )ULHGPDQ KDV SRLQWHG RXW IRU WKH 8QLWHG
6WDWHV$VWKH$PHULFDQVFKRODUUHPDUNHGWKHGHFOLQHRI
WKHFULPHVZLWKDUHOLJLRXVRUPRUDOFRQQRWDWLRQLVDVVR
FLDWHG WR WKH VWULFWHU VHOIFRQWURO WKDW VRFLHW\ H[SHFWHG
IURPLQGLYLGXDOV6RFLHW\SXQLVKHGH[WUHPHGHYLDQFHLI
LWZDVRSHQO\H[SUHVVHGEXWLWEHFDPHPXFKPRUHWRO
HUDQW WRZDUG XQODZIXO EHKDYLRUV WKDW ZHUH QRW RSHQO\
FRPPLWWHG7KLVZDVDIRUPRIK\SRFULV\WKDWPDUNHGD
VLJQLILFDQWVWHSWRZDUGWKHGHILQLWLYHVSOLWEHWZHHQFULPH
DQGVLQ0RUDOODZKDGEHJXQWRORVHLWVDEVROXWHYDOXH
7KLVSKHQRPHQRQFDQEHDOVRWUDFHGLQ(XURSHDQVRFL
HW\ GXULQJ WKH HLJKWHHQWK FHQWXU\ ,W ZDV GXH WR WKH
JURZWK RI XUEDQ FHQWHUV DQG WR HFRQRPLF FKDQJHV WKDW
DVVLJQHG D JUHDWHU LPSRUWDQFH WR SULYDWH SURSHUW\
0RUHRYHULWZDVDVVRFLDWHGZLWKWKHIDGLQJRIDVRFLHW\
EDVHG RQ GLVWLQFWLRQV RI VWDWXV DQG YDOXHV FRQQHFWHG
ZLWKKRQRUDQGVRFLDOSUHFHGHQFH7KHVHFKDQJHVZHUH
WRPDNHFULPHVEHWWHUGHILQHGDQGFRQYHQWLRQDO
3UREDEO\ GXH WR WKHVH VSHFLILF WUDQVIRUPDWLRQV WKH
SHUVLVWHQFH RI RWKHU YLFWLPOHVV FULPHV VXFK DV GUXQNHQ
QHVVRUJDPEOLQJZDVMXVWLILHG7KHILUVWZDVDV\PSWRP
RI LQGLYLGXDO GLVVROXWHQHVV ZKHUHDV WKH VHFRQG WKUHDW
HQHG IDPLO\ SURSHUW\ 1LQHWHHQWKFHQWXU\ VRFLHW\ RQFH
UHOHDVHG IURP WKH VWULFW UHODWLRQVKLS EHWZHHQ FULPH DQG
VLQZDVWRFUHDWHWKHQHFHVVDU\SUHPLVHVWRGHILQHQHZ
YLFWLPOHVVFULPHVIRULQVWDQFHDOOFULPHVWKDWWKUHDWHQHG
WKHLQWHJULW\RIWKH6WDWHRUWKHGLJQLW\RILWVUHSUHVHQWD
WLYHVRUV\PEROV
3DUDGR[LFDOO\ RWKHU YLFWLPOHVV FULPHV Ÿ VXFK DV WKH
FULPH RI VHGXFWLRQ ZKLFK ZDV DOVR FDOOHG YROXQWDU\
UDSH Ÿ ZHUH WR EH VXEMHFW WR LPSRUWDQW FKDQJHV ,Q WKH
0LGGOH $JHV VHGXFWLRQ ZDV D FULPH LQ ZKLFK WKH FRQ
VHQWLQJ ZRPDQ ZDV VHHQ DV D YLFWLP GXULQJ WKH (DUO\
0RGHUQ $JH LW EHJDQ WR EH UHGXFHG WR D GLVDSSURYHG
VRFLDO EHKDYLRU RU WR EH VXEMHFW WR VXEWOH GLVWLQFWLRQV
'XULQJWKHQLQHWHHQWKFHQWXU\IRULQVWDQFHPRVW&RGHV
LQFOXGHGWKHSURKLELWLRQRIWKHLQTXLU\DERXWSDWHUQLW\
$VRFLHW\EDVHGRQOLQHDJHDQGNLQVKLSZDV WKH XQ
VSHFLILHGYLFWLPLQWKHVHGXFWLRQRIIHQFHŸDVZHOODVLQ
WKH YROXQWDU\ DEGXFWLRQ Ÿ EXW ZDV REYLRXVO\ LQ D SRVL
WLRQWRPDNHLWVRZQUHDVRQVKHDUG7KLVNLQGRIVRFLHW\
ZDVYHU\VHQVLWLYHWRDQ\DWWDFNRUWKUHDWWRZDUGJURXSV
ZKRVH SRZHU GHSHQGHG XSRQ PDUULDJH DOOLDQFHV DQG
WUDQVPLVVLRQV RI SURSHUW\ WKDW ZHUH MXGLFLDOO\ ZHOO GH
ILQHG
$Q XQVSHFLILHG RU FRQVHQWLQJ YLFWLP DQG DFFRP
SOLFHDVZHVKDOOVHHFRQQRWHVYLFWLPOHVVFULPHV6RPH
RIIHQVHV LQ ZKLFK D YLFWLP LV LGHQWLILDEOH FDQ DOVR EH
478
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
LQFOXGHGLQWKHH[DPLQHGVRFLRORJLFDOFDWHJRU\,QIDQWL
FLGHFDQEHFHUWDLQO\SODFHGLQWKHVRFLRORJLFDOFDWHJRU\
RIYLFWLPOHVVFULPHVDWOHDVWXQWLOWKHEHJLQQLQJRI(DUO\
0RGHUQ $JH -XULGLFDO WUHDWLVHV GHILQHG WKLV RIIHQVH DV
SDUULFLGH EHFDXVH NLOOLQJ DQ LQIDQW ZDV FRQVLGHUHG
GDPDJH WR WKH SDWHU IDPLOLDV ZKR KHOG DXWKRULW\ RYHU
WKHOLQHDJH,QWKLVFDVHWKHYLFWLPZDVHYDQHVFHQWDQG
LWVMXULGLFDOSUHYLVLRQZDVRQO\MXVWLILHGZLWKLQDVRFLHW\
FKDUDFWHUL]HG E\ H[WHQGHG DQG S\UDPLGDO NLQVKLS
VWUXFWXUHV :KHQ WKH QHZERUQ EHFDPH D MXULGLFDO VXE
MHFW ULJKWV KROGHU WKLV RIIHQVH WRRN D PRUH FRQYHQ
WLRQDO IRUP +RZHYHU LWV VXEVHTXHQW LQFOXVLRQ ZLWKLQ
WKHRIIHQVHVDJDLQVWKRQRUSUHVXSSRVHVDFHUWDLQLQGLUHFW
UHVSRQVLELOLW\RIWKHYLFWLPDQGVWLOOWKHSUHVHQFHRIYHU\
VWURQJNLQVKLSVWUXFWXUHV
3DUDGR[LFDOO\DGXOWHU\LVVLPLODUWRYLFWLPOHVVFULPHV
DQG WKLV GHSHQGV QRW RQO\ RQ LWV VWULFW UHODWLRQVKLS EH
WZHHQ FULPH DQG VLQ $OWKRXJK LW ZDV GHILQHG DV D SUL
YDWHFULPHLQZKLFKLWZDVRQHRIWKHIHZFULPHVZKHUH
WKHYLFWLPKDGWKHGLVFUHWLRQDU\SRZHUWRVXHWKHDGXO
WHU\ RIIHQVH FRXOG KDUGO\ EH HODERUDWHG LQ DQ DFFRP
SOLVKHGMXULGLFDODQGMXULVSUXGHQWLDOIRUPXODWLRQEHFDXVH
RIWKHLQHYLWDEOHUHSHUFXVVLRQVRQWKHSDWULPRQLDOOHYHO
2QWKHVRFLDOOHYHODGXOWHU\ŸDVDUHVXOWRIDFRPSOH[
LGHRORJ\RIKRQRUŸVWLUUHGWKHFRQGHPQDWLRQRIWKHRQH
ZKR ZDV UHJDUGHG DV WKH YLFWLP E\ WKH ODZ 7KH PDQ
ZKR VXIIHUHG DGXOWHU\ QRW WKH RQH ZKR FRPPLWWHG LW
ZDV VXEMHFW WR WKH GLVDSSURYDO DQG UHWRUWV RI WKH FRP
PXQLW\ 6RFLHW\ FRQVLGHUHG KLP UHVSRQVLEOH IRU ZKDW
KDSSHQHGDQGIRUKLVLQDELOLW\WRGHIHQGWKHKRQRURIKLV
IDPLO\
2YHUWLPHWKHOLQHWKDWGLYLGHGWKHYLFWLPOHVVFULPHV
IURP WKH FRQYHQWLRQDO RQHV EHFDPH LQGLVWLQFW $V ZH
KDYHDOUHDG\H[DPLQHGPDQ\EHKDYLRUVŸWKDWIRUFHQ
WXULHVKDGEHHQFHQVXUHGDVSUHMXGLFLDOWRWKHPRUDOVRU
WKHGLYLQHODZŸHOXGHGOHJDOFRQWURODQGIHOODJDLQXQ
GHU WKH FRQWURO RI WKH FRQVFLHQFH DQG WKH SHUVRQDO
VSKHUH)XUWKHUPRUHMXVWLFHDQGWKH6WDWHDSSDUDWXVH[
SHULHQFHG SURIRXQG WUDQVIRUPDWLRQV 7KH FRQVROLGDWLRQ
RI6WDWHDXWKRULW\DQGEXUHDXFUDWLFPDJLVWUDFLHVDOVRDI
IHFWHG WKH VWUXFWXUH RI WKH WULDO DQG WKH UHODWLRQVKLS EH
WZHHQ VRFLHW\ DQG DGPLQLVWUDWLRQ RI MXVWLFH 7KLV SKH
QRPHQRQ KDV EHHQ ZHOO H[DPLQHG E\ WKH $PHULFDQ
VFKRODU 0DOFROP )HHOH\ ZKR KDV DVVRFLDWHG LW ZLWK WKH
GHFOLQH RI WKH IHPDOH FULPLQDOLW\ IURP WKH HLJKWHHQWK
XQWLOWKHWZHQWLHWKFHQWXU\
'XULQJ WKH QLQHWHHQWK DQG WKH ILUVW KDOI RI WZHQWLHWK
FHQWXULHVWKDWZHFDQGHILQHDVDQDJHRIWUDQVLWLRQWKH
WKHPHRIWKHYLFWLPDQGYLFWLPOHVVFULPHVUHYHDOVDFOHDU
GLVWLQFWLRQ EHWZHHQ FULPH DQG VLQ DQG DERYH DOO GH
ILQHV FULPHV RI HFRQRPLF QDWXUH 1R ORQJHU ERXQG E\
WKHGHILQLWLRQRIVWDWXVDQGMXULGLFDOSULYLOHJHWKHILJXUH
RIWKHYLFWLPZDVGHOLQHDWHGLQDOOLWVFRPSOH[LW\DJDLQVW
WKHEDFNJURXQGRIERXUJHRLVVRFLHW\7KLVZDVWKHWLPH
RI FODPRURXV WULDOV DQG RI WKH DSSHDUDQFH RI FULPLQDO
WKHPHV LQ OLWHUDWXUH DQG SXEOLF RSLQLRQ 1HZVSDSHUV
EHJDQ WR VKRZ DQ LQWHUHVW LQ DQG IROORZHG MXULGLFDO
FDVHV )RU WKH ILUVW WLPH WKH UHODWLRQVKLS EHWZHHQ WKH
PDVV PHGLD DQG WKH OHJDO VSKHUH WRRN VKDSH LQ D PRUH
VLJQLILFDQW ZD\ ODWHU LW KDG D GHFLVLYH LPSRUWDQFH IRU
WKHFKDUDFWHUL]DWLRQRIWKHYLFWLPV
$W WKDW WLPH WKH VWDWH DXWKRULW\ H[HUWHG WKH PD[L
PXP OHYHO RI LQIOXHQFH RI LWV DSSDUDWXV DQG LGHRORJ\
WRR7KHMXVWLFHDGPLQLVWUDWLRQDQLQVWUXPHQWRIFRQWURO
DQGVRFLDOVWDELOLW\GHHSO\DIIHFWHGWKHGHILQLWLRQRIWKH
FKDUDFWHUV RI WKH WULDOV 7KH FRQWURYHUVLDO DQG FRQWUD
GLFWRU\ UHODWLRQVKLS EHWZHHQ YLFWLP DQG DFFXVHG ZDV
VROYHG LQ DQ DOPRVW XQLYRFDO ZD\ GRQH LQ RUGHU WR
QHJDWLYHO\ FKDUDFWHUL]H WKH YLRODWLRQ RI WKH QRUP DQG
WKHV\VWHPRIYDOXHVGHIHQGHGE\WKDWQRUP
$V 'HQQLV &KDSPDQ KDV EULOOLDQWO\ GHVFULEHG WKH
VWHUHRW\SHRIWKHFULPLQDOLOOXVWUDWHVDVDPDWWHURIIDFW
D RQHZD\ UHODWLRQVKLS EHWZHHQ DFFXVHG DQG YLFWLP
7KHODWWHULVGHVFULEHGDVXQDZDUHRIWKHLQWHQWLRQRIWKH
DFFXVHGDQGJHQHUDOO\DYDLODEOHWRFROODERUDWHZLWKSR
OLFH DQG PDJLVWUDF\ (YHQ ZKHQ WKH YLFWLP KDV FRQWULE
XWHGWRWKHH[HFXWLRQRIWKHFULPHWKLVHOHPHQWLVFRQ
VLGHUHGDVDQH[WHQXDWLQJFLUFXPVWDQFHIRUWKHDFFXVHG
UDWKHUWKDQDVDQDFWZRUWK\RISXEOLFFRQGHPQDWLRQRI
WKHYLFWLP
$VLWKDVEHHQGHPRQVWUDWHGWKHYLFWLPRIWHQSOD\VD
FUXFLDOUROHLQWKHRFFXUUHQFHRIERWKFRPPRQDQGVHUL
RXVRIIHQVHVVXFKDVPXUGHUODUFHQ\DQGUDSH,QVRPH
LQWHQVH LQWHUSHUVRQDO UHODWLRQVKLSV VXFK DV LQ FHUWDLQ
W\SHVRIEUDZOVIDWHRQO\GHFLGHVZKRLVWKHYLFWLPDQG
ZKRLVWKHFULPLQDO,WLVRIWHQSRVVLEOHWRILQGDVRUW RI
UHVSRQVLELOLW\ RU FRPSOLFLW\ LQ WKH EHKDYLRU RI WKH YLF
WLP
7KH YLFWLP¤V DFWLYH UROH LV PRVWO\ FRQVLGHUHG DQ H[
WHQXDWLQJ FLUFXPVWDQFH IRU WKH DFFXVHG ZKR LV VXEMHFW
WRWKHFULWHULDWKDWGHILQHWKHVWHUHRW\SHRIWKHFULPLQDO
$V &KDSPDQ PDLQWDLQHG WKH YLFWLP¤V UROH EHFRPHV D
IXQGDPHQWDOLQVWUXPHQWXVHGWRXQGHUVWDQG WKH G\QDP
LFVWKDWDQLPDWHDGHWHUPLQHGV\VWHP7KHSUHGRPLQDQW
JURXS LV DEOH WR FKDQJH WKH GHILQLWLRQ RI VHYHUDO VLWXD
WLRQV 7KH FULPH FDQ EHFRPH D YDOXDEOH DFW DQG WKH
FULPLQDOV FDQ EHFRPH KHURHV ™ &ROOHFWLYH FRQVFLHQFH
EHFRPHVWKHSURGXFWRISROLWLFDOFRQWUROUDWKHUWKDQLWV
RULJLQ
7KHWUDQVIRUPDWLRQVWKDWKDYHPDUNHGVRFLHW\DQGLWV
LQVWLWXWLRQVVLQFHWKHODVWGHFDGHVRIWKHWZHQWLHWKFHQ
WXU\ KDYH UHQGHUHG PXFK PRUH FRPSOLFDWHG WKH SROLWL
FDO DQG VRFLDO VLWXDWLRQ LQ ZKLFK WKH (QJOLVK VFKRODU
PDGH KLV REVHUYDWLRQV ,W LV QRW IRUWXLWRXV WKDW WRGD\
PDQ\VFKRODUVSRLQWRXWWKHFRQWURYHUVLDOUHODWLRQVKLSŸ
LQDOO(XURSHDQVWDWHVŸEHWZHHQWKHH[SDQVLRQRIFULPL
QDO MXVWLFH DQG WKH DSSHDUDQFH RI WKH YLFWLP DV SUR
WDJRQLVWRQWKHVFHQHRIWKHFULPLQDOWULDO 7KH DSSHDU
DQFHRIWKHYLFWLPLQWKHFULPLQDOWULDORFFXUUHGVLPXOWD
QHRXVO\ZLWKWKHZLGHQLQJRIWKHSRZHUWRDFFXVH(YH
U\ZKHUH WKH PDJLVWUDF\ KDV LQFUHDVHG LWV SROLWLFDO UROH
DQG FULPLQDO ODZ KDV EHFRPH D UHDO LQVWUXPHQW IRU WKH
479
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
UHJXODWLRQRIVRFLHW\,QVRFLHWLHVWKDWDUHRUJDQL]HGRQD
GHPRFUDWLF EDVLV DQG WKDW DUH YHU\ VHQVLWLYH WR WKH
FKDQJHV LQ SXEOLF RSLQLRQ PDVV PHGLD KDYH DPSOLILHG
WKHVRFDOOHGVLOHQWUHYROXWLRQ7KH6WDWHPRQRSRO\RYHU
FULPLQDOMXVWLFHKDVEHHQVXEMHFWWRPDUNHGHURVLRQXQ
GHUWKHQHHGVDQGSUHVVXUHVFRPLQJIURPVRFLHW\
7KHWULDOKDVORVWLWVROG EDODQFLQJ IXQFWLRQ RI UHVWR
UDWLRQRIWKHEURNHQRUGHU7KHSUHVVXUHRIYLFWLPV
DVVR
FLDWLRQV KDV ZHDNHQHG PDQ\ DUHDV RI WKH HFRQRPLFDO
DQGSROLWLFDOZRUOGWKDWHQMR\HGZLGHPDUJLQVRILPSX
QLW\7KHYLFWLPV
QHHGIRUMXVWLFHVXSSRUWHGE\WKHPRUH
HIIHFWLYH UROH RI WKH PDJLVWUDF\ OHVV ERXQG WR SROLWLFDO
SRZHU FDXVHG D UHGHILQLWLRQ RI WKH IXQFWLRQV RI WKH
FULPLQDO WULDO 7KH WKHPH RI FULPLQDO UHVSRQVLELOLW\ VR
LPSRUWDQWIRUWKHMXULVWVRIWKHSDVWKDVEHHQVXSSODQWHG
E\WKHQHFHVVLW\WRFRQYLFWDWDQ\FRVW
,QIDFWDFFRUGLQJWRWKLVQHZFRQFHSWRIMXVWLFHWKH
YLFWLP H[SHFWV IURP FULPLQDO ODZ DQ LQVWUXPHQW RI VLP
SOLILFDWLRQ DQG FRQYLFWLRQ D SULRUL 7KHVH H[SHFWDWLRQV
DUH RIWHQ PHW E\ WKH RSSRUWXQLVWLF KHOS RI PDVV PHGLD
$V D FRQVHTXHQFH WKH SXEOLF GHFODUDWLRQ RI EODPH UH
SODFHV WKH YHULILFDWLRQ RI WKDW EODPH 7KH WKUHVKROG RI
GHYLDQF\ KDV EHFRPH ORZHU DQG DW WKH VDPH WLPH WKH
ERUGHUOLQHEHWZHHQQRUPDOLW\DQGGHYLDQFHKDVEHFRPH
PRUHLQGLVWLQFW
,QDZD\WKHDSSHDUDQFHRIWKHYLFWLPLQWKHFULPL
QDOWULDOLVWKHILQDOSRLQWRIDMRXUQH\WKDWLQLWLDOO\JDYH
WKHYLFWLPDQLQGLVWLQFWDQGVHHPLQJO\QRQUHOHYDQWUROH
,IWKHULVHRIWKH6WDWHVKDGXQGHUVFRUHGWKHUROHRIYLF
WLPOHVV FULPHV SUHVHQW GHPRFUDFLHV KDYH DPSOLILHG WKH
LGHRORJLFDOGLPHQVLRQRIWKHYLFWLP5HVHDUFK WKDW FHQ
WHUV RQ WKH YLFWLP¤V ILJXUH DQG UROH RQ WKH VFHQH RI WKH
FULPLQDO WULDO KROGV PXFK SURPLVH IRU WKH LQYHVWLJDWLRQ
RI WKHPHV DQG SUREOHPV RI EURDGHU VRFLDO DQG SROLWLFDO
GLPHQVLRQV
5()(5(1&(6
&KDSPDQ'/RVWHUHRWLSRGHOFULPLQDOH&RP
SRQHQWL LGHRORJLFKH H GL FODVVH QHOOD GHILQL]LRQH GHO
FULPLQH7XULQ
)ULHGPDQ / &ULPH DQG 3XQLVKPHQW LQ $PHUL
FDQ+LVWRU\1HZ<RUN
*DUDSRQ $ 6DODV ' /D UHSXEEOLFD SHQDOH
0DFHUDWD
3RYROR&6WHUHRWLSLLPSUHFLVL&ULPLQLHFULPL
QDOL GDOOH VHQWHQ]H GL DOFXQL WULEXQDOL GHOOD 7HUUDIHUPD
YHQHWD6HFROL;9,;9,,,9LFHQ]D
:HLVVHU 0 &ULPLQDOLWj H UHSUHVVLRQH QHO
O¤(XURSDPRGHUQD%RORJQD
)UDQFLV7DVVDX[5REHUW0DWLMDÈLݝ9ODGLPLU.RYDßLÝ
HGV/2521&52$7,(81*5$1'&(175('(
352'8&7,21'
$03+25(6š+8,/(,675,(11(6
(5,9(63&0pPRLUHV%RUGHDX[
(GLWLRQV$XVRQLXVSS
7KHOLEUDU\RIWKH,VWUDQ3HQLQVXODLQ1RUWKHUQ$GUL
DWLFKDVDFTXLUHGDQH[FHOOHQWQHZPRQRJUDSKIURPWKH
LQWHUQDWLRQDOWHDPZRUNLQJRQWKH,VWUDQRLOSURMHFW7KLV
SURYLGHVWKHERRN
VFRQWHQWVZLWKDIUDPHIRUWKHPXFK
EURDGHU VSKHUHV RI LQWHUHVW RI QXPHURXV FROODERUDWRUV
SDUWLFXODUO\WKHWKUHHSUHVHQWHGDVHGLWRUVZKRDUHDOVR
WKH FRDXWKRUV RI VHSDUDWH FRQWULEXWLRQV DERXW /RURQ
WKH5RPDQVLWHDORQJWKHVHDQRUWKRI3RUHá3DUHQWLXP
7KHUHVHDUFKKLVWRU\WKH JHRJUDSKLFDO ORFXV DQG JHR
ORJLFDO SDVW RI WKH VLWH SDUWLFXODUO\ WKH ULVLQJ VHD VXUIDFH
RYHU WKH ODVW WZR PLOOHQQLD WKH GHVFULSWLRQ RI ZRUN FDU
ULHG RXW E\ WKH PL[HG LQWHUQDWLRQDO WHDP WKH HSLJUDSKLF
DQDO\VLV RI PRQXPHQWV IURP WKH QHDU YLFLQLW\ WKH GH
VFULSWLRQRIILQHPDWHULDOHVSHFLDOO\HDUWKHQ DUWLIDFWV IURP
D /RURQ NLOQ DQG D VHULHV RI VWDPSV WKH DQDO\VHV RI UH
PDLQV RI DQLPDO ERQHV DQG RI PROOXVNV DUH MXVW VRPH RI
WKH VXEMHFWV GLVFXVVHG 7KH ERRN LV GLYLGHG LQWR SDUWV
E\ LWV HGLWRUV 7KH JHRJUDSKLFDO DQG KLVWRULFDO FRQWH[W
([FDYDWLRQV DW /RURQ LQ 6PDOOILQGVDQG 7KH
FRQWULEXWLRQ RI H[FDYDWLRQV 2I SDUWLFXODU YDOXH DUH WKH
V\VWHPDWLFDOO\ VWDWHG FRQFOXVLRQV LQ 3DUW PRVW QRWDEO\
WKHFRPSDULVRQRIDUFKDHRORJLFDODQGKLVWRULFDOVRXUFHV
,Q WKH LQWURGXFWLRQ e )RXDFKH SUHVHQWV ,VWUD IURP
WKH JHRJUDSKLFDO DQG JHRORJLFDO DVSHFWV DQG GHGLFDWHV
KLPVHOIWRWKH/RURQVLWH
VVXUURXQGLQJV7KHPRVWRULJL
QDOFRQWULEXWLRQLQWKLVUHVSHFWLVWKHFDUHIXOREVHUYDWLRQ
RIPLQRUSKHQRPHQDLQWKHQDUURZHVWFRDVWDOEHOWRIWKH
VWXGLHG DUHD ZKHUH KH VXFFHHGHG LQ GLVWLQJXLVKLQJ
VRPH DQFLHQW HURVLRQV RQ WKH URFNV DQG WKH SLHUV IURP
PRUHUHFHQWDFWLYLWLHVDQGZDVWKXVDEOHWRHVWLPDWHWKH
LQFUHDVH LQ WKH VHDOHYHO RYHU WKH ODVW \HDUV ,Q
FRQWUDVW WR SUHYLRXVO\ KHOG QRWLRQV WKLV FKDQJH KDV
EHHQ UHODWLYHO\ VOLJKW IURP WR P 7KH UHVHDUFK
KLVWRU\ LV GHVFULEHG E\ 5 0DWLMDÊLß (DUO\ ZULWHUV FRQ
VSLFXRXVO\IDLOWRPHQWLRQWKLVVLWHUHIHUULQJRQO\WRILQGV
IURPQHDUE\SODFHVàHUYDU9DEULJD7DU)UDWD,QWHUHVW
LQWKHILQGVIURP/RURQJUHZRQO\WKDQNVWRWKHDFWLYLWLHV
RI WKH 7ULHVWH DQWLTXDULDQV HVSHFLDOO\ 3 .DQGOHU LQ WKH
PLGWK FHQWXU\ 3DUWLFXODUO\ LQWHUHVWLQJ DW WKDW WLPH
ZHUH LQVFULSWLRQV LQFOXGLQJ VWDPSV RQ EULFNV DQG DP
SKRUDH7KHILQGVDQGWKHVLWHKDYHEHHQGHVFULEHGE\D
QXPEHURIDUFKDHRORJLVWV7K0RPPVHQ&*UHJRUXWWL
$*QLUVDQGPRVWUHFHQWO\E\$'HJUDVVL7KHRSLQ
LRQ KDV FRPH WR WKH IRUH WKDW SULYDWH NLOQV IHOO LQWR WKH
KDQGVRIHPSHURUV7KHPRVWLPSRUWDQWDPRQJVWWKHSUL
YDWHRZQHUVZDV VDLG WR EH &DOYLD &ULVSLQLOOD ZKLOH WKH
PRVWVLJQLILFDQWHFRQRPLFDFWLYLW\DWWKDWWLPHZDVROLYH
/DWHO\ WKH QDPH /RUXQ KDV EHHQ LQFUHDVLQJO\ XVHG LQ
&URDWLD
480
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
RLO SURGXFWLRQ DQG H[SRUW 3DUWLFXODUO\ LPSRUWDQW LQ WKH
ILUVW SDUW RI WKH ERRN LV ) 7DVVDX[
V DQDO\VLV RI WKH QX
PHURXV WHVWLPRQLDO HSLJUDSKLF PRQXPHQWV IURP WKH
VLWH
V YLFLQLW\ 7KH LQWURGXFWRU\ FKDSWHUV DUH VXSSOH
PHQWHG E\ 5 0DWLMDÊLß ZLWK D VXUYH\ RI WKH SUHKLVWRULF
UHPDLQVIURPWKHFRDVWKLOOIRUWVDQGFDYHVDQGDVXUYH\
RIVWDPSVRQ/RURQEULFNV
3ODFLQJ WKH /RURQ VLWH LQWR WKH EURDGHU ,VWUDQ DQG
0HGLWHUUDQHDQ IUDPHZRUN ZH FDQQRW DYRLG FRPSDULQJ
LW ZLWK WKH )DÌDQD%ULMXQL FRPSOH[ RXU &URDWLDQ DQG
IRUHLJQ FROOHDJXHV VXFFHHGHG LQ LQGLFDWLQJ HFRQRPLF
DQG VRFLDO OLQHV RI IRUFHV WKDW VKDSHG WKH LPDJH RI WKH
VLWHV 7KH DXWKRUV RI WKH PRQRJUDSK WRR FRXOG QRW
DYRLG FHUWDLQ FRPSDULVRQV 2I D VSHFLDO LQWHUHVW LV WKH
FRPSDULVRQ RI WKH GHYHORSPHQW RI WKH 'UHVVHO % DP
SKRUDIRUPVDW)DÌDQDDQG/RURQSUHVHQWHGLQWKHWKLUG
SDUW6PDOOILQGVLQDQH[WHQVLYHDUWLFOHE\$OND6WDUDF
7KLV SDUW LV TXLWH FRPSUHKHQVLYH IRU LWV FRQWULEXWLRQV
LQFOXGH QRW RQO\ D V\VWHPDWLF VXUYH\ RI WKH ILQGV EXW
ZLWKWKHDLGRIYDULRXVPDSVLQGLFDWH WKH RULHQWDWLRQ RI
YDULRXVLPSRUWDQGH[SRUWWUDGHURXWHVŸZLWKRXWOHDGLQJ
WKHUHDGHUDVWUD\UHJDUGLQJORFDOHFRQRPLFJHRJUDSK\Ÿ
DQGWKXVSUHVHQWDQH[FHOOHQWVXSSOHPHQWUHJDUGLQJWKH
,VWUDQHFRQRP\LQWKHILUVWIHZFHQWXULHV$'7KHH[FD
YDWLRQVZHUHDFWXDOO\FRPSOHWHGLQEXWWKHPDWH
ULDOV ZHUH SURFHVVHG E\ WKH DXWKRUV XQWLO ZKLFK
PHDQVWKDWWKHODWHVWIRUHLJQDQGGRPHVWLFILQGLQJVKDYH
EHHQWDNHQLQWRDFFRXQW
7KH UHVHDUFKHUV PHUHO\ EHJDQ WR H[FDYDWH WKH YLOOD
ZKLFK KDG VWRRG RQ VRPH PHWHUV DORQJ WKH FRDVW
LWVLQWHULRUWKHUHIRUHUHPDLQVWR EH UHVHDUFKHG 6SHFLDO
DWWHQWLRQ VKRXOG EH SDLG WR WKH HFRQRPLFDO DQG PDQX
IDFWXULQJDFWLYLWLHVHVSHFLDOO\DUWLIDFWVOLNHROLYHRLODP
SKRUDH VLJLOODWD LQ WKH WLPHV RI $XJXVWXV DQG 7LEHULXV
SHUKDSV HYHQ WKH SRWWHU\ RI WKLQ ZDOOV DQG EULFNV EHDU
LQJ WKH VWDPS RI &DOYLD &ULVSLQLOOD ,Q YLHZ RI WKH UH
WULHYHGVPLWK
VVWHOHLWLVFOHDUWKDWWKLVWUDGHZDVDVLJ
QLILFDQW HOHPHQW RI WKLV SURGXFWLRQ FHQWHU 7KH DXWKRUV
EHOLHYH WKDW GXH WR WKH ODFN RI FOD\ ORFDOO\ LW ZDV LP
SRUWHG IURP WKH 0LUQD YDOOH\ DV ZHOO DV IURP 'UDJRQMD
DQGQRUWKHUQ,VWUD7KHH[SRUWDQGLPSRUWRIWKHVHPDWH
ULDOVOHGWRWKHHVWDEOLVKPHQWRIDORFDOHPSRULXPDW/R
URQQRUWKRI3RUHá9DULRXVDFWLYLWLHVGXULQJWKH VWDQG
QGFHQWXULHVDUHIDLUO\H[SOLFLWZKLOHWKHHQVXLQJSHULRG
LVVWLOOVRPHZKDWXQFOHDULWLVRQO\GXULQJWKHWKFHQWXU\
WKDWVOLJKWHYLGHQFHRIWKHH[SRUWRI'UHVVHO%DPSKR
UDHFDQEHWUDFHGDJDLQ
7KHVHWWOHPHQWDW/RURQZDVLQLWLDOO\DVVRFLDWHGZLWK
WKHQHZO\IRUPHG3RUHáFRORQ\QRWDEO\ZLWKWKHFHQWX
ULDWLRQRIWKH$JHURI3DUHQWLXP7KHILUVWNQRZQVLJQLIL
FDQW /RURQ SURSULHWRU ZDV 6LVHQQD 6WDWLOLXV 7DXUXV WKH
QDPH WKDW OLQNV ,VWUDQ SURSHUWLHV ZLWK WKH SHRSOH IURP
WKHLPPHGLDWHSUR[LPLW\RIWKHLPSHULDOFRXUWLQ5RPH
,WDSSHDUVWKDWKHGLHGDURXQG$'EHWZHHQWKHDJHV
RI DQG DQG KDG WKHUHIRUH QRW HQMR\HG WKH 3XFL
QXPZLQHZKLFKZDVVXSSRVHGWRSURYLGHIRUH[FHOOHQW
DQG ODVWLQJ KHDOWK DFFRUGLQJ WR )U 7 ,Q DGGLWLRQ WR D
QXPEHURIRWKHUSURSULHWRUVWKHVWDPSVWKHQVRRQSRLQW
WRWKHGHFLVLYHUROHRI&DOYLD&ULVSLQLOODSURGXFHURI,V
WUDQROLYHRLODQGPDJLVWUDOLELGLQXP1HURQLV6RPHEH
OLHYH WKDW VKH ZDV IURP 7HUJHVWH ZKLOH ) 7DVVDX[ ID
YRXUV WKH SRVVLELOLW\ WKDW VKH ZDV QDWLYH WR WKH 3RUHá
DUHD7KHEULFNVFDUU\LQJKHUVWDPSVDUHLQDQ\FDVHQRW
UDUH LQ QRUWKHUQ ,VWUD KHU UROH LQ WKH QHZO\ GLVFRYHUHG
YLOOD DW ÉNRODULFH E\ WKH 5LÌDQD ULYHU UHPDLQV WR EH DV
VHVVHG $URXQG 'RPLWLDQ
V WLPH KHU SURSHUW\ IHOO LQWR
WKHHPSHURU
VKDQGV
,QWKHHQGWKHHGLWRUVWDFNOHWKHLQWHUHVWLQJWRSLFRI
WKH VLWH
V IXWXUH ZKLFK LQGLFDWHV WKHLU LQWHQWLRQ WR GH
YRWHIXUWKHUWLPHDQGUHVRXUFHVWRWKHVLWH$FDUHIXODQG
XSWRGDWH ELEOLRJUDSK\ KDV EHHQ DGGHG WKRXJK DQ LQ
GH[ LV ODFNLQJ ,Q WKH WH[W WKH H[SUHVVLRQ HVSULW JDXORLV
VWDQGV RXW D YHU\ UDUH SKHQRPHQRQ LQ VFLHQWLILF OLWHUD
WXUH WKDW ZH DVVXPH VKRXOG EH DVFULEHG WR )UDQFLV 7DV
VDX[7KHWH[WVDUHIDUIURPHDV\OHWXVDGGWKDWWKHDUWL
FOHVDUHZULWWHQPDLQO\LQ)UHQFKDQGSDUWLDOO\LQ,WDOLDQ
DQG WKDW WKH ERRN LV IXUQLVKHG ZLWK D WRR VKRUW VXP
PDU\ LQ &URDWLDQ ,W DSSHDUV WKDW WKH 6ORYHQH ODQJXDJH
FDXVHGWKHDXWKRUVVRPHWURXEOH)RUWKHQRUWKHUQSDUW
RI ,VWUD SURGXFWLRQ E\ ORFDO EULFN PDNHUV VKRXOG EH
(JWKH\ZURWHQXPHURVHSHGLQHVRQRVWDWHULQYHQXWHD Q
FKHD-DQGDUMDLQ6ORYHQLD %HUWRQFHOM.XáDU91 D
NLWL]VWHNODLQ-DQGDUMD*ODVXQG%HUQVWHL QVFKPXFN
481
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
HYDOXDWHGDQHZ3,WXUL6DE&/DE6HY/47KDO
HVSHFLDOO\ WKH UROH RI &DOYLD &ULVSLQLOOD WKH EULFN
VWDPSVWRRZLOOHQDEOHWKHGDWLQJRIWKHH[WUHPHO\ULFK
VLWH H[FDYDWHG LQ DW ÉNRODULFH E\ WKH 5LÌDQD ULYHU
DQGDORQJWKH)ODYLDQURDGDQGRIWKHHTXDOO\ULFKVLWH
RI*UDGLÊáHQHDU.UNDYáHDORQJWKHVDPHURDG,VLWSRV
VLEOHWKDW9HVSDVLDQ
VORRWIRXQGLWVZD\WR,VWUDDVZHOO"
0DWHMÈXSDQÞLÞ
&nVDU&DUUHUDV0RQIRUW3HGUR3DXOR$)XQDUL
%5,7$11,$<(/0(',7(55²1(2(678',26
62%5((/$%$67(&,0,(172'($&(,7(%e7,&2
<$)5,&$12(1%5,7$11,$&ROOHFWLx,QVWUXPHQWD
%DUFHORQD3XEOLFDFLRQV8QLYHUVLGDGGH%DUFHORQD
SSJUDSKVPDSVDQGWDEOHVEODFN
DQGZKLWH
7KHSUHVHQWZRUNLVWKHIUXLWRIFRRSHUDWLRQEHWZHHQ
WKH WZR DXWKRUV ZKR KDYH SUHSDUHG LQGLYLGXDO PRQR
JUDSKVRQWKHWRSLF3)XQDULOHFWXUHUDWWKHVWDWH8QL
YHUVLW\RI&DPSLQDVLQ6DR3DXOR%UD]LOKDVGHGLFDWHG
WKHODVW\HDUVWRWKHUHVHDUFKRIDPSKRUDH'UHVVHO
DQG WKH FRQVXPSWLRQ RI 6SDQLVK ROLYHV LQ WKH 5RPDQ
SURYLQFHRI%ULWDQQLD+LVUHVHDUFKZDVSXEOLVKHGDVDQ
LQGHSHQGHQWZRUNLQWKHUHQRZQHG%$5 7HPSXV 5HSD
UDWXP %ULWLVK 6HULHV & &DUUHUDV DVVLVWDQW
SURIHVVRUDWWKH8QLYHUVLW\RI6RXWKDPSWRQKDVUHFHQWO\
FRPSOHWHGKLVGRFWRUDOVWXGLHVEDVHGRQVWXGLHVRIDP
SKRUDO PDWHULDOV IRXQG LQ %ULWDLQ KH GHDOW ZLWK PDFUR
HFRQRPLF DQG VSDWLDO DQDO\VHV RI ORQJGLVWDQFH WUDGH
%RWK DXWKRUV KDYH SXEOLVKHG D QXPEHU RI VKRUW UHSRUWV
DQGDUWLFOHVDERXWWKHLPSRUWDQGFRQVXPSWLRQRI6SDQ
LVK ROLYHV DQG ROLYH RLO LQ 5RPDQ %ULWDQQLD DQG KDYH
RIIHUHG QXPHURXV LQWHUSUHWDWLRQV RI WKH HFRQRP\ FRP
PHUFLDO H[FKDQJH DQG FXOWXUDO IDFWRUV LQ FRQQHFWLRQ
ZLWKWKHROLYHRLOWUDGHLQWKDWSHULRG
)LUVW RI DOO WKHLU MRLQW ZRUN LQFOXGHV D FROOHFWLRQ RI
DPSKRUDH VWDPSV JUDIILWL DQG RWKHU LQVFULSWLRQV IRXQG
RQWKHDQDO\VHGPDWHULDOV$VVXFKLWDOORZVDWKRURXJK
LQVLJKWLQWRWKHVHDUFKDHRORJLFDOVRXUFHVXS WR WKH \HDU
7KH DXWKRUV VHW WKHPVHOYHV DQRWKHU ZLGHU JRDO
WR SUHVHQW WKHLU ILQGLQJV LQ UHODWLRQ WR WKH HFRQRPLFV
GLHWDU\FXOWXUDOEDFNJURXQGVHPLRWLFVFLYLODQGPLOLWDU\
OLIH WKH DGRSWLRQ RI 5RPDQ KDELWV DV ZHOO DV RWKHU DV
SHFWV HQFRXQWHUHG GXULQJ WKHLU WKRURXJK PXOWLOD\HUHG
VWXG\
$UFKDHRORJLFDOHYLGHQFHHQDEOHGWKHDXWKRUVWRSUH
VHQW WKH FRPSOH[ DFWLYLWLHV RI WKH FRPPHUFLDO LQWHU
FRXUVH RI WKH 5RPDQ (PSLUH LQ WKH SURYLQFH RI %ULWDQ
QLD%HVLGHVDQDUURZHFRQRPLFLQWHUSUHWDWLRQRWKHUSD
UDPHWHUV ZHUH LQFOXGHG 7KHLU LQWHUHVW OD\ QRW RQO\ LQ
FRPPHUFLDOH[FKDQJHEXWDOVRLQWKHLQIOXHQFHRIYDUL
RXVJRRGVDQGUHODWLRQVKLSVRQWKHVRFLHW\LQGLYLGXDOV
KDELWVDQGSXUSRVHRIH[FKDQJH
$UHPDUNDEOHH[FKDQJHQHWZRUNNQLWWHGLQDXQLTXH
SROLWLFDOHQWLW\WKDWZRXOGRQO\EHVXSSUHVVHGE\WKHDG
YHQW RI WKH ODWH 0LGGOH $JHV UHVXOWHG LQ WKULYLQJ DQG
FRPSOH[FRPPHUFLDOH[FKDQJHVLQWKH5RPDQ(PSLUH,W
VKRXOG EH QRWHG WKDW UHPDUNDEO\ LQWHQVLYH FRPPHUFLDO
LQWHUFRXUVH ZDV RQH RI WKH IRXQGDWLRQV RI WKH DQFLHQW
HFRQRP\DQGDVVXFKLVDFWXDOO\WKHEDVLVIRUWKHXQGHU
VWDQGLQJ RI WKH ODWWHU 7KHVH DUH WKH UHDVRQV ZK\ D GH
WDLOHGUHVHDUFKRIPDWHULDOUHPDLQVRIDQFLHQWFRPPHUFH
LVPRUHWKDQZRUWKZKLOH$QGE\DOOPHDQVLWVYHU\LP
SRUWDQWSDUWLVVKDUGVRIDPSKRUDHXVHGDVWUDQVSRUWYHV
VHOV
8QIRUWXQDWHO\ IHZ 5RPDQ HFRQRPLF GRFXPHQWV
VXFK DV LQYRLFHV UHFHLSWV DQG DFFRXQWDQF\ SDSHUV DUH
NQRZQ :ULWWHQ GRFXPHQWV WKDW KDYH EHHQ SUHVHUYHG
DUHDUDULW\ZKLFKDGGVHYHQPRUHYDOXHWRWKRVHIRXQG
DW WKH 5RPDQ PLOLWDU\ VLWH RI 9LQGRODQGD +RZHYHU
RWKHU DVSHFWV RI 5RPDQ HFRQRPLFV QHHG WR EH UHFRQ
VWUXFWHGRQWKHEDVLVRIPDWHULDOUHPDLQVDQGHSLJUDSKLF
IUDJPHQWV SUHVHUYHG LQ OLWHUDU\ VRXUFHV $V D FRQVH
TXHQFH PDWHULDO VRXUFHV QHHG WR EH VXEMHFWHG WR H[
WUHPHO\ DFFXUDWH SURFHVVHV RI VWDWLVWLFDO FDOFXODWLRQV
PHDVXUHPHQWV FRPSDULVRQV DQG TXDQWLILFDWLRQ ZKLFK
WR D FHUWDLQ H[WHQW HQDEOH WKH UHVHDUFKHU WR DFFHVV WKH
ZLGHU FRQWH[W 'HVSLWH WKH FRPSUHKHQVLYH ZRUN WKH\
482
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
FDUULHGRXWERWKDXWKRUVDUHDZDUHWKDWQHLWKHUWKHHYL
GHQFH DQG QRU FRQVHTXHQWO\ WKH LQWHUSUHWDWLRQ RI WKH
FUXGHDUFKDHRORJLFDOPDWHULDOVDUHH[KDXVWLYH
,QWKLVFRQWH[WDPSKRUDHDUHE\IDUWKHPRVWDSSUR
SULDWH PHDQV IRU WKH VWXG\ RI HFRQRPLF UHODWLRQV EH
WZHHQORQJGLVWDQFHSODFHV$VWKHQRUWKHUQPRVWSDUWRI
WKH5RPDQ(PSLUHDQGDWWKHVDPHWLPHDERUGHULQJWHU
ULWRU\ ZLWK +DGULDQ¤V :DOO %ULWDQQLD LV PRUH WKDQ D
YDOXDEOH VRXUFH 7KH DXWKRUV RIIHUHG D FRPSDULVRQ EH
WZHHQ FLYLO DQG PLOLWDU\ DUHDV RI WKH SURYLQFH ZKLFK
DOORZVDQLQVLJKWLQWRDQGXQGHUVWDQGLQJRIWZRGLIIHUHQW
5RPDQPHWKRGVRIVXSSO\7KHILUVWZDVOHIWLQWKHKDQGV
RI SULYDWH LQLWLDWLYHV DQG ZDV WKHUHIRUH VXEMHFWHG WR WKH
SULQFLSOHV RI VXSSO\ DQG GHPDQG RQ WKH PDUNHW )URP
WKHSHUVSHFWLYHRIWKHHQWLUH(PSLUH%ULWDQQLDZDVVWUD
WHJLFDOO\ DQ LPSRUWDQW WHUULWRU\ WKDW LV ZK\ WKH VHFRQG
PHWKRG RQ WKH RWKHU KDQG ZDV XQGHU VWULFW VWDWH DG
PLQLVWUDWLRQVXSSO\LQJPLOLWDU\EDVHVV\VWHPDWLFDOO\DQG
LQ DFFRUGDQFH ZLWK WKH SULQFLSOHV RI VWDWH VXEYHQWLRQV
DQGVXSSO\
7KHILUVWFKDSWHUEHJLQVZLWKDQLQWURGXFWRU\VWXG\RI
WKHPDWHULDOVDQGLQFOXGHVDFRPSUHKHQVLYHGHVFULSWLRQ
RI SURGXFWLRQ FHQWUHV DQG GLVWULEXWLRQ DUHDV DV ZHOO DV
PRUSKRORJLFDO IHDWXUHV RI WKH 'UHVVHO DQ DPSKRUD
W\SH XVHG IRU FDUU\LQJ ROLYH RLO $PSKRUDH VWDPSV DQG
LQVFULSWLRQVDUHDYHU\YDOXDEOHVRXUFHKHQFHWKH\ZHUH
DQDO\VHGIURPWKHVHPLRWLFSHUVSHFWLYHLQWKLVZD\XS
JUDGLQJSDODHRJUDSKLFDQGLFRQRJUDSKLFUHFRUGV
7KHWUHDWLVHLVEDVHGRQDUHFRUGRIQHDUO\DP
SKRUDH'UHVVHOXVHGIRUWKHWUDQVSRUWRIRLOIURPDQ
FLHQW%DHWLFDZKLFK ZHUH GLVFRYHUHG LQ WKH WHUULWRU\ RI
%ULWDQQLD 7KH DXWKRUV DWWHPSWHG WR LGHQWLI\ GLVWLQFWLYH
SDWWHUQV EHWZHHQ FLYLO VHWWOHPHQWV DQG PLOLWDU\ WHUULWR
ULHVZKHUH GLIIHUHQW SULQFLSOHV RI GLVWULEXWLRQ DQG FRP
PHUFLDOH[FKDQJHDSSOLHG7KHVHDUHDOVRGLIIHUHQWIURP
SDWWHUQV IRXQG LQ *HUPDQLD DQG *DXO $ FRPSDULVRQ
EHWZHHQ WHUULWRULHV UHYHDOHG WZR GLIIHUHQW GLVWULEXWLRQ
URXWHVWKH$WODQWLFDQGWKH&RQWLQHQWDO7KLVOHDGVXVWR
WKHTXHVWLRQRIWKH PHWKRG RI GLVWULEXWLRQ ZDV LW D SUL
YDWHRUSXEOLFDIIDLU"$FFRUGLQJWRZKLFKSULQFLSOHZHUH
WKH VSKHUHV RI WUDQVSRUW DQG GLVWULEXWLRQ GLYLGHG" 7LWXOL
SLFWL LH LQN LQVFULSWLRQV RQ WKH VXUIDFH RI WKH YHVVHO
ZKLFK ZHUH XVHG WR PDUN WKH FRQWHQWV DQG FXVWRPV
FRQWUROVVKRZHGWKDWRLOWUDQVSRUWWR(QJODQGZDVLQWKH
GRPDLQ RI VHYHUDO IDPLOLHV DQG VRPH FRPPHUFLDO XQ
LRQV+RZHYHUDFOHDULQVLJKWLQWRWKHFRPSOH[RUJDQL
VDWLRQ RI GLVWULEXWLRQ LV VWLOO KLQGHUHG E\ VFDUFH DQG LQ
VXIILFLHQWUHFRUGV
,WLVQHFHVVDU\WRDFNQRZOHGJHWKDWWKHPDLQYDOXHRI
WKHSUHVHQWZRUNOLHVLQWKHHFRQRPLF FXOWXUDO DQG DQ
WKURSRORJLFDO VWXGLHV XVHG WR XSJUDGH WKH FROOHFWHG DU
FKDHRORJLFDO PDWHULDOV ,Q IDFW LW ZDV SURYHG WKDW WKH
FRPPHUFLDO QHWZRUN KDG QRW GHYHORSHG DV D UHVXOW RI
FRLQFLGHQFH EXW DV D FRPSOH[ SXEOLF VHUYLFH VXSSO\LQJ
WKH PLOLWDU\ DQG SUREDEO\ DGPLQLVWUDWLYH VWDII RI WKH
SURYLQFH ZLWK 6SDQLVK RLO (YLGHQFH RI WKLV IDFW LV SUR
YLGHGE\WKHGHQVLW\RIVKDUGVRIWKHVHYHVVHOVLQPLOLWDU\
FDPSV DQG DUHDV RFFXSLHG E\ 5RPDQ JDUULVRQV 7KLV
IDFW LV DGGLWLRQDOO\ VXSSRUWHG E\ DPSKRUD VWDPS GLVWUL
EXWLRQWKDWFOHDUO\LGHQWLILHV5RPDQWURRSPRYHPHQWVLQ
WKH SURYLQFH 2LO LPSRUW IURP 6SDLQ HQGXUHG XQWLO WKH
HQG RI WKH UG FHQWXU\ ZKHQ LW ZDV UHSODFHG E\ LPSRUW
IURP$IULFD,QDGGLWLRQWRDPSKRUDH'UHVVHOIRUWKH
WUDQVSRUWRI6SDQLVKRLODPSKRUDH'UHVVHOZRXOGDOVR
EHXVHG
&RPSDULVRQVZLWKRWKHUDPSKRUDOPDWHULDOVIRXQGLQ
WKHWHUULWRU\RI%ULWDQQLDFRQILUPWKHH[FHSWLRQDOUROHRI
WKH 6SDQLVK RLO LPSRUWHG LQ WKH DPSKRUDH 'UHVVHO FRQQHFWHG DV ZHOO ZLWK GHOLYHULHV RI IRRGVWXIIV WR PLOL
WDU\FDPSV7KHGLVWULEXWLRQRIRWKHUW\SHVRIIRRGVWXIIV
LQPRVWFDVHVDOVRGHILQHGRQWKHEDVLVRIVKDUGVRIYHV
VHOVRIRWKHUVKDSHVZDVIROORZLQJWKHUXOHRIWKHPDUNHW
V\VWHP 7KDW LV ZK\ LW ZDV FRQGLWLRQHG E\ FRPSOHWHO\
GLIIHUHQW SULQFLSOHV DQG LV WKHUHIRUH QRW FRPSDUDEOH WR
WKRVH SHUWDLQLQJ WR WKH GLVWULEXWLRQ RI 6SDQLVK ROLYH RLO
7KHVXSSO\RIPLOLWDU\FDPSVDQGDGPLQLVWUDWLYHFHQWUHV
ZDVZLWKLQWKHFRPSHWHQFHRIDVSHFLDOVWDWHLQVWLWXWLRQ
LQDQFLHQWVRXUFHVTXRWHGDVDQQRQDRUIUXPHQWDWLR
7KH DXWKRUV DWWHPSWHG WR FRQILUP WKHLU WKHRU\ E\
PHDQVRIVWDPSVDQGWLWXOLSLFWLFRPSDUHG WR RWKHU DP
SKRUD HSLJUDSK\ IRXQG LQ WKH WHUULWRU\ RI %ULWDQQLD
7RPEVWRQHV IRU LQVWDQFH PHQWLRQ YDULRXV DGPLQLVWUD
WLYH RIILFHV VXFK DV SURFXUDWRUHV EHQHILFLDULL DQG VWUD
WRUHVZKRZHUHLQFKDUJHRIWKHGLVWULEXWLRQRIDOLPHQ
WDU\ SURGXFWV 7KHVH ZHUH LQYROYHG LQ WKH RUJDQLVDWLRQ
DQG FRQWURO RI WKH VXSSO\ RI DOLPHQWDU\ SURGXFWV LQ
SURYLQFHV ZKHUH PLOLWDU\ XQLWV ZHUH VHWWOHG $PSKRUDH
ZLWK RLO EURXJKW LQWR WKH SURYLQFH ZHUH PRVW SUREDEO\
VWRUHGDQGGLVWULEXWHGDFFRUGLQJWRORJLVWLFDQGVWUDWHJLF
SULQFLSOHV2QWKHRWKHUKDQGWLWXOLSLFWLEHDUZLWQHVVWR
WKHIDFWWKDWLQVRPHSURYLQFHVWUDQVSRUWZDVLQWKHGR
PDLQ RI FHUWDLQ IDPLOLHV DQG FRPPHUFLDO XQLRQV $
FRPSDULVRQ ZLWK GLVWULEXWLRQ SDWWHUQV UHFRUGHG LQ *HU
PDQLDLQGLFDWHVGLIIHUHQWSULQFLSOHVYDOLGLQRWKHUWHUULWR
ULHVRIWKH5RPDQ(PSLUH3UREDEO\GLVWULEXWLRQZDVLQ
WKHKDQGVRIVPDOOIDPLOLHVDQGFRPSDQLHVRIPHUFKDQWV
DQG WUDQVSRUWHUV ZKR DOVR FRQWUROOHG RLO SURGXFWLRQ LQ
VSHFLILFFHQWUHVRUUHJLRQVRI6SDLQ
+RZHYHUQHZTXHVWLRQVHPHUJHGZLWKQHZILQGLQJV
6SDQLVKRLOZDVREYLRXVO\VXSSOLHGWRPLOLWDU\EDVHVDQG
HPSOR\HHV WKH PDMRULW\ RI ZKRP ZHUH IRUHLJQHUV
PRVWO\ RI 0HGLWHUUDQHDQ RULJLQ 2OLYH RLO GLVWULEXWHG LQ
VXFK ODUJH TXDQWLWLHV WR WKH QRUWKHUQPRVW 5RPDQ SURY
LQFH ZDV DOPRVW FHUWDLQO\ EHLQJ XVHG H[FOXVLYHO\ IRU
IRRG SUHSDUDWLRQ DQG QRW IRU LOOXPLQDWLRQ 7KHVH DUHDV
KDGDQXPEHURIDOWHUQDWLYHORFDOIDWVWREHXVHGIRUWKLV
SXUSRVHDQGZKLFKUHSUHVHQWHGDQH[FHOOHQWDQGFKHDS
VXEVWLWXWH IRU H[SHQVLYH 6SDQLVK RLO 7KDW LPSOLHV WKDW
ROLYH RLO FRQVXPSWLRQ DOVR GHILQHG WKH FXOWXUDO LGHQWLIL
FDWLRQ RI LWV XVHUV DQG ERUH PRUH PHDQLQJ WKDQ MXVW
HFRQRPLF OX[XU\ ,W LV REYLRXV WKDW LQ WKDW SHULRG FXO
WXUDO KDELWV ZHUH RYHUJURZLQJ WKH IUDPHV RI HFRQRPLF
483
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
SULQFLSOHV:LWKWKHRUJDQLVDWLRQRIVXSSOLHVRIROLYHRLO
IURP6SDLQWKH5RPDQVWDWHDGPLQLVWUDWLRQZDVDFWLYHO\
IDYRXULQJWKH0HGLWHUUDQHDQFXOWXUDOLGHQWLW\RIWKHVWDWH
DSSDUDWXV,QOLJKWRIWKLVIDFWLWPXVWEHFRQVLGHUHGWKDW
WRJHWKHU ZLWK FORWKLQJ ODQJXDJH DQG VHWWOHPHQW SDW
WHUQV HDWLQJ KDELWV UHSUHVHQWHG D FRPSOH[ FXOWXUDO GH
PDUFDWLRQ OLQH EHWZHHQ WKH 5RPDQ DQG EDUEDULDQ
ZRUOGV,QWKLVUHVSHFWROLYHRLOFRQVXPSWLRQLVDYLVLEOH
V\PERORI5RPDQLVDWLRQLHVXERUGLQDWLRQRIWKHODWWHU
,QVFULSWLRQV RQ DPSKRUDH XQGRXEWHGO\ SOD\HG DQ
LPSRUWDQWUROHLQSROLWLFDOOLIHZKHUHLOOLWHUDF\ZDVFRQ
VLGHUHG WR SHUWDLQ WR WKH EDUEDULDQ ZRUOG VLQNLQJ LQ
VWURQJ JXVWV RI 5RPDQLVDWLRQ 7KH ERUGHU EHWZHHQ WKH
WZRZRUOGVUDQDORQJWKHWKLQGHPDUFDWLRQOLQHRI OLWHU
DF\ RI WKH 5RPDQ DGPLQLVWUDWLRQ VWDII DQG WKH 5RPDQ
LVHG &HOWLF SRSXODWLRQ RQ RQH KDQG DQG RQ WKH RWKHU
KDQGWKHORZHUFODVVHVRIWKHLOOLWHUDWHQDWLYHSRSXODWLRQ
LQ WKH SROLWLFDO VHQVH PRVWO\ UHSUHVHQWLQJ WKLUG FODVV
SHUHJULQHV7RJHWKHUZLWKRLOFRQVXPSWLRQDQG0HGLWHU
UDQHDQ HDWLQJ KDELWV OLWHUDF\ WKHUHIRUH LQGLFDWHG DQ
HYLGHQWFODVVGLYLVLRQLQWKH5RPDQ(PSLUH
7KHVH IDFWV SURYHG WKDW WKH ROLYH RLO WUDGH E\ DOO
PHDQV H[FHHGHG HFRQRPLF SULQFLSOHV DQG PDUNHW GH
PDQGDVYLHZHGWKURXJKWKH RSWLFV RI WRGD\¤V FDSLWDOLVW
VRFLHW\7KHUHIRUHWKHDXWKRUVXQYHLOHGDZLGHSROLWLFDO
DQG DQWKURSRORJLFDO FRQWH[W ZKLFK LQ WKH 5RPDQ (P
SLUHZDVGHILQHGE\ROLYHRLO7RDKXJHH[WHQWWKLVDOL
PHQWDU\SURGXFWRIFRXUVHVXUSDVVHGWKHDEVWUDFWIXQF
WLRQLWKDVWRGD\
7KH ZRUN LV EDVHG RQ DQ H[WHQVLYH WH[WXDOFULWLFDO
DSSDUDWXV D FRPSUHKHQVLYH FDWDORJXH RI VWDPSV DQG
QXPHURXVWDEOHVVWDWLVWLFDOFDOFXODWLRQVDQGJUDSKV
'XH WR FRXUDJHRXV DQWKURSRORJLFDO LQWHUSUHWDWLRQV
HVSHFLDOO\WKHERRNLVDJUHDWDFKLHYHPHQWDQGDULVHWR
D KLJKHU PRUH FRPSOH[ UHVHDUFK OHYHO ZLWKLQ WKH FRQ
WH[WRIDPSKRUDOPDWHULDOV7KHDUFKDHRORJLFDOPDWHULDOV
VHUYHG VROHO\ DV D WRRO IRU DQWKURSRORJLFDO DQG FXOWXUDO
DQDO\VHV DQG LQWHUSUHWDWLRQV 8QGRXEWHGO\ WKLV VHW QHZ
VWDQGDUGVIRUIXWXUHFHUDPRORJLFDOUHVHDUFK
9HUHQD3HUNR
3DROR1DOGLQL&(5.9(1,.5$-(3,6$/,23,60(67$,1
É.2),-(-867,1232/,6Ÿ/-8'6.2.23(5
(FFOHVLDVWLFDO7RSRJUDSK\RUD'HVFULSWLRQRIWKH7RZQ
DQG'LRFHVHRI-XVWLQRSROLV3RSXODUO\.RSHU
.QMLÌQLFD$QQDOHV0DMRUD.RSHU=JRGRYLQVNRGUXÊWYR
]DMXÌQR3ULPRUVNRŸ=QDQVWYHQRUD]LVNRYDOQRVUHGLÊáH
5HSXEOLNH6ORYHQLMH.RSHUŸÉNRILMD.RSHU
SS
,QDFFRUGDQFHZLWKWKHEDVLFJRDOVRIWKH+LVWRU\6R
FLHW\ RI 6RXWKHUQ 3ULPRUVND DQG WKH 6FLHQFH DQG 5H
VHDUFK &HQWUH RI WKH 5HSXEOLF RI 6ORYHQLD LQ .RSHU VHW
ERWKZLWKLQWKHIUDPHZRUNRIEDVLFDVZHOODVDSSOLFDEOH
UHVHDUFK KLVWRULRJUDSK\ DV D GRPLQDQW KXPDQLVWLF VFL
HQFHKROGVDSURPLQHQWSRVLWLRQZKLFKFRQWULEXWHVWRD
FRQWLQXRXV SUHVHUYDWLRQ DQG HPSKDVLV RI WKH 6RXWKHUQ
3ULPRUVND UHJLRQ LH 6ORYHQH ,VWULD DV RQH RI WKH PRVW
GLVWLQFWLYH DQG W\SLFDO 6ORYHQH ERUGHULQJ DUHDV ZKLFK
KDV EHHQ GHYHORSLQJ LWV GLVWLQFW VKDSH WKURXJK WKH KLV
WRULFDOLQWHUWZLQLQJRIVRFLDODQGFXOWXUDOHYHQWV:LWKLQ
QDUURZ DQG EURDG JHRJUDSKLFDO FRQWH[WV LWV VKDSH UH
IOHFWVLQQXPHURXVKLVWRULFDOZRUNVLQSDUWLFXODU WRSRJ
UDSKLHV ZKLFK FDQ EH WUDFHG DV HDUO\ DV LQ WKH SHULRG
IURP WKH ILUVW KDOI RI WKH WK DQG WR WKH WK FHQWXULHV
%H\RQG GRXEW WRSRJUDSKLHV HQDEOH XV WR FRPSUHKHQG
EDVLF PHWKRGRORJLFDO RULHQWDWLRQV RI KLVWRULRJUDSK\ RU
EHWWHU Ÿ SRO\KLVWRULFLVP RI WKDW WLPH LQVSLULQJ WKH
DXWKRUVZLWKWKHKLVWRULFDOSDVW$VDFRQVHTXHQFHWKH\
RIIHU D FRORXUIXO SRUWUDLW RI WKH ZD\V KLVWRULFDO VRXUFHV
ZHUH XVHG DQG LQWHUSUHWHG $SDUW IURP KLVWRULFDO HOH
PHQWV WKH\ DOVR XQYHLO D VWURQJ SUHVHQFH RI VHYHUDO
PRGHUQ FRPSRQHQWV LQ WRGD\¤V ,WDOLDQ 6ORYHQH &URD
WLDQ DV ZHOO DV *HUPDQ KLVWRULRJUDSK\ LH VWURQJ WHQ
GHQFLHVWRSURYHWKDWVSHFLILFJHRJUDSKLFDODUHDVIRULWV
PXOWLFXOWXUDODQGPXOWLHWKQLFFKDUDFWHU,VWULDLQSDUWLFX
ODU EHORQJ WR WKH LQGLYLGXDO QDWLRQDO RU VWDWH FRPPX
QLW\ 'XH WR WKH FRQQHFWLRQV RI D PDMRU SDUW RI ,VWULD
ZLWKWKH5RPDQFHRU,WDOLDQFXOWXUDOPLOLHXLWEHFRPHV
FOHDU ZK\ PRVW WRSRJUDSKLHV ZHUH ZULWWHQ E\ ,WDOLDQ
VSHDNLQJIRUHLJQDQGORFDODXWKRUV
7KH ERRN 6WDUL NUDMHSLVL ,VWUH 2OG 7RSRJUDSKLHV RI
,VWULD SXEOLVKHG LQ LQ WKH FROOHFWLRQ /LEUDU\ $Q
QDOHV0DMRUDSUHVHQWHGWKH6ORYHQHSXEOLFZLWKH[WUDFWV
IURP WRSRJUDSKLHV RI ,VWULD IURP WKH WK WR WKH EH
JLQQLQJV RI WKH WK FHQWXU\ IRU WKH ILUVW WLPH 1RW DOO
NQRZQ ,VWULDQ WRSRJUDSKLHV KDYH EHHQ SXEOLVKHG LQ WKH
6ORYHQHODQJXDJHDQGWKHUHIRUHWKLVSXEOLFDWLRQKDVE\
QRPHDQVILOOHGLQQXPHURXVJDSVLQ ,VWULDQ KLVWRULRJUD
SK\ +RZHYHU ZLWK LW WKH LQLWLDWLYH SURSRVHG E\ WKH
0LQLVWU\RI&XOWXUHLQVXFFHVVIXOO\FDPHWRUHDOLW\
7KH LQLWLDWLYH VXJJHVWHG WKDW GXH WR D SRRU NQRZOHGJH
RI,VWULDQKLVWRU\ROGZRUNVHVSHFLDOO\EHWUDQVODWHGLQWR
6ORYHQH DQG SXEOLVKHG LQ RUGHU WR SUHVHQW VRPH EDVLF
ZRUNV RI ,VWULDQ KLVWRULRJUDSK\ WR WKH 6ORYHQH UHDGHU
VKLSH[SHUWVVFLHQWLVWVDQGKLVWRU\ORYHUV
,QWKHERRNPHQWLRQHGDERYHLWVHGLWRULQFKLHIDQG
WKH DXWKRU RI WKH PDMRULW\ RI DUWLFOHV LW FRQWDLQV GU
'DUNR 'DURYHF DQWLFLSDWHG WKH WUDQVODWLRQ DQG SXEOLFD
WLRQRIVRPHSULPDU\ZRUNVLQSDUWLFXODUWKHSURPLQHQW
&RURJUDILD HFFOHVLDVWLFD RI %LVKRS RI .RSHU 3DROR
1DOGLQL 7KH WUDQVODWLRQ DQG SXEOLFDWLRQ KDYH FHUWDLQO\
EHHQ DLGHG E\ WKH WK DQQLYHUVDU\ RI WKH SXEOLFDWLRQ
RIWKHRULJLQDODQGWKHWKDQQLYHUVDU\RIWKH'LRFHVH
RI .RSHU %\ RUJDQLVLQJ D ULFK VFLHQWLILF V\PSRVLXP
KHOGLQ2FWREHULQWKHSUHPLVHVRIWKH0XVHXPRI
.RSHU WKH +LVWRU\ 6RFLHW\ RI 6RXWKHUQ 3ULPRUVND DQG
6FLHQFHDQG5HVHDUFK&HQWUHFHOHEUDWHGERWKDQQLYHUVD
484
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
ULHV WRR 7KHVH YHQHUDEOH DQQLYHUVDULHV WKH WK DQ
QLYHUVDU\ RI WKH 'LRFHVH RI .RSHU DQG WKLV \HDU¤V WK
DQQLYHUVDU\ RI WKH 0LQRULWH 0RQDVWHU\ LQ 3LUDQ KDYH
SURYLGHGXVZLWKDQRSSRUWXQLW\IRUGHWDLOHGDQGH[WHQ
VLYH UHVHDUFK RI HFFOHVLDVWLFDO KLVWRU\ ZKLFK ZH VR IDU
KDYHPLVVHG
$PRQJ D VHULHV RI WRSRJUDSKLHV 1DOGLQL¤V WRSRJUD
SK\ RI WKH 'LRFHVH RI .RSHU GDWHG IURP FDQ EH
GHILQHG DV RQH RI WKH PRVW FRPSOHWH DQG FRQVLVWHQW
RQHVDOVRDFFRUGLQJWRPRGHUQKLVWRULRJUDSKLFDOSULQFL
SOHV RI VFLHQWLILF PHWKRGV DQG DSSURDFKHV XVHG WR GHDO
ZLWKVSHFLILFHYHQWVDQGSURFHVVHV,QRSSRVLWLRQWRWKH
FRPPRQ SUDFWLFHV RI WKDW WLPH ELEOLRJUDSK\ DQG UHIHU
HQFHVDUHTXRWHGLQWKHWH[W$WWKH VDPH WLPH 1DOGLQL
RSSRVHV SUHYLRXV ZULWHUV DQG OLVWV DUJXPHQWV WKDW ZHUH
ODWHUPRVWO\FRQILUPHGE\PRGHUQKLVWRULRJUDSK\
1DOGLQL¤V WRSRJUDSK\ FDQ EH GHILQHG DV D FRPSUH
KHQVLYHLQVSHFWLRQWKDWGHPDQGHGDORWRIWLPHDVZHOO
DV H[KDXVWLQJ DQG DFFXUDWH ZRUN 6LQFH WKH \HDU ZKHQKHZDVFRQVHFUDWHGWKHELVKRSRI.RSHUDQGXQWLO
WKH SXEOLFDWLRQ RI KLV ZRUN LQ KH YLVLWHG DQG GH
VFULEHGDOPRVWDOOFKXUFKHVDQGPRQDVWHULHVLQWKH'LR
FHVHRI.RSHU,QDGGLWLRQKHGHVFULEHGLQGHWDLODOOHF
FOHVLDVWLFDO LQVWLWXWLRQV DQG WKH VWDWH RI UHOLJLRQ LQ WKH
ZKROH'LRFHVHZKLFKFRPSULVHGWKHYLFDULDWHVRI3LUDQ
,]ROD .XEHG DQG .UNDYáH 1DOGLQL FRQFHLYHG WKLV QHZ
DGPLQLVWUDWLYH VWUXFWXUH DIWHU WKH V\QRG FDOOHG LQ %RUGHUV RI WKH 'LRFHVH RI .RSHU UHPDLQHG XQDOWHUHG LQ
FRPSDULVRQ ZLWK WKH PHGLHYDO RQHV RQ WKH QRUWK WKH
'LRFHVHH[WHQGHGDVIDUDV6W3HWHU¤VFKXUFKLQ*D]HOD
WKH WHUULWRU\ RI WRGD\¤V $QNDUDQ )URP WKHUH LW UDQ
VRXWKZDUGVDORQJWKHFRDVW SDVVHG .RSHU ,]ROD 6WUXQ
MDQ 3LUDQ DQG 6HáRYOMH UHDFKLQJ WKH 6DYXGULMD SHQLQ
VXODZKHUHLWWRXFKHGWKHWHUULWRU\RI8PDJLHWKDWRI
WKH 'LRFHVH RI 1RYLJUDG +HUH WKH ERUGHU WXUQHG HDVW
DQG UDQ DORQJ WKH ,VWULD DQG 6DYXGULMD .DUVW WR UHDFK
.DÊWHO 7KHQ JRLQJ QRUWK LW SDVVHG .UNDYáH DQG
.RÊWDERQD KHUH DJDLQ LW WRXFKHG WKH RXWVNLUWV RI WKH
'LRFHVH RI 1RYLJUDG DQG IURP KHUH LW ZHQW WR 0D
UH]LJH /RSDU 7UXÊNH 3RSHWUH DQG DV IDU DV 6RáHUJD
ZKHUH LW WXUQHG QRUWK DJDLQ WR 0RYUDÌ 6PRNYLFD
*UDáLÊáH +UDVWRYOMH .XEHG ,W DVFHQGHG 7LQMDQ DQG
FRQWLQXHGWR'HNDQL6YHWL$QWRQDQGDORQJWKH5LÌDQD
ULYHUWRWKH VHD 7KH 'LRFHVH RI .RSHU H[WHQGHG RYHU D
WHUULWRU\ ZLWK D FLUFXPIHUHQFH RI PLOHV DQG ZDV GL
YLGHG DV PHQWLRQHG DERYH LQWR IRXU YLFDULDWHV 7KHVH
ZHUH IXUWKHU GLYLGHG LQWR SDULVKHV LQ WRWDO LQ WKH
ZKROHDUHD
1DOGLQL¤V FRPSOHWH ZRUN LV GLYLGHG LQWR ERRNV
ZKLFKDUHIXUWKHUGLYLGHGLQWRFKDSWHUVWKHILUVWERRNLV
HQWLWOHG 2 NRSUVNL VWROQLFL ÊNRILML ÊNRILK LQ NDSLWOMX
$ERXW WKH .RSHU &DWKHGUDO 'LRFHVH %LVKRSV DQG
&DSLWRO 7KH VHFRQG ERRN LV 2 VYHWLK LQ UHGRYQLK
FHUNYDK WHU GREURGHOQLK ]DYRGLK Y .RSUX $ERXW +RO\
DQG 0RQDVWLF &KXUFKHV DQG &KDULW\ ,QVWLWXWLRQV LQ .R
SHU7KHWKLUGERRNGHVFULEHVWKHILUVWLHWKHYLFDULDWH
RI3LUDQDQGWKHIRXUWKERRNWKHYLFDULDWHRI,]ROD7KH
ILIWKERRNRIIHUVDGHVFULSWLRQRIWKHYLFDULDWHRI.XEHG
DQGWKHVL[WKERRNWKHGHVFULSWLRQRIWKHODVWWKDWLVWKH
.UNDYáH YLFDULDWH 7KH 'LRFHVH RI .RSHU H[WHQGHG DO
PRVWDFURVVWKHHQWLUHWHUULWRU\RIWKHIRUPHUFRPPXQH
SDUWO\ RYHUODSSLQJ ZLWK WKDW RI WKH SUHVHQW PXQLFLSDOLW\
RI.RSHUZLWK WKH H[FHSWLRQ RI VRPH YLOODJHV O\LQJ XQ
GHUWKH.DUVW(GJHWKHSDULVKRI2VSDQG/RNDDQGWKH
YLOODJHRI5DNLWRYHFLQWKHSDULVKRI%X]HWZKLFKXQWLO
WKH \HDU EHORQJHG WR WKH 'LRFHVH RI 7ULHVWH WKH
YLOODJH RI ÉWHUQD VRXWK IURP WKH 'UDJRQMD ULYHU ZKLFK
EHORQJHG WR WKH 'LRFHVH RI 1RYLJUDG DQG LQ FRQFOX
VLRQ WKH PXQLFLSDOLWLHV RI ,]ROD DQG 3LUDQ 1DOGLQL¤V
ZRUN WKHUHIRUH RIIHUV D FRPSOHWH SRUWUDLW RI 6ORYHQH ,V
WULDLQWHUPVRILWVKLVWRU\UHOLJLRQHFFOHVLDVWLFDODGPLQL
VWUDWLRQ KLVWRU\ RI DUW HWKQRORJ\ VRFLHW\ OLQJXLVWLFV
DQGODVWEXWQRWOHDVWHWKQLFLW\7KLVHVSHFLDOO\PLJKWEH
RI JUHDW LQWHUHVW WR D 6ORYHQH UHDGHU ,Q FRQWUDVW ZLWK
RWKHU ,WDOLDQ ZULWHUV 1DOGLQL DVFULEHG JUHDW LPSRUWDQFH
WRWKH6ODYLFSRSXODWLRQRI,VWULDDQGWUHDWHGLWFRUUHFWO\
DQG REMHFWLYHO\ (YHQ WRXJK WKH\ ZHUH QRW DXWRFKWKR
QRXV LQKDELWDQWV RI ,VWULD LW ZDV 1DOGLQL ZKR EHVLGHV
*LDFRPR )LOLSSR 7RPPDVLQL WKH ELVKRS RI 1RYLJUDG
UHIHUUHG WR 6ODYV DV JRRG DQG KDUGZRUNLQJ IDUPHUV RU
FRORQV 7KLV LV LQ FRPSHWH RSSRVLWLRQ ZLWK YLHZSRLQWV
485
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
H[SUHVVHG E\ VRPH PHPEHUV RI WKH .RSHU $FFDGHPLD
GHL5LVRUWLZKLFKLQWKHWKFHQWXU\XQGHUWKHOHDGHU
VKLS RI UHQRZQHG .RSHU LOOXPLQLVW *LDQ 5LQDOGR &DUOL
ZHUHUHMHFWLQJWKH6ODYRQLFFKDUDFWHURI,VWULD&DUOLKLP
VHOI IHOW DQG FRQVLGHUHG WKH 6ODYRQLF HOHPHQW WR EH
QRWKLQJ EXW DQ LQWUXGHU LQ WKH 5RPDQFH WUDGLWLRQ RI ,V
WULDZKLFKKHFRQVLGHUHGDYLWDOHOHPHQWRIWKHHPEU\
RQLF QDWLRQDO FRQVFLRXVQHVV RI WKH ,WDOLDQV $IWHU WKH
GRZQIDOO RI WKH 5RPDQ (PSLUH KH WKRXJKW ,VWULD IHOO
LQWRDSHULRGRIGHFDGHQFHKHIHOWDVDIDOORIFLYLOLVDWLRQ
YDOXHV+RZHYHUKHGLGQRWWDNHLQWRFRQVLGHUDWLRQWKH
DQDO\VLV RI FDXVHV GLVFXVVHG E\ VHYHUDO RI KLV FRQWHP
SRUDULHV +H PDGH D ULJRURXV GLVWLQFWLRQ EHWZHHQ WKH
DULVWRFUDWLFERXUJHRLVDQGWKHSURYLQFLDO FODVVHV VHHLQJ
WKHIRUPHUDVWKHRQO\SURWDJRQLVWRIKLVWRULFDOGHYHORS
PHQW DQG FDUULHU RI KXPDQLVWLF YDOXHV +H FRQWUDSRVHG
WKH .RSHU ERXUJHRLV WR WKH FRXQWU\VLGH 6ODY FRORQV UH
IHUULQJWRWKHODWWHULQDFRQWHPSWXRXVDQGDUURJDQWWRQH
,WVKRXOGEHQRWHGKRZHYHUWKDW&DUOL¤VDWWLWXGHLQWKDW
SHULRGZDVIDUIURPEHLQJDQH[FHSWLRQ6RPHSUHGHFHV
VRUV RI ,VWULDQ KXPDQLVP HJ 3LHWUR &RSSR DQG *LUR
ODPR 0X]LR KDG DOUHDG\ H[SUHVVHG EHIRUH WKH VDPH
YLHZV ,Q WHUPV RI KLV YLHZSRLQWV DV ZHOO DV KLV DFWV
1DOGLQLWKHUHIRUHEHORQJHGWRDSURJUHVVLYHFXOWXUDODQG
VRFLDO HQYLURQPHQW ZKLFK DV HDUO\ DV LQ WKH SHULRGV
SUHFHGLQJ &DUOL KDG ZLWQHVVHG UHMHFWLRQV RI VXSHUILFLDO
DQGVXEMHFWLYHDVVHUWLRQVYHU\FRPPRQLQWKH9HQHWLDQ
DULVWRFUDWLFPHQWDOLW\RIWKDWWLPH)RUWKDWUHDVRQLWFDQ
QRWEHVXUSULVLQJWKDWLQWKHSHULRGRI1DOGLQL¤VSDVWRUDO
DFWLYLWLHVLQWKHFRXQWU\VLGHDQGLQWKH.RSHU*UHJRULDQ
0RQDVWHU\ KRO\ PDVVHV ZHUH KHOG LQ WKH 6ODYRQLF ODQ
JXDJH ZKLOH WKH \HDU ZLWK WKH HVWDEOLVKPHQW RI
WKH ,OO\ULDQ 7KHRORJLFDO 6HPLQDU\ LQ .RSHU ZKLFK
FRQWLQXHGWRRSHUDWHXQWLOUHSUHVHQWHGDFOLPD[RI
KLVHIIRUWV
$SDUWIURPWKHELVKRS¤VILQGLQJVWKDWUHYHDOHGWKHHV
VHQWLDO QHHG IRU WKH HGXFDWLRQ RI *ODJROLWLF SULHVWV IRU
WKH SUHGRPLQDQWO\ 6ODYRQLF FRXQWU\VLGH KLV GHFLVLRQV
ZHUH SUREDEO\ WULJJHUHG E\ WKH HVWDEOLVKPHQW RI WKH
&ROOHJLD GHL 1RELOL LQ .RSHU LQ ZKLFK FRQVROL
GDWHGHGXFDWLRQDVDSULYLOHJHRIWKHXSSHUFODVVHVRIWKH
VRFLHW\,QWKHILUVWSHULRG6RPDVFDQVWDXJKWDWWKH&RO
OHJLR %LVKRS 1DOGLQL KHOG WKHLU ZRUN LQ KLJK RSLQLRQ
ZKLOHWKHDWWLWXGHRIWKHFLWL]HQVRI.RSHUWRZDUGVWKHP
ZDV IDU IURP EHLQJ SRVLWLYH ,Q 6RPDVFDQV ZHUH
UHSODFHGE\WKHLUVFKRROEURWKHUV6FRORSLRU3LDULVWVGXH
WR WKH IDFWV WKDW EHVW UHSUHVHQWDWLYHV RI WKLV RUGHU ZHUH
EHLQJVHQWWRWKLVDUHDE\WKH5RPDQFKXUFKDQGWKDWWKH
SRSXODWLRQ GHHSO\ WUXVWHG WKHP ZLWK WKHLU DUULYDO WKH
UHSXWDWLRQRIWKH&ROOHJLRURVHFRQVLGHUDEO\
,Q DFFRUGDQFH ZLWK DVSLUDWLRQV IRU UHOLJLRXV DQG
VSLULWXDO UHJHQHUDWLRQ DIWHU WKH &RXQFLO RI 7UHQW 1DOG
LQL¤V HIIRUWV LQ IDFW ZHUH QRW LVRODWHG 1RWZLWKVWDQGLQJ
WKH SHQHWUDWLRQ RI LOOXPLQLVW LGHDV DLPLQJ DW VWURQJ LQ
WHOOHFWXDO LQIOXHQFH LQ UHOLJLRXV DQG VRFLDO OLIH WKH PD
MRULW\RIELVKRSVLQWKHWHUULWRU\RIWKH9HQHWLDQ5HSXEOLF
QHLWKHU H[FHOOHG ZLWK H[FHSWLRQDO UHIRUPDWLRQ VSLULW QRU
ZLWK WKH ZLVK WR IUHH WKH FKXUFK IURP SROLWLFDO DQG
DXWKRULWDWLYH LQIOXHQFHV +RZHYHU WKH\ ZHUH DZDUH RI
WKH QHHG IRU EHWWHU HGXFDWLRQ DQG IRU PRUH DFWLYH
SULHVWVWKH\UHRUJDQLVHGSXEOLFDLGDQGHPSKDVLVHGWKH
VRFLDO XWLOLW\ RI UHOLJLRQ DV D EDVLV RI HYHU\ VRFLHW\ DQG
WKHRQO\VRXUFHRILQGLYLGXDODQGFROOHFWLYHPRUDOV
7KHUHIRUH 1DOGLQL¤V ZRUN FDQ EH VHW ZLWKLQ D ZLGHU
VRFLDOIUDPHZRUNRQWKHYHUJHRIWKHWKFHQWXU\$SDUW
IURPJHQHUDOFKDUDFWHULVWLFVRIVLPLODUZRUNVLWDOVR H[
FHOV ZLWK D QXPEHU RI VSHFLILF FKDUDFWHULVWLFV )RU WKDW
UHDVRQLWLVQRWRQO\DILUVWUDWHKLVWRULFDOVRXUFHDOVRLQ
YLHZ RI WKH IDFW WKDW VLQFH WKH SHULRG LQ ZKLFK LW ZDV
ZULWWHQ PDQ\ VRXUFHV LW TXRWHV KDYH GLVDSSHDUHG EXW
DOVR DQ H[FHSWLRQDO ZLWQHVV RI WLPH QRW RQO\ RI
FKXUFKHV YLOODJHV VTXDUHV DQG FLWLHV WKH HFFOHVLDVWLFDO
DQG VHFXODU DGPLQLVWUDWLRQ FXVWRPV DQG KDELWV WKH
HFRQRPLFDODQGVRFLDOSRVLWLRQRIWKHSRSXODWLRQ,WDOVR
XQYHLOVWKH VSLULW RI WKH WLPH DQG ODVW EXW QRW OHDVW WKH
VLWXDWLRQDQGRULHQWDWLRQRIKLVWRULRJUDSK\RIWKDWWLPH
$VDUHVXOW1DOGLQL¤VZRUNLVSDUWRIYDOXDEOHKLVWRUL
FDOOLWHUDWXUHZKLFKLQDQLQWHUHVWLQJDQGSRSXODUVFLHQ
WLILFWRQHLQWKHEHVWSRVVLEOHZD\SRUWUDLWVWKHLPDJHRI
WKH WLPH SHRSOH DQG DUHD RI WKH 'LRFHVH RI .RSHU RI
WKDWWLPH,WDOVRLVDQLQGLVSHQVDEOHUHIHUHQFHERRNIRUD
YDULHW\RIH[SHUWVGHDOLQJZLWKUHVHDUFKRI,VWULDQKLVWRU\
KLVWRU\ RI DUW DQG HWKQRORJ\ 7KH 6ORYHQH WUDQVODWLRQ
ZLOOPDNHWKLVPRQXPHQWDOZRUNFORVHUWRDZLGHUFLUFOH
RI UHDGHUV DQG WKXV HQDEOH D ZLGHU H[SHUW DQG JHQHUDO
SXEOLFWRJHWDFTXDLQWHGZLWKPDMRUFKDUDFWHULVWLFVIURP
WKH KLVWRULFDO WUDGLWLRQDO DQG FXOWXUDO KHULWDJH RI 6OR
YHQH,VWULD,Q WKLV ZD\ LW ZLOO DOORZ IXUWKHU LQGHSWK UH
VHDUFK RI WKLV LQ PDQ\ UHVSHFWV VSHFLILF WHUULWRU\ RI WKH
6ORYHQHSRSXODUDQGQDWLRQDOERG\
6DOYDWRUÈLWNR
(JLGLR,YHWLF/$3232/$=,21('(//
,675,$
1(//
(7š02'(51$/,1($0(17,(92/87,9,
&ROODQDGHJOL$WWLQ7ULHVWHŸ5RYLJQR&HQWURGL
ULFHUFKHVWRULFKH5RYLJQRSS
/
,675,$02'(51$81
,1752'8=,21($,6(&2/,
;9,Ÿ;9,,,&ROODQDGHJOL$WWLQ7ULHVWHŸ5RYLJQR
&HQWURGLULFHUFKHVWRULFKHŸ5RYLJQRSS
2/75(0$5(/
,675,$1(//
8/7,02'20,1,2
9(1(720HPRULHFODVVHGLVFLHQ]HPRUDOLOHWWHUH
HGDUWLYRO/;;;,;9HQH]LD,VWLWXWR9HQHWRGL6FLHQ]H
/HWWHUHHG$UWLSS
1HJOL XOWLPL DQQL OD VWRULRJUDILD GHOO
,VWULD VL q DUULF
FKLWD XOWHULRUPHQWH FRQ L ODYRUL GL ULFHUFD GL (JLGLR
,YHWLFJLRYDQHULFHUFDWRUHGL&DUQL]]D3RODFKHGDGL
YHUVL DQQL VL RFFXSD SURILFXDPHQWH GHOOR VWXGLR GHOOD
486
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
VWRULD GHOO
HWj PRGHUQD GHOOD SHQLVROD LVWULDQD 2OWUH DL
QXPHURVL VDJJL GHOOR VWRULFR LQHUHQWL OH SUREOHPDWLFKH
GHPRJUDILFKH HFRQRPLFKH H VRFLDOL DSSDUVH VXJOL $WWL
GHO &HQWUR GL ULFHUFKH VWRULFKH QHO SURVLHJXR &56 GL
5RYLJQR VXJOL $WWL H 0HPRULH GHOOD 6RFLHWj ,VWULDQD GL
DUFKHRORJLD H VWRULD SDWULD GL 7ULHVWH VXOO
$UFKLYLR 9H
QHWRGL9HQH]LDSXEEOLFDWRGDOOD'HSXWD]LRQHGLVWRULD
SDWULD SHU OH 9HQH]LH VXL 4XDGHUQL JLXOLDQL GL VWRULD
QRQFKp VX DOWUH ULYLVWH VSHFLDOL]]DWH ,YHWLF KD GDWR DOOH
VWDPSH SXUH WUH OLEUL FKH VL SUHVHQWDQR GL SULPDULD LP
SRUWDQ]DSHULOORURFRQWHQXWRSHUODPHWRGRORJLDQRQ
FKp SHU OD PROH GL IRQWL FRQVXOWDWH 4XHVWH XOWLPH LQ
JUDQ SDUWH SURYHQLHQWL GDJOL DUFKLYL GHOOD UHJLRQH 3L
VLQR &DSRGLVWULD 3LUDQR 7ULHVWH DUFKLYLR GHOOD &XULD
YHVFRYLOHGL3DUHQ]RHFFHGDJOLDUFKLYLHELEOLRWHFKH
GL9HQH]LD$UFKLYLRGL6WDWRDL)UDUL%LEOLRWHFD1D]LR
QDOH 0DUFLDQD %LEOLRWHFD GHO 0XVHR &LYLFR &RUUHU
'HJQD GL QRWD q VLFXUDPHQWH O
RELHWWLYLWj GHOOR VWRULFR
LVWULDQRFKHSULYRGHLSUHJLXGL]LSUHVHQWLLQFHUWLILORQL
GHOOD FRVLGHWWD VWRULRJUDILD GL IURQWLHUD QH ID VLFXUD
PHQWH XQR VWXGLRVR GL UHVSLUR HXURSHR 1HL VXRL ODYRUL
WURYLDPRDGHVHPSLRGHOOHDQDOLVLQHXWUHLQHUHQWLDOOH
IDFLHVHWQLFKHGHOODSHQLVRODHLOORURVYLOXSSRQHOFRUVR
GHLVHFROL;9,,;,;VLQRDOODIRUPD]LRQHGHOOHFRVFLHQ]H
QD]LRQDOL,ODYRULGHOVXFFLWDWRVWRULFRVLLQVHULVFRQRQHO
QXRYR ILORQH GL ULFHUFD FRQFHUQHQWH OD VWRULD GHOOD
6HUHQLVVLPDFKHQRQqSL~VROWDQWRVWRULDGHOODFDSLWDOH
PD DQDOLVL GHL OHJDPL H GHOOH SHFXOLDULWj HVLVWHQWL WUD OR
6WDWR GD 0DU QHO QRVWUR FDVR H OD 'RPLQDQWH /
,VWULD
DOORUD QRQ YLHQH UDSSUHVHQWDWD VROWDQWR FRPH XQD FR
ORQLDGL9HQH]LDRYHVLULIOHWWRQRLJUDQGLDYYHQLPHQWL
VWRULFLPDEHQVuFRPHXQDSDUWHFRVWLWXHQWHODUHSXEEOL
FDGHOOHRQHDODWRPDJDULVLWXDWDLQSHULIHULDPDFRQ
OH VXH FDUDWWHULVWLFKH OH VXH SUREOHPDWLFKH /D ULFHUFD
WHQGH DOORUD DG DQDOL]]DUH OD VXD HFRQRPLD OD SROLWLFD
GHPRJUDILFD GHOOD 6HUHQLVVLPD OH DOWHUD]LRQL HWQLFKH
DYYHQXWHLQGLYHUVHUHJLRQLGHOODSHQLVRODJOLDVSHWWLXU
EDQLOHGLIIHUHQ]HWUDFLWWjHFRQWDGRJOLDVSHWWLVDQLWDUL
QRQFKp VL VRIIHUPD VX SUREOHPDWLFKH VRFLR Ÿ HFR
QRPLFKH FRPH DG HVHPSLR LO EULJDQWDJJLR LO FRQWUDE
EDQGRLFRQIOLWWLWUD DELWDQWL DXWRFWRQL H KDELWDQWL QRYL
OHVWUXWWXUHVRFLDOLODYLWDTXRWLGLDQDHFF
,O OLEUR /D SRSROD]LRQH GHOO
,VWULD QHOO
HWi PRGHUQD
/LQHDPHQWLHYROXWLYLSXEEOLFDWRGDO&56GL5RYLJQRQHO
QHOOD FROODQD $WWL QXPHUR q XQD PHWLFRORVD
ULFRVWUX]LRQH GHJOL DVSHWWL GHPRJUDILFL GHOOD SHQLVROD
GDOODILQHGHO;9VHFRORVLQRDJOL LQ]L GHO ;,; /
DXWRUH
XWLOL]]DVYDULDWHIRQWLSURYHQLHQWL GDJOL DUFKLYL HFFOHVLD
VWLFLGHOOHORFDOLWjLVWULDQHFKHFRQVHUYDQRLQIRUPD]LRQL
SUH]LRVLVVLPH SHU TXDQWR FRQFHUQH O
HWj PRGHUQD SRL
FKp DOO
LQGRPDQL GHO FRQFLOLR GL 7UHQWR IXURQR SURSULR
OHSDUURFFKLHOHLVWLWX]LRQLFKHFRQWUROODYDQRODYLWDVR
FLDOHGHOOHFRPXQLWj LQL]LDQGR D VHJQDODUH QHJOL DSSR
VLWLOLEULOHQDVFLWHLPDWULPRQLHL GHFHVVL DYYHQXWL DO
O
LQWHUQRGHOOHFRPXQLWjVWHVVH,OODYRURGL,YHWLFVLSUH
VHQWDLQWHUHVVDQWLVVLPRLQTXDQWRFLSUHVHQWDXQDSRSR
OD]LRQHLVWULDQDODFXLFRQVLVWHQ]DQXPHULFDYDULDYDGD
XQ SHULRGR DOO
DOWUR SUHVHQWDQGRFL JOL LQWHUYDOOL GL SUR
IRQGH FULVL OD OHQWD ULVROOHYD]LRQH HG L SHULRGL GL VWD
JQD]LRQH GRYXWL DL IODJHOOL GHOOD SHVWH GHOOH JXHUUH H
GHOOH FDUHVWLH FKH FRQWULEXLURQR D GHFLPDUH OD SRSROD
]LRQH LQ SDUWLFRODU PRGR QHL VHFROL ;9, H ;9,, $WWUD
YHUVR OD ULOHWWXUD GL XQD YDVWD OHWWHUDWXUD FRQFHUQHQWH
O
,VWULD RYYHUR O
$GULDWLFR LQ JHQHUDOH ,YHWLF DQDOL]]D L
GDWL ULFDYDWL GDOOD VWHVVD H OL LQWHJUD FRQ OH IRQWL G
DU
FKLYLR XVDQGR QXRYL FDQRQL LQWHUSUHWDWLYL FKH JOL FRQ
VHQWRQR VLFXUDPHQWH XQD PLJOLRUH H SL~ DFFXUDWD LQGD
JLQH GHOOH SUREOHPDWLFKH UHODWLYH DOOD SRSROD]LRQH UL
VSHWWR DJOL VWXGLRVL GHO SDVVDWR FKH VL RFFXSDURQR GL
TXHVWLDUJRPHQWL
1HOOD VWHVXUD GHO WHVWR O
DXWRUH SUHQGH LQ FRQVLGHU
D]LRQHODSHQLVRODFRPHXQFRUSRXQLFRHYLGHQ]LDQGR
RYYLDPHQWH OH FDUDWWHULVWLFKH H OH SUREOHPDWLFKH SUH
VHQWLQHOODSDUWHYHQHWDHLQTXHOODDVEXUJLFDFRQWHDGL
3LVLQRHQRQOHVHSDUDLQGXHUHDOWjFLUFRVFULWWH/DSR
SROD]LRQHGHOODSHQLVRODLVWULDQDOHRULJLQLGHOOD VWHVVD
JOL LQVHGLDPHQWL H OD VWUXWWXUD HWQLFD VRQR VWDWL SHU
PROWRWHPSRJOLDUJRPHQWLVFRWWDQWLSHUOHVWRULRJUDILH
LWDOLDQDHMXJRVODYDVORYHQDHFURDWDVSHFLDOPHQWHDO
O
LQGRPDQLGHOVHFRQGRFRQIOLWWRPRQGLDOHHQHOSHULRGR
VXFFHVVLYRTXDQGRVLGRYHWWHURWUDFFLDUHOHQXRYHIURQ
WLHUH WUD OD UHSXEEOLFD G
,WDOLD H OD UHSXEEOLFD VRFLDOLVWD
GL-XJRVODYLD/R6FKLIIUHUHLO6HVWDQQHLORURWHVWLWUDFFL
DURQRXQDVRUWDGLVSDUWLDFTXHWUDSRSROD]LRQLURPDQ]H
HVODYHOHSULPHXELFDWHSUHYDOHQWHPHQWHOXQJRODFRVWD
PHQWUHOHVHFRQGHDOO
LQWHUQR4XDQWRVRVWHQXWRGDLGXH
VWXGLRVLqVWDWRULYLVWRQHOOHULFHUFKHSL~UHFHQWLHDQFKH
0LURVODY %HUWRÊD XQR WUD L PDVVLPL VWRULFL LVWULDQL GHO
O
HWjPRGHUQDQRQKDPDLVPHQWLWRTXDQWRVXFFLWDWRKD
GLPRVWUDWR DOWUHVu FKH SHU FDSLUH OD UHDOWj LVWULDQD OD
SURYHQLHQ]D H O
RULJLQH HWQLFD GHJOL DELWDQWL QRQ VLDQR
HOHPHQWL GL SULPDULD LPSRUWDQ]D SRLFKp JOL VWHVVL VL
VRQR PRGHOODWL YLYHQGR H RSHUDQGR LQ GHWHUPLQDWH
DUHH G
LQVHGLDPHQWR 3HUFLy SHU LO SHULRGR VLQR DO ;,;
VHFROR q SL~ RSSRUWXQR SDUODUH GL DUHH OLQJXLVWLFR Ÿ
FXOWXUDOLSLXWWRVWRFKHHWQLFKH
0DVRIIHUPLDPRFLVXOODYRUR(JLGLR,YHWLFVFULYHFKH
QHOOD VWRULRJUDILD VL q YHQXWD IRUPDQGR OD FRQYLQ]LRQH
FKH LO PDOHVVHUH GHOO
,VWULD PRGHUQD VLD GRYXWR SULQFL
SDOPHQWH DG XQD SURJUHVVLYD GHVHUWLILFD]LRQH GHOO
HOH
PHQWR XPDQR OH FXL UDGLFL DIIRQGDQR QHO ;,9 VHFROR
HG LO FXL DSLFH YHQQH UDJJLXQWR WUH LO &LQTXH HG LO
6HLFHQWR S ,O ODYRUR GL ULFHUFD VL DSUH FRQ XQD
DQDOLVLVXOODVWRULRJUDILDFKHVLqRFFXSDWDGHOIHQRPHQR
GHPRJUDILFR LVWULDQR QHO FRUVR GHL VHFROL *Lj %DU
WRORPHR9HUJRWWLQQHOVXR%UHYHVDJJLRG
LVWRULDDQWLFDH
PRGHUQD GHOOD FLWWi GL 3DUHQ]R QHOO
,VWULD SXEEOLFDWR D
9HQH]LDQHOHYLGHQ]LDYDOHVSDYHQWRVHFRQGL]LRQL
LQ FXL VL WURYDYD OD FLWWj D FDXVD GHO FDOR GHPRJUDILFR
1HO FRUVR GHO ;,; VHFROR 3LHWUR .DQGOHU VSLHJy FKH LO
GHFUHPHQWRGHOODSRSROD]LRQHIRVVHGRYXWRDOODPDODULD
487
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
LPSHUDQWH PHQWUH &DUOR &RPEL PLVH LQ UHOD]LRQH OR
VSRSRODPHQWRGHOODUHJLRQHHO
LPPLJUD]LRQHGHLFRORQL
VODYL /
DUJRPHQWR YLHQH DIIURQWDWR SXUH GD &DUOR 'H
)UDQFHVFKLQHOOLEUR/
,VWULD1RWHVWRULFKHODSULPDVLQ
WHVL GL VWRULD LVWULDQD SXEEOLFDWD D 3DUHQ]R QHO 1HOODVHFRQGDPHWjGHOO
YHQQHURSXEEOLFDWHOHIRQWL
FRQWHQHQWL GDWL GHPRJUDILFL FKH 7RPDVR /XFLDQL WUDV
FULVVH GDL GRFXPHQWL YHQH]LDQL FKH DSSDULURQR GDS
SULPDVX/D3URYLQFLDGHOO
,VWULDGL&DSRGLVWULDGRSRGL
FKpVXJOL$WWLH0HPRULHGHOOD6RFLHWi,VWULDQDGLDUFKH
RORJLD H VWRULD SDWULD GL 3DUHQ]R 6LFFRPH SHU OD SULPD
PHWjGHO;;VHFRORQRQSRVVLDPRSDUODUHGLXQDVWRULR
JUDILD VODYD GHOO
,VWULD QHO VHFRQGR GRSRJXHUUD JOL VWX
GLRVL MXJRODYL SUHGLOHVVHUR LQ SDUWLFRODU PRGR OR VWXGLR
GHOOHFRQGL]LRQLHWQLFKHHGHFRQRPLFKHQHLFRQWHVWLUX
UDOLSRLFKpSURSULRFROjODSUHVHQ]DVODYDHUDVXSHULRUH
/H RSHUH UHDOL]]DWH VLQR DOOD ILQH GHJOL DQQL PD
DQFKH SL~ WDUGL HUDQR FRQWUDGGLVWLQWH GD XQD PDUFDWD
LPSURQWD LGHRORJLFD GL VWDPSR PDU[LVWD PD DQFKH
QD]LRQDOLVWLFD 1RQRVWDQWH WXWWR SHUy XVFLURQR FRQ
WULEXWLGLWXWWRULVSHWWR,QTXHVWRFRQWHVWREDVWLULFRUGDUH
LOODYRURGL0LURVODY3DKRU6RFLDOQLERMLYREßLQL3LUDQ
RG;9GR;9,,,VWROHWMD>/RWWHVRFLDOLD3LUDQRGDO;9DO
;9,,, VHFROR@ GHO FKH QRQRVWDQWH QRQ VLD XQ OD
YRURGLFDUDWWHUHQD]LRQDOLVWLFRVLIRQGDHVFOXVLYDPHQWH
VXOODWHRULDGHOFRQIOLWWR
,YHWLFVRWWROLQHDFKHPHQWUHSRVVHGLDPRXQQXPHUR
LSRWHWLFR GHJOL DELWDQWL QHOO
HWj DQWLFD PDQFDQR GHO
WXWWR L GDWL SHU LO 0HGLRHYR H QRQ VL SXy LSRWL]]DUH OD
TXDQWLWj GHJOL VWHVVL SULPD GHO ;,9 VHFROR $QFKH LO VH
FROR VXFFHVVLYR QRQ IRUQLVFH DOOR VWXGLRVR XQD FRSLRVD
GRFXPHQWD]LRQH H VL SXy VRVWHQHUH SLXWWRVWR FKH LO
EXLRLQPDWHULDGLFLIUHSHUFLyFKHFRQFHUQHLO4XDWWUR
FHQWR LOOXPLQDWR TXj H Oj GDJOL VSUD]]L GL OXFH GHOOH
QRWHFRPHTXHOOHVX3RODH3DUHQ]RVX3LUDQRH$OERQD
QRQ EDVWD FHUWR D GDUH XQ
LGHD FKLDUD GL FRPH VL SUH
VHQWDYD OD SRSROD]LRQH FRPSOHVVLYD QHOOD SHQLVROD S
1RQRVWDQWH QRQ FL VL SRVVD VELODQFLDUH SHU PDQ
FDQ]DGLGDWL,YHWLFqFRQYLQWRFKHLO;9VHFRORGRYHYD
HVVHUHGDOSXQWRGLYLVWDGHPRJUDILFRXQSHULRGRIHOLFH
D GLIIHUHQ]D GHO ;9, FRQWUDGGLVWLQWR GD FRQIOLWWL SHVWL
OHQ]HVFRUUHULHHFF1HO
ODSHQLVRODLVWULDQDSRWHYD
DQQRYHUDUH XQD SRSROD]LRQH FRPSUHVD WUD H
DELWDQWLS,O SHULRGR FRPSUHVR WUD LO HG LO IX SUREDELOPHQWH LO SHULRGR SL~ FULWLFR GDO
SXQWR GL YLVWD GHPRJUDILFR OD FXL VWDJQD]LRQH IX LO UL
VXOWDWRGLXQDFULVLHFRQRPLFDLOFXLVLVWHPDSURGXWWLYR
VL OLPLWy D IRUQLUH LO PLQLPR LQGLVSHQVDELOH SHU O
DXWR
FRQVXPR H OD VXVVLVWHQ]D D FDXVD GHOOD PDQFDQ]D GL
EUDFFLDFKHODYRUDVVHURLOWHUUHQR,OSHULRGRGLFULVLRY
YHURODVWDJQD]LRQHFLQTXHŸ VHLFHQWHVFD q FHUWDPHQWH
XQSHULRGRYLVWRQHOO
LQVLHPHFRPSOHVVRHVSHFLILFRLQ
FXLVLELODQFLDQRORVSRSRODPHQWRHGLOUHODWLYRULSRSR
ODPHQWRSURFHVVLFKHFHUWRQRQSRVVRQRYHQLUFRQFHSLWL
QpLQWHUSUHWDWLLQPRGRVWRULFRŸOHWWHUDULRFRPHVHIRV
VHUR VHTXHQ]H GUDPPDWLFKH WUDJHGLH FROOHWWLYH HVSUHV
VLRQLGHOODGHFDGHQ]DGHOODFLYLOWjODWLQDGDOVRUJHUHGL
XQD VODYD S 6L YHULILFy FLy LQ TXDQWR OD PRGHU
QLVWLFD LVWULDQD DYHYD SUHVR LQ FRQVLGHUD]LRQH VROWDQWR
DOFXQH IRQWL WHVWLPRQLDQ]H GHL UHWWRUL GHL SUHODWL
FRURJUDILHLJQRUDQGRQHDOWUHHSHUFLyJLXQVH DOOH VROLWH
H QRWH FRQFOXVLRQL *LXOLR &HUYDQL HG (WWRUH 'H
)UDQFHVFKLGLFRQRFKHORVSRSRODPHQWRqXQRGHLSULQ
FLSDOLSUREOHPLGHOO
HWjPRGHUQD,YHWLFFRQFRUGHFRQL
SULPLGXHDJJLXQJHLQROWUHFKHqSXUHXQSUREOHPDVWR
ULRJUDILFR ,O ;9, VHFROR IX LQGXEELDPHQWH XQ SHULRGR
IXQHVWR SHU O
LQWHUD UHJLRQH 'DOOD JXHUUD FRQWUR 0DV
VLPLOLDQR G
$VEXUJR FKH GHYDVWy LO 3LQ
JXHQWLQR OD FRQWHD DUFLGXFDOH 0RQWRQD 'LJQDQR $O
ERQD 0XJJLD HFF VHJXu OD SHVWH FKH QRQ ULVSDUPLy
QHPPHQRODIDVFLDFRVWLHUDFKHLQSUHFHGHQ]DXVFuLQ
GHQQHGDOFRQIOLWWRLOIODJHOORFROSuSDUWLFRODUPHQWH3ROD
6H WXWWR FLy QRQ EDVWDVVH LO IX XQ DQQR
SDUWLFRODUPHQWH ULJLGR H SRUWy DOOD SHUGLWD GL EXRQD
SDUWH GHJOL ROLYL PHQWUH QHJOL DQQL H O
HSLGHPLD GHOOD SHVWH LPSHUYHUVy QHOO
,VWULD QRUG Ÿ RF
FLGHQWDOH S ,O IX SXUH LO SHULRGR GHOOD FROR
QL]]D]LRQH GHOO
,VWULD GD SDUWH YHQH]LDQD H ,YHWLF QH
DQDOL]]D OD SROLWLFD GHPRJUDILFD DWWD D ULSRSRODUH TXHL
WHUULWRUL LVWULDQL GLVDELWDWL R TXDVL 1HO YHQQH IRQ
GDWD &DUQL]]D GD SDUWH GL XQ JUXSSR GL IDPLJOLH SUR
YHQLHQWL GHOO
HQWURWHUUD ]DUDWLQR PHQWUH D 3ROD ULGRWWD
488
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
DGXQRVSDUXWRQXPHURGLDELWDQWLQHOJLXQVHUR
IDPLJOLHRULJLQDULHGL0DOYDVLDH1DSROL0RUHDIXJJLWH
GDL ORUR WHUULWRUL LQ VHJXLWR DOO
DYDQ]DWD RWWRPDQD LQ
*UHFLD /D JHRJUDILD GHL YLOODJJL IRQGDWL H[ QRYR YD
RVVHUYDWD DQFKH LQ EDVH DOOD IXQ]LRQH FKH HVVL VYROVHUR
QHOFRUVRGHO;9,VHFROR9LOODGL5RYLJQRYHQQHFUHDWD
SHU EORFFDUH R FRPXQTXH RVWDFRODUH XQ HYHQWXDOH
VIRQGDPHQWR DXVWULDFR YHUVR OD FRVWD S $OWUL LQ
VHGLDPHQWL YHQQHUR IRQGDWL QHL WHUULWRUL SURVSLFLHQWL OD
FRQWHD GL 3LVLQR RYH VL HVWHQGHYD LO OLPHV YHQH]LDQR
OXQJRODSHQLVROD/D]RQDGLIURQWLHUDHUDFDUDWWHUL]]DWD
GDFRQWLQXLVFRQILQDPHQWLŸYLVWRFKHSHUPROWRWHPSR
OH GXH SDUWL QRQ ULXVFLURQR D VWDELOLUH XQD OLQHD GL GH
PDUFD]LRQH EHQ SUHFLVD Ÿ GD UD]]LH GL DQLPDOL GL
VWUX]LRQH GHL UDFFROWL HFF 4XHVWL DWWULWL VIRFLDURQR EHQ
SUHVWR LQ VFRQWUL FKH SURGXVVHUR DQFKH PROWH YLWWLPH
TXHVWDLQIDWWLIXODUHDOWjGHOOH]RQHGLFRQILQHWUDLO;9,
HGLO;9,,,VHFROR
/
DXWRUH SURVHJXH OD VXD WUDWWD]LRQH RVVHUYDQGR LO
FDORGHPRJUDILFRSURYRFDWRGDOODJXHUUDGL*UDGLVFDR
GHJOLXVFRFFKLFKHLQWHUHVVyODUHJLRQHWUDLOHGLO
/D SHVWH GHJOL DQQL GHO ;9,, VHFROR SURYRFy
OD GHFLPD]LRQH GHOOD SRSROD]LRQH VSHFLDOPHQWH QHO
PHULGLRQH GHOOD SHQLVROD QHOOD ]RQD GHO FDQDOH GL
/HPHOXQJRODFRVWDRFFLGHQWDOHWUD6DOYRUHH3DUHQ]R
H QHO &DSRGLVWULDQR VHWWHQWULRQDOH 1HJOL DQQL GHO
6HLFHQWRULSUHVHURLIOXVVLPLJUDWRULYHUVRO
,VWULDYHQHWDL
FRORQLYHQQHURFROORFDWLQHO3DUHQWLQRQHOOD3ROHVDQDD
'XH &DVWHOOL D 6DQ /RUHQ]R 7UD LO JLXQVHUR
PROWHIDPLJOLHSURYHQLHQWLGDOOD]RQDGHO9HOHELW GDOOD
%RVQLDRFFLGHQWDOHGDOOH%RFFKHGL&DWWDURHGDO0RQ
WHQHJURS,QTXHVWRFRQWHVWRO
DXWRUHULFRUGDJOL
+DMGXN H L &UHWHVL JLXQWL FROj QHOOD VHFRQGD PHWj GHO
;9,,VHFROR,SULPLHUDQRRULJLQDULGHOOH%RFFKHGL&DW
WDURHJLXQVHURD3RODQHOPDJJLRGHO$FDVXDGHO
ORURFDUDWWHUHLUUXHQWRHPLQDFFLRVRVLYHULILFDURQRQRQ
SRFKL SUREOHPL FRQ O
HOHPHQWR DXWRFWRQR *OL +DMGXN
HUDQR JXHUULHUL SDJDWL GDOOD 6HUHQLVVLPD SHU GLIHQGHUH L
OHPELPHULGLRQDOLGHLVXRLWHUULWRULDGULDWLFLHSHUFLyJOL
VWHVVLHEEHUR JURVVL SUREOHPL D SODFDUH L ORUR VSLULWL H D
WUDVIRUPDUVL LQ DJULFROWRUL H GRSR EUHYH WHPSR ODVFLD
URQRODSHQLVRODSHUUDJJLXQJHUH OD 'DOPD]LD , FUHWHVL
FKH ODVFLDURQR O
LVROD LQ VHJXLWR DO FRQIOLWWR WXUFR Ÿ
YHQH]LDQR VL VWDELOLURQR QHOOD ]RQD GL 3D
UHQ]R H QRQ GLPRVWUDURQR JURVVH GLIILFROWj DG DGDWWDUVL
DOQXRYRDPELHQWHS
,O;9,,,VHFRORVLSUHVHQWDLQYHFHFRPHLOSHULRGRLQ
FXL VL YHULILFD XQD FUHVFLWD GHOOD SRSROD]LRQH QRQR
VWDQWHLSULPLDQQLGHOQXRYRVHFRORVLDQRFDUDWWHUL]]DWL
GD XQD SDUWLFRODUH RQGDWD GL IUHGGR FKH FROSu O
LQWHUR
0HGLWHUUDQHRHXURSHRHSURYRFyODJHODWDGLJUDQSDUWH
GHJOLROLYL*OLDQQLIXURQRLQWHUHVVDWLGD
XQDJUDQGHFDUHVWLDGLFHUHDOLPHQWUHQHOVLDIIDF
FLDURQRQXRYDPHQWHLQPDUHLSLUDWLGXOFLJQRWWLS
1RQRVWDQWHWXWWRFLyQHOODSHQLVRODLVWULDQD SRWq
DQQRYHUDUHXQDSRSROD]LRQHSDULDDELWDQWLHOD
FXLFUHVFLWDFRQWLQXyDQFKHQHO;,;VHFRORQHOJOL
DELWDQWLFRPSOHVVLYLULVXOWDYDQRHVVHUHS
'RSR DYHU WUDFFLDWR O
DQGDPHQWR GHPRJUDILFR LVWUL
DQRDWWDYHUVRLVHFROLDQDOL]]DQGRLYDULIDWWRULFKHSUR
YRFDURQR OH FUHVFLWH OH ULFDGXWH OD VWDJQD]LRQH ,YHWLF
SURVHJXH LO VXR DPSLR VDJJLR RVVHUYDQGR DOFXQH SDUWL
FRODUL UHDOWj 9HQJRQR SUHVH LQ FRQVLGHUD]LRQH OH YL
FHQGHXUEDQHGL&DSRGLVWULDQHOSHULRGRFRPSUHVHRWUD
LOHGLOSSODGHSUHVVLRQHGHPR
JUDILFD GL 3ROD 3DUHQ]R H &LWWDQRYD QHJOL DQQL SSO
DVFHVDGL5RYLJQRSSH
OD FRQVLVWHQ]D H OD GLVWULEX]LRQH GHO FOHUR QHO 6HW
WHQFHQWR SS ,O YROXPH VL FRQFOXGH FRQ XQD
YDVWD DSSHQGLFH GL WDEHOOH SS LQ FXL YHQ
JRQR HVSRVWL L SL~ VYDULDWL GDWL LQHUHQWL OD SRSROD]LRQH
GHOO
,VWULD QHOO
HWj PRGHUQD 3HU UHQGHUH O
LGHD GHOO
LP
SRUWDQ]D GL TXHVWD SDUWH GHO OLEUR LQGLFKLDPR DOFXQH
WDEHOOHDPR
G
HVHPSLRODFUHVFLWDQHOOD GLRFHVL GL &LW
WDQRYDSORVYLOXSSRGHPRJUDILFRGL
DOFXQLFHQWULUXUDOLQHOO
DUHDGHO4XLHWRS
ODSRSROD]LRQHQHOODFRQWHDGL3LVLQRQHOS
LOPRYLPHQWRQDWXUDOHGHOODSRSROD]LRQHGL3LVLQR
OD VWUXWWXUD GHOOD IDPLJOLD D 3DUHQ]R QHO
SHFF
/D PHWLFRORVD ULFHUFD GL (JLGLR ,YHWLF q VLFXUDPHQWH
OR VWXGLR PRQRJUDILFR SL~ VHULR H DPSLR FKH VLD VWDWR
VFULWWRQHOVHFRQGRGRSRJXHUUDLPSRUWDQWHDQFKHSHULO
IDWWR FKH O
DXWRUH KD FHUFDWR GL UDSSUHVHQWDUH OD FRP
SOHVVD UHDOWj LVWULDQD QHOO
HWj PRGHUQD LQWHUVHFDQGR
QHOOD WUDWWD]LRQH XQD YDVWLVVLPD OHWWHUDWXUD GDOO
2WWR
FHQWR DG RJJL H XQ
DOWUHWWDQWR DPSLD GRFXPHQWD]LRQH
G
DUFKLYLR FKH IRUQLVFH XOWHULRUL GDWL XWLOL DOOD ULFR
VWUX]LRQH GHJOL DVSHWWL GHOOD SRSROD]LRQH LVWULDQD GDO
O
DXWXQQRGHO0HGLRHYRDLSULPLGHFHQQLGHO;,;VHFROR
TXDQGRGRSRJXHUUHSHVWLOHQ]HFDUHVWLHLPPLJUD]LRQL
GHOOH SRSROD]LRQL SL~ HWHURJHQHH GD SDUWH GL 9HQH]LD
LQL]LDYD OD FUHVFLWD HVSRQHQ]LDOH GHOOD SRSROD]LRQH
GHOODSHQLVRODIDYRULWDGDOOHPLJOLRULFRQGL]LRQLGLYLWD
GDLQRWHYROLSURJUHVVLVDQLWDULGDXQDPDJJLRUHSURGXW
WLYLWj DJULFROD H GDOOD GLIIXVLRQH GHOOD FROWXUD GHOOD SD
WDWD
,OYROXPH/
,VWULDPRGHUQD8Q
LQWURGX]LRQHDLVHFROL
;9,;9,,,SXEEOLFDWRQHOODQRWDFROODQDGHJOL$WWLGHO
&56URYLJQHVHQHOqXQDJLOHHLPSRUWDQWHODYRUR
LQHUHQWHO
,VWULDGHOO
DQFLHQHUnJLPH,YHWLFVRVWLHQHFKH
LO OLEUR QRQ q XQ ULHSLORJR GHOOD VWRULD LVWULDQD QHOO
HWj
PRGHUQDSRLFKpqDQFRUDSUHPDWXURSHUIDUORPDEHQVu
XQD UDSLGD LQWURGX]LRQH VXOOH SUREOHPDWLFKH GHOOD UH
JLRQH QHO SHULRGR VXFFLWDWR /
DXWRUH IRUVH FRQ WURSSD
PRGHVWLDVRVWLHQHFKHORVFULWWRqULYROWRVRSUDWWXWWRDL
JLRYDQL H DJOL VWXGHQWL LQ JHQHUDOH FRPH SULPR DYYLR
DOOD FRQRVFHQ]D GHOOD VWRULD PRGHUQD GHOOD SHQLVROD $
QRVWURDYYLVRSRVVLDPRGLUHLQYHFHFKHLOYROXPHUDS
SUHVHQWD XQ
RWWLPD VLQWHVL GHOOD VWRULD GHOO
HWj PRGHUQD
GHOO
,VWULD LQ EDVH DOOH ULFHUFKH VLQRUD HIIHWWXDWH VLDPR
489
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
DQFKHQRLGHOSDUHUHFKHTXHVWRSHULRGRVWRULFRGHEED
HVVHUH XOWHULRUPHQWH DQDOL]]DWR FRQ O
DXVLOLR GHOOD
GRFXPHQWD]LRQHDQFRUDVHSROWDQHLSL~VYDULDWLDUFKLYL
HDOO
LQVHJQDGLXQGLVFRUVRVWRULRJUDILFRVFHYURGLTXDO
VLDVL LPSOLFD]LRQH GL QDWXUD SROLWLFD HR QD]LRQDOLVWLFD
FKHSHUPROWRWHPSRKDFDUDWWHUL]]DWRLOWUHQGGHOOHVWR
ULRJUDILHLWDOLDQDHMXJRVODYDHRIIUHDOWUHVuPROWLVSXQWL
SHUXOWHULRULULIOHVVLRQLHULFHUFKHVXDUJRPHQWLGLQDWXUD
VRFLDOHHFRQRPLFDSROLWLFDHFF
/
,VWULD VLQR DO ;,; VHFROR HUD FDUDWWHUL]]DWD GDOOH
HWQLHPDQRQDQFRUDGDOOHQD]LRQLHGqSHUFLyGHVFULWWD
FRPHO
,VWULDGHOOHSLFFROHSDWULHGHLFRPXQLHGHLIHXGL
/
DXWRUHKDILVVDWRFRPHHVWUHPLGHOOD VXD WUDWWD]LRQH LO
VHQWHQ]D GL 7UHQWR H GHILQL]LRLQH GHL FRQILQL DO
O
LQWHUQR GHOOD SHQLVROD HG HOLPLQD]LRQH GHOOH HQFODYHV
IHXGDOL HG LO FDGXWD GHOOD 6HUHQLVVLPD PD FR
PXQTXH DYYHUWH FKH VL WUDWWD VROWDQWR GL XQD SHULRGL]
]D]LRQH GL FRPRGR SRLFKp O
DQWLFR UHJLPH QRQ WUD
PRQWy FRQ OD ILQH GHOOD 'RPLQDQWH H QHPPHQR FRQ
O
DYYHQWRGHO5HVWDXUD]LRQHSHUFKpVLFRQVHUYyLQFHUWH
UHDOWj VLQR DOOD ILQH GHOOD JUDQGH JXHUUD RYYHUR VLQR DO
VHFRQGRGRSRJXHUUD
,O SULPR SHULRGR GHOO
HWj PRGHUQD IX LQWHUHVVDWR GD
XQULFDPELRLQLQWHUURWWRGLJHQWLQHLFRQWDGLHQHLFHQWUL
XUEDQL LQROWUH QHO SHULRGR FRPSUHVR WUD LO HG LO
OD SHQLVROD FRQREEH OD FRORQL]]D]LRQH RUJDQL]
]DWD 6HSSXUH LO YROXPH SUHQGD LQ HVDPH OD SHQLVROD
FRPHXQFRUSRXQLFRHVVDHUDFDUDWWHUL]]DWDGDGXHUH
DOWjTXHOODYHQH]LDQDIRQGDWDVXOODFLYLOWjFRPXQDOHH
TXHOOD DEXUJLFD IHXGDOH H JHUPDQLFD /H FLWWj GHO
O
$GULDWLFRRULHQWDOHTXDVLWXWWHDSSDUWHQHQWLD9HQH]LD
HFFHWWR7ULHVWHH)LXPHDXVWULDFKHODUHSXEEOLFDGL5D
JXVDHJOLVFDOLRWWRPDQLGL$QWLYDUL'XOFLJQR'XUD]]R
H9DORQDDYHYDQROHORURLVWLWX]LRQLQRUPHHWUDGL]LRQL
HUDQR SURIRQGDPHQWH OHJDWH DO PDUH H DL FRPPHUFL
QRQFKp SUHVHQWDYDQR OH SHFXOLDULWj GHOOH VWUXWWXUH
HFRQRPLFKH RYYHUR XQ
LQVXIILFLHQWH SURGX]LRQH FHUH
DOLFRODHXQ
DEERQGDQ]DGLROLRHYLQR,WHUULWRULYHQHWL
GHOOD SHQLVROD FRPSUHQGHYDQR LO GHOOD VXSHUILFLH
WRWDOH O
,VWULD FRPXQDOH V
DWWHVWDYD QHO GHOOD UH
JLRQH FRQ XQD SRSROD]LRQH SDUL DO GHO WRWDOH S
,YHWLFLQGLFDSXUHFKHODSHQLVRODLVWULDQDHUDVXGGL
YLVDLQFRPXQLHODVRFLHWjFRPXQDOHHUDVXGGLYLVD
LQ WUH FDWHJRULH F
HUDQR TXDWWUR FLWWj FLRq DQWLFKL PX
QLFLSLHVHGLYHVFRYLOL&DSRGLVWULD&LWWDQRYD3DUHQ]RH
3RODRWWRWHUUHRYYHURERUJKLGLFDUDWWHUHXUEDQR0XJ
JLD,VROD3LUDQR8PDJR%XLH5RYLJQR'LJQDQRH$O
ERQD H VHWWH FDVWHOOL FHQWUL PLQRUL PXUDWL H VLWXDWL
SUHYDOHQWHPHQWH DOO
LQWHUQR 3LQJXHQWH *ULVLJQDQD
0RQWRQD3RUWROH6DQ/RUHQ]R9DOOHH)LDQRQDS
,Q WXWWH TXHVWH UHDOWj YL HUD SUHVHQWH XQD SRGHVWDULD
WUDQQH$OERQDH)LDQRQDFKHIDFHYDQRXQ
XQLFD FRP
SDJLQH LO FXL SRGHVWj YHQLYD VFHOWR DOO
LQWHUQR GHO SD
WUL]LDWRYHQHWRHODVXDFDULFDGXUDYDXQDQQRHPH]]R
1HOODFRQWHDDUFLGXFDOHLOWHUULWRULRHUDVXGGLYLVRLQYHFH
LQ FLWWj 6WDWW RYYHUR 3HGHQD *DOOLJQDQD $QWLJQDQD
FLWWDGLQH6WkGWO3LVLQR9HUPR/DXUDQDFRPXQLWj FR
PDXQ *LPLQR 3LVLQYHFFKLR /LQGDUR H %RJOLXQR H LQ
ILQHLQIUD]LRQLIOHNKHQS
'RSR DYHU HVSRVWR DOFXQL GDWL FRQFHUQHQWL OD
VLWXD]LRQH H OH UHDOWj GHOO
,VWULD LQ HWj PRGHUQD ,YHWLF
LQL]LD D WUDFFLDUH DOFXQL DVSHWWL LQHUHQWL O
HFRQRPLD OD
VRFLHWj H OH TXHVWLRQL HWQLFKH 3HU TXDQWR DWWLHQH LO QX
PHUR GHOOD SRSROD]LRQH LVWULDQD QHO SHULRGR VXFFLWDWR
QRQVLGLVSRQHGLGDWLFHUWLHVROWDQWRFRQO
DSSOLFD]LR
QHGHOOH$QDJUDILGDSDUWHGHOORVWDWRYHQHWRFKH
VL LQL]LD DG DYHUH XQ TXDGUR SL~ GHWWDJOLDWR LQHUHQWH OD
SRSROD]LRQH 1RQRVWDQWH QRQ VLDQR HVHQWL GD SRVVLELOL
HUURUL TXHVWH UDSSUHVHQWDYDQR VLFXUDPHQWH XQR GHL
VLWHPL SL~ DYDQ]DWL GHOO
DQWLFR UHJLPH SHU FDOFRODUH OD
SRSROD]LRQH QRQFKp SHU UHJLVWUDUH OD WLSRORJLD GHOOH DW
WLYLWj HFRQRPLFKH SUHVHQWL QHOOR VWDWR /D SRSROD]LRQH
LVWULDQDVXEuXQGHFUHPHQWRQHOJLURGLSRFKLGHFHQQLD
FDXVD GHL FRQIOLWWL GHOOH HSLGHPLH H GHOOH FDUHVWLH FKH
QRQULVSDUPLDURQRODSHQLVROD1HOHVVD SUREDELO
PHQWH VL DJJLUDYD DWWRUQR DOOH XQLWj RYYHUR
QHO VFHQGHQGR GL ROWUH OD PHWj QHOSHUULSUHQGHUHDFUHVFHUHQHOVHFROLVXFFHVVLYL
S
/
HFRQRPLD LVWULDQD QHOO
HWj PRGHUQD HUD IRQGDWD LQ
EXRQD SDUWH VXOO
DJULFROWXUD H VX DOWUH DWWLYLWj FKH
490
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
QDFTXHURLQGHWHUPLQDWHDUHHFRPHDGHVHPSLRO
HVWUD
]LRQHGHOFDUERQHQHOO
$OERQHVHDSDUWLUHGDOODPHWjGHO
;9,,, VHFROR ,YHWLF VL VRIIHUPD SXUH VX GXH UHDOWj EHQ
GLVWLQWH TXDOL 3LUDQR H 5RYLJQR /D SULPD QRWD SHU OH
VXH VDOLQH FKH OH IUXWWDYDQR JURVVL LQWURLWL LPSLHJDYD
QHJOLVWDELOLPHQWLVDOLIHULFLUFDLOGHOODIRU]D OD
YRUR 5RYLJQR DOOD ILQH GHO ;9,, VHFROR FRQREEH XQD
ULYROX]LRQHQHOODWHFQLFDGHOODSHVFD,URYLJQHVLDEEDQ
GRQDURQRLOSUHFHGHQWHPRGHOORGLSHVFDLQSUHYDOHQ]D
OXQJR OD FRVWD H VIUXWWDPHQWR GHOOH SHVFKLHUH GL SUR
SULHWjIHXGDOHHFFOHVLDVWLFDHGLQL]LDURQRDSUDWLFDUHOD
SHVFD G
DOWXUD VFHJOLHQGR FRPH ]RQD LO PH]]RJLRUQR
LVWULDQRPHQRDELWDWRHVRSUDWWXWWRSL~ULFFRGLSHVFHLQ
SURVVLPLWjGHO4XDUQHUR
0ROWRLQWHUHVVDQWHODSDUWHGHGLFDWDDOOHSRSROD]LRQL
FKH DELWDURQR OD SHQLVROD QHOO
HWj PRGHUQD /
DXWRUH
ULEDGLVFH FKH QHO VXGGHWWR SHULRGR QRQ HVLVWHYD LO FRQ
FHWWR GL QD]LRQDOLWj PD FKH HUD LQYHFH VYLOXSSDWR LO
FRQFHWWR GL QD]LRQH FDUDWWHUL]]DWR GDOOD VXGGLWDQ]D
GDOOD OLQJXD G
XVR GDL FRVWXPL HFF 7UDWWDQGR TXHVWH
SUREOHPDWLFKH q SULYR GL VLJQLILFDWR DSSOLFDUH L QRVWUL
SDUDPHWUL DG HSRFKH FKH LQYHFH OH LJQRUDYDQR 9MH
NRVODY %UDWXOLß LQ XQD PRQRJUDILD LQHUHQWH 9LOOD GL
5RYLJQR VFULYH FKH JOL DELWDQWL HUDQR LWDOLDQL H FURDWL
,YHWLF q GHO SDUHUH FKH QRQ VL SRVVD VHPSOLILFDUH D
ULGXUUHDXQRŸGXHFRPSRQHQWLLYDULJUXSSLRYYHUROH
QD]LRQLGHOSDVVDWRLVWULDQRHVRVWLHQHFKHLIXWXULVWXGL
GRYUDQQRFHUFDUHGLDQDOL]]DUHFRQTXDOLLGHQWLWjVLDQR
YLVVXWL L YDUL JUXSSL QHOOH FDPSDJQH LVWULDQH VLQR DOOD
PHWjGHOO
SULPDFKHTXHVW
XOWLPLJLXQJHVVHURDGL
FKLDUDUVL VORYHQL R FURDWL SS 3HU PROWR
WHPSR O
LGHQWLWj LQ VHQVR G
DSSDUWHQHQ]D VL ULFRQR
VFHYD LQ SULPLV QHO OXRJR GL UHVLGHQ]D ,QROWUH VH QRQ
FRQRVFLDPR OH QRUPH OH UHFLSURFKH XWLOLWj H GLSHQ
GHQ]H OD ORJLFD GHO UDSSRUWR FRPXQH Ÿ FRQWDGR PD
SDUWLDPRGDOSUHVXSSRVWRHWQLFRQRQFDSLUHPRQXOODGL
TXHOORFKHHUDODYLWDUXUDOHQHOO
DQWLFRUHJLPHLVWULDQR
S /D GLFRWRPLD FLWWj LWDOLDQDFRQWDGR VODYR q
VWDWD DQ]LWXWWR XQD WURSSR IDFLOH UDSSUHVHQWD]LRQH GHOOD
SUHVHQ]DGHOOHGXHHWQLHHRJJLQRQKDSL~PROWRVHQVR
SDUODUH GL XQD VSHFLH GL PXUR WUD O
DUHD XUEDQD H OD
FDPSDJQD ,YHWLF FLWD DOFXQH UHDOWj LVWULDQH FRPH $O
ERQD 0RQWRQD 3LQJXHQWH HFF DELWDWL LVWURYHQHWL SHU
GLVWLQJXHUVLGDOFRQWDGRVODYRHOHPHQWLVLJQLILFDWLYLSHU
LQL]DUH D UDJLRQDUH PHGLDQWH OH IRQWL VXOOD TXHVWLRQH
SHU SRL QRQ SDUODUH GHL IHXGL SUHYDOHQWHPHQWH VODYL R
HWQLFDPHQWH PLVWL RSSXUH OD FRQWHD GL 3LVLQR FRQ L
ERUJKL FKH SXU LVRODWL FRQVHUYDYDQR FRQQRWD]LRQL LVWUR
Ÿ YHQHWH LPPHUVL QHOOH FDPSDJQH VODYH /R VWRULFR LQ
GLFD LQROWUH LO GLIIXVR ELOLQJXLVPR FKH HPHUJH LQ WXWWD
XQDVHULHGLIRQWL,YHWLFFRQVLGHUDTXHVWRDVSHWWRFRPH
XQDWHU]DR TXDUWD GLPHQVLRQH FKH LPSUHJQD LO WHUULWR
ULRHFKHYDDOGLOjGDOIDFLOHGXDOLVPRLWDORŸVODYRS
´ TXHVWD OD UHDOWj GHOO
,VWULD LQ HWj PRGHUQD FDUDWWH
UL]]DWD GD XQ
RVPRVL WUD OH SRSROD]LRQL FKH VL PDQ
WHQQHWDOHVSHFLDOPHQWHQHOOHFDPSDJQHVLQRDO;;VH
FROR LO FXL HTXLOLEULR VL UXSSH FRQ OD YLROHQ]D IDVFLVWD
DWWD D VQD]LRQDOL]]DUH O
HOHPHQWR VODYR GHOOD UHJLRQH H
LQVHJXLWRDOO
HVRGRGHOODFRPSRQHQWHLVWURŸYHQHWDQHO
VHFRQGR GRSRJXHUUD FKH FDPELy UDGLFDOPHQWH OD
VLWXD]LRQHHWQLFDLQ,VWULD
4XHVWH SUREOHPDWLFKH SRWUDQQR HVVHUH ULVROWH VRO
WDQWR PHGLDQWH PLQX]LRVH ULFHUFKH FKH WHUUDQQR FRQWR
GHOOH IRQWL HFFOHVLDVWLFKH LQ SULPR OXRJR OH YLVLWH SD
VWRUDOL XQD GRFXPHQWD]LRQH FKH IDUj OXFH VXOOD UHDOWj
UHOLJLRVDGHOOHFDPSDJQHPDQRQVROR ,YHWLF GLFH LQRO
WUH FKH LO SXQWR GL IRU]D LO WUDWWR RULJLQDOH GL XQD
PDWXUDPRGHUQLVWLFDLVWULDQDDSUHVFLQGHUHGDOODOLQJXD
LQ FXL YLHQH VFULWWD VDUj TXHVWR SUHVHQWDUH OD SURSULD
FRPSOHVVLWjHWQLFDDWWUDYHUVRLOSULVPDGHOODVWRULDVRFLD
OHHUHOLJLRVD/DTXDUWDSDUWHGHOYROXPHSRUWDLOWLWROR
GL , SHUFRUVL VWRULRJUDILFL SS H UDSSUHVHQWD
XQ H[FXUVXV GL JUDQGH LQWHUHVVH SRLFKp UDSSUHVHQWD LO
UXRORFKHODVWRULRJUDILDGLTXHVWHWHUUHKDDYXWRGDLVXRL
DOERULVLQRDLQRVWULJLRUQL
/
XOWLPDIDWLFDGL(JLGLR,YHWLFqLOYROXPH2OWUHPDUH
/
,VWULD QHOO
XOWLPR GRPLQLR YHQHWR SXEEOLFDWR GDOO
,VWL
WXWR 9HQHWR GL 6FLHQ]H /HWWHUH HG $UWL GL 9HQH]LD QHO
,OOLEURUDFFRJOLHOHULFHUFKHUHDOL]]DWHGDOO
DXWRUH
SHU OD WHVL GL GRWWRUDWR VYROWD SUHVVR O
8QLYHUVLWj GL
9HQH]LDQHJOLDQQL6LWUDWWDGLXQRVWXGLRGL
SULPDULD LPSRUWDQ]D 1RWHYROL VRQR OH FRQFOXVLRQL GL
,YHWLF RYYHUR OD GLPRVWUD]LRQH FKH O
,VWULD QRQ IX XQD
FRORQLD YHQH]LDQD EHQVu XQD SHULIHULD VWUHWWD GD IRUWL
OHJDPL GL GLSHQGHQ]D SROLWLFD H DPPLQLVWUDWLYD DOOD
6HUHQLVVLPD H FRQ XQD HFRQRPLD SURSULD HG HVVHQ]LDOH
DOODFLWWjODJXQDUH*UD]LHDGXQDPLQX]LRVDHUDJLRQDWD
FRQVXOWD]LRQHGHOODOHWWHUDWXUDVWRULFDODELEOLRJUDILDGD
OXLFRQVXOWDWDVXSHUDGLPROWROHXQLWjHDWWUDYHUVR
O
DQDOLVL GL XQD FRSLRVD GRFXPHQWD]LRQH G
DUFKLYLR
O
DXWRUHKDFRQVXOWDWRSUDWLFDPHQWHWXWWLJOLDUFKLYLGHO
O
$GULDWLFR VHWWHQWULRQDOH FL SUHVHQWD O
,VWULD QHJOL DQQL
FRPSUHVL WUD OD PHWj GHO ;9,, VHFROR DOOD FDGXWD GHOOD
UHSXEEOLFDGL6DQ0DUFR
*OLDQQLLPPHGLDWDPHQWHVXFFHVVLYLDOOD5HVWDXUD]LR
QH FUHDURQR LO PLWR QHJDWLYR GHO GRPLQLR PDUFLDQR LQ
,VWULD H 'DOPD]LD LQ TXDQWR O
DUUHWUDWH]]D GL TXHVWH XO
WLPHGXHUHJLRQLDGHFFH]LRQHGL7ULHVWHYHQLYDQRIDWWH
ULVDOLUHDO;9,,,VHFROR6LFUHyFRVuXQRVFKHPDGHOO
XO
WLPRSHULRGRYHQH]LDQRFKHHEEHGDVXELWRIRUWXQDHVL
PDQWHQQH QHO WHPSR &RVu GDOOD SXEEOLFLVWLFD GLYXOJD
WLYDHVVRSDVVyDOODVWRULRJUDILDOLEHUDOHRWWRŸQRYHFHQ
WHFD YHQQH DFTXLVLWR GD TXHOOD MXJRVODYD H ULPDVH LQ
SLHGL VLQR DJOL DQQL GHO ;; VHFROR 6ROWDQWR QHOO
XO
WLPR TXDUWR GHO VHFROR VFRUVR OD ULFHUFD VWRULFD LQL]Ly
DGLQGDJDUHLOSHULRGRVXGGHWWRIRUQHQGRQXRYLHOHPHQWL
JUD]LH DL TXDOL VL q LQL]LDWR D ULSHQVDUH OD VWRULD GHOOD
VSRQGDRULHQWDOHDGULDWLFDS6HFRQGR,YHWLFO
,VWULD
YHQHWDDSSDULYDDQFRUDGDWDODVXDYLFLQDQ]DPDULWWLPD
FRQOD'RPLQDQWHFRPHXQDSURSDJJLQH HVWUHPD GHOOD
491
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
ODJXQD FRQILQH H DQWHPXUDOH OD SL~ YLFLQD SHULIHULD
DGULDWLFDS
1HOWDUGR
OD'RPLQDQWHFRQFHQWUyLVXRLVIRU]L
YHUVR OD WUDVIRUPD]LRQH GHOOH VWUXWWXUH GL JRYHUQR VL
UD]LRQDOL]]DURQR OH LVWLWX]LRQL PHQWUH QHOOD ILJXUD GHO
UHWWRUH YHQQHUR FRQFHQWUDWH OH FRPSHWHQ]H SL~ LPSRU
WDQWL 1RQ YD GLPHQWLFDWR FKH OD 6HUHQLVVLPD VSHFLDO
PHQWH QHO FRUVR GHO ;9,, VHFROR LQYHVWu FRQVLVWHQWL
FDSLWDOLQHOOHSHULIHULHDGULDWLFKHFRQLOULVXOWDWRFKHDOOD
ILQHULVFRVVH SRFR R QXOOD /H SRSROD]LRQL FKH 9HQH]LD
SRUWy LQ ,VWULD QHFHVVLWDYDQR GL RJQL WLSR G
DLXWR VL
GRYHYDQRGLVWULEXLUHJOLDUQHVLGDODYRURFLERDQLPDOL
VHPHQWLDVVHJQDUHWHUUHQLHSDJDUHLSHULWLULSULVWLQDUHOH
FDVH DEEDQGRQDWH QHL FHQWUL VSRSRODWL S ,YHWLF LO
OXVWUDDOFXQLHVHPSLVLJQLILFDWLYLFKHGLPRVWUDQRFKHLQ
UHDOWjOHXVFLWHGDOOHFDVVHYHQHWHYHUVR OH WHUUH LVWULDQH
HUDQRGLJUDQOXQJDPDJJLRULULVSHWWRDOOHHQWUDWHFKHVL
SUHVHQWDYDQR PLQLPH R DGGLULWWXUD LQHVLVWHQWL FRPH QHO
FDVRGL$OWXUDQHOOD3ROHVDQDRYHQHOYHQQHURLQ
VHGLDWH FLUFD XQ FHQWLQDLR GL SHUVRQH SURYHQLHQWL GDOOD
'DOPD]LD H VSHVL FLUFD GXFDWL 'RSR XQ YHQWHQ
QLR D FDXVD GHOOH DYYHUVLWj FOLPDWLFKH H GHL SUREOHPL
QHOO
DYYLDUHODSURGX]LRQHDJULFRODODFLIUDYHQQHHVWLQ
WD1HOD6DQWD0DULD$OWDGL9DOOHJLXQVHURFLUFD
IDPLJOLHSURYHQLHQWLGDLWHUULWRULRWWRPDQL2OWUHDOOH
VSHVH FKH TXHVWD RSHUD]LRQH FRPSRUWDYD OD 6HUH
QLVVLPD VSHVH XOWHULRUL GXFDWL GHL TXDOL LQ WUHGLFL
DQQLULWRUQDURQRLQFDVVDVRORHLQTXLQGLFLDQQLOH
IDPLJOLHULPDVWHIXURQRVROWDQWRGLHFLS
'DO SXQWR GL YLVWD HFRQRPLFR OD SHQLVROD LVWULDQD
QRQ SRWHYD DQQRYHUDUH DPSLH ]RQH SURGXWWLYH HG LO
FDPSRILVFDOHWUDQQHGD]LSURYLQFLDOLGLGXEELDUHVD
FRPPHUFLR GL ROLR H YLQR GLULWWL GL FDQFHOOHULD SRJ
JLDYD TXDVL HVFOXVLYDPHQWH VXOO
HFRQRPLD GHO &DSRGL
VWULDQR VXOOD VXD IORULGD SURGX]LRQH VDOH ROLR YLQR
PXOLQLHVXOFRQVXPRFKHDYYHQLYDLQFLWWjRYYHURYDUL
GD]LVXOOHRVWHULHEHFFDULHHFFS
/DWHVLFKHYHGHO
$GULDWLFRRULHQWDOHFRPHGRPLQLR
FRORQLDOHGL9HQH]LDKDDYXWRODUJRVHJXLWRQHOODVWRULR
JUDILD (JLGLR ,YHWLF GLPRVWUD FKH LQ UHDOWj OD 6HUHQLV
VLPD YHGHYD O
$GULDWLFR RULHQWDOH FRPH XQD VRUWD GL
SHULIHULD 4XHVWR QRQ YXROH GLUH FKH VL WUDWWDYD GL XQD
]RQD HFRQRPLFDPHQWH SDVVLYD PD GL XQ
DUHD FRQ
XQ
LQGLYLGXDOLWj FRPSOHPHQWDUH ULVSHWWR DOOD FDSLWDOH
S 6H FLy QRQ FRUULVSRQGHVVH DOORUD ULVXOWHUHEEH
VWUDQR FRPH PDL OD 'RPLQDQWH DYHVVH LQYHVWLWR LQ
TXHVWHWHUUHQRQVRORLQIRUWLILFD]LRQLEHQVuDQFKHLQXQD
SROLWLFDGHPRJUDILFDDWWDDULSRSRODUHOHDUHHFROSLWHGDL
IODJHOOL GHOOD SHVWH RSSXUH LQ WXWWD XQD VHULH GL ULIRUPH
SRUWDWHDYDQWLVLQRDJOLXOWLPLJLRUQLGHOOD5HSXEEOLFD
/
DXWRUH FRQFHGH DPSLR VSD]LR DO SUREOHPD GHOOD
SRSROD]LRQH 'DJOL DQQL GHO ;9, VHFROR VLQR DO
WDUGR OD SHQLVROD DSSDULYD FRPH XQD GHVRODWD DS
SHQGLFH PDULWWLPD GHOOD 'RPLQDQWH S L FXL FHQWUL
SULQFLSDOL DQQRYHUDYDQR SRFKH FHQWLQDLD GL DELWDQWL
YHUVRLO3DUHQ]RFRQWDYD FLUFD DELWDQWL 3ROD
&LWWDQRYD FLUFD H GRYH OD VLWXD]LRQH
VDUHEEHFDPELDWDVROWDQWRQHOODVHFRQGDPHWjGHO;9,,,
VHFROR 1HO OD SRSROD]LRQH GL 3ROD UDGGRSSLy
TXHOODGL&LWWDQRYDULVXOWDYDTXLQWXSOLFDWDPHQWUHTXHO
OD GL 3DUHQ]R DGGLULWWXUD GHFXSOLFDWD S ,Q TXHVWR
SHULRGR L SULQFLSDOL SURGRWWL GHOO
,VWULD HUDQR LO OHJQR
O
ROLR G
ROLYD LO YLQR HG LO VDOH /D SURGX]LRQH GHOO
ROLR
G
ROLYD VXEu XQ DXPHQWR HVSRQHQ]LDOH H QHO HVVD
UDGGRSSLy ULVSHWWR DO WUD LO XQ TXDUWR
GHOODVXSHUILFLHFROWLYDWDGHOODUHJLRQHHUDLQWHUHVVDWDGD
ROLYHWL ,O YLQR GHOOD ]RQD VHWWHQWULRQDOH H RFFLGHQWDOH
YHQLYD YHQGXWR DL &UDQ]L FKH SURYHQLYDQR GDOOH WHUUH
DVEXUJLFKH PHQWUH TXHOOR SURGRWWR QHOO
,VWULD RULHQWDOH
ILQLYD VXO PHUFDWR GL )LXPH H 3RUWR 5H /
DUJRPHQWR
LQHUHQWH OD SURGX]LRQH VDOLIHUD YLHQH DPSLDPHQWH WUDW
WDWR ,YHWLF VL VRIIHUPD VXO FDVR GL 3LUDQR SS QRQFKpVXTXHOORGL&DSRGLVWULDSS 7UDWWDQ
GR DUJRPHQWL HFRQRPLFL O
DXWRUH QRQ SRWHYD VRWWUDUVL
GDOO
DQDOLVL GHO IHQRPHQR GHO FRQWUDEEDQGR FKH YHQLYD
YLVWR FRPH XQD OLEHUD PHUFDWXUD
VHQWLWD FRPH XQ GL
ULWWR DO SXQWR GD GLIHQGHUOD FRQ OD IRU]D QHL FRQIURQWL
GHJOLVELUULS,OIHQRPHQRYLHQHLQWHUSUHWDWRDQ
FKHGDOSXQWRGLYLVWDVRFLRORJLFRSRLFKpODSROLWLFDILV
FDOHFKHSURYHQLYDGDOOD'RPLQDQWHDSSDULYDDVWUDWWDD
FKL SUDWLFDYD LO FRQWUDEEDQGR LQ TXDQWR SHU TXHVW
XO
492
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
WLPROD SDWULD FRUULVSRQGHYD DOOD GLPHQVLRQH FRPXQDOH
H GL FRQVHJXHQ]D ULWHQHYD GL QRQ IDUH DOFXQ WRUWR DOOD
SURSULDFRPXQLWjDQ]LODVRVWHQHYDHGLFRQVHJXHQ]DVL
VHQWLYDJLXVWLILFDWRS3URVHJXHQGRFRQJOLDVSHWWL
GL QDWXUD HFRQRPLFD ,YHWLF HYLGHQ]LD L FDPELDPHQWL
FKH VL YHULILFDURQR WUD OD VHFRQGD PHWj GHO H OD
SULPD PHWj GHO 7UD LO OH WHUUH DGULDWLFKH
FRQREEHUR XQ QRWHYROH LPSXOVR HFRQRPLFR H VRFLDOH
FKHFRQWULEXuDOO
DFFHOHUD]LRQHGHOO
LQWHUVFDPELRFRQOH
UHJLRQLFRQWHUPLQLHFRQOHDUHHDGULDWLFKHS
6WXGLDQGR O
,VWULD GHO q GRYHURVR GLVWLQ
JXHUH LO FRQWHVWR UXUDOH GD TXHOOR FLWWDGLQR FRQ OH VXH
GLYHUJHQ]H HWQR Ÿ OLQJXLVWLFKH HFF $WWUDYHUVR O
DQDOLVL
GHOOD $QDJUDIL YHQHWH YHQLDPR D FRQRVFHQ]D FKH QHO
LO GHOOD SRSROD]LRQH LVWULDQD YLYHYD QHL
FRQWDGL ,O ;9,,, VHFROR VL SUHVHQWD FRPH OD VWDJLRQH LQ
FXL VL VWDELOL]]DQR OH FRPXQLWj GL UHFHQWH IRUPD]LRQH
3RLFKpLOFRQFHWWRGLQD]LRQDOLWjQRQHVLVWHYDOHFRPX
QLWjDSSDUWHQHYDQRDXQDQD]LRQHWHUPLQHFKHQRQDV
VXPHYD LO VLJQLILFDWR DWWXDOH PD FRUULVSRQGHYD DOO
LQ
VLHPH GL FDUDWWHULVWLFKH GL XQD FRPXQLWj OLQJXD UHOL
JLRQH XVL H FRVWXPL ,O YHVFRYR 7RPDVLQL YHUVR LO
VXGGLYLGHYDODSRSROD]LRQHLQ FLQTXH JUXSSL RY
YHURLQDWLYLLWDOLDQLJOLVODYLLPRUODFFKLL
JUDGHVL L IULXODQL H L FDUQLHOOL *OL VODYL VL GLIIHUHQ
]LDYDQRGDLPRUODFFKLSHULOIDWWRGLHVVHUHDXWRFWRQLLQ
TXDQWR SUHVHQWL VLQ GDOO
DOWR PHGLRHYR PHQWUH L PRU
ODFFKLHUDQRDQFK
HVVL GL PDWULFH VODYD PD SURYHQLHQWL
LQ ,VWULD GD DOWUL FRQWHVWL LQ VHJXLWR DOOD FRORQL]]D]LRQH
SLDQLILFDWDGL9HQH]LD
3UHQGHQGR LQ FRQVLGHUD]LRQH LO SHULRGR SRVVLDPR GLUH FKH QHOOH FLWWj H QHL FHQWUL PLQRUL GHO OL
WRUDOH VHWWHQWULRQDOH H RFFLGHQWDOH OD SDUODWD HUD TXHOOD
LVWUR Ÿ YHQHWD H TXHOOD LVWUR Ÿ URPDQ]D D VXG GL 5RYL
JQR PHQWUH XQ
DQDORJD FXOWXUD HUD SUHVHQWH DOO
LQWHUQR
FRPH D %XLH *ULVLJQDQD 3RUWROH 0RQWRQD 9DOOH 'L
JQDQR3LQJXHQWHVHEEHQHQHOOH]RQHLQWHUQHIRVVHGLI
IXVR LO ELOLQJXLVPR /XQJR OD FRVWD RULHQWDOH OD OLQJXD
LVWUR Ÿ YHQHWD HUD SURIRQGDPHQWH UDGLFDWD DG $OERQD H
)LDQRQD PHQWUH QHO FRQWDGR SUHYDOHYD OD SDUODWD FLD
NDYD Ÿ FURDWD O
LVWULRWR SUHYDOHYD SRL QHOOD 3ROHVDQD D
)DVDQD D *DOOHVDQR H 6LVVDQR PHQWUH O
LVWUR Ÿ YHQHWR
YHQLYD SDUODWR GD %XLH D 9HUWHQHJOLR VLQR D 9LVLQDGD H
9LVLJQDQR S /
DXWRUH ULOHYD DOWUHVu FKH OD VWRULR
JUDILD KD VSHVVR H YROHQWLHUL XWLOL]]DWR OD VHPSOLFLVWLFD
FRQWUDSSRVL]LRQH FLWWj LWDOLDQD FDPSDJQD VODYD PHQWUH
KD FRPSOHWDPHQWH DFFDQWRQDWR LO SUREOHPD GHO ELOLQ
JXLVPRFKHUDSSUHVHQWDXQDVRUWDGLWHU]DGLPHQVLRQH
LPSRUWDQWH SHU FRPSUHQGHUH PROWL DVSHWWL GHOOD YLWD VR
FLDOH UHOLJLRVD H OLQJXLVWLFD GHOOD UHJLRQH 0DQ PDQR
FKH VL SURFHGHYD YHUVR O
LQWHUQR OD GRSSLD SDUODWD
WHQGHYDDVFRPSDULUHO
DXWRUHHYLGHQ]LDFKHSXUHOXQJR
OD FRVWD HVLVWHYDQR ]RQH PRQROLQJXL VODYH FRPH SHU
HVHPSLR QHL GLQWRUQL GL 3ROD GRYH HVLVWHYD XQD VDFFD
FLDNDYD FKH FRQYLYHYD VHQ]D LQWHUIHUHQ]H FRQ O
LVWUR Ÿ
YHQHWRS
8Q GLVFRUVR D SDUWH YD IDWWR SHU OD FLWWj FKH HUD
PRQROLQJXH LVWUR Ÿ YHQHWD ,YHWLF GLFH FKH q VHPSUH
DSHUWD DOO
LPPLJUD]LRQH GDO WHUULWRULR HVVD q LPSHUPH
DELOH DOOD VXD OLQJXD H GHO UHVWR HVVD HVSULPH DQFKH
FRPHVSD]LRILVLFRO
LGHDGLXQDFXOWXUDFRPXQDOHSL~
YLFLQDDGDQDORJKHVRFLHWjJHPHOOHG
ROWUHPDUHFKHDOOH
YLOOH GHL GLQWRUQL S 1HO L GLHFL FRPXQL
PDULWWLPLGHOO
,VWULDDQQRYHUDYDQRFLUFDDELWDQWL
/D SRSROD]LRQH GHL FHQWUL FRVWLHUL LQL]Ly VHPSUH SL~ DG
RFFXSDUVL QHOOD QDYLJD]LRQH FKH ILQu SHU DIILDQFDUH OD
SHVFD,OJUDQGHLQWHUHVVHYHUVRTXHVWDDWWLYLWjIXGRYXWR
GDOODSHUGLWDGHJOLROLYLGXUDQWHLOIUHGGRGHO1HO
JOLDGGHWWLDOODQDYLJD]LRQH ULVXOWDYDQR DOO¤DOWH]]D
GHO GHOOD SRSROD]LRQH WRWDOH GHL FHQWUL PDULWWLPL
QHO TXHVW
XOWLPL UDSSUHVHQWDYDQR LO S /RVWXGLRVLFRQFOXGHFRQXQDDSSHQGLFHGLWDEHOOHSS
,OOLEURGL(JLGLR,YHWLFDWWUDYHUVRXQDDWWHQWDULOHWWXUD
GHOOD ELEOLRJUDILD HVLVWHQWH DIILDQFDWD GDOO
DQDOLVL GHWWD
JOLDWDGHOOHIRQWLHGLWHHJUD]LHDOORVSRJOLRGLXQDPROH
QRQLQGLIIHUHQWHGLGRFXPHQWLG
DUFKLYLRSUHVHQWDQXRYL
DVSHWWL GHOO
,VWULD GHOO
DQWLFR UHJLPH /R VWHVVR FRQ
WULEXLVFH QRQ SRFR DOOD PRGHUQLVWLFD LVWULDQD FKH SXy
DQQRYHUDUH XQR VWXGLR GL DPSLR UHVSLUR RELHWWLYR HG
HUXGLWR ,O ODYRUR GL ULFHUFD DWWUDYHUVR SUHFLVH H
PLQX]LRVH RVVHUYD]LRQL KD FRQWULEXLWR D GHPROLUH PROWL
OXRJKL FRPXQL FKH KDQQR VLQRUD FRQWUDGGLVWLQWR OD VWR
ULRJUDILD FRQFHUQHQWH O
XOWLPR SHULRGR YHQHWR QHOO
$GUL
DWLFRRULHQWDOH
.ULVWMDQ.QH]
-RVLS9UDQGHßLÝ'$/0$7,16.,$872120,67,à.,
32.5(78;,;672/-(Þ87KH$XWRQRPLVW0RYHPHQW
LQ'DOPDWLDLQWKHWK&HQWXU\
=DJUHE'RPLVYLMHWSS
,Q &URDWLDQ KLVWRULRJUDSK\ WKH DXWRQRPLVW PRYH
PHQW LQ 'DOPDWLD KDV VR IDU EHHQ VWXGLHG PDLQO\
WKURXJK LWV FRQIOLFWV ZLWK WKH QDWLRQDOLVWV ZKR ZHUH DO
ZD\V LQ WKH FHQWUH RI LQWHUHVW LQ WKH WK FHQWXU\ 'DO
PDWLD)RUDWKRURXJKDQGSURIHVVLRQDOUHVHDUFKLQWRWKLV
PRYHPHQW ZKLFK LQ HYHU\ UHVSHFW SRVHG DV DQWL
&URDWLDQ DOWKRXJK QRW DQWL6ODYLF D JUHDWHU WHPSRUDO
GLVWDQFH ZDV QHFHVVDU\ $W WKH HQG RI WKH WK FHQWXU\
ZKHQHQRXJKWLPHKDGSDVVHGVLQFHWKHPRYHPHQWORVW
DOO LWV VLJQLILFDQFH LQ HYHU\GD\ OLIH D QHHG IRU D PRUH
UDGLFDOUHVHDUFKLQWRWKHPRYHPHQWDQGLWVVWUDWLILFDWLRQ
EHFDPHLQFUHDVLQJO\HYLGHQW 7KH QRW DW DOO VLPSOH WDVN
RI DQDO\VLQJ WKH DXWRQRPLVW PRYHPHQW ZLWK D ZLGH
VSHFWUHRILGHDVRFFXUULQJZLWKLQLWVIUDPHZRUNDVZHOO
DV D UHFRQVWUXFWLRQ RI LWV OHDGHUV DQG H[SRQHQWV RI LWV
LGHRORJ\ZDVWDFNOHGE\-RVLS9UDQGHáLßDVVLVWDQWSUR
IHVVRU DW WKH 'HSDUWPHQW RI +LVWRU\ DW WKH )DFXOW\ RI
493
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
3KLORVRSK\ LQ =DGDU +LV SULQWHG PRQRJUDSK RQ WKH
DXWRQRPLVWPRYHPHQWLQ'DOPDWLDLVLQIDFWWKHDXWKRU
V
GRFWRUDOGLVVHUWDWLRQVXFFHVVIXOO\GHIHQGHGDW<DOH 8QL
YHUVLW\LQWKH86$
7KHILUVWSDUWRI9UDQGHáLß
VVWXG\RQWKHDXWRQRPLVW
PRYHPHQWHQWLWOHG3RYLMHVQRQDVOMHàHDFTXDLQWV
XV ZLWK FXOWXUDO KHULWDJH RI 'DOPDWLD IURP DQWLTXLW\ WR
(QOLJKWHQPHQW LQ ZKLFK ERWK DXWRQRPLVWV DQG QDWLRQ
DOLVWVIRXQGWKHEDFNJURXQGVRIWKHLUSROLWLFDOLGHDVDQG
TXRWHG WKHP DV UHIHUHQFHV 7KH VHFRQG SDUW RI WKLV
FKDSWHU LV GHGLFDWHG WR WKH IRXQGDWLRQV RI WKH DXWRQR
PLVW PRYHPHQW 7KH GHYHORSPHQW RI UHJLRQDO FRQ
VFLRXVQHVVZDVPDQLIHVWHGWRDJUHDWH[WHQWLQWKHLGHDV
RI 'DOPDWLDQ %DURTXH DQG (QOLJKWHQPHQW WKLQNHUV 7KH
VWUHQJWKHQLQJ RI WKH UHJLRQDO DZDUHQHVV EHFDPH SDU
WLFXODUO\HYLGHQWLQWKH1DSROHRQLFDQGSRVW1DSROHRQLF
SHULRG ZKHQ ODWH 5RPDQ WUDGLWLRQV ZHUH UHYLYHG WR
JHWKHU ZLWK LQFUHDVLQJ VWUHQJWKHQLQJ RI WKH ,WDOLDQ FXO
WXUDO DQG OLQJXLVWLF LQIOXHQFH )RUPDWLRQ RI WKH DXWRQR
PLVWPRYHPHQWLQ'DOPDWLDZDVQRGRXEWJUHDWO\LQIOX
HQFHGE\WKHLGHDVRIURPDQWLFLVPDQGQDWLRQDOLVP7KH
DXWKRU FRQFOXGHV KRZ WKH SHUFHSWLRQ RI 'DOPDWLDQ
UHFLSURFLW\ RI HYHQWV KDG WLOO WKH UHYROXWLRQDU\ \HDU RI
EHHQ WXUQHG WRZDUGV VRFLDO SROLWLFDO DQG FXOWXUDO
LQWHJUDWLRQRI'DOPDWLD,WZDVRQO\WKHRSSRVLWLRQWRWKH
LQLWLDWLYH E\ =DJUHE WR XQLWH 'DOPDWLD ZLWK &URDWLD WKDW
WUDQVIRUPHG 'DOPDWLDQ UHJLRQDOLVP LQWR DXWRQRPLVP DV
D SROLWLFDO PRYHPHQW ,Q WKH QRELOLW\ DQG WKH HOLWHV RI
WKHFRDVWDOWRZQVSDUWLFXODUO\FLYLOVHUYDQWVWKHRSLQLRQ
DERXW'DOPDWLDQVGLIIHULQJIURP&URDWVEHJDQWRSUHYDLO
DORQJZLWKDZDUHQHVVRI'DOPDWLDEHLQJD6ODYLFHQWLW\
$VHULHVRIGLIIHUHQWRFFXUUHQFHVILQDOO\OHGWRWKHUHMHF
WLRQRIWKHLQLWLDWLYHWRXQLWHZLWK&URDWLD'DOPDWLDDVD
UHJLRQLQZKLFKWKHUHZHUHSUDFWLFDOO\QRUHYROXWLRQDU\
HYHQWV ZDV MXVW VOLJKWO\ VKDNHQ XS E\ WKLV LQLWLDWLYH
ZKLFK PHDQV WKDW SROLWLFDO PRYHPHQWV DQG VWUXJJOH IRU
FHUWDLQ REMHFWLYHV E\ ERWK WKH DXWRQRPLVWV DQG QDWLRQ
DOLVWV ZKRP WKH DXWRQRPLVWV FDOO DQQH[DWLRQLVWV GXH WR
WKHLUZLVKWRDQQH['DOPDWLDWR&URDWLDRQO\EHJDQDI
WHU GXULQJ WKH QHZ GHEDWH RQ UHIRUPDWLRQ RI WKH
+DEVEXUJPRQDUFK\
7KH VHFRQG FHQWUDO SDUW RI WKH VWXG\ ZKLFK FDUULHV
WKH WLWOH &RQIOLFW SS GHDOV ZLWK WKH KLVWRU\ RI
WKH DXWRQRPLVW PRYHPHQW IURP WR LWV SUR
JUDPPH DQG SXEOLF IXQFWLRQLQJ ,W GHVFULEHV WKH UDSLG
VWUHQJWKHQLQJ RI WKH DXWRQRPLVW PRYHPHQW LQ WKH V
WKH FRQIOLFWV DQG SROLWLFDO VWUXJJOH EHWZHHQ 'DOPDWLDQ
UHJLRQDOLVWV DQG &URDWLDQ QDWLRQDOLVWV DQG WKH JUDGXDO
\LHOGLQJ WR WKH &URDWLDQ QDWLRQDO PRYHPHQW LQ WKH V
DQG V 0XFK PRUH LPSRUWDQW KRZHYHU LV WKH IDFW
WKDW WKLV SDUW DOVR GHDOV ZLWK PXWXDO UHODWLRQV DQG GLIIHU
HQFHV EHWZHHQ WKH IROORZHUV RI WKH DXWRQRPLVW PRYH
PHQW WKHPVHOYHV PDLQO\ WKRVH IURP WKH 6SOLW DQG =DGDU
FLUFOHV ,W LV WKLV YHU\ VSHFLDO YLHZ IURP ZLWKLQ WKDW SRVHV
DV WKH JUHDWHVW QRYHOW\ ZKLFK WKH MXVW SXEOLVKHG PRQR
JUDSKRIIHUVWRWKHSXEOLFDQG GXH WR ZKLFK LW ZLOO UHPDLQ
LQGLVSHQVDEOH LQ KLVWRULRJUDSK\ RI WKH VHFRQG KDOI RI WKH
WK FHQWXU\ 'DOPDWLD 7KH QXPHURXV QHZVSDSHU SR
OHPLFV DQG DQWDJRQLVPV ZLWKLQ WKH WKLV PRYHPHQW PDGH
WKH ODWWHU YHU\ G\QDPLF ERWK GXULQJ WKH FRQIOLFWV EH
WZHHQWKH OLEHUDO DQG WKH FRQVHUYDWLYH SROHV DV ZHOO DV LQ
WKH RSSRVLWLRQ RI WKH SXUH UHJLRQDOLVP DQG ,WDOLDQ QD
WLRQDOLVP RU LQ RWKHU ZRUGV LQ 6ODY DQG ,WDOLDQ 'DOPD
WLRQLVP 7KH EHJLQQLQJ RI WKH PRYHPHQW
V IDOO ZDV
PDUNHGE\WKH ORVV RI SRZHU DIWHU WKH HOHFWLRQV IRU WKH UH
JLRQDO SDUOLDPHQW 'DOPDWLDQ 6DERU LQ ZKLOH LWV
ILQDO HQG ZDV HQKDQFHG E\ WKH ORVV RI WKH PDMRULW\ LQ
QXPHURXV WRZQ FRXQFLOV WRJHWKHU ZLWK WKH GHIHDW RI WKH
SRSXOLVW $QWH %DMDPRQWL DW WKH 6SOLW &RXQFLO HOHFWLRQV LQ
7KH WKLUG SDUW 5DVDS IROORZV WKH ZHDNHQLQJ RI WKH
DXWRQRPLVWPRYHPHQWWKHFHQWUHRIZKLFKZDVVWLOOWKH
WRZQRI=DGDUDQGLWVGLJUHVVLRQWRZDUGV,WDOLDQQDWLRQ
DOLVP$OWKRXJKDJUDGXDOLGHQWLILFDWLRQZLWK,WDOLDQQD
WLRQDOLVPKDGLQGHHGEHHQREYLRXVDOUHDG\LQWKHSUHYL
RXV SHULRG IURP WKH WLPH RI ZDUV IRU XQLWHG ,WDO\ LW LQ
IDFWGRPLQDWHGLQWKLV SDUWLFXODU SHULRG 7KLV LGHQWLILFD
WLRQ UHDFKHG LWV SHDN ZLWK WKH \RXQJ ,WDOLDQ UDGLFDOV
PRYHPHQW LQ =DGDU LQ WKH HDUO\ WK FHQWXU\ %\ DF
FHSWLQJ ,WDOLDQ QDWLRQDOLVP WKH DXWRQRPLVW PRYHPHQW
ORVW LWV PHPEHUV ZKR FRXOG VLPSO\ QRW FRQVHQW WR WKH
494
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
,WDOLDQ LGHQWLW\ DQG ILQDOO\ DOVR ORVW LWV HVVHQFH IRU LW
FHDVHG WR EH D UHJLRQDO PRYHPHQW ,Q WKH HQG WKH UH
JLRQDODZDUHQHVVGLGQRWWXUQLQWRWKHQDWLRQDORQHEXW
\LHOGHG WR &URDWLDQ DQG ,WDOLDQ QDWLRQDOLVPV ZKLOH WKH
UHPDLQLQJ DXWRQRPLVWV EHJDQ WR ZDQH DPRQJVW ,WDOLDQ
LUUHGHQWLVWV 7KHLU IXQFWLRQLQJ LQ WKH VHUYLFH RI ,WDOLDQ
QDWLRQDOLVP KRZHYHU KDG D JUHDW LPSDFW RQ LQWHUQD
WLRQDO DJUHHPHQWV DQG ERXQGDU\ GHPDUFDWLRQV DIWHU
:RUOG:DU,
9UDQGHáLß
V PRQRJUDSK RQ WKH DXWRQRPLVW PRYH
PHQW RI 'DOPDWLD LV VXEVWDQWLDWHG RQ D WKRURXJK DUFKL
YDO PDWHULDO UHVHDUFK ,W LV ZULWWHQ LQ FOHDU DQG VLPSOH
VHQWHQFHV ZLWK D FODVVLFDO GUDPD VWUXFWXUH ZKLFK
PDNHV LW DWWUDFWLYH QRW RQO\ WR VSHFLDOLVWV EXW WR WKH
ZLGHUSXEOLFDVZHOO
=GUDYND-HODVND0DULMDQ
(JRQ3HOLNDQ7$-12'(/29$1-(35,0256.(
'8+29Éà,1(32')$É,=02035,0256.,
.5Éà$16.,62&,$/&,0('9$7,.$120
)$É,67,à12,7$/,-2,16/29(16.2.$72/,É.2
'(61,&2Ÿ=*2'29,16.22=$'-(520$1$
.$3/$10$57,1à('(50$&6HFUHW$FWLYLWLHVRIWKH
3ULPRUVND&OHUJ\XQGHU)DVFLVP3ULPRUVND&KULVWLDQ
6RFLDOVEHWZHHQWKH9DWLFDQ)DVFLVW,WDO\DQGWKH
6ORYHQH&DWKROLF5LJKW:LQJDKLVWRULFDOEDFNJURXQG
WRWKHQRYHO.DSODQ0DUWLQÞHGHUPDF
/MXEOMDQD1RYDUHYLMD.RUHQLQHSS
&HQWUH LQ .RSHU LV RQH RI WKH OHDGLQJ H[SHUWV IRU WKH
KLVWRU\ RI 6ORYHQH SROLWLFDO &DWKROLFLVP +LV PDVWHU¤V
WKHVLV $NRPRGDFLMD LGHRORJLMH SROLWLßQHJD NDWROLFL]PD
QD6ORYHQVNHP$FFRPPRGDWLRQRIWKH,GHRORJ\ RI 3R
OLWLFDO&DWKROLFLVPLQ6ORYHQLD0DULERUPHWZLWK
D ZLGH UHVSRQVH DPRQJ WKH SURIHVVLRQDO SXEOLF +LV
GRFWRUDO GLVVHUWDWLRQ WRR ZDV DZDUGHG WKH KLJKHVW
JUDGHV ,W ZDV DGDSWHG IRU SXEOLFDWLRQ DQG UHVXOWHG LQ
WKH SUHVHQW ERRN GHDOLQJ ZLWK DFWLYLWLHV RI WKH 3ULPRU
VNDFOHUJ\
3HOLNDQ¤V ERRN LV PDGH HYHQ PRUH LQWHUHVWLQJ E\ WKH
IDFW WKDW LW FRQWDLQV VRPH ILUVWUDWH DUFKLYDO VRXUFHV
ZKLFK KDYH QHYHU EHHQ SXEOLVKHG RU XVHG IRU UHVHDUFK
EHIRUH 7KH\ KDG ORQJ EHHQ KLGGHQ IURP WKH H\HV RI KLV
WRULDQV DQG PDQ\ ZHUH XQDZDUH RI WKHLU H[LVWHQFH $
OLRQ¤V VKDUH RI WKH FRUUHVSRQGHQFH DQG GRFXPHQWV WKDW
FDQ EH IRXQG LQ 3HOLNDQ¤V ERRN FRPH IURP WKH DUFKLYHV
RI GU (QJHOEHUW %HVHGQMDN D OHDGLQJ &KULV
WLDQ 6RFLDO SROLWLFDO SHUVRQDOLW\ RQ WKH ,WDOLDQ VLGH RI WKH
5DSDOOR ERUGHU %H\RQG GRXEW %HVHGQMDN ZDV D SROLWL
FLDQRIWKH(XURSHDQ IRUPDW KH DOVR ZDV RQH RI WKH OHDG
HUV RI WKH &RQJUHVV RI (XURSHDQ 1DWLRQDOLWLHV ZKHUH KH
ZDV ZRUNLQJ WRJHWKHU ZLWK KLV OLEHUDO IHOORZ WUDYHOOHU GU
-RVLS :LOIDQ 3HOLNDQ¤V ERRN GHGLFDWHV DQ HQWLUH FKDSWHU
/RRNLQJDW5DSDOORDZRUNRIDUWRIWKHSDLQWHU7RQH
.UDOMFKRVHQE\DVVLVWDQWSURIHVVRUGU(JRQ3HOLNDQ IRU
WKHFRYHURIKLVODWHVWERRNGHDOLQJZLWKVHFUHWDFWLYLWLHV
RI WKH 3ULPRUVND FOHUJ\ LQ IDVFLVW ,WDO\ RQH FDQQRW EXW
EHVWUXFNE\WKHWUDJLFH[WHQVLRQRIRSSUHVVLRQRIULJKWV
RI 6ORYHQH DQG &URDW PLQRULWLHV FDSWXUHG DW WKH RWKHU
VLGH RI WKH 5DSDOOR ERUGHU LQ WKH LQWHUZDU SHULRG 7KH
RSSUHVVLRQ ZKLFK LV LUUHSUHVVLEO\ OHDNLQJ IURP WKH 6OR
YHQH QDWLRQDO PHPRU\ ZKLOH KHLUV RI EODFN VKLUWV DUH
WDLORULQJKLVWRULFDOIDFWVDQGSHUVLVWHQWO\DQGDJJUHVVLYHO\
SURSDJDWLQJ WKHLU RZQ WUXWK ZLWK LQFUHDVLQJ FRQIL
GHQFH)RUWXQDWHO\ WKRXJK RQ ERWK 6ORYHQH DQG ,WDOLDQ
VLGHV WKHUH DUH VFLHQWLVWV FRXUDJHRXV HQRXJK QRW WR DO
ORZ WKHPVHOYHV WR EH PLVOHG E\ QDWLRQDOLVWLFDOO\ FRO
RXUHG LQWHUSUHWDWLRQV RI WKH KLVWRU\ RI 6ORYHQH,WDOLDQ
UHODWLRQVLPSRVHGE\WKHGDLO\SROLWLFV$VIRUWKHSDLQIXO
DQGWUDJLFSDVWFRH[LVWHQFHRIWZRQHLJKERXULQJQDWLRQV
LQWKHKHDUWRI(XURSHHYHU\ZRUNGHDOLQJZLWKWKHKLV
WRU\RI6ORYHQH,WDOLDQUHODWLRQVLQDQXQELDVHGDQGVFL
HQWLILFDOO\FRUUHFWZD\LVPRUHWKDQZHOFRPH
2QH RI WKHVH FHUWDLQO\ LV (JRQ 3HOLNDQ¤V PRQRJUDSK
DERXWDFWLYLWLHVRI&KULVWLDQ6RFLDOVLQ9HQH]LD*LXOLDLQ
WKH LQWHUZDU SHULRG 7KH DXWKRU FRQGXFWLQJ UHVHDUFK
ZRUNZLWKLQWKHIUDPHZRUNRIWKH6FLHQFHDQG5HVHDUFK
495
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
WR WKHVH WZR 3ULPRUVND SROLWLFLDQV DQG WKHLU DFWLYLWLHV
ZLWKLQ WKH RUJDQLVDWLRQ RI (XURSHDQ PLQRULWLHV WKXV VHW
WLQJ WKH PLQRULW\ LVVXHV LQWR D ZLGHU (XURSHDQ IUDPH
ZRUN
$IWHU WKH GRZQIDOO RI WKH PXOWLQDWLRQDO +DEVEXUJ
0RQDUFK\ LQ 3ULPRUVND 6ORYHQHV ZKR XVHG WR
HQMR\ UHODWLYHO\ IDYRXUDEOH FRQGLWLRQV IRU WKHLU SROLWLFDO
DQG FXOWXUDO GHYHORSPHQW DW WKH FRQVWLWXWLRQDO OHYHO DOO
QDWLRQDOLWLHV OLYLQJ LQ WKH $XVWULDQ SDUW RI WKH PRQDUFK\
KDG HTXDO ULJKWV VXGGHQO\ IRXQG WKHPVHOYHV OLYLQJ LQ D
VWDWH ZKLFK LQ WKH QDPH RI D VXSSRVHGO\ VXSHULRU FXO
WXUH VWDUWHG WR VXSSUHVV EDVLF ULJKWV RI WKH 6ORYHQH DQG
&URDWPLQRULWLHV:LWKWKHDVFHQWRI0XVVROLQLIDVFLVWVWKH
VWDWH RI DIIDLUV GHWHULRUDWHG IXUWKHU 6ORYHQH FXOWXUH
KRPHV ZHUH EXUQW GRZQ QHZVSDSHUV DQG ERRNV ZHUH
FRQILVFDWHG WKH 6ORYHQH ODQJXDJH GLVDSSHDUHG IURP
VFKRROV 7KHVH WRJHWKHU ZLWK RWKHU DQWLPLQRULW\ DFWV
EHFDPH SDUW RI HYHU\GD\ OLIH :LWK WKH 'XFH¤V LPSHULDO
LVWLF DPELWLRQV JURZLQJ WKH OHYHO RI DJJUHVVLRQ LQ
FUHDVHG WRR )LUVW ZLWK VSHHFKHV LQ WKH SDUOLDPHQW RI
5RPH DQG DWWHPSWV WR LQWHUYHQH E\ WKH DXWKRULWLHV %H
VHGQMDN DQG :LOIDQ WULHG WR DOOHYLDWH WKH VLWXDWLRQ WKH PL
QRULW\ ZDV OLYLQJ +RZHYHU VLQFH WKH HQG RI WKH V
QRQH RI WKHLU LQWHUYHQWLRQV RQ KLJKHVW SRVLWLRQV ERUH
DQ\UHVXOWV
,QWKLVGLIILFXOWSRVLWLRQWKHOHDGHUVKLSRIWKHVWUXJJOH
IRU WKH SUHVHUYDWLRQ RI WKH 6ORYHQH LGHQWLW\ XQGHU WKH
IDVFLVWERRWZDVWDNHQRYHUE\WKH6ORYHQHFOHUJ\2WKHU
UHVLVWDQFHJURXSVH[LVWHGWRROLEHUDOV7,*5HWFQHY
HUWKHOHVV WKH VRFDOOHG 6HFUHW &KULVWLDQ 6RFLDO 2UJDQL
VDWLRQ ZDV WKH PRVW HIILFLHQW DQG WHQDFLRXV RI DOO $
OLRQ¤VVKDUHRIPHULWIRULWVHIILFLHQF\FDQEHDZDUGHGWR
SULHVWVZKRWKHQFRXOGOHDQ RQ D VWURQJ QHWZRUN RI HF
FOHVLDVWLFDO LQVWLWXWLRQV 2QH RI QXPHURXV UHSRUWV IURP
WKH DUFKLYHV RI WKH 0LQLVWU\ RI WKH ,QWHULRU RI WKH .LQJ
GRPRI,WDO\TXRWHGE\3HOLNDQVWDWHVWKDWXQWLOWKH\HDU
,WDOLDQ DXWKRULWLHV LQ 9HQH]LD *LXOLD GLVPLVVHG DOO
6ORYHQH RIILFLDOV HPSOR\HG LQ PXQLFLSDO DGPLQLVWUDWLRQ
DVZHOODVDOO6ORYHQHMXGJHVDQGEDQLVKHGRUGLVPLVVHG
IURPWR6ORYHQHDQG&URDW WHDFKHUV 7KXV WKH
ZKROH6ORYHQHOD\LQWHOOLJHQWVLDVKUDQNWRDSSUR[LPDWHO\
ODZ\HUVGRFWRUVDQGDKDQGIXORISXEOLFZRUNHUV
%XW DW WKH VWURQJKROG RI 6ORYHQHGRP SULHVWV UH
PDLQHG ,Q IDFW WKH\ ZHUH WKH RQO\ RQHV ZKR WDXJKW
6ORYHQHVWR UHDG DQG ZULWH :KDW IDVFLVWV ZHUH PRVW LU
ULWDWHG E\ ZDV WKDW WKH VWDWH DXWKRULW\ FDQQRW WUDQVIHU
SULHVWVWKH\GRQRWKDYHIDPLOLHVDQGDUHLQWKLVUHVSHFW
ILQDQFLDOO\LQGHSHQGHQW
'HVSLWH WKH WUDJLF FKDUDFWHU RI WKH VLWXDWLRQ DW OHDVW
VRPH6ORYHQHSULHVWVPDQDJHGWRSUHVHUYHWKHLUVHQVHRI
KXPRXU'HVFULEHGRQWKHEDVLVRISROLFHUHSRUWVIRXQG
LQWKHDUFKLYHVRIWKH0LQLVWU\RIWKH,QWHULRURIWKH.LQJ
GRP RI ,WDO\ 3HOLNDQ¤V ERRN RIIHUV D ORW RI VXFK LQ
VWDQFHV 3ULHVW ,YDQ %LGRYHF IRU H[DPSOH ZDV VHQ
WHQFHGWRFRQILQRRUGRPHVWLFH[LOHDPRQJRWKHUWKLQJV
KH GLG GXULQJ HFFOHVLDVWLFDO FHUHPRQLHV KH DIIRUGHG
GUHVVLQJ FKLOGUHQ LQ ZKLWH EOXH DQG UHG FORWKHV DU
UDQJLQJ WKHP LQ VXFK D ZD\ WR UHSUHVHQW WKH <XJRVODY
IODJ2Q6KURYHWLGHRQWKHRWKHUKDQGKHGUHVVHGWKHP
LQ IDVFLVW %DOLOOD XQLIRUPV WR PDNH WKHP ORRN OLNH
FKLPQH\VZHHSHUV VD\LQJ WKDW WKLV ZDV ZKDW WKDW XQL
IRUPZDVPRVWVXLWDEOHIRUHWF
'XULQJ WKH ILUVW VWDJHV RI WKHLU VWUXJJOH IRU QDWLRQDO
GHIHQFH SULHVWV FRXOG FRXQW RQ VWURQJ VXSSRUW E\ 3UL
PRUVNDELVKRSVLQSDUWLFXODU$QGUHM.DUOLQ)UDQáLÊHN%
6HGHMDQG$ORM]LM)RJDU$IWHUWKHUHODWLRQVEHWZHHQWKH
9DWLFDQ DQG WKH ,WDOLDQ VWDWHV ZDUPHG KRZHYHU WKHVH
ELVKRSVZKRKDGVWULYHGWRSUHVHUYHWKHXVHRIWKH6OR
YHQH ODQJXDJH LQ FKXUFKHV DQG GXULQJ FDWHFKLVP
FODVVHV IRXQG WKHPVHOYHV XQGHU KXJH SUHVVXUH H[HUWHG
E\ ERWK ,WDOLDQ DXWKRULWLHV DQG WKH 9DWLFDQ KLHUDUFK\
%DVHG RQ YHU\ LQWHUHVWLQJ VRXUFHV 3HOLNDQ RIIHUV D GH
WDLOHGDQDO\VLVRIPHWKRGVXVHGE\WKH9DWLFDQKLHUDUFK\
IRU WKH UHPRYDO RI ELVKRSV ZKR LQ WKH H\HV RI ,WDOLDQ
DXWKRULWLHVVWLOOZHUHVHHQDV$XVWULDFDQWV %HVHGQMDN¤V
OHWWHUVFOHDUO\HYLGHQFHWKHSURXGSRVWXUHWKHVHODVWGH
IHQGHUV RI WKH ULJKW WR XVH 6ORYHQH LQ HFFOHVLDVWLFDO OLIH
KHOG $PRQJ WKHVH WKH SHUVRQDOLW\ VWDQGLQJ RXW PRVW LV
WKDWRI)RJDUELVKRSRI7ULHVWHDQG.RSHU'HVSLWHEHLQJ
LQ IDFW D )ULXOLDQ KH ZDV XQVHOILVKO\ ILJKWLQJ IRU WKH
ULJKWV RI 6ORYHQHV DQG &URDWV ,WDOLDQ DXWKRULWLHV ZHUH
KLJKO\LUULWDWHGE\KLVSHUVRQQHOSROLF\,Q WKH SDULVK RI
/LQGDULQWKHPXQLFLSDOLW\RI3D]LQIRUH[DPSOHKHDS
SRLQWHGDUHWLUHG&URDWSULHVW)LOLSOLáZKRVKRXOGKDYH
EHHQVHQWWRFRQILQRWR6DUGLQLD$IWHUWKDWWRJUHDWDQ
JHURIIDVFLVWV)LOLSOLáUDQKLVSDULVKDVLIWKH\VWLOOZHUH
XQGHU$XVWULD
7KH DGDSWDWLRQ RI VWDQGSRLQWV RI WKH 9DWLFDQ SROL
WLFV EHQGLQJ WR WKH SUHVVXUHV RI WKH IDVFLVW UHJLPH UH
JDUGLQJWKHXVHRIWKH6ORYHQHODQJXDJHLQHFFOHVLDVWLFDO
OLIH RQ RQH KDQG OHG WR D VHQVH RI UHVLJQDWLRQ DPRQJ
6ORYHQHSULHVWVLQ9HQH]LD*LXOLDEXWRQWKHRWKHUKDQG
LW PDGH WKHLU YLHZSRLQWV JURZ PRUH UDGLFDO ,Q WKH ILUVW
\HDUV DIWHU WKH DQQH[DWLRQ WR WKH ,WDOLDQ VWDWH WKH\ VXS
SRUWHG OR\DOW\ WR WKH NLQJGRP EXW DFFRUGLQJ WR 3H
OLNDQ¤VILQGLQJVLQWKHVHFRQGKDOIRIWKHVLUUHGHQ
WLVWPHQWDOLW\SUHYDLOHG7KLVZDVUHDOLVHGE\WKHLUIDVFLVW
SHUVHFXWRUV ZKR DGRSWHG D VWULFWHU SROLF\ DJDLQVW GLV
REHGLHQWSULHVWV2QWKHEDVLVRIGRFXPHQWVWKHDXWKRU
RI WKH ERRN OLVWV D QXPEHU RI FDVHV RI OHJDO PHDVXUHV
WDNHQDJDLQVWSULHVWVDQGOD\PHQEHORQJLQJWRWKH6HFUHW
&KULVWLDQ 6RFLDO 2UJDQLVDWLRQ ZKLFK VKHG D YHU\ QHJD
WLYHOLJKWRQWKHVXSSRVHGH[SHOOHUVRIEDUEDULDQV7KH
ERRNFOHDUO\VKRZVZKRLQIDFWDFWHGDVEDUEDULDQV/HW
PH MXVW PHQWLRQ WKH WUDJLF IDWH RI RUJDQLVW DQG FKRLU
PDVWHU /RM]H %UDWXÌ ORDWKHG E\ WKH IDVFLVWV IRU HGXFDW
LQJ \RXQJ 6ORYHQH RUJDQLVWV DQG LQ WKLV ZD\ SUHVHUYLQJ
6ORYHQHVRQJVLQFKXUFKHV7KHSXQLVKPHQWIRUKLVORYH
IRUWKH6ORYHQHODQJXDJHZDVFUXHO%UDWXÌZDVG\LQJLQ
WHUULEOH SDLQ IRU VHYHUDO ZHHNV RI SRLVRQLQJ ZLWK ZDVWH
PRWRURLOKHKDGWRGULQNRQRUGHURIWKHIDVFLVWV
'HVSLWH WRUWXUH DQG FUXHO PHWKRGV RI LQWHUURJDWLRQ
496
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
,WDOLDQ SROLFH IDLOHG LQ WKH DWWHPSWV WR EUHDN WKH 6HFUHW
&KULVWLDQ 6RFLDO 2UJDQLVDWLRQ 3HOLNDQ IRXQG RXW 5HD
VRQV IRU WKHLU IDLOXUH FDQ EH WUDFHG LQ WKH LJQRUDQFH RI
IRUHLJQ ODQJXDJHV D SRRU NQRZOHGJH RI 6ORYHQH PHQ
WDOLW\ VXSHUILFLDOLW\ DQG FHQWUDOLVHG SROLFH DGPLQLVWUD
WLRQ 7KH DXWKRU TXRWHV WKDW VRPH GRFXPHQWV RI ,WDOLDQ
DJHQWVHYHQGHQRWHG%HVHGQMDNDQG:LOIDQDVPHPEHUV
RIWKH6ORYDNPLQRULW\
,QKLVERRN3HOLNDQLQYLWHVXVWRWUDYHOLQWRWKHEDFN
VWDJHRIWKHSROLF\RIWKH<XJRVODYVWDWHWRZDUGVWKH6OR
YHQHDQG&URDWPLQRULWLHVLQ,WDO\'HVSLWHDQWDJRQLVPV
ZLWKLQ WKH VWDWH RI .DUDGMRUGMHYLáL 3ULPRUVND 6ORYHQHV
VDZ LW DV WKH RQO\ SRVVLELOLW\ IRU WKH DQQH[DWLRQ WR WKH
PRWKHUODQG7KH,WDOLDQVWDWHRIFRXUVHSOD\HGWKHFDUG
RI QDWLRQDO FRQWUDVWV LQ WKH PXOWLQDWLRQDO .LQJGRP RI
<XJRVODYLD ZKLFK WR D VLJQLILFDQW H[WHQW IDFLOLWDWHG LWV
SROLF\ RI SHQHWUDWLRQ LQWR WKH %DONDQV )RU WKLV UHDVRQ
HVSHFLDOO\ WKH 6ORYHQH PLQRULW\ LQ ,WDO\ HPSKDVLVHG
<XJRVODY XQLW\ 3HOLNDQ IRXQG RXW ,Q UHODWLRQ WR ,WDO\
<XJRVODYLDZDVSROLWLFDOO\DQGHFRQRPLFDOO\LQDVXERU
GLQDWH SRVLWLRQ 7KDW LV ZK\ ZKHQ PLQRULW\ SURWHFWLRQ
ZDV GLVFXVVHG LWV GLSORPDWV NHSW UHWXUQLQJ IURP 5RPH
HPSW\KDQGHG,WLVWUXHKRZHYHUWKDWDWOHDVWLQWHUPV
RIILQDQFLDOPHDQVWKH.LQJGRPRI<XJRVODYLDZDVTXLWH
JHQHURXV WR WKH PLQRULW\ ZKLFK KDG WKH ULJKW WR GUDZ
LPSRUWDQWILQDQFLDOPHDQVIURPVSHFLDO%HOJUDGHIXQGV
3HOLNDQ¤V ERRN FOHDUO\ VKRZV WKH LPSRUWDQW UROH %H
VHGQMDN KHOG RQ WKH %HOJUDGH FRXUW WRR .LQJ $OHNVDQ
GDUGHHSO\WUXVWHGKLPDQGLWDOVRVHHPVKHZRXOGWDNH
LQWR FRQVLGHUDWLRQ DGYLFH JLYHQ WR KLP E\ WKLV OHDGLQJ
SHUVRQDOLW\ RI 3ULPRUVND &KULVWLDQ 6RFLDOV %HVHGQMDN
RIWHQ DFWHG DV WKH LQWHUPHGLDU\ EHWZHHQ WKH PRQDUFK
DQGWKHOHDGHURI WKH 6ORYHQH 3HRSOH¤V 3DUW\ GU $QWRQ
.RURÊHF 7KLV LV ZLWQHVVHG E\ KLJKO\ LQWHUHVWLQJ GRFX
PHQWV WKH DXWKRU LQFOXGHG DW WKH HQG RI WKH ERRN
$PRQJ WKHVH WKHUH DUH %HVHGQMDN¤V UHSRUWV RI YLVLWV RI
.RURÊHFRQWKHLVODQGRI+YDULQDWLPHZKHQWKHLQLWLD
WLYHIRUWKHHVWDEOLVKPHQWRIDVWDWHZLGH<XJRVODY5DGL
FDO 8QLRQ ZKLFK DIWHU FRPLQJ LQWR SRZHU ZRXOG VWDUW
WKH GHPRFUDWLVDWLRQ SURFHVV DQG UHRUJDQLVDWLRQ RI WKH
.LQJGRPRI<XJRVODYLDZDVWDNLQJRII$SDUWIURPWKHVH
3HOLNDQ¤VERRNRIIHUVQXPHURXVQRWHVGUDZLQJDWWHQWLRQ
WRGLIIHUHQFHVEHWZHHQWKHSURILOHRIFDWKROLFSROLWLFLDQV
LQ WHUPV RI WKHLU LGHDV DQG SROLWLFV RQ ERWK VLGHV RI WKH
5DSDOORERUGHU
'XULQJ WKH SUHVHQWDWLRQ RI KLV ERRN DW WKH 1RYD UH
YLMD &OXE WKH DXWKRU SRLQWHG RXW WKH IRUWXQH KH KDG WR
KDYHKDGDFFHVVWR%HVHGQMDN¤VDUFKLYHV+HDGGHGWKDW
DQ\RQH KDYLQJ VXFK ULFK VRXUFHV DW KLV GLVSRVDO FRXOG
ZULWH D QLFH VWRU\ 7KLV VWDWHPHQW EHDUV ZLWQHVV WR WKH
PRGHVW\ RI WKH DXWKRU $IWHU UHDGLQJ WKLV YROXPLQRXV
LQWHUHVWLQJDQGLQVWUXFWLYHERRNZHQHHGWRVD\ZHZHUH
WKH OXFN\ RQHV EHFDXVH WKHVH ULFK DUFKLYDO PDWHULDOV
FDPHLQWRWKHKDQGVRIŸ(JRQ3HOLNDQ
$QGUHM5DKWHQ
*LDQQL2OLYD)2,%(/(675$*,1(*$7('(*/,
,7$/,$1,'(//$9(1(=,$*,8/,$('(//¤,675,$
0LODQR0RQGDGRULSS
*LDQQL 2OLYD GRFHQWH SUHVVR OD 6FXROD G¤DSSOLFD]LR
QH G¤$UPD GL 7RULQR H VWRULFR GL VXFFHVVR q VROR
O¤XOWLPRSHURUDGLXQDOXQJDVHULHGLDXWRULSL~RPHQL
DXWRUHYROL H 2OLYD DSSDUWLHQH D TXHOOL SL~ DXWRUHYROL
FKH VL VRQR FLPHQWDWL FRQ LO WHPD GLYHQXWR RUDPDL GL
PRGDGHOOHFGIRLEH3HU2OLYDQRQqTXHVWRLOSULPR
FRQWDWWR FRQ LO WHPD LQ TXHVWLRQH YLVWR FKH JOL KD JLj
GHGLFDWRDPSLRVSD]LRQHOVXR/DUHVDGHLFRQWLLQFXL
VL RFFXSD GHOOH HVHFX]LRQL SL~ R PHQR VRPPDULH GL
IDVFLVWL DYYHQXWH LQ ,WDOLD DOOD ILQH GHOOD VHFRQGD JXHUUD
PRQGLDOH,OOLEURFKHDEELDPRRUDGLIRUQLWHqLQSUDWLFD
XQD ULSURSRVL]LRQH DPSOLDWD GL WHVL HG DUJRPHQWL JLj
SUHVHQWLQHOOLEURGHGLFDWRDOUHGGHUDWLRQHPGHO
2OLYD DIIURQWD OD TXHVWLRQH GHOOH HVHFX]LRQL DYYHQXWH
QHOOD 9HQH]LD *LXOLD GRSR O¤ VHWWHPEUH GHO H VR
SUDWWXWWR GRSR OD ILQH GHOOD JXHUUD GDQGR DPSLR VSD]LR
DOOH YLFHQGH VWRULFKH DQWHFHGHQWL OH IRLEH D FXL VRQR
GHGLFDWL EHQ TXDWWUR GHL VHWWH FDSLWROL GHO OLEUR 9HQJRQR
FRVu HVDPLQDWH LQ VXFFHVVLRQH OD VWRULD GHOOD 9HQH]LD *L
XOLD QHOO¤HSRFD GHOOD SULPD DQQHVVLRQH DOO¤,WDOLD H GHO
497
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
O¤RFFXSD]LRQH GHOOD -XJRVODYLD O¤RFFXSD]LRQH QD]LVWD L
SUREOHPDWLFL UDSSRUWL WUD LO PRYLPHQWR GL OLEHUD]LRQH
VORYHQR H FURDWR H TXHOOR LWDOLDQR GRSR LO VHWWHPEUH GHO
H OD FRUVD SHU 7ULHVWH VFDWHQDWDVL QHOOD IDVH ILQDOH
GHOOD JXHUUD WUD HVHUFLWR SDUWLJLDQR MXJRVODYR H DQJOR
DPHULFDQL $O WHPD FHQWUDOH VRQR GHGLFDWL GXH VROL FDSL
WROLLOSULPRLQFXLYHQJRQR SUHVL LQ HVDPH L JLRUQL GL
DPPLQLVWUD]LRQH MXJRVODYD GL 7ULHVWH HG LO WHU]R LQ FXL
VRQR LQYHFH HVDPLQDWL JOL HFFLGL DYYHQXWL LQ ,VWULD VXELWR
GRSR O¤ /¤XOWLPR FDSLWROR GHGLFDWR LQ JUDQ
SDUWH DO FRQWHVWR LQWHUQD]LRQDOH LQ FXL VL LQVHULYD OD
TXHVWLRQH GL 7ULHVWH H DOOH FDUDWWHULVWLFKH GHOO¤DPPL
QLVWUD]LRQH MXJRVODYD GL 7ULHVWH ULSUHQGH VROR LQ SDUWH LO
WHPD GHJOL DUUHVWL GHOOH GHSRUWD]LRQL H GHOOH HVHFX]LRQL
DYYHQXWHD7ULHVWHH*RUL]LDQHLIDPRVLJLRUQL
2OLYD QRQ DSSRUWD DOFXQD QRYLWj VRVWDQ]LDOH D
TXDQWR JLj QRWR VXO WHPD VSHFLILFR GHOOH IRLEH OLPLWDQ
GRVL D XQD LQWHUSUHWD]LRQH GL GDWL QRWL GD RUPDL WURSSL
DQQL/DFRVDSL~SRVLWLYDGHOVXROLEURqLOIDWWRFKHSUH
VHQWD Ÿ SUREDELOPHQWH VL WUDWWD GHO SULPR FDVR LQ FXL D
IDUORqXQRVWRULFRLFXLWHVWLKDQQRXQDGLIIXVLRQHPROWR
DPSLDDQFKHDOGLIXRULGHOOD FHUFKLD GHJOL VSHFLDOLVWL Ÿ
ODVWRULDGHOOD9HQH]LD*LXOLDQHOODVXDLQWHUH]]DVHQ]D
RPLVVLRQLRVLOHQ]LGLULOLHYR(WXWWDYLDQHOIDUORO¤DXWRUH
QRQ KD VDSXWR OLEHUDUVL GD SDUDPHWUL LQWHUSUHWDWLYL FKH
SDLRQRRUPDLVWHUHRWLSDWL/DVWRULDGHOOD9HQH]LD*LXOLD
YLHQHLQIDWWLGDXQODWRLQWHUSUHWDWDFRPHODVWRULDGLXQR
VFRQWURQD]LRQDOH7DQWRFKHQRQRVWDQWHODSUHPHVVDLQ
FXL DIIHUPD FKH OH HVHFX]LRQL QRQ IXURQR LO ULVXOWDWR GL
LQWHQWL JHQRFLGL GHL WLWLQL QHL FRQIURQWL GHJOL LWDOLDQL
QHOSURVLHJXRGHOWHVWRHQHOVRWWRWLWRORGHOOLEUR2OLYD
GHILQLVFH LQYHFH FRVWDQWHPHQWH TXHVWH FRPH XFFLVLRQH
GL PDVVD GL LWDOLDQL 6HQ]D PDL VSLHJDUH FKL IRVVHUR
TXHVWLLWDOLDQLHFRVDDYHVVHURIDWWRSHUGLYHQLUHDOODILQH
GHOOD JXHUUD YLWWLPH GHOOD UHVD GHL FRQWL 2OLYD QRQ ID
TXLQGLFKHFRQWLQXDUHXQDRUPDLOXQJDWUDGL]LRQHFKHVL
FDUDWWHUL]]DSHUOHJHQHUDOL]]D]LRQLFKHFRPSLHHSHULO
SRUUHO¤DFFHQWRVXXQDVRODHTXHOODSL~IDFLOPHQWHULOH
YDELOH GHOOH FDUDWWHULVWLFKH FKH DFFRPXQDYDQR OH YLW
WLPH OD ORUR QD]LRQDOLWj &RVD FKH q LQGXEELDPHQWH
PROWR IXQ]LRQDOH SHU SUHVHQWDUH TXDQWR DFFDGGH FRPH
OD FRQVHJXHQ]D GHJOL RSSRVWL PD HTXLYDOHQWL QD]LRQD
OLVPL TXHOOR LWDOLDQR H TXHOOR VODYR PHQWUH QRQ OR q
DLILQLGLXQDULFHUFDVHULDHGDSSURIRQGLWDSHUODTXDOH
VDUHEEH LQGLVSHQVDELOH SULPD GL WUDUUH GHOOH FRQFOX
VLRQLHVDPLQDUHLVLQJROLFDVLHPHWWHUQHLQOXFHPRWLYL
HFDXVH
2OLYDFRQVLGHUDLSRSROLFRPHXQDHQWLWjPRQROLWLFD
SULYDGLVWUDWLILFD]LRQLHGLIIHUHQ]HVRFLDOLXQ¤HQWLWjFKH
DJLVFHHUHDJLVFHXQLWDULDPHQWHHGXQLYRFDPHQWHLQFXL
OH XQLFKH GLIIHUHQ]H VRQR TXHOOH GRYXWH DOOH GLYHUVH
VFHOWH LGHRORJLFKH GHL VLQJROL 4XHOOD FKH FL YLHQH FRVu
SUHVHQWDWDqXQDVRUWD GL VWRULD PHWDILVLFD LQ FXL JOL DY
YHQLPHQWL QDVFRQR GD LGHH SUHVHQWL LPPDQHQWHPHQWH
QHJOL XRPLQL 0D OD VXD LQWHUSUHWD]LRQH GHOOD VWRULD VL
LQVHULVFHDQFKHQHOTXDGURGHJOLVIRU]LYROWLDUDYYLYDUH
LOVHQWLPHQWRQD]LRQDOHGHJOLLWDOLDQLHO¤LGHDGHOGHVWLQR
FRPXQHGHOODQD]LRQH LWDOLDQD DYYLDWL DQQL DGGLHWUR VX
LQL]LDWLYDGLGHWHUPLQDWLDPELHQWLSROLWLFLFLWHUySHUWXWWL
LO VHQDWRUH 9LRODQWH DL TXDOL VL VRQR SHUy EHQ SUHVWR
DGHJXDWLHDJJUHJDWLDQFKH GLYHUVL VWRULFL LWDOLDQL 2OLYD
qLQGXEELDPHQWHXQRGLTXHVWLHG¤DOWURQGHqOXLVWHVVR
D VRWWROLQHDUH FKH OR VFRSR GHO VXR OLEUR q TXHOOR GL
FRQWULEXLUH D FUHDUH XQD PHPRULD VWRULFD FRPXQH SHU
LOSRSRORLWDOLDQR
/¤DOWURVWHUHRWLSRVXFXL2OLYDFRVWUXLVFHODVXDULFR
VWUX]LRQH VWRULFD q TXHOOR FKH YHGH OD JXHUUD FRPH
VFRQWURLQFXLVRQRFRLQYROWLGXHUHJLPLŸTXHOORQD]LVWD
HR IDVFLVWD H TXHOOR FRPXQLVWD Ÿ FRQ SULQFLSL H SUDVVL
HJXDOPHQWH WRWDOLWDUL H DQWLGHPRFUDWLFL H XQ WHU]R DW
WRUH JOL $OOHDWL 2FFLGHQWDOL H OD UHVLVWHQ]D GHPR
FUDWLFD LPPDFRODWDPHQWH GHPRFUDWLFL WDQWR QHL ILQL
FKH QHL PH]]L 6L WUDWWD GL XQD LQWHUSUHWD]LRQH DOOD
PRGD FKH SHUy VRUYROD VX DOFXQL IDWWL ,Q SULPR OXRJR
FKH IDVFLVPR H QD]LVPR IXURQR LQ EXRQD SDUWH GHOOH
FUHDWXUHGHOODGHPRFUD]LDUHDOHHGHOFRQVHUYDWRULVPR
GHOO¤HSRFD VHJXHQWH DOOD SULPD JXHUUD PRQGLDOH H QRQ
GHL IHQRPHQL DXWRJHQHUDWL FRPH ULVXOWDWR GHOO¤HPHUJHUH
GHJOLDVSHWWLSL~PLVWHULRVLHRUUHQGLGHOO¤XPDQLWj7DQWR
LO IDVFLVPR FKH LO QD]LVPR DUULYDURQR DO SRWHUH FRQ LO
VRVWHJQR GHOOD FDVWD PLOLWDUH GHJOL DPELHQWL SL~ LPSRU
WDQWLGHOPRQGRHFRQRPLFRHGHLSROLWLFLOLEHUDOLHFRQ
VHUYDWRUL H SRWHURQR D OXQJR FRQWDUH VXOO¤DSSRJJLR GL
SROLWLFL FRPH &KXUFKLOO FKH DSSUH]]DYD HQRUPHPHQWH
0XVVROLQLHGLO IDVFLVPR SHUFKp DYHYDQR VDOYDWR O¤,WDOLD
GDO EROVFHYLVPR 9RUUHL ULFRUGDUH FKH G¤DOWUD SDUWH L ID
VFLVWL YHQQHUR XWLOL]]DWL FRQ XQD VLPLOH IXQ]LRQH DQFKH
QHJOLDQQLVHJXHQWLDO0D2OLYDGLPHQWLFDDQFKH
FKH LO *RYHUQR 0LOLWDUH $OOHDWR VRUWD GL LQFDUQD]LRQH
GHL YDORUL H GHL SULQFLSL GHOOD GHPRFUD]LD FKH DPPL
QLVWUy 7ULHVWH ILQR DO HUD XQD DXWRULWj PLOLWDUH
VHQ]DDOFXQDOHJLWWLPD]LRQHGHPRFUDWLFD&RPHGLPHQ
WLFD FKH QHOOD ORWWD SHU OD ILVVD]LRQH GHL QXRYL DVVHWWL
SROLWLFL H VRFLDOL GHO GRSRJXHUUD SURSULR QHVVXQD GHOOH
SDUWL LQ ORWWD VL IHFH VFUXSROL QHOOR VFHJOLHUH L PH]]L GD
XWLOL]]DUHSHUUDJJLXQJHUHLSURSULILQL(
FKHLILQLGLFKL
DUDWL QHOOD SURSDJDQGD QRQ SRVVRQR HVVHUH SUHVL FRPH
TXHOOL UHDOL &RPH GLPRVWUD LO FDVR GHOOD *UHFLD GRYH
SHULPSHGLUHODSUHVDGHOSRWHUHGHOO¤(/$6LEULWDQQLFLH
VXFFHVVLYDPHQWH JOL VWDWXQLWHQVL QRQ HVLWDURQR D LQWHU
YHQLUH PLOLWDUPHQWH H DG DYHUH FRPH DOOHDWL JOL H[ FRO
ODERUD]LRQLVWL ,Q TXHVWL FDVL 2OLYD FL IRUQLVFH LQYHFH
XQDYHUVLRQHDEEHOOLWDGHLIDWWLVRVWHQHQGRFKHLEULWDQ
QLFL LQWHUYHQQHUR VROR SHU LPSHGLUH OR VFRSSLR GHOOD
JXHUUDFLYLOHFKHVLVYLOXSSySHUyDSLHQRSURSULRLQVH
JXLWR DO ORUR LQWHUYHQWR H SHU VDOYDJXDUGDUH OD GH
PRFUD]LDFKHSHUyHYLGHQWHPHQWH QRQ FRQWHPSODYD OD
SRVVLELOLWjGLXQDVDOLWDDOSRWHUHGHOODVLQLVWUD$QFKHOH
WUDPH GHO FDSR GHO JRYHUQR LWDOLDQR %RQRPL H
GHOO¤DPPLUDJOLR'H&RXUWHQSHUJLXQJHUHDGXQ¤DOOHDQ]D
WUD RVRYDQL H UHSXEEOLFKLQL LQ IXQ]LRQH DQWLVODYR
FRPXQLVWD SHU 2OLYD QRQ DYUHEEH FKH PDUJLQDOPHQWH
498
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
ODPELWR OH IRUPD]LRQL IDVFLVWH H QRQ DYUHEEH DYXWR DO
FXQDUHDOL]]D]LRQHSUDWLFD,OTXDGURJHQHUDOHGLVHJQDWR
GD 2OLYD q FRVu TXHOOR GL WLWLQL SHU L TXDOL DQWLGHPRF
UDWLFLWj H IHURFLD VDUHEEHUR HOHPHQWL LQQDWL H FDUDWWHUL]
]DQWL PHQWUH QHO FDVR GHJOL DQJORDPHULFDQL H GHL GH
PRFUDWLFL LWDOLDQL VL WUDWWHUHEEH GL VLQJROL HSLVRGL FKH
QRQQHLQILFLDQRO¤HVVHQ]DGHPRFUDWLFD
7UDVSDUH SHUy DQFKH XQ DOWUR VWHUHRWLSR TXHOOR GHL
WLWLQL RYYHUR GHL SDUWLJLDQL GL 7LWR VWUDQLHUL D 7ULHVWH
HVWUDQHL FKH DYUHEEHUR LQIUDQWR H RIIHVR OD FLYLOWj GHOOD
FLWWj LWDOLDQD ( GLPHQWLFD FKH WUD L WLWLQL H JOL MXJR
VODYLFKHDYUHEEHURRFFXSDWR7ULHVWHHUDQRPROWLLWUL
HVWLQLWDQWRGLQD]LRQDOLWjVORYHQDFKHLWDOLDQD(YLGHQ
WHPHQWH SHU 2OLYD QRQ EDVWD HVVHUH QDWL H FUHVFLXWL D
7ULHVWHSHUHVVHUHFRQVLGHUDWLWULHVWLQL&RPHQRQqVXIIL
FLHQWHVHVLqVFHOWRGLFRPEDWWHUHQHOOHIRUPD]LRQLWL
WLQH HVVHUH GL PDGUHOLQJXD LWDOLDQD HG HVVHUH QDWL LQ
TXDOFKH ORFDOLWj GHOO¤,WDOLD PHULGLRQDOH SHU SRWHU HVVHUH
FRQVLGHUDWL LWDOLDQL 7DQWR SL~ SRL VH VL q DQFKH VWDWL
VRVWHQLWRULGHOO¤DQQHVVLRQHGL7ULHVWHDOOD-XJRVODYLD
$ TXDQWR SDUH DQFKH 2OLYD q VWDWR FROSLWR GDOOD
PDODWWLD WDQWR GLIIXVD WUD OD SLFFROD ERUJKHVLD HG L FHWL
LQWHOOHWWXDOLLWDOLDQLGL7ULHVWHODFRQYLQ]LRQHFKHODFLWWj
VLLGHQWLILFKLFRQORURHFRQLORURYDORULHFKHWXWWRFLy
FKH VL GLVFRVWD GD WDOL YDORUL H GDO ORUR WLSR GL FLYLOWj q
EDUEDUR HG HVWUDQHR DOOD FLWWj &RPH PL SDUH HYLGHQWH
FKH DQFKH 2OLYD FRPH WDQWL DOWUL VWRULFL LWDOLDQL KD
JURVVHGLIILFROWjDGHILQLUHJOLLWDOLDQL'LYHQWDRUPDLLQ
GLVSHQVDELOHFKHOXLHGLVXRLFROOHJKLFLVSLHJKLQRXQD
YROWD SHU WXWWH TXDOL VLDQR OH FDUDWWHULVWLFKH FKH GHYH
SRVVHGHUH LO VLQJROR SHU SRWHU HVVHUH LQFOXVR WUD JOL LWD
OLDQL R WUD FRORUR FKH TXHVWL VWRULFL DPDQR GHILQLUH GL
VHQWLPHQWLLWDOLDQL
9LVWR LO WLSR GL LPSRVWD]LRQH QRQ VRUSUHQGRQR DO
FXQHSHUOHSUHVHQWLQHOOLEUR/DSULPDULJXDUGDODTXDQ
WLILFD]LRQH GHO IHQRPHQR GHOOH HVHFX]LRQL 'RSR DYHU
DIIHUPDWR FKH QRQ q SRVVLELOH JLXQJHUH D GDWL FHUWL
O¤2OLYD SRQH VXOOR VWHVVR SLDQR OH FLIUH VRVWHQXWH GDJOL
DPELHQWL GHOOH RUJDQL]]D]LRQL GHL SURIXJKL H GHO FRO
ODERUD]LRQLVPRLVWULDQRHTXHOODGLFLUFDSHUVRQH
XFFLVHFKHHJOLVWHVVRDIIHUPDHVVHUHODFLIUDULWHQXWDSL~
DWWHQGLELOH WDQWR GDJOL VWRULFL VORYHQL FKH GD TXHOOL LWD
OLDQL 1RQRVWDQWH TXHVWD DIIHUPD]LRQH HJOL QRQ OD ID
SURSULDPDDIIHUPDGHOWXWWRDUELWUDULDPHQWHFKHODFLIUD
SL~ SUREDELOH q TXHOOD GL FLUFD YLWWLPH (JXDO
PHQWH DUELWUDULH VRQR DQFKH OH DIIHUPD]LRQL GL 2OLYD
ULJXDUGRDOO¤HVRGRGDOO¤,VWULDHGDOOD'DOPD]LD,QEDVHD
FRVDDIIHUPDFKHVLqWUDWWDWRGLXQDHVSXOVLRQH"6XTXDOL
GDWL EDVD O¤DIIHUPD]LRQH FKH L SURIXJKL IXURQR FLUFD
"(GDGRYHJOLGHULYDODFHUWH]]DFKHVLWUDWWDVVH
HVFOXVLYDPHQWHGLLWDOLDQL"
$QFKH OD ULSHWXWD DIIHUPD]LRQH FKH JOL MXJRVODYL
DYUHEEHURDUUHVWDWRHGHOLPLQDWRDQFKHDQWLIDVFLVWLHDG
GLULWWXUD FRPXQLVWL LWDOLDQL QRQ q VRVWHQXWD GD QHVVXQ
GDWRTXDQWLWDWLYRGHOIHQRPHQR2OLYDVLOLPLWDDXWLOL]
]DUH HVSUHVVLRQL JHQHULFKH FRPH PROWL H XQ QXPHUR
QRQ LQGLIIHUHQWH FKH QRQ GLFRQR QXOOD GL SUHFLVR OD
VFLDQR SHUy LQWHQGHUH PROWR DQFKH FKH OD JUDQ SDUWH
GHOOH SHUVRQH VFRPSDUVH DSSDUWHQHVVHUR D TXHVWH GXH
FDWHJRULHSDUWLFRODUL,QTXHVWLFDVLO¤2OLYDKDVHPSOLFH
PHQWH DWWULEXLWR FDUDWWHUH GL VFLHQWLILFLWj DOOH WHVL H DL
GDWL VRVWHQXWL GDJOL DPELHQWL GHOOH RUJDQL]]D]LRQL GHL
SURIXJKLHOLKDIDWWLSURSULSHULQVHULUOLQHOTXDGURGHOOD
FRVWUX]LRQHGHOODQXRYDVWRULDQD]LRQDOHLWDOLDQD
8QVLPLOHDSSURFFLRSXyLQGXEELDPHQWHHVVHUHXWLOH
DOOD IRQGD]LRQH GL VWRULH QD]LRQDOL H DO UDIIRU]DPHQWR
GHO PLWR GHOO¤2FFLGHQWH SRUWDWRUH HVFOXVLYR GL FLYLOWj H
OLEHUWj0DO¤RWWLFDGHJOLLQWHUHVVLQD]LRQDOLHGHOQD]LR
QDOLVPR QRQ q SHUy VXIILFLHQWH SHU XQD FRPSUHQVLRQH
SLHQDGHOODVWRULDSHUFKpQRQSXyVSLHJDUHSHVLOIDWWR
FKH VORYHQL LWDOLDQL H FURDWL VL WURYDURQR D FRPEDWWHUH
QHOOH ILOD GL WXWWH OD SDUWL LQ ORWWD WDQWR GDOOD SDUWH GHL
QD]LIDVFLVWL FKH GHL WLWLQL H GHJOL $OOHDWL &RPH O¤DW
WULEXLUH DOO¤2FFLGHQWH LO PRQRSROLR HVFOXVLYR GHOOD GH
PRFUDWLFLWj H GHOOD ERQWj GL SURSRVLWL QRQ FRQVHQWH GL
FKLDULUH SHUFKp IX SURSULR TXHVWR VWHVVR 2FFLGHQWH DG
HVVHUHODFXOODGLIDVFLVPRHQD]LVPR
6DQGL9RON
0DWMDÊ.OHPHQßLߝ0LOLFD7UHEÈHÇWROIDHGV
6/29(16.2,=6(/-(16792Ÿ=%251,.2%
/(71,&,6/29(16.(,=6(/-(16.(0$7,&( 6ORYHQH
(PLJUDWLRQWKHERRNOHWSXEOLVKHGDWWKHWK
DQQLYHUVDU\RIWKH6ORYHQH(PLJUDWLRQ6RFLHW\
/MXEOMDQD=GUXÌHQMH6ORYHQVNDL]VHOMHQVNDPDWLFD
SS
7KH 6ORYHQH (PLJUDWLRQ ERRNOHW ZDV SXEOLVKHG DW
WKH WK DQQLYHUVDU\ RI WKH 6ORYHQH (PLJUDWLRQ 6RFLHW\
WRZDUGVWKHHQGRI,WZDVHGLWHGE\0LOLFD7UHEÊH
ÉWROID 06F DV FKLHI HGLWRU DQG 0DWMDÌ .OHPHQáLá 3K'
DVH[HFXWLYHHGLWRU7KHERRNOHWFRYHUVSDJHVDQG
ZDV SXEOLVKHG ZLWK WKH DLG RI WKH 6ORYHQH 0LQLVWU\ RI
&XOWXUH7KHSUHIDWRU\SDUWRIWKHERRNOHWFRQVLVWVDSDUW
IURP WKH DFFRPSDQ\LQJ WH[W FRQWULEXWHG E\ 0LODQ
.XáDQ3UHVLGHQWRIWKH5HSXEOLFRI6ORYHQLD RI WKH LQ
WURGXFWRU\WKRXJKWVE\0LOLFD7UHEÊHÉWROID3UHVLGHQWRI
WKH 6ORYHQH (PLJUDWLRQ 6RFLHW\ DQG WKH (GLWRULDO LQ
ZKLFKWKHERRNOHW
VFRQWHQWVDUHSUHVHQWHG1DPHO\RQ
WKH RFFDVLRQ RI WKH 6RFLHW\
V LPSRUWDQW DQQLYHUVDU\ WKH
ERRNOHWGHSLFWVLQGHWDLOQRWRQO\WKHZRUNFDUULHGRXW
VRIDUDQGWKHLQVWLWXWLRQVWDNLQJSDUWEXWWKHHQWLUH6OR
YHQH HPLJUDWLRQ LQ JHQHUDO LH WKH DWWLWXGH RI 6ORYHQH
HPLJUDQWVWRZDUGVWKHLURULJLQDOKRPHODQGWKHVSHFLILF
LW\ RI WKHLU OLQJXLVWLF H[SUHVVLRQ DQG WKHLU FUHDWLRQV LQ
WKHILHOGRIFXOWXUH$SDUWIURPLWWKHQXPHURXVH[SHUWV
IRUWKHHPLJUDWLRQLVVXHVDWWHPSWWRHVWLPDWHWKHQXPEHU
RI6ORYHQHFRPPXQLWLHVLQWKHZRUOGDQGWRSUHVHQWLQ
499
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
VRPHJUHDWHUGHWDLOLQGLYLGXDO6ORYHQHHQWLWLHVRQVHSD
UDWHFRQWLQHQWVIURP1RUWKDQG6RXWK$PHULFDVWR$XV
WUDOLDIURP:HVWHUQ(XURSHWRWKHFRXQWULHVLQWKHWHUUL
WRU\ RI WKH IRUPHU <XJRVODYLD ,W LV LQWHUHVWLQJ WKDW QRW
RQO\6ORYHQHH[SHUWVSDUWLFLSDWHLQWKHERRNOHWZLWKWKHLU
FRQWULEXWLRQV EXW WKH HPLJUDQWV WKHPVHOYHV ZLWK D
QXPEHURIFRQWULEXWHGWH[WV,QWKHILUVWJHQHUDOSDUWWKH
ERRNOHW FRQVLVWV RI WHQ FRQWULEXWLRQV ZKLOH LQ WKH VHF
RQGSDUWLQZKLFK6ORYHQHVDFURVVWKHHQWLUHZRUOGDUH
SUHVHQWHG LQ GHWDLO ZH FDQ UHDG DQRWKHU WKLUWHHQ WH[WV
E\ YDULRXV DXWKRUV 7KH ERRNOHW FRQFOXGHV ZLWK D
GRFXPHQWDWLRQDOSDUWLQZKLFKDVHOHFWHG ELEOLRJUDSK\
RIWKH6ORYHQHHPLJUDQWVLVSUHVHQWHG
3DUWRIWKHERRNOHWHPEUDFHVWKHWH[WV FRQWULEXWHG
E\ -DQH] 5RJHOM 3HWGHVHW OHW VORYHQVNH L]VHOMHQVNH
PDWLFH )LIW\ <HDUV RI WKH 6ORYHQH (PLJUDWLRQ 6RFLHW\
0DWMDÌ .OHPHQáLá 2GQRV VORYHQVNLK L]VHOMHQFHY GR
VWDUH GRPRYLQH $WWLWXGH RI WKH 6ORYHQH ,PLJUDQWV 7R
ZDUGV 7KHLU 2ULJLQDO +RPHODQG 1DGD ÉDEHF -H]LN
VORYHQVNLK L]VHOMHQFHY 7KH /DQJXDJH RI 6ORYHQH (PL
JUDQWV-DQMDËLWQLN.QMLÌHYQRVWVORYHQVNLKL]VHOMHQFHY
7KH /LWHUDWXUH RI 6ORYHQH (PLJUDQWV ,UHQH 0LVOHM
3UHJOHGVORYHQVNLKL]VHOMHQLKOLNRYQLKXVWYDUMDOFHY$Q
2YHUYLHZRIWKH6ORYHQH(PLJUDWHG)LQH $UWLVWV 0LOLFD
7UHEÊHÉWROID$UKLYVNRJUDGLYRMHQDURGRYVSRPLQ$U
FKLYDO 0DWHULDO LV D 1DWLRQ
V 0HPRU\ -RÌH 3UHÊHUHQ
6ORYHQVNH VOHGL Y VYHWX 6ORYHQH 7UDFNV /HIW LQ WKH
:RUOG %RJGDQ .RODU 0HVWR &HUNYH PHG 6ORYHQFL SR
VYHWXLQQMHQSULVSHYHN]DRKUDQMDQMHQDURGQRVWL3RVL
WLRQ RI WKH &KXUFK $PRQJVW WKH 6ORYHQHV DFURVV WKH
:RUOGDQGLWV&RQWULEXWLRQ7RZDUGVWKH 3UHVHUYDWLRQ RI
WKHLU 1DWLRQDO ,GHQWLW\ 0LKDHO .X]PLá 6ORYHQVNL SUR
WHVWDQWLLQL]VHOMHQVWYR6ORYHQH3URWHVWDQWVDQG(PLJUD
WLRQ DQG $OHNVHM .DOF ,]VHOMHYDQMH ] ]DKRGQHJD URED
VORYHQVNHJD HWQLáQHJD SURVWRUD (PLJUDWLRQ )URP WKH
:HVWHUQ(GJHRIWKH6ORYHQH(WKQLF7HUULWRU\
3DUW RI WKH ERRNOHW LV DUUDQJHG UHJLRQDOO\ WH[WV
GHDO ZLWK WKH LVVXHV FRQFHUQLQJ WKH 6ORYHQHV LQ 1RUWK
$PHULFD WZR ZLWK WKH HPLJUDQWV LQ 6RXWK $PHULFD
WKUHH ZLWK WKRVH LQ $XVWUDOLD WZR ZLWK WKH 6ORYHQHV LQ
:HVWHUQ(XURSHDQGIRXUZLWKWKH6ORYHQHVOLYLQJLQWKH
VXFFHVVRUVWDWHVRIWKHIRUPHU<XJRVODYLD,QJUHDWHUGH
WDLOWKHIROORZLQJWRSLFVDUHGHDOWZLWKLQWKLVSDUWRIWKH
ERRNOHW PLJUDWLRQ RI WKH 6ORYHQHV WR 1RUWK $PHULFD
0DUMDQ'UQRYÊHN6ORYHQHFRPPXQLWLHVDQGRUJDQLVHG
IRUPV RI HPLJUDWLRQ LQ WKH 6WDWHV 0DWMDÌ .OHPHQáLá
6ORYHQHQDWLRQDOKRPHVLQWKH6WDWHV-RVHSK9DOHQáLá
VRFLDOFXOWXUDO FUHDWLRQV E\ WKH 6ORYHQH HPLJUDQWV WR
&DQDGD0LUNR-XUDN6ORYHQHFRPSDWULRWVDQGWKHLURU
JDQLVDWLRQVLQ&DQDGD0LOLFD7UHEÊHÉWROIDHPLJUDWLRQ
DV DQ HFRQRPLF IDFWRU WKH FDVH RI WKH &DQDGLDQ 6OR
YHQHV &YHWND .RFMDQáLá HPLJUDQWV WR 6RXWK $PHULFD
,UHQH0LVOHM 6ORYHQH SROLWLFDO HPLJUDWLRQ LQ $UJHQWLQD
=YRQH ËLJRQ 6ORYHQH VHWWOHUV LQ $XVWUDOLD %UHGD àH
EXOM6DMNR6ORYHQHQDWLRQDOKRPHV-RÌH 3UHÊHUHQ OLW
HUDU\FUHDWLRQVE\WKH$XVWUDOLDQ6ORYHQHV ,JRU 0DYHU
6ORYHQHHPLJUDQWVWR:HVWHUQ(XURSHEHIRUHWKHHQGRI
:RUOG :DU ,, 0DUMDQ 'UQRYÊHN 6ORYHQH HPLJUDQWV WR
:HVWHUQ (XURSH DIWHU :RUOG :DU ,, -HUQHM =XSDQáLá
6ORYHQHV LQ %RVQLD DQG +HU]HJRYLQD 0DULMD 'ROLQÊHN
'LYáLß 6ORYHQHV LQ &URDWLD 'DUNR ÉRQF 6ORYHQHV LQ
6HUELD )UDQF &HYF DQG 6ORYHQHV LQ 0DFHGRQLD $PD
OLMD-RYDQRYLß
,QYLHZRIWKHKLJKQXPEHURIDXWKRUVWKHLUGLIIHUHQW
SODFHV RI UHVLGHQFH WKHLU VWDQGSRLQWV DQG DWWLWXGHV WR
ZDUGV WKH GHDOW ZLWK LVVXHV WKH VWUXFWXUH RI VHSDUDWH
FRQWULEXWLRQV LV IDLUO\ GLYHUVH ZKLFK KRZHYHU SUHVHQWV
QR VHULRXV SUREOHPV WR WKH UHDGHU :H FRXOG HYHQ VD\
WKDW WKH KHWHURJHQHRXVQHVV RI WKH ERRNOHW DV IDU DV LWV
FRQWHQWV DQG VW\OH DUH FRQFHUQHG LV VRRQHU D TXDOLW\
WKDQ D GHILFLHQF\ IRU LQ WKLV ZD\ LW JLYHV XV DQ LQVLJKW
LQWRDQH[FHSWLRQDOFRPSOH[LW\RIYLHZVRQWKHHPLJUD
WLRQ LVVXHV $SDUW IURP WKLV WKH WZR HGLWRUV PDGH VXUH
WKDW DOO WKH DUWLFOHV ZHUH HTXLSSHG ZLWK ELEOLRJUDSK\
ZLWKWKHDLGRIZKLFKDUHVHDUFKHURUDOOWKRVHLQWHUHVWHG
LQ WKH GHDOW ZLWK VXEMHFWV FDQ IXUWKHU LPSURYH WKHLU
NQRZOHGJH 1DPHO\ RQH RI WKH JUHDW DGYDQWDJH RI WKH
ERRNOHW OLHV LQ WKH IDFW WKDW LQ RQH SODFH LW JDWKHUHG QX
PHURXV SLHFHV RI LQIRUPDWLRQ RQ WKH HPLJUDWLRQ LVVXHV
500
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
DQG WKDW DW WKH VDPH WLPH LW SUHVHQWV WKH UHVXOWV JDLQHG VR
IDULQDFOHDUPDQQHUZKLFKPDNHVWKHPDFFHVVLEOHHYHQ
WR D ZLGHU FLUFOH RI UHDGHUV HJ VWXGHQWV RU MRXUQDOLVWV DV
ZHOO DV WR WKH OD\ SXEOLF IDFLQJ WKH FRPSOH[LWLHV RI WKH
6ORYHQH HPLJUDWLRQ RU WKH 6ORYHQHV LQ WKH ZRUOG LQ JHQ
HUDO IRU WKH ILUVW WLPH *UHDW DLGV LQ WKLV UHVSHFW DUH QX
PHURXVSKRWRJUDSKVLQGH[RIDXWKRUVDQGHVSHFLDOO\WKH
FRQFOXGLQJ GRFXPHQWDWLRQDO SDUW ZLWK WKH VWDWHG EDVLF
ELEOLRJUDSKLHV SHULRGLFDOV DQG PRUH LPSRUWDQW SXEOLFD
WLRQV ,Q WKH YHU\ VHOHFWHG ELEOLRJUDSK\ KRZHYHU LW
ZRXOGEHDGYLVDEOH WR GR DZD\ ZLWK FHUWDLQ GHILFLHQFLHV
ZKLFK GHULYH IURP WKH IDFW WKDW RQO\ WKRVH ZRUNV ZHUH
WDNHQ LQWR FRQVLGHUDWLRQ LQ WKH ERRNOHW ZKLFK KDG EHHQ
SXEOLVKHG LQ WKH IRUP RI ERRNV RU PRQRJUDSKV 6RPH
PLQRU IDXOWV FDQ DOVR EH GHWHFWHG LQ WKH WH[WV WKHPVHOYHV
VXFK DV WKH RQH LQ WKH WDEOH RQ S LQ ZKLFK WKH HVWL
PDWHV RI WKH WRWDO QXPEHU RI 6ORYHQH HPLJUDQWV DUH JDWK
HUHG IRU $UJHQWLQD WKH QXPEHU LV VWDWHG ZKLFK LV
RI FRXUVH QRW LQ OLQH ZLWK WKH DFWXDO VLWXDWLRQ DQG LV DO
WHULQJ WKH WRWDO QXPEHU RI 6ORYHQHV DFURVV WKH ZRUOG ,Q
WKH VDPH WDEOH ZH DOVR FDQQRW ILQG D GDWXP IRU WKH
QXPEHU RI HVWLPDWHG HPLJUDQWV LQ ,WDO\ ZKLFK LV RWKHU
ZLVHVWDWHGHOVHZKHUHLQWKHERRNOHW
$V D ZKROH WKH ERRNOHW QR GRXEW GHVHUYHV KLJK
PDUNVIRULWKDVILOOHGWKHJDSLQWKH6ORYHQHMRXUQDOLVP
FRYHULQJ WKLV FRPSOH[ LVVXH ,W KDV QRW PHUHO\ HQXPHU
DWHG WKH PDQ\ LQWHUHVWLQJ IDFWV DVVRFLDWHG ZLWK WKH 6OR
YHQHV DFURVV WKH ZRUOG EXW KDV FDOOHG RXU DWWHQWLRQ WR
WKH QXPHURXV RSHQ TXHVWLRQV FRQFHUQLQJ WKH 6ORYHQH
HPLJUDWLRQ DQG IXUWKHU SHUVSHFWLYHV RI WKH 6ORYHQH
FRPPXQLWLHVRXWVLGHWKH5HSXEOLFRI6ORYHQLD+HUHWKH
6ORYHQH UHVHDUFKHUV DV ZHOO DV WKH 6ORYHQH VWDWH LWVHOI
ZLOOKDYHWRGHYRWHLQFRQWUDVWWRWKHSDVWZKHQPRVWO\
HPRWLRQDO UHODWLRQV SUHYDLOHG LQ UHODWLRQV ZLWK HPL
JUDQWVPXFKJUHDWHUDWWHQWLRQWRWKHHPLJUDQWV
VLWXDWLRQ
VRFLDO VWDWXV OLQJXLVWLF SUDFWLFHV WKH UDWH RI LQWHJUDWLRQ
ZLWK WKH PDMRULW\ VRFLHW\ UHODWLRQVKLS ZLWK WKH RULJLQDO
HQYLURQPHQW DQG ODVW EXW QRW OHDVW WR WKH DGGLWLRQDO
RSSRUWXQLWLHV RI WKH 6ORYHQH VWDWH WR VXLWDEO\ SURPRWH
WKURXJK LWV YHU\ HPLJUDQWV LWV FXOWXUH DQG DW WKH VDPH
WLPH WR DVVRFLDWH PRUH FORVHO\ VRFLDOO\ DQG HFRQRPL
FDOO\ZLWKWKHFRXQWULHVLQZKLFKWKHVHFRPPXQLWLHVDUH
DFWLYH:LWKLQWKLVIUDPHZRUNZHDUHFRQYLQFHGWKDWWKH
6ORYHQH(PLJUDWLRQ6RFLHW\ZLOOFRQWLQXHWRSOD\DQLP
SRUWDQWSDUWLQUHWDLQLQJFORVHUHODWLRQVEHWZHHQ6ORYHQH
HPLJUDQWVDQGWKHLUQDWLYHVRLO
0LODQ%XIRQ
5DGD&RVVXWWD1$5(à1$32'2%$.5,Ë$35,75678
'LDOHFWDO3URILOHRI.ULÊQHDU7ULHVWH
.QMLÌQLFD$QQDOHV.RSHU=JRGRYLQVNRGUXÊWYR]D
MXÌQR3ULPRUVNRŸ=QDQVWYHQRUD]LVNRYDOQRVUHGLÊáH
5HSXEOLNH6ORYHQLMH.RSHUSS
5DGD .RÊXWD &RVVXWWD D 7ULHVWH 6ORYHQH LV D UH
VHDUFKHU RI 6ODYLF VWXGLHV DW WKH 6FKRRO RI 0RGHUQ /DQ
JXDJHV IRU ,QWHUSUHWHUV DQG 7UDQVODWRUV LQ 7ULHVWH 6KH KDV
EHHQ FRRSHUDWLQJ ZLWK 65& .RSHU LQ WKH ILHOG RI GLDOHF
WRORJ\ IRU VHYHUDO \HDUV $IWHU REWDLQLQJ WKH KLJK VFKRRO
FHUWLILFDWH RI FODVVLFDO O\FHXP LQ 7ULHVWH VKH FRQWLQXHG
KHU VWXGLHV DW WKH )DFXOW\ RI $UWV ZKHUH VKH JUDGXDWHG
IURPFODVVLFDOSKLORORJ\6KHFRPSOHWHG KHU PDVWHU¤V DQG
GRFWRUDOWKHVHVGHDOLQJZLWK6ORYHQHGLDOHFWRORJ\ DW WKH
)DFXOW\ RI $UWV LQ /MXEOMDQD XQGHU WKH PHQWRUVKLS RI 3UR
IHVVRU 7LQH /RJDU 7KHVH SURYLGHG DQ H[FHOOHQW VWDUWLQJ
SRLQW IRU GLDOHFWRORJLFDO UHVHDUFK LQ OLQJXLVWLFDOO\ GLYHUVH
WHUULWRULHV VXFK DV 6ORYHQH ,VWULD DQG ERUGHULQJ DUHDV
:LWKLQ WKH IUDPHZRUN RI GLDOHFWRORJLFDO UHVHDUFK KHU
PDLQ LQWHUHVW OLHV LQ VRFDOOHG VSHFLDOLVHG WHUPLQRORJLHV
HJ YLWLFXOWXUH DJULFXOWXUH DQLPDO KXVEDQGU\ PLFURWR
SRQ\PVROHRFXOWXUHHWF)RUWKHROGHVWOLQJXLVWLFOD\HUV
WKH\XVXDOO\KLGH WKHVH DUH RI XQGLVSXWHG LPSRUWDQFH IRU
OLQJXLVWLFV 6KH LV DOVR D UHVHDUFKHU RI 5RPDQFH DQG
*HUPDQLF ORDQ ZRUGV LQ 6ORYHQHYHUQDFXODUVLQWKHOLJKW
501
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
RI FHQWXULHVORQJ LQWHUWZLQLQJ EHWZHHQ WKH 5RPDQFH
*HUPDQLF DQG 6ODYLF ZRUOGV %HLQJ D IRUPHU VWXGHQW RI
0DULR 'RULD DQG GXH WR KHU FRRSHUDWLRQ ZLWK )UDQFR
&UHYDWLQ VKH LV YHU\ IDPLOLDU ZLWK HW\PRORJ\ ZKLFK LV
UHJXODUO\ LQFOXGHG LQ KHU GLDOHFWRORJLFDO UHVHDUFK ,W
VKRXOGEHPHQWLRQHGWKDWGU.RÊXWDLVDYHU\GHGLFDWHG
TXDOLILHG DQG UHOLDEOH ILHOG LQYHVWLJDWRU E\ DOO PHDQV
FRQGLWLRVLQTXDQRQIRUDQ\JRRGGLDOHFWRORJLVW
6LQFH KHU GRFWRUDO GLVVHUWDWLRQ 3ROMHGHOVND LQ YLQR
JUDGQLÊNDWHUPLQRORJLMDYJRYRULKVORYHQVNH,VWUH$JUL
FXOWXUDO DQG 9LWLFXOWXUDO 7HUPLQRORJ\ LQ WKH 'LDOHFWV RI
6ORYHQH,VWULD)DFXOW\RI$UWV/MXEOMDQDVKHKDV
EHHQ LQYROYHG LQ WKH UHVHDUFK RI ,VWULDQ 6ORYHQH YHU
QDFXODUV +HU PDLQ LQWHUHVW OLHV LQ WKH YRFDEXODU\ RI
WKHVHYHUQDFXODUVO\LQJRQWKHPHHWLQJSRLQWRIWKH5R
PDQFH DQG 6ODYLF ZRUOGV DQG WKHUHIRUH H[SRVHG WR
PXWXDOLQWHUIHUHQFH7KHILUVWSKDVHRIKHUUHVHDUFKZRUN
FRQVLVWV RI ILHOG LQYHVWLJDWLRQ 2Q WKH EDVLV RI D VSHFLDO
TXHVWLRQQDLUH VKH KDV EHHQ FROOHFWLQJ ,VWULDQ 6ORYHQH
GLDOHFWRORJLFDO PDWHULDOV IRU VHYHUDO \HDUV 6R IDU DOVR
ZLWK DVVLVWDQFH RI KHU VWXGHQWV VKH KDV UHVHDUFKHG ORFDOLWLHV LQ 6ORYHQH ,VWULD 0DOLMD 3DGQD .UNDYáH
*DÌRQ ÉPDUMH .RÊWDERQD 3RPMDQ %RUÊW 0DUH]LJH
7UHEHÊH %HOYHGXU 3UHJDUD 6RáHUJD 0RYUDÌ 2VS 'H
NDQL àUQL .DO 3RWRN .XEHG +UDVWRYOMH *UDáLÊáH $OO
PDWHULDOV ZHUH WDSH UHFRUGHG DQG ODWHU WUDQVFULEHG LQ
DFFRUGDQFH ZLWK WKH UXOHV RI WKH 6ORYHQH SKRQHWLF
VFULSW $V D UHVXOW WKH GLDOHFWRORJLFDO OH[LFDO DWODV RI
6ORYHQH ,VWULDQ VSHHFK WKH 6'/$.S DYDLODEOH RQ &'
KDVEHHQSXEOLVKHG
5DGD .RÊXWD LV DQ DFNQRZOHGJHG GLDOHFWRORJLVW LQ
6ODYLF DQG 5RPDQFH OLQJXLVWLF FLUFOHV LQ 6ORYHQLD DQG
DEURDG ,WDO\ $XVWULD +XQJDU\ &URDWLD 6KH UHJXODUO\
SDUWLFLSDWHV LQ 6ORYHQH DV ZHOO DV IRUHLJQ PHHWLQJV DQG
FRQJUHVVHVRQ6ODYLFDQG5RPDQFHVWXGLHV+HUVFLHQWLILF
DQG SURIHVVLRQDO DUWLFOHV KDYH EHHQ SXEOLVKHG E\ UH
QRZQHG VFLHQWLILF DQG SURIHVVLRQDO MRXUQDOV 2Q WKLV RF
FDVLRQ OHW PH PHQWLRQ WZR OLQJXLVWLF DWODVHV WKH
6ORYHQVNL GLDOHNWRORÊNL DWODV WUÌDÊNH SRNUDMLQH 6ORYHQH
'LDOHFWRORJLFDO /H[LFDO $WODV RI WKH 7ULHVWH 3URYLQFH
6'/$7V DQG WKH DERYHPHQWLRQHG 6ORYHQVNL
GLDOHNWRORÊNL DWODV NRSUVNH SRNUDMLQH 6ORYHQH 'LDOHF
WRORJLFDO/H[LFDO$WODVRIWKH.RSHU3URYLQFH6'/$.S
%RWKZHUHSXEOLVKHGLQ7ULHVWHDQGPD\UHSUHVHQW
KHUZRUNDQGLQWHUHVWVLQWKHEHVWSRVVLEOHZD\6KHKDV
EHHQDYDOXDEOHPHPEHURI WKH OLQJXLVWLF SURMHFW JURXS
ZLWKLQ 65& .RSHU 'LDOHFWDO 3URILOH RI .ULÊ QHDU 7ULHVWH
LVDUHVXOWRIKHUUHVHDUFKZLWKLQWKHSURMHFW(WLPRORÊNR
IUD]HRORÊNH UD]LVNDYH VORYHQVNLK LVWUVNLK JRYRURY (W\
PRORJLFDO3KUDVHRORJLFDO 5HVHDUFK RI 6ORYHQH ,VWULDQ
9HUQDFXODUV
7KH ERRN LV GLYLGHG LQWR WZR PDLQ SDUWV 7KH ILUVW WKH
PRVW FRPSUHKHQVLYH SDUW EDVHG RQ WKH PDWHULDOV FRO
OHFWHGE\WKHDXWKRULVDGHVFULSWLRQRIWKH.ULÌVSHHFK,W
FRQVLVWV RI JUDPPDU ZLWK SKRQHWLFV DQG PRUSKRORJ\
ZLWKRXW V\QWD[ 7KH JUDPPDU LV DQDO\VHG LQ DFFRUGDQFH
ZLWKWKHPRVWUHFHQWILQGLQJVRIOLQJXLVWLFV$OOVWDWHPHQWV
DUH VXSSRUWHG E\ H[DPSOHV UHFRUGHG E\ WKH DXWKRU GXU
LQJ ILHOG LQYHVWLJDWLRQ )XUWKHUPRUH LW VKRXOG QRW EH IRU
JRWWHQ WKDW .ULÌ LV .RÊXWD¤V QDWLYH YLOODJH DQG WKH .ULÌ
VSHHFKKHUPRWKHULGLRPZKLFKDGGVDGGLWLRQDOYDOXHWR
WKH DXWKHQWLFLW\ RI KHU WUHDWLVH ,Q WKH FRQFOXVLRQ RI WKH
SUHVHQWDWLRQ RI WKH .ULÌ VSHHFK D SKRQHWLF WUDQVFULSWLRQ
RI D WH[W DV WROG E\ 0LUNR .RÊXWD DQG D ILOOHG LQ 6/$
TXHVWLRQQDLUHWKHEDVLVIRUWKLVWUHDWLVHFDQEHIRXQG
7KHVHFRQGSDUWFRQVLVWVRIWZRVXSSOHPHQWVZKLFK
URXQGXSWKHPDLQ HVVHQFH RI WKH ERRN LQ DQ H[FHOOHQW
ZD\7KHVHVXSSOHPHQWVWRRDUHEDVHGRQILHOGLQYHVWL
JDWLRQ FDUULHG RXW E\ WKH DXWKRU 7KH ILUVW VXSSOHPHQW
.ULÊND OHGLQVND LPHQD 0LFURWRSRQ\PV LQ .ULÊ GHDOV
ZLWK WKH WRSRQ\P\ RI D VSHFLILF 6ORYHQH VSHDNLQJ DUHD
WKHYLOODJHRI.ULÌ7KHPDWHULDOVKDYHEHHQHW\PRORJL
FDOO\ DQDO\VHG DQG ZKDW EHDUV H[WUHPH LPSRUWDQFH IRU
6ORYHQHQDWLRQDOKHULWDJHWKH\VKRZHYLGHQWSUHYDOHQFH
RI ORFDO WKDW LV 6ODYRQLF PLFURWRSRQ\PV ZKLFK ZHUH
SUHVHUYHG LQ WKH .ULÌ VSHHFK GHVSLWH FHQWXULHVORQJ 5R
PDQFH LQIOXHQFHV 5RPDQFH QDPHV DFFRXQW IRU RQH
WKLUGRQO\7KHVHFRQGVXSSOHPHQW.ULÊNDKLÊQDLPHQD
+RXVH 1DPHV LQ .ULÊ GLVFXVVHV DSSUR[LPDWHO\ WHUPV DQDO\VHG IURP WKH PRUSKRORJLFDO HW\PRORJLFDO
DQG OH[LFRORJLFDO SRLQWV RI YLHZ 7KH HW\PRORJLFDO
DQDO\VLV UHYHDOV D PXOWLOD\HUHG FKDUDFWHU RI WKH .ULÌ
VSHHFK ZKLOH WKH YRFDEXODU\ DQDO\VLV RIIHUV DQ LQVLJKW
LQWRWKHGHYHORSPHQWRIWKHFXOWXUHRIWKLVWLQ\SLHFHRI
6ORYHQHWHUULWRU\WKURXJK5RPDQFHDQG*HUPDQLFLQIOX
HQFHVLQIOXHQFHVDW DOO OHYHOV IURP FXOWXUDO WR OLQJXLV
WLF ,W VKRXOG EH HPSKDVLVHG WKDW EHVLGHV WKHLU HW\PR
ORJLFDOYDOXHERWKVXSSOHPHQWVDOVRFDUU\FXOWXUDOYDOXH
IRUH[DPSOHWKH\XQYHLOREMHFWVDQGFRQFHSWVQRORQJHU
XVHG DQG PLFURWRSRQ\PV HVSHFLDOO\ UHIOHFW QXPHURXV
HOHPHQWVRIWKHVWUXFWXUHRIWKHROGWLPHYLOODJHHWF
7KLVERRNVKDOOILOOXSWKHJDSIHOWLQWKHUHVHDUFKRI
6ORYHQH ,VWULDQ DQG SDUWLFXODUO\ WKRVH YHUQDFXODUV VSR
NHQ E\ WKH 6ORYHQH VSHDNLQJ FRPPXQLWLHV RXWVLGH 6OR
YHQLD)HZZRUNVRQO\GHDOLQJZLWKWKLVWRSLFKDYHEHHQ
SXEOLVKHG VR IDU DSDUW IURP WKH DERYH VWDWHG .RÊXWD¤V
DWODVHV WZR WLWOHV VKRXOG EH PHQWLRQHG WKH 1DUHáQL
VORYDU JRYRUD 6YHWHJD $QWRQD SUL .RSUX 'LDOHFWRORJL
FDO 'LFWLRQDU\ RI WKH 6YHWL $QWRQ QHDU .RSHU 6SHHFK
XQIRUWXQDWHO\ ZULWWHQ LQ D YHU\ XQSURIHVVLRQDO ZD\ E\
'XÊDQ -DNRPLQ DQG *HRJUDIVND LPHQD Y VHYHUR]D
KRGQL ,VWUL 7RSRQ\PV LQ 1RUWK:HVWHUQ ,VWULD E\ -XOLM
7LWOSXEOLVKHGLQWKHVDPHFROOHFWLRQ/LEUDU\$QQDOHV
6ORYHQH,VWULDQYHUQDFXODUVDQGWKRVHVSRNHQE\6OR
YHQHVSHDNLQJFRPPXQLWLHVDEURDGKDYHWKHUHIRUHEHHQ
QHJOHFWHGE\PRGHUQUHVHDUFKRI6ORYHQHVWXGLHV:KDW
FDQ EH IRXQG LQ VRFDOOHG UHIHUHQFH ERRNV WH[WERRNV
HQF\FORSDHGLDVHWFLVEDVHGRQUHVHDUFKFDUULHGRXWLQ
WKHILUVWKDOIRIWKHWKFHQWXU\,QRXURSLQLRQWKRXJK
ERUGHUV EHWZHHQ ,VWULDQ 6ORYHQH DQG 6ORYHQH YHUQDFX
ODUVVSRNHQLQ,WDO\VKRXOGEHGUDZQDQHZ$QGZKDWLV
PRVWLPSRUWDQWDOORIWKHVHYHUQDFXODUVVKRXOGEHGHDOW
502
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
ZLWKWRJHWKHUDVDQLQVHSDUDEOHXQLW7KLVZD\RQO\FDQ
ZHUHDFKNQRZOHGJHZKLFKZLOODOORZXVWRGUDZQHZ
PRUH FRUUHFW DQG DFFXUDWH ERUGHUV 7KH\ QHHG WR EH
PRUH DFFXUDWHO\ WKDQ XS WR QRZ GHDOW ZLWK ZLWKLQ WKH
IUDPHZRUNRIERWK5RPDQFHDQG6ODYRQLFQHLJKERXULQJ
YHUQDFXODUV 1HLJKERXULQJ QRQUHODWHG LGLRPV DUH WKH
RQHV ZKLFK ZLOO DOORZ XV WR LGHQWLI\ ORDQ ZRUGV EH
ORQJLQJ WR ROGHU OLQJXLVWLF OD\HUV ZKLFK ZHUH QRW SUH
VHUYHG LQ WKH YHUQDFXODU WKDW ORDQHG WKHP RI FRXUVH
WKLV LV YDOLG IRU UHVHDUFK LQ WKH RSSRVLWH GLUHFWLRQ WRR
5DGD.RÊXWDZURWHKHUERRNLQDFFRUGDQFHZLWKDOOFUL
WHULDGHVFULEHGDERYH+HUZRUNWRJHWKHUZLWKWKHRQHV
WKDW VWLOO QHHG WR EH ZULWWHQ DQG SXEOLVKHG ZLOO HQDEOH
XVWRUHDFKWKHDLPVHWDW65&.RSHU\HDUVDJRDPRUH
FRUUHFW DQG DFFXUDWH GHILQLWLRQ RI GLDOHFWDO ERUGHUV RI
WKH 6ORYHQH OLQJXLVWLF WHUULWRU\ LQ ,VWULD DQG ,WDO\ WKH
QHHG IRU ZKLFK KDV EHHQ SUHVHQW IRU D ORQJ WLPH QRZ
0RUHUHVHDUFKZLOOEHQHHGHGYHUQDFXODUVRIDOO ,VWULDQ
YLOODJHVDVZHOODVWKRVHRQWKHRWKHUVLGHRIWKHERUGHU
KDYH WR EH UHFRUGHG DQG DQDO\VHG 7LPHV RI EHLQJ XQ
SURIHVVLRQDO LQ GLDOHFWRORJ\ KDYH SDVVHG 7KH ERRN LQ
RXUKDQGVLVWKHILUVWRQHWRGHDOZLWKDYHUQDFXODUVSR
NHQ E\ D 6ORYHQH VSHDNLQJ FRPPXQLW\ LQ ,WDO\ LQ D
PRGHUQDQGFRPSOHWHO\VFLHQWLILFZD\
,Q FRQFOXVLRQ GU .RÊXWD¤V PRQRJUDSK LV DQ H[
WUHPHO\ YDOXDEOH VFLHQWLILF ZRUN ZKLFK EHDUV DV , VDLG
EHIRUHDKLJKFXOWXUDOYDOXH 7RGD\ LQ WKH DWPRVSKHUH
RI WRWDO JOREDOLVDWLRQ ELJ GDQJHU LV OXUNLQJ DW VRFDOOHG
PLQRU ODQJXDJHV RU DFWXDOO\ ODQJXDJHV RI PLQRU QD
WLRQVWKDWWKH\ZLOOVLPSO\GLVDSSHDULQWKHRFHDQVRI
XQLYHUVDO $PHULFDQLVDWLRQ $ IDWH HYHQ FUXHOOHU LV
DZDLWLQJGLDOHFWVOHWDORQH6ORYHQHYHUQDFXODUVLQ,WDO\
ZKLFK KDYH EHHQ GURZQLQJ LQ WKH VHD RI WKH 5RPDQFH
FXOWXUH DQG ZRUOG IRU FHQWXULHV 7KLV ERRN PLJKW UHSUH
VHQWDFRQWULEXWLRQWRWKHSUHVHUYDWLRQRID6ORYHQHYHU
QDFXODUVSRNHQLQDVPDOOYLOODJHRQWKHRWKHUVLGHRIWKH
ERUGHU+RZHYHULIGHVSLWHWKLVLWYDQLVKHVLQLQHYLWDEOH
FRPSOHWH JOREDOLVDWLRQ DW OHDVW ZH ZLOO KDYH HYLGHQFH
RILWVH[LVWHQFHDQGQRWRQO\WKDWZHZLOOKDYHLWVLQWH
JUDOSRUWUDLWIURPWKHHQGRIWKHWKFHQWXU\
*RUDQ)LOLSL
%8=(76.,=%251,.WKYROXPHRI%X]HW%RRNOHW
%X]HW.DWHGUDàDNDYVNRJVDERUD%X]HW3XáNRRWYRUHQR
XáLOLÊWH$XJXVWLQ9LYRGD%X]HW-RVLS7XUáLQRYLß
GRR3D]LQSS
7KLV\HDUWKHWKYROXPHRI%X]HWVNL]ERUQLN
KDVEHHQSXEOLVKHG7KHWH[WVDUUDQJHG LQ VHYHQ FKDS
WHUVZHUHFRQWULEXWHGE\IRUW\DXWKRUV
7KH%X]HWDUHDLVDSODFHRILQH[KDXVWLEOHLQYHVWLJD
WRU\ RSSRUWXQLWLHV EHOLHYHV .ODUD 0DWLMDÊLß Ÿ %XUÊLß
3K' ZKR KDV EHHQ YLVLWLQJ WKH DUHD DV DQ DUFKDHROR
JLVWIRUDQXPEHURI\HDUVDVGHPRQVWUDWHGLQKHUFRQ
WULEXWLRQ7RSRQ\P\RIWKH%X]HW$UHD3URI(OHQD*UDK
RQWKHRWKHUKDQGZURWHDERXWSKRQRORJLFDOFKDUDFWHU
LVWLFVRIWKHORFDOLGLRPLQWKHYLOODJH RI .UEDYáLßL 7KH
FRQWHQWV DUH GHGLFDWHG WR WKH DQDO\VLV RI WKH YLOODJH
V
SKRQRORJLFDO FKDUDFWHULVWLFV DFFHQWXDWLRQ YRFDOLVP
DQG FRQVRQDQWLVP 7KH DXWKRU LQLWLDOO\ GHDOV ZLWK DF
FHQWXDWLRQ7KHDFFHQWXDWLRQVWUXFWXUHRIWKLVLGLRPKDV
WZR XQLWV WKH VKRUWGHVFHQGLQJ DQG ORQJGHVFHQGLQJ
DFFHQWVZLWKQRXQDFFHQWXDWHGOHQJWKV
:LWKLQ WKH YRFDO LQYHQWRU\ IUDPHZRUN VKH DQDO\VHV
WKH SRLQW RI UHDOLVDWLRQ RI DOO WHQ XQLWV LH RI YRZHO L
FORVHGHRUGLQDU\HRSHQHYRZHODFORVHGDRUGLQDU\
DQGFORVHGYRZHORYRZHOXDQGUHGXFHGYRZHOZKLFK
KDV LQ WKLV LGLRP WKH VWDWXV RI D YRZHO DV ZHOO 6KH
FRQFOXGHVWKHSUHVHQWDWLRQ RI SKRQRORJLFDO FKDUDFWHULV
WLFV E\ DQDO\VLQJ WKH FRQVRQDQW LQYHQWRU\ DQG WKH FRQ
VRQDQWJURXSV
,QWKHFRQFOXVLRQVWKHDXWKRUUHSHDWVWKHEDVLF WKH
VHVE\FRQILUPLQJWKHDIILOLDWLRQRIWKLVLGLRPWRWKHFKD
NDYVNLGLDOHFW
,Q WKH HQG WKH DXWKRU SUHVHQWV D OLVW RI UHIOH[HV RI WKH
UG OHWWHU LQ WKH *ODJROLWLF DOSKDEHW LQ WKH URRW DQG
JUDPPDWLFDO PRUSKHPHV ZLWK H[DPSOHV WKDW FRQILUP
WKHP
7KH SKUDVHV RI WKH %X]HW LGLRPV DUH SUHVHQWHG E\
3URI1DWDÊD9LYRGD
3URI 9LYRGD GHDOV ZLWK WKH SKUDVHV DV FRQVWDQW H[
SUHVVLRQV HQWHULQJ WKH YRFDEXODU\ LQ D XQLILHG DQG XQ
FKDQJHG IRUP PRVW RIWHQ XVHG LQ WKH %X]HW LGLRPV
6L[W\ SKUDVHV DUH SUHVHQWHG DOWKRXJK WKH VRFDOOHG
SKUDVHV RI FRPSDULQJ W\SH SUHGRPLQDWH LQ WKH %X]HW
LGLRPV
,QWKHWH[WHQWLWOHG6WMHSDQ.RQ]XOLQWKH&URDWLVWUH
VHDUFK RI WKH WK FHQWXU\ $ORM] -HPEULK FKURQRORJL
FDOO\ SUHVHQWV WKH ZRUNV RI YDULRXV 6ODYLVWV &URDWLVWV
DQG KLVWRULDQV GHDOLQJ ZLWK 6WMHSDQ .RQ]XO :LWKLQ WKH
IUDPHZRUNRIDZLGHUVSHFWUHRIELEOLRJUDSKLFXQLWVWKH
DXWKRUGHPRQVWUDWHVKRZ.RQ]XO
VZRUNKDGEHHQLQWKH
FHQWUH RI VFLHQWLILF UHVHDUFK DV HDUO\ DV LQ WKH WK FHQ
WXU\DVZHOODVLQWKHHQVXLQJSHULRGVXQWLOWKHHQGRIWKH
WKFHQWXU\
.RQ]XO
V ZRUN LQ 8UDFK DV RI WUDQVODWRU RI ERRNV
LQWR&URDWLDQODQJXDJHSULQWHGLQWKH*ODJROLWLF&\ULOOLF
DQG/DWLQDOSKDEHWVIRXQGLWVSODFHLQWKHKLVWRU\RIWKH
*ODJROLWLF DQG &\ULOOLF DOSKDEHWV DQG RI &URDWLDQ ODQ
JXDJH LQ WKH KLVWRU\ RI WKH %LEOH WUDQVODWLQJ DQG LQ WKH
KLVWRU\RIW\SRJUDSK\DQGOLWHUDWXUHRI&URDWLDDVZHOODV
*UDGLÊßH $OO WKLV GHPRQVWUDWHV WR ZKDW H[WHQW 6WMHSDQ
.RQ]XORI%X]HWZDVDQGZLOOEHSUHVHQWLQWKH&URDWLVW
UHVHDUFKIRULQVSLWHRIDOOWKHLQYHVWLJDWLRQVFDUULHGRXW
VRIDUWKHUHLVVWLOOPXFKWREHVWXGLHGDQGZULWWHQDERXW
KLP
2QWKHEDVLVRIDUFKLYDOPDWHULDODQGUHJLVWHUVRIWKH
WRZQRI3XOD6ODYHQ%HUWRÊD3K'ZULWHVDERXWVXUQDPHV
503
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
RI WKH SHRSOH VHWWOLQJ LQ 3XOD GXULQJ WKH WK DQG WK
FHQWXULHV7KLVZDVWKHWLPHRIGLUHFWLPPLJUDWLRQRIWKH
SHRSOHIURP%X]HW5Rá/XSRJODYDQG%UJXGDF
7KH àDNDYVNL SDUOLDPHQW LQ %X]HW PDGH D GHFLVLRQ
WR UHSULQW DW WKH WK DQQLYHUVDU\ RI ÉLPXQ *UHEOR
V
GHDWK WKH ERRN HQWLWOHG ÉLPXQ *UHEOR DQG +LV ,QWHU
SUHWDWLRQRI&KULVW
V6XIIHULQJ
7KH ERRN
V LQWURGXFWLRQ DQG WUDQVOLWHUDWLRQ ZDV
ZULWWHQE\$QWRQLMD=DUDGLMD.LÊ3K'ZKRDOVRSUHSDUHG
WKHDQQH[ÉLPXQ*UHEOR<HDUV$IWHU
0VJU 5DGRYDQ 2ÊWULß ZULWHV DERXW WKH IUHVFRHV UH
VWRUHG LQ WKH FKXUFK RI 6W 5RTXH DW 5Rá 7KH QHZ GLV
FRYHULHVPDGHDWWKHHQGRIWKHUHVWRUDWLRQWKURZVRPH
QHZ OLJKW RQ WKH FKXUFK
V KLVWRU\ %\ GLVFRYHULQJ WKH
VFHQHRI6W3HWHU
VFUXFLIL[LRQLWZDVFRQILUPHGWKDWWKH
FKXUFK ZDV RQFH GHGLFDWHG WR WKLV GLVFLSOH 7KH GDWH
ZKHQWKHQDPHRIWKHFKXUFKZDVFKDQJHGWR6W5RTXH
LVQRWNQRZQ,Q9DOLHUZURWHWKDWWKLVZDV6W3H
WHU
FKXUFK7KHGDPDJHVRQWKHIUHVFRHVDQGWKHFKXUFK
LWVHOIZHUHPDGHLQWKHHDUO\WKFHQWXU\ ZKHQ
WKHROGWRZQZDOOVZHUHSXOOHGGRZQ
$VWRDVRXUFHIRUWKHHFRQRPLFKLVWRU\RI5Rá3URI
'UDÌHQ9ODKRYUHVRUWHGWRWKHOHGJHURIWKH%URWKHUKRRG
RI 6W %DUWKRORPHZ DW 5Rá FRYHULQJ WKH SHULRG IURP
WR
7KHUHIROORZWKHWH[WV0DWHULDORIWKH%X]HW&RXQFLO
DW '$ 5LMHND E\ 3URI =DGDUND *UHEOR 3UHVHUYDWLRQ RI
WUDGLWLRQDO YDOXHV DURXQG +XP E\ *RUGDQD àDOLß
ÉYHUNR %6F LQ 6RFLRORJ\ 1RYHOHWWHV DERXW 0DOL 0OXQ
E\'HQLV-HUPDQ%6FLQ/DZDQG$ERXWWKHPHHWLQJVLQ
%X]HWE\3URI-RVLSÉLSXÊ
9RMPLO 3URGDQ ZULWHV DERXW WKH àLULWHÌ YDOOH\
VSUHDGLQJRQVRPHKD'XHWRWKHVSHFLILFVWUXFWXUH
RI WKH JURXQG DQG WKH QXPHURXV VSULQJV WKH WHUUDLQ LV
PDUVK\ DQG D IHZ EULFNZRUNV ZHUH IXQFWLRQLQJ LQ WKLV
DUHD LQ WKH SUHYLRXV FHQWXU\ $SDUW IURP ZDWHUV WKH
DXWKRUGHVFULEHVDOOWKHVHWWOHPHQWVRIWKHYDOOH\
,QWKH3DVWRUDOVZULWWHQXSRQWKHVSHHFKPDGHGXULQJ
0DUWLQPDV ,YDQ 'UDÊáLß %HOL 0DWH UHFROOHFWV KLV FKLOG
KRRGZKHQKHZDVOLVWHQLQJDSDUWIURPWHQGLQJDIORFN
WR QXPHURXV VWRULHV DERXW WKH SDVW 7KH ODQGVFDSH ZDV
ULFKHU WKHQ GXH WR WKH OLYHO\ OLIH LQ SDVWXUHV DQG DORQJ
WKHP $FFRUGLQJ WR WKH WUDGLWLRQ LW ZDV DOVR WKH EHVW
WLPHIRUIDUPMREVZKHQIRUH[DPSOH\RXZHUHQRWDO
ORZHGWRGLVWXUEWKHYLQHIRUDERXWDZHHNIURP6W0DU\
&DUPHOOD PLG -XO\ XQWLO 6W 0DU\ 0DJGDOHQH ZKHQ
JUDSHVZHUHVXSSRVHGWREHDVOHHS
7KH VHFRQG FKDSWHU HQWLWOHG )URP WKH .UDV EHJLQV
ZLWK WKH FRQWULEXWLRQ ZULWWHQ E\ -RVLS ËPDN 06F
ÞLßDULMDDQGLWVPRXQWDLQV
ÞLßDULMDLVDFRPSRQHQWSDUWRIWKH,VWULDQ3HQLQVXOD
,WVSUHDGVIURP.R]LQDWR3RNORQDWDOHQJWKRIVRPH
NPDQGIURP'ROHQMDYDVWR3ROMDQHDWDZLGWKRIDERXW
NP,WFRYHUVNP²DQGLWVDYHUDJHDOWLWXGHLV
P 7KH DUHD HQFORVHV LQKDELWHG YLOODJHV RU VHWWOH
PHQWV RI ZKLFK EHORQJ WR WKH 5HSXEOLF RI &URDWLD
DQGWRWKH5HSXEOLFRI6ORYHQLD7KHKLJKHVWQXPEHU
RILQKDELWDQWVZDVUHJLVWHUHGLQLH
RU LQ &URDWLDQ YLOODJHV DQG RU LQ WKH
6ORYHQHSDUWRIÞLßDULMD7RGD\WKHDUHDLVSRSXODWHGE\
LQKDELWDQWV RU RI WKHP OLYH LQ LWV
&URDWLDQSDUWDQGRULQLWV6ORYHQHSDUW
7KH EDVLF OLQH RI SURGXFWLRQ LQ ÞLßDULMD XVHG WR EH
DQG SDUWO\ VWLOO LV VWRFNEUHHGLQJ IRUHVWU\ DJULFXOWXUH
DQG WUDGH PDVRQU\ MRLQHU\ OLPHPDNLQJ HWF $W WKH
WLPHZKHQWKHDUHDZDVSRSXODWHGE\WKHJUHDWHVWQXP
EHURILQKDELWDQWVVRPHVKHHSDQGKHDGV
RI FDWWOH ZHUH NHSW 7RGD\ WKHVH QXPEHUV DUH DERXW D
KXQGUHGWLPHVORZHU
7KHDUHDIURP3RNORQWR.R]LQDERDVWVSHDNVZLWK
PRUHWKDQPDVOWKHKLJKHVWDPRQJWKHPEHLQJ
3ODQLNP
$OO ÞLßDULMD YLOODJHV KDYH DVSKDOWHG DFFHVV URDGV
HOHFWULF SRZHU WHOHSKRQH DQG PRVW RI WKHP GULQNLQJ
ZDWHU
7KH VDPH DXWKRU -RVLS ËPDN ZULWHV DERXW WKH ROG
WUDGLWLRQVVWLOOSUDFWLVHGLQWKHYLOODJHRI3RGJDßHLH
9HMH Ÿ JDWKHULQJ RI OHDYHV LQ WKH DXWXPQ ÞUHGD Ÿ
FROOHFWLYH SDVWXUH .RPXÈÝLQD Ÿ YDULRXV FRPPXQDO
PDLQWHQDQFH MREV .ROHMDQL Ÿ FDUROVLQJLQJ DQG .RQGHQMLNDŸDSOD\SHUIRUPHGGXULQJ6KURYHWLGH7KUHH
RI WKH VWDWHG ILYH WUDGLWLRQV KDYH HFRQRPLFFRPPXQDO
504
ANNALES · Ser. hist. sociol. · 12 · 2002 · 2
=$3,6,3252à,/$,12&(1(127(5(/$=,21,(5(&(16,21,127(65(32576$1'5(9,(:6
IHDWXUHV ZKLOH WKH UHPDLQLQJ WZR KDYH EHHQ SUDFWLVHG
IRUSOHDVXUH2IDVSHFLDOLQWHUHVWLVWKHXQLTXH.RQGHQ
MLNDZKLFKKDVDOZD\VEHHQSHUIRUPHGRQ6KURYH7XHV
GD\V 'XH WR WKH JUHDW UHGXFWLRQ LQ WKH QXPEHU RI LQ
KDELWDQWVDQGWKHUHIRUHLQWKHHFRQRPLFDFWLYLWLHVKRZ
HYHURQO\RQHRIWKHGHVFULEHGWUDGLWLRQVKDVVXUYLYHGLQ
WKH YLOODJH LH .RPXÈßLQD ZKLOH DOO WKH UHVW KDYH UH
PDLQHGRQO\LQWKHPHPRU\RIWKHROGHUYLOODJHUV
$ERXWWKHILUVW,VWULDQHWKQRORJLVW3URI-DNRY0LNDF
ERUQ LQ DW %UHVW EHORZ ËEHYQLFD WKH FROOHFWRU RI
PDWHULDO GHDOLQJ ZLWK IRON OLIH DQG WUDGLWLRQ DQG WKH
DXWKRURIWKHERRNDERXWWUDGLWLRQDOFXOWXUHZULWHV-HOND
5DGDXÊ5LEDULß3K'
,QKLVWH[WHQWLWOHG7RSRQ\PVRIWKHVRXWKHUQSDUWRI
ÞLßDULMD-XVW,YHWDFDMRXUQDOLVWDQGSXEOLFLVWIURP3XOD
GHDOV IRU WKH YHU\ ILUVW WLPH ZLWK WKH WRSRQRPDVWLFV RI
WKLVSDUWLFXODUDUHD1DPHO\KHKDVUHFRUGHGWKHQDPHV
RIWKHPRXQWDLQVYDOOH\VDQGYLOODJHVRIWKLVPRXQWDLQ
RXV DUHD RI ,VWULD KRSLQJ WR GLVFRYHU WKHLU URRWV LQ WKH
OLQJXLVWLFKLVWRULFDODQGJHRJUDSKLFDOFRQWH[WV,QKLVUH
VHDUFK GXULQJ ZKLFK KH UHVRUWHG WR XQWLO QRZ IDLUO\
PRGHVW WRSRQRPDVWLF UHFRUGV DERXW ÞLßDULMD SDUWLFX
ODUO\ FRPSDUDWLYH OLQJXLVWLF UHVHDUFK LQWR WKH ODQJXDJH
RILWVLQKDELWDQWVWKH DXWKRU DUULYHG DW VRPH LQWHUHVWLQJ
UHVXOWVE\GLVFRYHULQJWKHURRWVRIDQXPEHURIQDPHVRI
PRXQWDLQVYDOOH\VDQGYLOODJHV$SDUWIURPLWKHHVWDE
OLVKHG WKDW WKH PDMRULW\ RI WKH PRXQWDLQV
QDPHV DUH RI
6ODYLF DV ZHOO DV 3DQ6ODYLF RULJLQ 7KLV LV LQ WKH ILUVW
SODFHLQGLFDWHGE\WKHQDPH3OHÊHYLFDRU3OHÊLYLFD WKH
PRXQWDLQZLWKLWV QDPHVDNHV LQ D YHU\ ZLGH DUHD IURP
WKH$GULDWLFWRWKH8UDO0RXQWDLQV
7KH FKDSWHU HQWLWOHG /LWHUDU\ 6XSSOHPHQWV LQFOXGHV
ZRUNV LQ SURVH E\ )HGRU 3XWLQMD 0DULQ -HGUHMáLß DQG
0LUR 5XÊQMDN DQG SRHPV E\ 0LUQD %UDWXOLß 0DULMD 5L
EDULß 6QMHÌDQD 0DUNHÌLß 'DQLHO 6LURWLß DQG %HOOD 5X
SHQD
,Q%X]HWVNL]ERUQLNWH[WVGHDOLQJZLWKWKHKLVWRU\RI
VFKRROHGXFDWLRQLQWKH%X]HWDUHDDQG,VWULDLQJHQHUDO
DUHSXEOLVKHGSHULRGLFDOO\$VIDUDVWKH%X]HWVFKRROLV
FRQFHUQHGWKHSRVLWLRQRILWVKHDGPDVWHUKDVEHHQKHOG
WKH ORQJHVW E\ 9LQNR ÉHSLß %RÌR -DNRY
OMHYLßDQG,YLFD7RWPDQ9LQNRÉHSLßZDVDOVRDQDFWLYH
VRFLDOZRUNHUUHVLVWLQJWKH&URDWLDQDQG6ORYHQHVFKRRO
HGXFDWLRQEHLQJGHSULYHGRIWKHLUQDWLRQDOULJKWV$WWKH
WLPHZKHQ&URDWLDQVFKRROVZHUHOHIWZLWKRXWWH[WERRNV
KH HGLWHG WKH MRXUQDO IRU FKLOGUHQ 1DÊD QDGD 2XU
+RSHSXEOLVKHGLQLQ7ULHVWH
0LUMDQD %ODÌHYLß OLVWV QXPHURXV WHDFKHUV HPSOR\HG
E\%X]HW3ULPDU\6FKRRODIWHU:RUOG:DU,,
6RPHFXOWXUDOPDQLIHVWDWLRQVDUH GHVFULEHG E\ *RU
GDQD àDOLß ÉYHUNR 6DÊD 1LNROLß .ULVWLQD 3DYOHWLß DQG
6LQLÊDËXOLß%X]HWVNL]ERUQLNUHJXODUO\SUHVHQWVUHYLHZV
RI WKH SXEOLVKHG QXPEHUV RI $QQDOHV LQ WKH SUHVHQW
%RRNOHW 1RV DQG RI WKLV .RSHU MRXUQDO
DUHSUHVHQWHG
,Q WKH VXSSOHPHQW GHDOLQJ ZLWK VSRUWV 6LQLÊD ËXOLß
ZULWHV DERXW PRWRU UDFLQJ ZKLFK KDV EHHQ IRU PRUH
WKDQ\HDUVKHOGDWWKHIRRWRI%X]HW7KHDXWKRUORRNV
EDFNDWWKHWZRGHFDGHVORQJWUDGLWLRQRIWKHROGHVWKLOO
FOLPELQJUDFHLQ&URDWLDZKLFKVXFFHHGHGLQDWWUDFWLQJ
WKHDWWHQWLRQRIQRWRQO\WKHORFDOVEXWRIHQWLUH&URDWLD
7KLVUHPLQLVFHQFHLVSDUWO\GXHWRWKHPDQ\VXFFHVVHVRI
WKH %X]HW PRWRU UDFHUV RQ WKH WUDFNV RI WKH IRUPHU DQG
WKHSUHVHQWGD\VWDWH
7KHVDPH DXWKRU DOVR SUHVHQWV D VKRUW UHYLHZ RI WKH
PRVW LPSRUWDQW VSRUWV HYHQWV LQ ZLWK VSHFLDO HP
SKDVLVRQWKHJUHDWVXFFHVVDFKLHYHGE\WKH%X]HWERZO
HUV DQG WDHNZRQGLVW DW YDULRXV QDWLRQDO DQG LQWHUQD
WLRQDOFKDPSLRQVKLSV
2I WKH EHJLQQLQJV RI WKH %X]HW ODGLHV
KDQGEDOO UH
PLQGVXV.ODXGLR0DULQDFZKRZULWHVWKDWODGLHVEHJDQ
WRSOD\WKLVJDPHLQWKHVDPH\HDUDVPHQLHDW%X]HW
3ULPDU\6FKRRODVIDUDVODGLHVDUHFRQFHUQHG
$V KLVWRULFDO PDWHULDO WKH SURJUDPPHV RI %X]HW VFL
HQWLILF PHHWLQJV FDOOHG 7KH %X]HW 'D\V RUJDQLVHG E\
WKH WRZQ IRU WKH QG \HDU UXQQLQJ DUH SXEOLVKHG LQ
&KDSWHU9,,,QWKH%X]HW%RRNOHWVSXEOLVKHG VR IDU WKH
SURJUDPPHVRIPHHWLQJVKDYHEHHQSUHVHQWHGZKLOH
WKLV SDUWLFXODU LVVXH LQFOXGHV WKH SURJUDPPHV RI WKH
PHHWLQJVWREHKHOGLQWKHHQVXLQJ\HDUV
7KH&KLHIDQGWKH([HFXWLYH(GLWRURIWKHQHZHVW%X
]HW\HDUERRNLV%RÌR-DNRYOMHYLßZKLOHWKHPHPEHUVRI
LWV (GLWRULDO %RDUG DUH UHFHQWO\ GHFHDVHG $QWXQ +HN
IURP3D]LQDQG7DQMD3HULß3RORQLMRIURP=DJUHE
505
%RÉR-DNRYOMHYLÜ
Scarica

ANNALES · Ser. hist. sociol. · 12 · 2002 · 2 475 Saśo Poglajen